Vol. 82 Tuesday, No. 237 December 12, 2017
Pages 58333–58532
OFFICE OF THE FEDERAL REGISTER
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The FEDERAL REGISTER (ISSN 0097–6326) is published daily, SUBSCRIPTIONS AND COPIES Monday through Friday, except official holidays, by the Office PUBLIC of the Federal Register, National Archives and Records Administration, Washington, DC 20408, under the Federal Register Subscriptions: Act (44 U.S.C. Ch. 15) and the regulations of the Administrative Paper or fiche 202–512–1800 Committee of the Federal Register (1 CFR Ch. I). The Assistance with public subscriptions 202–512–1806 Superintendent of Documents, U.S. Government Publishing Office, Washington, DC 20402 is the exclusive distributor of the official General online information 202–512–1530; 1–888–293–6498 edition. Periodicals postage is paid at Washington, DC. Single copies/back copies: The FEDERAL REGISTER provides a uniform system for making Paper or fiche 202–512–1800 available to the public regulations and legal notices issued by Assistance with public single copies 1–866–512–1800 Federal agencies. These include Presidential proclamations and (Toll-Free) Executive Orders, Federal agency documents having general FEDERAL AGENCIES applicability and legal effect, documents required to be published Subscriptions: by act of Congress, and other Federal agency documents of public interest. Assistance with Federal agency subscriptions: Documents are on file for public inspection in the Office of the Email [email protected] Federal Register the day before they are published, unless the Phone 202–741–6000 issuing agency requests earlier filing. For a list of documents currently on file for public inspection, see www.ofr.gov. The seal of the National Archives and Records Administration authenticates the Federal Register as the official serial publication established under the Federal Register Act. Under 44 U.S.C. 1507, the contents of the Federal Register shall be judicially noticed. The Federal Register is published in paper and on 24x microfiche. It is also available online at no charge at www.fdsys.gov, a service of the U.S. Government Publishing Office. The online edition of the Federal Register is issued under the authority of the Administrative Committee of the Federal Register as the official legal equivalent of the paper and microfiche editions (44 U.S.C. 4101 and 1 CFR 5.10). It is updated by 6:00 a.m. each day the Federal Register is published and includes both text and graphics from Volume 59, 1 (January 2, 1994) forward. For more information, contact the GPO Customer Contact Center, U.S. Government Publishing Office. Phone 202-512-1800 or 866-512- 1800 (toll free). E-mail, gpocusthelp.com. The annual subscription price for the Federal Register paper edition is $749 plus postage, or $808, plus postage, for a combined Federal Register, Federal Register Index and List of CFR Sections Affected (LSA) subscription; the microfiche edition of the Federal Register including the Federal Register Index and LSA is $165, plus postage. Six month subscriptions are available for one-half the annual rate. The prevailing postal rates will be applied to orders according to the delivery method requested. The price of a single copy of the daily Federal Register, including postage, is based on the number of pages: $11 for an issue containing less than 200 pages; $22 for an issue containing 200 to 400 pages; and $33 for an issue containing more than 400 pages. Single issues of the microfiche edition may be purchased for $3 per copy, including postage. Remit check or money order, made payable to the Superintendent of Documents, or charge to your GPO Deposit Account, VISA, MasterCard, American Express, or Discover. Mail to: U.S. Government Publishing Office—New Orders, P.O. Box 979050, St. Louis, MO 63197-9000; or call toll free 1-866-512-1800, DC area 202-512-1800; or go to the U.S. Government Online Bookstore site, see bookstore.gpo.gov. There are no restrictions on the republication of material appearing in the Federal Register. How To Cite This Publication: Use the volume number and the page number. Example: 82 FR 12345. Postmaster: Send address changes to the Superintendent of Documents, Federal Register, U.S. Government Publishing Office, Washington, DC 20402, along with the entire mailing label from the last issue received.
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Contents Federal Register Vol. 82, No. 237
Tuesday, December 12, 2017
Agriculture Department Environmental Protection Agency RULES RULES Highly Erodible Land Conservation and Wetland Air Quality State Implementation Plans; Approvals and Conservation; Conforming Amendment, 58333–58334 Promulgations: NOTICES New Mexico; Albuquerque and Bernalillo County; Agency Information Collection Activities; Proposals, Regional Haze Progress Report State Implementation Submissions, and Approvals, 58378 Plan, 58347–58348 New York; Reasonably Available Control Technology for Census Bureau the 2008 8-Hour Ozone National Ambient Air NOTICES Quality Standards, 58342–58347 Agency Information Collection Activities; Proposals, West Virginia; Removal of Clean Air Interstate Rule Submissions, and Approvals: Trading Programs Replaced by Cross-State Air The American Community Survey, 58378–58381 Pollution Rule Trading Programs; Withdrawal of Direct Final Rule, 58341–58342 Centers for Medicare & Medicaid Services Renewable Fuel Standard Program: NOTICES Standards for 2018 and Biomass-Based Diesel Volume for Medicare Programs: 2019, 58486–58527 Extension of Prior Authorization for Repetitive Scheduled PROPOSED RULES Non Emergent Ambulance Transports, 58400–58403 Periodic Reviews of the Renewable Fuel Standard Program, 58364–58365 Commerce Department See Census Bureau Federal Aviation Administration See National Oceanic and Atmospheric Administration RULES Class E Airspace; Amendments: Defense Acquisition Regulations System Stevens Point, WI, 58334–58335 PROPOSED RULES NOTICES Agency Information Collection Activities; Proposals, Airworthiness Directives: Submissions, and Approvals, 58381 Gulfstream Aerospace Corporation Airplanes, 58362– 58364 NOTICES Defense Department Land Use; Changes: See Defense Acquisition Regulations System 22.1 Acres of Airport Land for Solar Farm use at See Engineers Corps Brunswick Executive Airport, Brunswick, ME, 58480 419 Acres of Airport Land for Solar Farm use at Sanford Education Department Seacoast Regional Airport, Sanford, ME, 58479– NOTICES 58480 Agency Information Collection Activities; Proposals, Petitions for Exemptions; Summaries: Submissions, and Approvals: Bombardier Inc., 58480–58481 Evaluation of the ESEA Title VI Indian Education LEA Requests for Comments: Grants Program, 58382–58383 Land Swap Between the Northern Maine Regional Service Contract Inventory for Fiscal Year 2016, 58383 Airport and the Presque Isle Industrial Council, Presque Isle, ME, 58480 Employment and Training Administration NOTICES Federal Communications Commission Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals: Modernization of Media Regulation Initiative: DOL-Only Performance Accountability, Information, and FCC Form 325 Data Collection, 58365–58374 Reporting System, 58446–58447 Petitions for Reconsideration of Action in Rulemaking Proceeding, 58374 Energy Department NOTICES See Federal Energy Regulatory Commission Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 58388–58396 Meetings: Meetings: Hydrogen and Fuel Cell Technical Advisory Committee, Communications Security, Reliability, and 58383–58384 Interoperability Council, 58396
Engineers Corps Federal Energy Regulatory Commission NOTICES NOTICES Environmental Assessments; Availability, etc.: Authority for Continued Operations: Elizabeth River and Southern Branch Navigation Pelzer Hydro Company, LLC; Consolidated Hydro Improvements Draft General Reevaluation Report, Southeast, LLC, 58387 58381–58382 Combined Filings, 58386–58388
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Environmental Assessments; Availability, etc.: Family Self-Sufficiency Performance Measurement System Enbridge—Texas Eastern Transmission, L.P.; TX—LA (Composite Score), 58434–58439 Markets Project, 58384–58386 Suspension of Small Area Fair Market Rent Designations, 58439–58441 Federal Reserve System NOTICES Interior Department Agency Information Collection Activities; Proposals, See Fish and Wildlife Service Submissions, and Approvals, 58396–58397 See Surface Mining Reclamation and Enforcement Office Production of Rates Based on Data for Repurchase Agreements, 58397–58400 Labor Department See Employment and Training Administration Fish and Wildlife Service See Labor Statistics Bureau NOTICES See Occupational Safety and Health Administration Endangered and Threatened Species: Draft Supplement to the Grizzly Bear Recovery Plan: Labor Statistics Bureau Habitat-Based Recovery Criteria for the Northern NOTICES Continental Divide Ecosystem, 58444–58445 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 58447–58448 Food and Drug Administration NOTICES National Aeronautics and Space Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Charter Establishments: Applications for Approval To Market a New Drug, National Space Council Users’ Advisory Group, 58452 58403–58407 Calorie Labeling of Articles of Food in Vending National Archives and Records Administration Machines, 58425–58428 NOTICES Consumer and Healthcare Professional Identification of Records Schedules, 58452–58453 and Responses to Deceptive Prescription Drug National Endowment for the Arts Promotion, 58411–58421 RULES Food Allergen Labeling and Reporting, 58407–58410 Federal Civil Penalties Adjustments, 58348–58350 Orphan Drug Designation Request Form and The NOTICES Common European Medicines Agency/Food and Meetings: Drug Administration Form for Orphan Medicinal Arts Advisory Panel, 58454 Product Designation, 58424–58425 Determinations that Products Were Not Withdrawn from National Foundation on the Arts and the Humanities Sale for Reasons of Safety or Effectiveness: See National Endowment for the Arts NOROXIN (Norfloxacin) Tablets, 400 Milligrams, 58421 Guidance: National Institutes of Health Product Name Placement, Size, and Prominence in NOTICES Promotional Labeling and Advertisements, 58421– Meetings: 58424 National Institute of Neurological Disorders and Stroke, Refusal of Inspection by a Foreign Food Establishment or 58432 Foreign Government, 58410–58411 Website Location of Center for Devices and Radiological National Oceanic and Atmospheric Administration Health Fiscal Year 2018 Proposed Guidance PROPOSED RULES Development, 58429–58431 Fisheries of the Exclusive Economic Zone off Alaska: Halibut Bycatch Management in Groundfish Fisheries of Health and Human Services Department Bering Sea and Aleutian Islands, 58374–58377 See Centers for Medicare & Medicaid Services See Food and Drug Administration National Science Foundation See National Institutes of Health NOTICES NOTICES Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals, 58454–58455 Chronic Fatigue Syndrome Advisory Committee, 58431 Presidential Advisory Council on Combating Antibiotic– National Transportation Safety Board Resistant Bacteria, 58431–58432 RULES Public Availability of Information, 58354–58361 Homeland Security Department See Transportation Security Administration Nuclear Regulatory Commission See U.S. Immigration and Customs Enforcement NOTICES Direct Transfer of Licenses; Approvals: Housing and Urban Development Department MP Mine Operations LLC, 58455–58456 RULES Streamlining Administrative Regulations for Multifamily Occupational Safety and Health Administration Housing Programs and Implementing Family Income NOTICES Reviews under the Fixing America’s Surface Agency Information Collection Activities; Proposals, Transportation Act, 58335–58341 Submissions, and Approvals: NOTICES Excavations (Design of Cave-in Protection Systems), EnVision Center Demonstration, 58441–58444 58450–58452
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Safe and Sound Campaign, 58448–58450 Surface Transportation Board Changes in Level of Federal Enforcement: NOTICES Minnesota State Plan; Employment on Indian Release of Waybill Data, 58479 Reservations and Twin Cities Army Ammunition Plant, and Coverage Clarifications, 58450 Transportation Department See Federal Aviation Administration Overseas Private Investment Corporation NOTICES Transportation Security Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 58456–58457 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Postal Regulatory Commission Flight Crew Self-Defense Training—Registration and NOTICES Evaluation, 58433 New Postal Products, 58457–58458 U.S. Immigration and Customs Enforcement Presidential Documents NOTICES PROCLAMATIONS Agency Information Collection Activities; Proposals, Special Observances: Submissions, and Approvals: National Pearl Harbor Remembrance Day (Proc. 9684), Needs Assessment, 58432 58529–58532 Veterans Affairs Department Railroad Retirement Board NOTICES NOTICES Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals: Actuarial Advisory Committee, 58458 Acquisition Regulation, Special Notes, 58482–58483 Information Regarding Apportionment of Beneficiary’s Securities and Exchange Commission Award, 58481 NOTICES Request for Approval of School Attendance and School Agency Information Collection Activities; Proposals, Attendance Report, 58482 Submissions, and Approvals, 58468–58469 VetBiz Vendor Information Pages Verification Program, Applications: 58481–58482 Calvert Research and Management and Calvert ETF Trust, Veterans Mortgage Life Insurance Change of Address 58469–58470 Statement, 58483–58484 Self-Regulatory Organizations; Proposed Rule Changes: Cboe BZX Exchange, Inc., 58470–58473 New York Stock Exchange LLC, 58459–58462, 58473– Separate Parts In This Issue 58475 NYSE American, LLC, 58465–58468 Part II NYSE Arca, Inc., 58462–58465 Environmental Protection Agency, 58486–58527
State Department Part III RULES Presidential Documents, 58529–58532 Acquisition Regulations, 58351–58354 Acquisition Regulations; Technical Amendment, 58350– 58351 Reader Aids NOTICES Privacy Act; Systems of Records, 58475–58479 Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, and notice Surface Mining Reclamation and Enforcement Office of recently enacted public laws. NOTICES To subscribe to the Federal Register Table of Contents Agency Information Collection Activities; Proposals, electronic mailing list, go to https://public.govdelivery.com/ Submissions, and Approvals: accounts/USGPOOFR/subscriber/new, enter your e-mail Fee Collection and Coal Production Reporting; Coal address, then follow the instructions to join, leave, or Reclamation Fee Report, 58446 manage your subscription.
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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.
3 CFR Proclamations: 9684...... 58531 7 CFR 12...... 58333 14 CFR 71...... 58334 Proposed Rules: 39...... 58362 24 CFR 5...... 58335 891...... 58335 960...... 58335 982...... 58335 40 CFR 52 (3 documents) ...... 58341, 58342, 58347 80...... 58486 Proposed Rules: 80...... 58364 45 CFR 1149...... 58348 1158...... 58348 47 CFR Proposed Rules: 76...... 58365 95...... 58374 48 CFR 604...... 58350 636...... 58351 637...... 58351 642...... 58350 652...... 58351 49 CFR 801...... 58354 50 CFR Proposed Rules: 679...... 58374
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Rules and Regulations Federal Register Vol. 82, No. 237
Tuesday, December 12, 2017
This section of the FEDERAL REGISTER Insurance Regulations; and the Common Congress in the Agricultural Act of contains regulatory documents having general Crop Insurance Regulations, Basic 2014. applicability and legal effect, most of which Provisions,’’ that included changes to Executive Orders 12866, 13563, and are keyed to and codified in the Code of remove the June 1 deadline prior to the Federal Regulations, which is published under 13771 50 titles pursuant to 44 U.S.C. 1510. July 1 reinsurance year for a Form AD– 1026 conservation compliance Executive Order 12866, ‘‘Regulatory The Code of Federal Regulations is sold by certification to be on file with FSA Planning and Review,’’ and Executive the Superintendent of Documents. related to ineligibility for federal crop Order 13563, ‘‘Improving Regulation insurance premium subsidies. The same and Regulatory Review,’’ direct agencies June 1 deadline was also included in the to assess all costs and benefits of DEPARTMENT OF AGRICULTURE USDA regulations in 7 CFR part 12 for available regulatory alternatives and, if Highly Erodible Land Conservation and regulation is necessary, to select Office of the Secretary Wetland Conservation provisions (also regulatory approaches that maximize known as conservation compliance net benefits (including potential 7 CFR Part 12 provisions). The FCIC final rule economic, environmental, public health and safety effects, distributive impacts, RIN 0563–AC56 removed the June 1 deadline from the regulations for Catastrophic Risk and equity). Executive Order 13563 Highly Erodible Land Conservation Protection Endorsement, the Area Risk emphasized the importance of and Wetland Conservation; Protection Insurance Basic Provisions, quantifying both costs and benefits, of Conforming Amendment and the Common Crop Insurance Policy reducing costs, of harmonizing rules, Basic Provisions and instead requires and of promoting flexibility. The Office AGENCY: Office of the Secretary and the AD–1026 to be filed with FSA for of Management and Budget (OMB) Federal Crop Insurance Corporation, the reinsurance year by the premium designated this rule as not significant USDA. billing date unless an exception applies. under Executive Order 12866, ACTION: Final rule. ‘‘Regulatory Planning and Review,’’ and USDA is amending the Highly therefore, OMB has not reviewed this SUMMARY: This final rule amends the Erodible Land Conservation and rule. The rule is not subject to Executive United States Department of Agriculture Wetland Conservation provisions to Order 13771, ‘‘Reducing Regulation and regulations to conform to the changes conform to the changes to the Controlling Regulatory Costs.’’ regarding conservation compliance Catastrophic Risk Protection made by the Federal Crop Insurance Endorsement, the Area Risk Protection Paperwork Reduction Act of 1995 Corporation (FCIC) to its regulations in Insurance Basic Provisions, and the Pursuant to the provisions of the Catastrophic Risk Protection Common Crop Insurance Policy Basic Paperwork Reduction Act of 1995 (44 Endorsement; Area Risk Protection Provisions regarding conservation U.S.C. chapter 35, subchapter I), the Insurance Basic Provisions; and compliance. collections of information in this rule Common Crop Insurance Policy Basic The specific changes to the Highly have been approved by OMB under Provisions. These changes will provide Erodible Land Conservation and control number 0563–0053. more flexibility for conservation Wetland Conservation regulation E-Government Act Compliance compliance determinations; reduce include removing the date of June 1 USDA is committed to complying burdens on policyholders; and will from the conservation compliance with the E-Government Act of 2002, to allow the conservation compliance provisions and adding a reference to the promote the use of the internet and certification process for crop insurance premium billing date. Because the June other information technologies to to be administered more consistently 1 date is being removed, USDA is also provide increased opportunities for with the practices of the Farm Service revising the exception for farmers who citizen access to Government Agency (FSA). began farming after June 1 to instead information and services, and for other DATES: This rule is effective December refer to producers who meet the Risk purposes. 12, 2017. Management Agency’s conditions for FOR FURTHER INFORMATION CONTACT: Tim farmers who are new to farming, new to Unfunded Mandates Reform Act of Hoffmann, Risk Management Agency, crop insurance, a new entity, or have 1995 telephone (816) 926–7730; Joe not previously been required to file form Title II of the Unfunded Mandates Fuchtman, Farm Service Agency, AD–1026. Reform Act of 1995 (UMRA) establishes telephone (202) 260–9146; or Jason These changes will provide more requirements for Federal agencies to Outlaw, Natural Resource Conservation flexibility for FSA conservation assess the effects of their regulatory Service, telephone (202) 720–7838. compliance determinations, reduce actions on State, local, and tribal SUPPLEMENTARY INFORMATION: burdens on policyholders and will governments and the private sector. allow the conservation compliance This rule contains no Federal mandates Background certification process for crop insurance (under the regulatory provisions of title Recently, FCIC published a final rule to be administered more consistently II of the UMRA) for State, local, and in the Federal Register, titled ‘‘General with the way it is administered for other tribal governments or the private sector. Administrative Regulations; USDA programs while maintaining Therefore, this rule is not subject to the Catastrophic Risk Protection conformance to the Conservation requirements of sections 202 and 205 of Endorsement; Area Risk Protection Compliance provisions mandated by the UMRA.
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Executive Order 13132 entities are given the same opportunities compliance as specified in § 12.7 will It has been determined under section as large entities to manage their risks result in ineligibility as follows: 1(a) of Executive Order 13132, through the use of crop insurance. A (1) A Form AD–1026, or successor Federalism, that this rule does not have Regulatory Flexibility Analysis has not form, for the person must be filed with sufficient implications to warrant been prepared since this regulation does FSA for the reinsurance year in order for consultation with the States. The not have a significant impact on a the person to be eligible for any Federal provisions contained in this rule will substantial number of small entities, crop insurance premium subsidies for not have a substantial direct effect on and, therefore, this regulation is exempt the reinsurance year. Persons will be States, or on the relationship between from the provisions of the Regulatory ineligible for Federal crop insurance the national government and the States, Flexibility Act (5 U.S.C. 605). premium subsidy on their crop insurance policy if form AD–1026, or or on the distribution of power and Federal Assistance Program responsibilities among the various successor form, has not been filed with This program is listed in the Catalog levels of government. FSA for the reinsurance year by the of Federal Domestic Assistance under premium billing date for their Federally- Executive Order 13175 No. 10.450. reinsured crop insurance policy. (2) A person that has not filed an AD– This rule has been reviewed in Executive Order 12372 accordance with the requirements of 1026 for the reinsurance year by the This program is not subject to the Executive Order 13175, ‘‘Consultation premium billing date may be eligible for provisions of Executive Order 12372, and Coordination with Indian Tribal premium subsidy for the reinsurance which require intergovernmental Governments.’’ Executive Order 13175 year if they provide information consultation with State and local requires Federal agencies to consult and necessary for the person’s filing of a officials. See 2 CFR part 415, subpart C. coordinate with tribes on a government- Form AD–1026 if the person: to-government basis on policies that Executive Order 12988 (i) Is unable to file a Form AD–1026 have tribal implications, including due to circumstances beyond the This rule has been reviewed in person’s control, as determined by FSA; regulations, legislative comments or accordance with Executive Order 12988 proposed legislation, and other policy or on civil justice reform. The provisions (ii) Files a Form AD–1026 in good statements or actions that have of this rule will not have a retroactive substantial direct effects on one or more faith and FSA subsequently determines effect. The provisions of this rule will that additional information is needed, Indian tribes, on the relationship preempt State and local laws to the between the Federal Government and but the person is unable to comply due extent such State and local laws are to circumstances beyond the control of Indian tribes or on the distribution of inconsistent herewith. power and responsibilities between the the person. (3) A person who does not have Form Federal Government and Indian tribes. Environmental Evaluation AD–1026, or successor form, on file USDA has assessed the impact of this This action is not expected to have a with FSA for the reinsurance year may rule on Indian tribes and determined significant economic impact on the be eligible for Federal crop insurance that this rule does not, to our quality of the human environment, premium subsidy for the initial knowledge, have tribal implications that health, or safety. Therefore, neither an reinsurance year if the person can require tribal consultation under E.O. Environmental Assessment nor an demonstrate they meet RMA’s 13175. If a Tribe requests consultation, Environmental Impact Statement is conditions for new to farming, new to USDA will work with the Office of needed. crop insurance, a new entity, or have Tribal Relations to ensure meaningful not previously been required to file form consultation is provided where changes, List of Subjects in 7 CFR Part 12 AD–1026. additions and modifications identified Crop insurance, Reporting and herein are not expressly mandated by recordkeeping requirements, Soil * * * * * Congress. conservation. Dated: December 1, 2017. Stephen L. Censky, Regulatory Flexibility Act Final Rule Deputy Secretary. USDA certifies that this regulation Accordingly, as set forth in the [FR Doc. 2017–26736 Filed 12–11–17; 8:45 am] will not have a significant economic preamble, USDA amends 7 CFR part 12 BILLING CODE 3410–08–P impact on a substantial number of small as follows: entities. This regulation is a conforming amendment to a final rule published by PART 12—HIGHLY ERODIBLE LAND FCIC that states the Federal crop CONSERVATION AND WETLAND DEPARTMENT OF TRANSPORTATION CONSERVATION insurance program is the same for all Federal Aviation Administration producers regardless of the size of their ■ 1. The authority citation for 7 CFR farming operation. For instance, all 14 CFR Part 71 producers are required to file an AD– part 12 continues to read as follows: 1026 with FSA to be eligible for Authority: 16 U.S.C. 3801, 3811–12, 3812a, [Docket No. FAA–2017–0143; Airspace premium subsidy. Whether a producer 3813–3814, and 3821–3824. Docket No. 17–AGL–5] has 10 acres or 1,000 acres, there is no ■ 2. Amend § 12.13 by revising Amendment of Class E Airspace, difference in the kind of information paragraph (b) to read as follows: Stevens Point, WI collected. To ensure crop insurance is available to small entities, the Federal § 12.13 Special Federal crop insurance AGENCY: Federal Aviation Crop Insurance Act (FCIA) authorizes premium subsidy provisions. Administration (FAA), DOT. FCIC to waive collection of * * * * * ACTION: Final rule, correction. administrative fees from limited (b) Ineligibility for failing to certify resource farmers. FCIC believes this compliance. Subject to paragraph (b)(2) SUMMARY: This action corrects a final waiver helps to ensure that small of this section, failing to certify rule published in the Federal Register
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of November 1, 2017 that modifies Class Issued in Fort Worth, Texas, on December methods for submitting public E airspace extending upward from 700 1, 2017. comments. feet above the surface at Stevens Point Christopher L. Southerland, 1. Submission of Comments by Mail. Municipal Airport, Stevens Point, WI, to Acting Manager, Operations Support Group, Comments may be submitted by mail to accommodate new standard instrument ATO Central Service Center. the Regulations Division, Office of approach procedures for instrument [FR Doc. 2017–26656 Filed 12–11–17; 8:45 am] General Counsel, U.S. Department of flight rules operations at the airport. The BILLING CODE 4910–13–P Housing and Urban Development, 451 FAA identified that the latitude 7th Street SW, Room 10276, coordinate was incorrect. Washington, DC 20410–0500. 2. Electronic Submission of DEPARTMENT OF HOUSING AND DATES: Effective 0901 UTC, February 1, Comments. Interested persons may URBAN DEVELOPMENT 2018. The Director of the Federal submit comments electronically through Register approves this incorporation by 24 CFR Parts 5, 891, 960, and 982 the Federal eRulemaking Portal at reference action under Title 1, Code of www.regulations.gov. HUD strongly Federal Regulations, part 51, subject to [Docket No. FR 5743–I–04] encourages commenters to submit the annual revision of FAA Order comments electronically. Electronic RIN 2577–AJ36 7400.11 and publication of conforming submission of comments allows the amendments. Streamlining Administrative commenter maximum time to prepare Regulations for Multifamily Housing and submit a comment, ensures timely FOR FURTHER INFORMATION CONTACT: receipt by HUD, and enables HUD to Walter Tweedy, Federal Aviation Programs and Implementing Family Income Reviews Under the Fixing make comments immediately available Administration, Operations Support to the public. Comments submitted Group, Central Service Center, 10101 America’s Surface Transportation (FAST) Act electronically through the Hillwood Parkway, Fort Worth, TX www.regulations.gov Website can be 76177; telephone (817) 222–5900. AGENCY: Office of the Deputy Secretary, viewed by other commenters and SUPPLEMENTARY INFORMATION: HUD. interested members of the public. ACTION: Interim final rule. Commenters should follow the History instructions provided on that site to SUMMARY: HUD published a final rule on submit comments electronically. The FAA published a final rule in the March 8, 2016, containing changes to Note: To receive consideration as public Federal Register (82 FR 50503, streamline regulatory requirements November 1, 2017) Docket No. FAA– comments, comments must be submitted pertaining to certain elements of the through one of the two methods specified 2017–0143, modifying Class E airspace Housing Choice Voucher (HCV), Public above. Again, all submissions must refer to extending upward from 700 feet above Housing (PH), and various multifamily the docket number and title of the rule. the surface at Stevens Point Municipal housing (MFH) rental assistance No Facsimiled Comments. Facsimiled Airport, Stevens Point, WI. programs. The goal of the final rule was (faxed) comments are not acceptable. Subsequent to publication, the FAA to reduce the administrative burden on Public Inspection of Public found that the geographic coordinates public housing agencies (PHAs) and Comments. Copies of all comments for the airport were incorrect. This MFH owners, including changes submitted are available for inspection action amends the latitude coordinate in pertaining to annual income reviews in and downloading at the airspace designation. the HCV, PH, and Section 8 Project- www.regulations.gov. In addition, all Based Rental Assistance (PBRA) Class E airspace designations are properly submitted comments and programs for families with sources of communications submitted to HUD will published in paragraph 6005, fixed income. On December 4, 2015, the respectively, of FAA Order 7400.11B, be available for public inspection and President signed the Fixing America’s copying between 8 a.m. and 5 p.m., dated August 2, 2017, and effective Surface Transportation Act (FAST Act) September 15, 2017, which is weekdays, at the above address. Due to into law. The law contained language security measures at the HUD incorporated by reference in 14 CFR that allowed PHAs and owners to 71.1. The Class E airspace designations Headquarters building, an advance conduct full income recertification for appointment to review the public listed in this document will be families with 90 percent or more of their published subsequently in the Order. comments must be scheduled by calling income from fixed-income every 3 years the Regulations Division at 202–708– Correction to Final Rule instead of annually. This interim final 3055 (this is not a toll-free number). rule amends the regulatory language to Individuals with speech or hearing Accordingly, pursuant to the implement the FAST Act and to align impairments may access this number authority delegated to me, in the the current regulatory flexibilities with via TTY by calling the Federal Relay Federal Register of November 1, 2017 those provided in the FAST Act. In Service at 800–877–8339 (this is a toll- (82 FR 50503) FR Doc. 2017–23434, addition, this interim final rule seeks to free number). extend to certain MFH programs some Amendment of Class E Airspace; FOR FURTHER INFORMATION CONTACT: For of the streamlining changes that were Stevens Point, WI, is corrected as questions, please contact the following proposed for and made only to the HCV follows: people (the phone numbers are not toll- and PH programs. § 71.1 [Amended] free): DATES: Effective date: March 12, 2018. Multifamily Housing programs: AGL WI E5 Stevens Point, WI Comment due date: January 11, 2018. Katherine Nzive, Director, Program [Corrected] ADDRESSES: Interested persons are Administration Office, Asset invited to submit comments regarding Management and Portfolio Oversight, ■ On page 50504 column 1, line 59, this interim final rule. All 202–708–3000. remove ‘‘Lat. 44°32′43″ N.’’ and add in communications must refer to the above Housing Choice Voucher and Public its place ‘‘Lat. 44°32′42″ N.’’ docket number and title. There are two Housing programs: Becky Primeaux,
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Director, Housing Voucher Management of living adjustment (COLA) or interest Utility Reimbursements (§ 5.632) and Occupancy Division, 202–402–6050 rate adjustment specific to each source As required by § 5.632 of the current or Monica Shepherd, Director, Public of fixed income. PBRA regulations, where tenants pay for Housing Management and Occupancy, Prior to the issuance of the final rule, their utility usage, owners must 202–402–4059. on December 4, 2015, the President reimburse tenants if the utility Persons with hearing or speech signed the FAST Act (Pub. L. 114–94). allowance exceeds the total tenant impairments may access this number While primarily a transportation law, payment, but they do not specify how through TTY by calling the Federal section 78001 of the FAST Act also frequently such reimbursement must be Relay Service at 800–877–8339 (this is amended the United States Housing Act made. Such silence may have led a toll-free number). The above-listed of 1937 to allow PHAs and owners in owners to the assumption that contacts may also be reached by mail at the HCV, PH, and PBRA programs to reimbursements must be monthly, the following address: U.S. Department eliminate annual income reviews in causing them to process small monthly of Housing and Urban Development; some years by applying a COLA checks and expend postage to mail them 451 7th Street SW, Washington, DC determined by the Secretary to fixed- to voucher holders, which may 20410. income sources for families with constitute an administrative and SUPPLEMENTARY INFORMATION: incomes that are made up of at least 90 financial burden. percent fixed income. The PHA or This interim final rule explicitly I. Background owner is not required to verify non- allows owners to make reimbursements On January 6, 2015, at 80 FR 423, fixed income amounts in years where no of $45 or less (per quarter) on a HUD issued a proposed rule to fixed-income review is required, but is quarterly basis, in order to eliminate the implement several statutory changes still required to use third-party burdensome process of processing and made in the Department of Housing and documentation for a full income mailing monthly reimbursement checks. Urban Development Appropriations recertification every 3 years. In the event a family leaves the program Act, 2014 and also make multiple This interim final rule not only in advance of its next quarterly administrative streamlining changes implements the statutory provisions of reimbursement, the owner would be across several HUD programs. In that the FAST Act, but it also modifies the required to reimburse the family for a proposed rule, some of these additional earlier streamlining regulations so that prorated share of the applicable streamlining changes applied only to the procedures for families meeting the reimbursement. Owners exercising this the HCV and PH programs, not MFH 90 percent fixed-income threshold of option will be required to have a policy programs. Given feedback on the rule, the FAST Act are as similar as possible in place to assist tenants for whom the HUD is issuing this interim final rule to to those for families who receive some, quarterly reimbursements will pose a expand some of the flexibilities— but less than 90 percent, of their income financial hardship. namely, flexibilities related to utility from fixed-income sources. For the Section 202 and Section 811 reimbursements and asset declarations programs, the regulations do not contain that were finalized for the HCV and PH II. Summary of This Interim Final Rule the requirements around utility programs in a March 8, 2016, final rule, Streamlined Certification of Fixed reimbursements, in general, leaving at 81 FR 12354—to housing assisted Income (§§ 5.233, 5.657, 960.257, and such requirements in the assistance under the following MFH programs, 982.516) contracts. Therefore, HUD is not while seeking public feedback on that including regulatory text to implement expansion: Under this interim final rule, during these new flexibilities in this interim (1) Section 8 Project-Based Rental years 2 and 3 after a full income review, final rule, but rather would be open to Assistance (PBRA), including projects PHAs and owners in the HCV, PH, and amending the assistance contracts of undergoing Mark-to Market debt PBRA programs may determine a any owners looking to take advantage of restructuring under the Multifamily family’s fixed income by using a the flexibilities. Assisted Housing Reform and verified COLA or rate of interest on the Affordability Housing Act. individual sources of fixed income. In Family Declaration of Assets Under (2) Section 202 of the Housing Act of the case of a family with at least 90 $5,000 (§ 5.659) 1959 (both before and after section 202 percent of the family’s unadjusted Families in the PBRA program are was amended by section 801 of the income from fixed income, a PHA or required to report all assets annually. Cranston-Gonzalez National Affordable owner using streamlined income The amount of interest earned on those Housing Act). verification may, but is not required to, assets is included as income used to (3) Section 811 of the Cranston- adjust the non-fixed income. For calculate the tenant’s rent obligation. Gonzalez National Affordable Housing families with at least one source of fixed Tenants with assets below $5,000 Act. income, but for which less than 90 typically generate minimal income from In addition, another of the provisions percent of the family’s income is from these assets, which results in small in the March 8, 2016, final rule, which fixed sources, PHAs and owners must changes, if any, to tenant rental applied to the HCV, PH, and above- verify and adjust non-fixed sources payments. Owners spend significant listed MFH programs, allowed PHAs annually. time verifying such assets. and multifamily owners to streamline This interim final rule does not This rule amends the regulations so income recertification procedures for change the requirement that the PHA or that, for a family that has net assets families with income that comes from owner must undertake a full equal to or less than $5,000, an owner, fixed-income sources. The new recertification every 3 years. Nor does it at recertification, may accept a family’s regulatory provision allowed PHAs and alter the requirement, applicable under declaration that it has net assets equal owners to only require third-party the current regulations, that families to or less than $5,000, without annually documentation for fixed-income sources certify that all the information they taking additional steps to verify the every 3 years. In the intermediate years submit for income verification, accuracy of the declaration. Third-party the PHA or owner could apply a including the sources of income, is verification of all family assets will be previously determined or verified cost accurate. required every 3 years.
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The regulations allow owners in the Although HUD is issuing this rule for As discussed, this interim final rule Section 202 and Section 811 programs effect, HUD has delayed the effective furthers HUD’s efforts to streamline to require tenants to provide the same date for a period of 90 days, allowing administrative requirements for owners certification of assets allowed in the participants in HUD’s MFH programs receiving subsidies under the HCV, PH, HCV, PH, and PBRA programs. and other interested parties to submit PBRA, Section 202 and Section 811 programs. Specifically, this interim rule Applicability to Housing Choice comment during the first 30-day period gives PHAs and owners greater Voucher and Public Housing Programs following publication of this interim rule. HUD will take any comments flexibilities in determining tenant In the March 8, 2016, final rule, the received into consideration and families’ income and assets, and in provisions related to utility allowance determine whether any further changes issuing utility reimbursements. The rule reimbursements and asset certification should be made before implementing provides PHAs and owners with the applied to the HCV and PH programs the streamlining changes for the MFH discretion to implement these only. HUD is currently expanding the programs. regulations. Some may choose the status same policies to the MFH programs quo; others will choose the streamlining through this interim final rule. IV. Specific Question for Comment alternative. By allowing voluntary However, comments on this interim While HUD welcomes comments on implementation, HUD enables final rule may lead us to reconsider all aspects of this interim final rule, participants to choose their desired those policies as they apply to the HCV HUD is seeking specific comment on the method of administration, which in and PH programs, in the interest of following question: many cases will presumably be the aligning policies across HUD programs. least-cost method. Aggregate savings are The language in this interim final rule III. Justification for Interim expected to be approximately $31.2 proposes a policy on utility million. Rulemaking reimbursements and asset certification In general, HUD publishes a rule for identical to that applying to the HCV A. Benefits public comment before issuing a rule for and PH programs contained in the The most significant savings come effect, in accordance with its own March 8, 2016, final rule. Comments on from reduced time devoted to regulations on rulemaking, 24 CFR part this interim final rule may lead us to administrative tasks related to certifying 10. Part 10, however, provides for reconsider those policies as they apply income. HUD expects that this exceptions from that general rule where to the HCV and PH programs, in the streamlining interim rule will, in some the Department finds good cause to omit interest of aligning policies across HUD cases, reduce the time required for advance notice and public participation. programs. Are there program-specific or income recertification, but it is difficult The good cause requirement is satisfied unintended impacts in the HCV, PH, or to know by how much, given the when the prior public procedure is MFH programs that should be voluntary nature of the regulatory ‘‘impracticable, unnecessary, or contrary considered in aligning these policies changes. To monetize the cost savings, to the public interest.’’ across programs? Would any difference we make assumptions concerning the The Department finds that good cause cause a burden to entities administering proportion of PHAs and owners that exists to publish this interim rule for these forms of assistance or to the will adopt the streamlining practices effect on the basis that the streamlining tenants receiving the assistance? and what the time savings will be. changes made to utility reimbursement We assume that administrative costs V. Findings and Certifications and declaration of assets in this interim for PH and PBRA, are similar to those rule were included in HUD’s January 6, Regulatory Review—Executive Orders for the HCV program. A HUD study of 2015, proposed rule. Although these 12866 and 13563 administrative costs in the HCV provisions were not presented as program found that, on average, 13.8 streamlining changes for adoption in Under Executive Order 12866 hours are required per voucher per year HUD’s MFH programs, commenters (Regulatory Planning and Review), a to run a high-performing program.1 Half responding to the solicitation of determination must be made whether a of the effort is allocated to ongoing comment in the January 6, 2015, regulatory action is significant and occupancy, of which annual proposed rule requested HUD therefore, subject to review by the Office recertification is a major portion. consideration of extending the of Management and Budget (OMB) in Annual recertification includes applicability of these provisions to accordance with the requirements of the preparing for and scheduling HUD’s MFH programs. order. Executive Order 13563 recertification, conducting interviews, The language implementing the FAST (Improving Regulations and Regulatory verifying income and household Act is implementing statutory language Review) directs executive agencies to composition, reviewing Enterprise that provides an option for PHAs and analyze regulations that are ‘‘outmoded, Income Verification (EIV), and owners. While the statute does not ineffective, insufficient, or excessively calculating total tenant payment and mandate that PHAs or owners use the burdensome,’’ and to modify, housing assistance payment. The streamlined reexamination, it does streamline, expand, or repeal them in average time spent is 232 minutes per require HUD to give PHAs and owners accordance with what has been learned. voucher per year, with a 95 percent the option. In addition, this interim Executive Order 13563 also directs that, confidence interval of 206 to 257 final rule builds upon proposals that where relevant, feasible, and consistent minutes. The median is 225 minutes per already underwent public comment, with regulatory objectives, and to the voucher per year. resulting in HUD’s March 8, 2016, final extent permitted by law, agencies are to Based on this study, we estimate that rule. The specific use of the Social identify and consider regulatory the savings per household per year are Security Administration’s COLA was approaches that reduce burdens and 30 minutes (or approximately 12 not issued for prior public comment, but maintain flexibility and freedom of percent of the total average the use of a single COLA, unless choice for the public. This rule was not reexamination time of 232 minutes). requested otherwise by the family, will determined to be a ‘‘significant provide PHAs and owners with regulatory action’’ as defined in section 1 Housing Choice Voucher Administrative Fee additional streamlining benefits. 3(f) of the Executive order. Study, Final Report, August 2015.
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The savings are realized 2 of every 3 that the streamlining savings will be income cutoff; there is no incentive to years and, so, on average, the per- realized for half of them. Applying the report an increase in income if household per-year savings will be 20 same logic as for income recertification regulations do not require doing so. minutes. If the opportunity cost of labor and assuming that the average savings Those households who realize a positive is $60 per hour, then the average savings per household from streamlining is $20, transfer from HUD is the subset who per affected household per year is $20 the aggregate savings will be $5.9 experience increases in non-fixed ($1 per minute × 20 minutes). million. income during years 2 and 3 of the Current regulations in the HCV, PH, Further savings come from allowing streamlined recertification cycle. and PBRA programs apply streamlined quarterly utility reimbursements when Of those households who receive 90 income verification practices to all such quarterly amounts are $45 or less. percent of income from fixed sources, households with any income coming The Tenant Rental Assistance the median annual income from non- from fixed-income sources (60 percent Certification System (TRACS) database fixed sources (labor earnings, asset of households in these programs).2 This which contains data on multifamily income, temporary public assistance, interim final rule changes the owners, contracts, and tenants, reports and other sources of income) is $0. The streamlined procedures for households that as of March 2017, 82,000 mean annual income from non-fixed with at least 90 percent of their income households assisted by the PBRA, sources across all such households is from fixed-income sources (53 percent Section 202 and Section 811 programs $44. Under previous regulations, these of all households), or 2.5 million of 4.7 (of approximately 1.37 million) received households would contribute up to 30 million households in the HCV, PH, and utility reimbursements. Of these percent of any increase in income to PBRA programs being eligible to benefit households, 30,000 received a monthly their rent payments. Thus, the transfer from this interim final rule. utility reimbursement less than $45. If to households would be approximately For these 2.5 million households, a administrators choose quarterly 30 percent of any income gain in non- PHA or owner using streamlined reimbursements as opposed to monthly, fixed income sources. If we assume that income verification may, but is not then doing so would save some time all non-fixed incomes increase by 1 required to, adjust the non-fixed and expense by eliminating the costs of percent for all households, then the income. It is reasonable to expect that sending eight letters every year to average gain would be $0.13 annually × × streamlining will be applied to no more eligible households. Because it is a ($44 1 percent growth 30 percent than half of those eligible (or that the minor activity, information to estimate towards tenant payment). This transfer savings will be noticeable for no more time spent on utility reimbursements is occurs in only 2 out of every 3 years and than half). Thus, we assume that not available. We assume that so would be approximately $0.09 on assistance providers realize average processing and mailing costs $3 per average. The aggregate transfer could be administrative efficiencies of $20 across letter. Over 1 year, the savings amount as high as $225,000. As noted, most × 1.25 million households for aggregate to $24 (8 months $3) per affected households will not experience such an savings of $25 million. The aggregate household. If only half choose the impact: Only 13 percent of the affected efficiencies realized would be streamlining, then total savings will be population receive income from other correspondingly higher (lower) if $0.36 million. than fixed-income sources. If we limit applied to more (fewer) households or if By allowing voluntary the effect to those who receive non-fixed opportunity costs were higher (lower). implementation, HUD enables income the measured impact is more Given anecdotal evidence from participants to choose their desired pronounced: The mean non-fixed streamlining regulations, HUD expects method of administration, which in income is $338. The individual impact the lower-end estimates to be more many cases will presumably be the is more pronounced (about 10 times representative of the impact of the least-cost method. It is difficult to larger) for such households. Less changes. If the impact ranges from 0 estimate the savings with precision frequent recertification will lead to less percent to 75 percent of the point given that an unknown number of PHAs timely data but, given the relative estimate, we could expect and owners may choose the status quo. stability of fixed-income streams, would administrative efficiencies of from $0 to Based on the aforementioned not result in a significant change in the $37.5 million. assumptions, aggregate savings are payment of housing assistance. There may also be a small cost to the In addition to the savings seen by expected to be approximately $31.2 tenant from temporarily withholding streamlining annual certification of million ($24.9 million from income utility reimbursements for quarterly income, self-certification by households verification + $0.6 million from utility reimbursements. However, given the of assets is expected to reduce reimbursement + $5.9 million from asset short time span and low amount, the administrative burdens on PHAs and verification). maximum opportunity cost for a owners in the PBRA, Section 202, and B. Costs and Transfers household would range from $0.44 (at a Section 811 programs. This interim final All of the regulatory changes included 3 percent annual discount rate) to $1.04 rule applies to the 95 percent of in this interim final rule are intended to (at a 7 percent annual discount rate.3 PBRA-, Section 202-, and Section 811- provide additional options and The maximum aggregate cost across assisted households that have assets flexibilities to PHAs and owners, not to 30,000 households ranges from $13,200 with a cash value of less than $5,000 but mandate new actions. Therefore, HUD to $31,200. However, the actual cost would only reduce costs for the 43 expects that PHAs and owners will not will be less because not all of the percent of households in these programs adopt any new procedures that add that have assets worth less than $5,000 costs to their operations. 3 If the annual discount rate is 3 percent (7 but more than zero. Of the 589,000 There may be a small transfer percent), then the monthly discount rate is 0.25 estimated eligible households (43 resulting from the change to the income percent (0.57 percent). The maximum burden on percent of 1.378 million), we assume households will be when the utility reimbursement streamlining regulations due to foregone is $15 per month ($45 per quarter). For every tenant rent increases that would quarter, the first month’s reimbursement will be 2 This percentage was computed by HUD staff otherwise be owed by an unknown delayed by 2 months and the second month’s by 1 using HUD data. It is further assumed that the month. Per quarter the burden will be $0.11 ($0.26 percentage is consistent and observable across all portion of the 2.5 million tenants cents) at a 3 percent (7 percent) annual discount HUD programs. affected by the new 90 percent fixed- rate.
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affected 30,000 households receive assess the effects of their regulatory preempt state law within the meaning of monthly utility reimbursements of $15 actions on state, local, and tribal the Executive order. or less. governments and the private sector. Catalog of Federal Domestic Assistance Any associated risk of lost revenue to This interim final rule will not impose PHAs, owners, or HUD resulting from any federal mandates on any state, local, The Catalog of Federal Domestic errors in imputed asset income is or tribal governments or the private Assistance numbers applicable to the expected to be negligible. HUD’s Quality sector within the meaning of UMRA. program affected by this interim final Control Study (QC Study) reports that rule are 14.157, 14.181, 14.195, 14.850, 34.5 percent of all households in HUD- Environmental Review and 14.871. assisted housing programs reported This interim final rule involves List of Subjects some errors in their income reporting. external administrative requirements Of the group with income reporting and procedures related to calculation of 24 CFR Part 5 HUD rental assistance that do not errors, only 3 percent were found to Administrative practice and constitute a development decision have erroneously reported their annual procedure, Aged, Claims, Crime, affecting the physical condition of asset income (by $800 on average). Government contracts, Grant A potential administrative specific project areas or building sites. programs—housing and community inefficiency is that the frequency and Accordingly, under 24 CFR 50.19(c)(6), development, Individuals with size of reporting error would increase if this interim final rule is categorically disabilities, Intergovernmental relations, certifications are required every 3 years. excluded from environmental review Examination of quality control data under the National Environmental Loan programs—housing and from 2014 reveals that the net error in Policy Act of 1969 (42 U.S.C. 4321). community development, Low and rent payments is more positive moderate income housing, Mortgage Impact on Small Entities (indicating a tenant is overpaying) and insurance, Penalties, Pets, Public varies less when asset income is the The Regulatory Flexibility Act (RFA) housing, Rent subsidies, Reporting and largest source of the rent error. For those (5 U.S.C. 601 et seq.) generally requires recordkeeping requirements, Social with assets less than $5,000, the an agency to conduct a regulatory security, Unemployment compensation. estimated annual net error is only $8 in flexibility analysis of any rule subject to 24 CFR Part 891 cases where asset income is the largest notice and comment rulemaking Aged, Grant programs—housing and source of error (representing an requirements, unless the agency certifies community development, Individuals overpayment). It is not clear what the that the rule will not have a significant with disabilities, Loan programs— impact of the rule would be on the level economic impact on a substantial housing and community development, of the net error; however, we could number of small entities. This interim Rent subsidies, Reporting and expect greater variability with less final rule reduces administrative recordkeeping requirements. accurate data. From the quality control burdens on PHAs and MFH owners in data, we estimate that 1 percent of all several aspects of administering assisted 24 CFR Part 960 housing. All PHAs and MFH owners, households are those with assets less Aged, Grant programs—housing and regardless of size, will benefit from the than $5,000 for which errors originate community development, Individuals burden reduction made by this interim from miscalculation of asset income (or with disabilities, Pets, Public housing. 132,500 of 1.325 million households in final rule. These revisions impose no multifamily housing). Even if the net significant economic impact on a 24 CFR Part 982 error doubled because of the rule, the substantial number of small entities. Grant programs—housing and transfer to or from tenants would Therefore, the undersigned certifies that community development, Grant amount to no more than $1 million per this interim final rule will not have a programs—Indians, Indians, Public year 2 out of every 3 years. Finally, significant impact on a substantial housing, Rent subsidies, Reporting and streamlining would allow staff to more number of small entities. recordkeeping requirements. rigorously control tenant information Notwithstanding HUD’s belief that this interim final rule will not have a Accordingly, for the reasons stated in that is a greater source of error (such as the preamble, HUD is amending 24 CFR earned income). significant effect on a substantial number of small entities, HUD parts 5, 891, 960, and 982 as follows: Information Collection Requirements specifically invites comments regarding PART 5—GENERAL HUD PROGRAM The information collection any less burdensome alternatives to this REQUIREMENTS; WAIVERS requirements contained in this interim interim final rule that will meet HUD’s final rule have been approved by the objectives as described in this preamble. ■ 1. The authority citation for part 5 Office of Management and Budget Executive Order 13132, Federalism continues to read as follows: (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501–3520) and Executive Order 13132 (entitled Authority: 12 U.S.C. 1701x; 42 U.S.C. 1437a, 1437c, 1437d, 1437f, 1437n, 3535(d); assigned OMB control number 2502– ‘‘Federalism’’) prohibits an agency from publishing any rule that has federalism Sec. 327, Pub. L. 109–115, 119 Stat. 2936; 0204. In accordance with the Paperwork Sec. 607, Pub. L. 109–162, 119 Stat. 3051 (42 Reduction Act of 1995, an agency may implications if the rule either imposes U.S.C. 14043e et seq.); E.O. 13279, 67 FR not conduct or sponsor, and a person is substantial direct compliance costs on 77141, 3 CFR, 2002 Comp., p. 258; and E.O. not required to respond to, a collection state and local governments and is not 13559, 75 FR 71319, 3 CFR, 2010 Comp., p. of information, unless the collection required by statute, or the rule preempts 273. displays a currently valid OMB control state law, unless the agency meets the ■ 2. In § 5.632, add three sentences to number. consultation and funding requirements the end of paragraph (b)(1) to read as of section 6 of the Executive order. This follows: Unfunded Mandates Reform Act interim final rule does not have Title II of the Unfunded Mandates federalism implications and does not § 5.632 Utility reimbursements. Reform Act of 1995 (UMRA) establishes impose substantial direct compliance * * * * * requirements for federal agencies to costs on state and local governments nor (b) * * *
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(1) * * * The responsible entity has COLA to each of the family’s sources of § 891.415 Obligations of the household or the option of making utility fixed income. Owners must determine family. reimbursement payments not less than all other income pursuant to paragraph * * * * * once per calendar-year quarter, for (b) of this section. (a) * * * reimbursements totaling $45 or less per (4) COLA rate applied by owners. (2) Supply such certification, release quarter. In the event a family leaves the Owners using streamlined income of information, consent, completed program in advance of its next quarterly determinations must adjust a family’s forms or documentation as the Owner reimbursement, the responsible entity fixed income using a COLA or current (or Borrower, as applicable) or HUD must reimburse the family for a prorated interest rate that applies to each specific determines necessary, including share of the applicable reimbursement. source of fixed income and is available information and documentation relating PHAs and owners exercising this option from a public source or through tenant- to the disclosure and verification of must have a hardship policy in place for provided, third-party-generated Social Security Numbers, as provided tenants. documentation. If no public verification by 24 CFR part 5, subpart B; the signing * * * * * or tenant-provided documentation is and submission of consent forms for the available, then the owner must obtain obtaining of wage and claim information ■ 3. In § 5.657, revise paragraph (d) to third-party verification of the income from State Wage Information Collection read as follows: amounts in order to calculate the change Agencies, as provided by 24 CFR part 5, § 5.657 Section 8 project-based assistance in income for the source. subpart B; and any certification of programs: Reexamination of family income (5) Triennial verification. For any family net assets, as provided by 24 CFR and composition. income determined pursuant to a 5.659(e); * * * * * streamlined income determination, an * * * * * (d) Streamlined income owner must obtain third-party determination—(1) General. An owner verification of all income amounts every PART 960—ADMISSION TO, AND may elect to apply a streamlined income 3 years. OCCUPANCY OF, PUBLIC HOUSING determination to families receiving ■ 4. Amend § 5.659 by revising fixed income as described in paragraph paragraph (d) introductory text and ■ 7. The authority citation for part 960 (d)(3) of this section. adding paragraph (e) to read as follows: continues to read as follows: (2) Definition of ‘‘fixed income’’. For Authority: 42 U.S.C. 1437a, 1437c, 1437d, § 5.659 Family information and 1437n, 1437z–3, and 3535(d). purposes of this section, ‘‘fixed income’’ verification. means periodic payments at reasonably ■ 8. In § 960.257, redesignate predictable levels from one or more of * * * * * (d) Owner responsibility for paragraphs (b)(3) and (c) as paragraphs the following sources: (c) and (d), respectively, and revise (i) Social Security, Supplemental verification. Except as allowed under paragraph (e), the owner must obtain redesignated paragraph (c) to read as Security Income, Supplemental follows: Disability Insurance. and document in the family file third (ii) Federal, state, local, or private party verification of the following § 960.257 Family income and composition: pension plans. factors, or must document in the file Annual and interim reexaminations. why third party verification was not (iii) Annuities or other retirement * * * * * benefit programs, insurance policies, available: (c) Streamlined income disability or death benefits, or other * * * * * determination—(1) General. A PHA may similar types of periodic receipts. (e) Verification of assets. For a family elect to apply a streamlined income (iv) Any other source of income with net assets equal to or less than determination to families receiving subject to adjustment by a verifiable $5,000, an owner may accept, for fixed income, as described in paragraph COLA or current rate of interest. purposes of recertification of income, a (c)(3) of this section. (3) Method of streamlined income family’s declaration that it has net assets (2) Definition of ‘‘fixed income’’. For determination. Owners using the equal to or less than $5,000 without purposes of this section, ‘‘fixed income’’ streamlined income determination must taking additional steps to verify the means periodic payments at reasonably adjust a family’s income according to accuracy of the declaration, except as predictable levels from one or more of the percentage of a family’s unadjusted required in paragraph (e)(2) of this the following sources: income that is from fixed income. section. (i) Social Security, Supplemental (i) When 90 percent or more of a (1) The declaration must state the Security Income, Supplemental family’s unadjusted income consists of amount of income the family expects to Disability Insurance. fixed income, owners using streamlined receive from such assets; this amount (ii) Federal, state, local, or private income determinations must apply a must be included in the family’s pension plans. COLA or COLAs to the family’s fixed- income. (iii) Annuities or other retirement income sources, provided that the (2) An owner must obtain third-party benefit programs, insurance policies, family certifies both that 90 percent or verification of all family assets every 3 disability or death benefits, or other more of their unadjusted income is fixed years. similar types of periodic receipts. income and that their sources of fixed (iv) Any other source of income income have not changed from the PART 891—SUPPORTIVE HOUSING subject to adjustment by a verifiable previous year. For non-fixed income, FOR THE ELDERLY AND PERSONS COLA or current rate of interest. owners may choose, but are not WITH DISABILITIES (3) Method of streamlined income determination. A PHA using the required, to make appropriate ■ 5. The authority citation for part 891 streamlined income determination must adjustments pursuant to paragraph (b) of continues to read as follows: this section. adjust a family’s income according to (ii) When less than 90 percent of a Authority: 12 U.S.C. 1701q; 42 U.S.C. the percentage of a family’s unadjusted family’s unadjusted income consists of 1437f, 3535(d), and 8013. income that is from fixed income. fixed income, owners using streamlined ■ 6. In § 891.415, revise paragraph (a)(2) (i) When 90 percent or more of a income determinations must apply a to read as follows: family’s unadjusted income consists of
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fixed income, PHAs using streamlined (i) Social Security, Supplemental ENVIRONMENTAL PROTECTION income determinations must apply a Security Income, Supplemental AGENCY COLA or COLAs to the family’s sources Disability Insurance. of fixed income, provided that the (ii) Federal, state, local, or private 40 CFR Part 52 family certifies both that 90 percent or pension plans. [EPA–R03–OAR–2016–0574; FRL–9971–56– more of their unadjusted income is fixed (iii) Annuities or other retirement Region 3] income and that their sources of fixed benefit programs, insurance policies, income have not changed from the disability or death benefits, or other Approval and Promulgation of Air previous year. For non-fixed income, similar types of periodic receipts. Quality Implementation Plans; West the PHA may choose, but is not (iv) Any other source of income Virginia; Removal of Clean Air required, to make appropriate subject to adjustment by a verifiable Interstate Rule Trading Programs adjustments pursuant to paragraph (a) of COLA or current rate of interest. Replaced by Cross-State Air Pollution this section. (3) Method of streamlined income Rule Trading Programs; Withdrawal of (ii) When less than 90 percent of a determination. A PHA using the Direct Final Rule family’s unadjusted income consists of streamlined income determination must AGENCY: Environmental Protection fixed income, PHAs using streamlined adjust a family’s income according to Agency (EPA). income determinations must apply a the percentage of a family’s unadjusted COLA to each of the family’s sources of income that is from fixed income. ACTION: Withdrawal of direct final rule. fixed income individually. The PHA (i) When 90 percent or more of a SUMMARY: Due to receipt of an adverse must determine all other income family’s unadjusted income consists of comment, the Environmental Protection pursuant to paragraph (a) of this section. fixed income, PHAs using streamlined Agency (EPA) is withdrawing the (4) COLA rate applied by PHAs. PHAs income determinations must apply a September 25, 2017 direct final rule that using streamlined income COLA or COLAs to the family’s fixed- approved two state implementation plan determinations must adjust a family’s income sources, provided that the (SIP) revisions submitted by the State of fixed income using a COLA or current family certifies both that 90 percent or West Virginia removing the Clean Air interest rate that applies to each specific more of their unadjusted income is fixed Interstate Rule (CAIR) annual nitrogen source of fixed income and is available income and that their sources of fixed oxide (NO ) and annual sulfur dioxide income have not changed from the X from a public source or through tenant- (SO2) trading programs from the West provided, third-party-generated previous year. For non-fixed income, Virginia SIP. documentation. If no public verification the PHA may choose, but is not DATES: The direct final rule published at or tenant-provided documentation is required, to make appropriate 82 FR 44525 on September 25, 2017 is available, then the owner must obtain adjustments pursuant to paragraph (a) of withdrawn as of December 12, 2017. third-party verification of the income this section amounts in order to calculate the change (ii) When less than 90 percent of a FOR FURTHER INFORMATION CONTACT: in income for the source. family’s unadjusted income consists of Marilyn Powers, (215) 814–2308, or by email at [email protected]. (5) Triennial verification. For any fixed income, PHAs using streamlined income determined pursuant to a income determinations must apply a SUPPLEMENTARY INFORMATION: On July streamlined income determination, a COLA to each of the family’s sources of 13, 2016, the State of West Virginia, PHA must obtain third-party fixed income individually. The PHA through the West Virginia Department verification of all income amounts every must determine all other income of Environmental Protection (WVDEP), 3 years. pursuant to paragraph (a) of this section. submitted three SIP revisions requesting (4) COLA rate applied by PHAs. PHAs that EPA remove from its SIP three * * * * * using streamlined income regulations that implemented the CAIR PART 982—SECTION 8 TENANT- determinations must adjust a family’s (70 FR 25162, May 12, 2005) trading BASED ASSISTANCE: HOUSING fixed income using a COLA or current programs: Regulation 45CSR39—Control CHOICE VOUCHER PROGRAM interest rate that applies to each specific of Annual Nitrogen Oxides Emissions, source of fixed income and is available Regulation 45CSR40—Control of Ozone ■ 9. The authority citation for part 982 from a public source or through tenant- Season Nitrogen Oxides Emissions, and continues to read as follows: provided, third-party-generated Regulation 45CSR41—Control of documentation. If no public verification Annual Sulfur Dioxide Emissions. The Authority: 42 U.S.C. 1437f and 3535(d). or tenant-provided documentation is September 25, 2017 action pertained to ■ 10. In § 982.516, revise paragraph (b) available, then the owner must obtain the two submittals that requested to read as follows: third-party verification of the income removal of 45CSR39 and 45CSR41, the amounts in order to calculate the change CAIR annual NOX and annual SO2 § 982.516 Family income and composition: Annual and interim reexaminations. in income for the source. trading programs, respectively, from the (5) Triennial verification. For any West Virginia SIP. The submittal * * * * * income determined pursuant to a pertaining to removal of the CAIR ozone (b) Streamlined income streamlined income determination, a season NOX trading program was not a determination—(1) General. A PHA may PHA must obtain third-party part of that action and is being elect to apply a streamlined income verification of all income amounts every addressed in a separate action. In the determination to families receiving 3 years. direct final rule published on September fixed income as described in paragraph * * * * * 25, 2017 (82 FR 44525), EPA stated that (b)(3) of this section. if EPA received adverse comments by (2) Definition of ‘‘fixed income’’. For Dated: November 8, 2017. October 25, 2017, the rule would be purposes of this section, ‘‘fixed income’’ Pamela H. Patenaude, withdrawn and not take effect. EPA means periodic payments at reasonably Deputy Secretary. subsequently received an adverse predictable levels from one or more of [FR Doc. 2017–26697 Filed 12–11–17; 8:45 am] comment from an anonymous the following sources: BILLING CODE 4210–67–P; 5743–04–P commenter.
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Because an adverse comment was York’s state-wide non-attainment new 8-hour ozone National Ambient Air received, EPA is withdrawing the direct source review certification as sufficient Quality Standard (NAAQS or standard). final rule approving the revisions to the for purposes of satisfying the 2008 The EPA proposed to approve New West Virginia SIP that remove the CAIR 8-hour ozone NAAQS. The EPA is York’s Ozone Transport Region RACT annual trading programs for NOX and approving New York’s certification that SIP as it applies to non-control SO2. EPA will address the comment there are no sources within the State for technique guideline major sources of received in a subsequent final action the following CTGs: Manufacture of VOCs and major sources of oxides of based upon the proposed rulemaking Vegetable Oils and Application of nitrogen. The EPA also proposed to action also published on September 25, Agricultural Pesticides. This action is approve the State of New York’s state- 2017 (82 FR 44544), for the two July 13, being taken in accordance with the wide non-attainment new source review 2016 SIP submissions. EPA will not requirements of the Clean Air Act. certification as sufficient for purposes of institute a second comment period on DATES: This final rule is effective on satisfying the 2008 8-hour ozone this action. January 11, 2018. NAAQS.3 In addition, the EPA proposed to approve New York’s certification that List of Subjects in 40 CFR Part 52 ADDRESSES: The EPA has established a docket for this action under Docket ID there are no sources within the State for Environmental protection, Air Number EPA–R02–OAR–2017–0459. All the following CTGs: (a) Manufacture of pollution control, Incorporation by documents in the docket are listed on Vegetable Oils and (b) Application of reference, Nitrogen oxides, Ozone, the http://www.regulations.gov website. Agricultural Pesticides. Particulate matter, Reporting and Although listed in the index, some The proposed approval was recordkeeping requirements, Sulfur information is not publicly available, conditioned on New York finalizing oxides. e.g., Confidential Business Information revisions to RACT requirements related sources subject to the industrial Dated: November 22, 2017. (CBI) or other information whose disclosure is restricted by statute. cleaning solvents control techniques Cosmo Servidio, guidelines (CTG). As the SIP submittal Regional Administrator, Region III. Certain other material, such as copyrighted material, is not placed on indicates, the RACT requirements for ■ Accordingly, the amendments to the internet and will be publicly the 2008 ozone NAAQS have been § 52.2520(c) published on September 25, available only in hard copy form. fulfilled with the exception of sources 2017 (82 FR 44525), which were to Publicly available docket materials are subject to the industrial cleaning become effective December 26, 2017, are available electronically through http:// solvents CTG. In the SIP submittal, New withdrawn as of December 12, 2017. www.regulations.gov. York committed to address sources [FR Doc. 2017–26408 Filed 12–11–17; 8:45 am] subject to this CTG through a timely FOR FURTHER INFORMATION CONTACT: BILLING CODE 6560–50–P revision to Title 6 of the New York Anthony (Ted) Gardella, Environmental Codes, Rules and Regulations Part 226 Protection Agency, 290 Broadway, New entitled, ‘‘Solvent Metal Cleaning ENVIRONMENTAL PROTECTION York, New York 10007–1866, at (212) Processes’’ (6 NYCRR Part 226). AGENCY 637–3892, or by email at Therefore, consistent with section [email protected]. 110(k)(4) of the Clean Air Act (CAA), 40 CFR Part 52 SUPPLEMENTARY INFORMATION: The the EPA’s September 14, 2017 SUPPLEMENTARY INFORMATION section is rulemaking, signed September 6, 2017 [EPA–R02–OAR–2017–0459; FRL–9971–83– arranged as follows: Region 2] and published September 14, 2017, Table of Contents proposed to conditionally approve New Approval and Promulgation of York’s December 2014 SIP submittal. On Implementation Plans; New York; I. What is the background for this action? September 6, 2017, New York II. What comments were received in response supplemented its SIP submittal with a Reasonably Available Control to the EPA’s proposed action? Technology for the 2008 8-Hour Ozone III. What action is the EPA taking? letter to the EPA committing to fulfill National Ambient Air Quality IV. What are the consequences if a condition the requirements of the industrial Standards is not met? cleaning solvents CTG by finalizing A. What are the Act’s provisions for revisions to Part 226 by November 30, AGENCY: Environmental Protection sanctions? 2018. Therefore, based on the State’s Agency. B. What Federal implementation plan September 6, 2017 commitment letter, ACTION: Final rule. provisions apply if a state fails to submit the EPA is conditionally approving New an approvable plan? York’s December 2014 SIP submittal, as SUMMARY: V. Statutory and Executive Order Reviews The Environmental Protection it applies to CTG requirements for VOC Agency (EPA) is conditionally I. What is the background for this major sources, for purposes of approving a State Implementation Plan action? implementing RACT statewide for the (SIP) submitted by the State of New 2008 8-hour ozone NAAQS. York for purposes of implementing On September 14, 2017 (82 FR 43209), the EPA published a Notice of Proposed The specific details of New York’s Reasonably Available Control December 2014 SIP submittal and the Technology (RACT) for the 2008 8-hour Rulemaking that proposed to conditionally approve the State of New rationale for the EPA’s approval action ozone National Ambient Air Quality are explained in the EPA’s proposed Standard (NAAQS) related to control of York’s December 22, 2014 State 1 rulemaking and are not restated in this volatile organic compounds (VOCs) Implementation Plan (SIP) submittal, from industrial cleaning solvents. The for purposes of implementing Reasonably Available Control capable of meeting by the application of control EPA is approving New York’s Ozone 2 technology that is reasonably available considering Transport Region RACT SIP as it applies Technology (RACT) for the 2008 technological and economic feasibility (44 FR to non-control technique guideline 53762, September 17, 1979). 1 New York supplemented its SIP submittal by 3 New York’s nonattainment new source review major sources of VOCs and major letter dated September 6, 2017. certification addresses both the New York-Northern sources of oxides of nitrogen. The EPA 2 The EPA has defined RACT as the lowest New Jersey-Long Island, NY-NJ-CT and the is also approving the State of New emission limitation that a particular source is Jamestown nonattainment areas.
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final action. For this detailed page modeling and statistical summary in the New York Metropolitan Area information, the reader is referred to the appears in Attachment 1 to his October (NYMA). EPA’s September 14, 2017 proposed 11, 2017 comment letter. The The Alliance expresses concern that rulemaking (82 FR 43209). commenter’s summary concludes that the imposition of emission limits needs the ‘‘results indicate that refined II. What comments were received in to be balanced with the need to modeling with recent emissions has to response to the EPA’s proposed action? maintain reliable electricity service to be performed to confirm that further New York. While the Alliance supports In response to the EPA’s September controls will reduce ozone enough to New York’s and the EPA’s efforts to 14, 2017 proposed rulemaking on New warrant further controls on any of the reach attainment of the ozone NAAQS, York’s December 2014 SIP submittal, New York sources included in this the Alliance suggests that the need to the EPA received the following four analysis.’’ reduce emissions in the NYMA and the comments summarized below. The The commenter concludes his letter Alliance’s requirement to maintain specific comments may be viewed by stating that there are complex reliable service to its customers is a under Docket ID Number EPA–R02– meteorological conditions during ozone more complex issue than simply OAR–2017–0459 on the http:// episodes downwind of New York (land imposing more stringent emission www.regulations.gov Website. and sea breezes, elevated terrain limits. The Alliance comments that Comment 1: An anonymous citizen concerns, and the nocturnal boundary there are over 100 peaking turbines comments that he or she ‘‘believes the layer structure along the coast) that need (about 3000 megawatts (MW)) in the proposed rule will help improve the to be incorporated into regional ozone NYMA to maintain system reliability environment greatly.’’ modeling analyses. The commenter Response 1: The EPA acknowledges and support renewables. The Alliance states that if regional ozone modeling states that with the impending closure the commenter’s support of the EPA’s analyses that use post-2015 emissions proposed rule. of 2000 MW of nuclear generation, the data and incorporate complex combined effect of the peaking unit Comment 2: A New York State citizen meteorology are not used then New provides extensive comments related to regulation changes and retirements York runs the risk of implementing a suggests any new rule implementation the EPA’s encouragement (see 82 FR control program that cannot succeed. 43209 (September 14, 2017)) to New should proceed with flexibility and Concluding, the commenter states, caution. York to strengthen its ozone SIP by ‘‘Given the level of effort and time doing The Alliance states that it has worked adopting and submitting as a SIP the modeling right it might be necessary cooperatively with New York to develop revision additional control measures to delay implementation of further SIP an approach to replace, repower, or needed for attainment of the 8-hour control requirements.’’ ozone NAAQS as it relates to: The Response 2: The EPA thanks the retrofit controls of existing peaking adoption of more stringent emission commenter for the detailed analyses and units. The Alliance’s October 16, 2017 limits for simple cycle combustion recommendations with respect to the comment letter includes as an turbines firing distillate oil or more than additional control measures. These attachment a September 8, 2017 letter one fuel and submitting a SIP revision comments are not germane to the EPA’s commenting on New York’s July 25, that addresses HEDD (High Electric proposed approval of New York’s 2017 pre-proposal entitled ‘‘Combustion Demand Day) sources. The citizen states December 2014 SIP but rather are Turbine (Peaking Unit) Pre-Proposal that regional ozone modeling that relevant to future planning requirements Outline’’ which outlines, according to analyzes emissions data from 2015 or associated with the moderate area the Alliance, New York’s efforts to 2016 is necessary before New York classification. The EPA, therefore, is not achieve attainment of the ozone NAAQS should consider, much less implement, responding to them in this action. These in the NYMA as it relates to peaking the SIP revisions that EPA ‘‘encourages’’ detailed modeling and statistical units. In its September 2017 letter to New York to adopt and submit as SIP analyses are best directed to New York New York, the Alliance expresses the revisions. State as the State develops planning hope to collectively design cost-effective The commenter states that he had requirements for progressing, under solutions compatible with the need to prepared comments and analyses that moderate area classification, toward maintain reliable service to ratepayers. support his recommendation to do attainment of the 8-hour ozone In addition, in its September 2017 letter, further modeling before implementing standard. the Alliance provides detailed any further controls. The commenter Comment 3: Similar to Comment 2 comments and recommendations related states that he had compared NOX above, a comment from the to the following issues: the compliance emissions from all New York sources Environmental Energy Alliance of New schedule, emission limits, performance reporting NOX emissions to EPA and all York, LLC (the ‘‘Alliance’’) provides of control options, potential for New York combustion turbines with extensive comments related to the EPA’s collateral increase in carbon monoxide, ozone concentration measurements at encouragement (see 82 FR 43209, system averaging, emission limits for the Fairfield, CT ozone monitoring September 14, 2017) to New York to dual-fueled units, compliance station on all Ozone Season days with strengthen its ozone SIP by adopting requirements during the interim period valid observations at this monitoring and submitting as a SIP revision with before unit retirement, and alternative station from 2006 to 2016. The additional control measures needed for approaches to NOX reductions in the commenter states that the Fairfield attainment of the 8-hour ozone NAAQS NYMA. monitoring site is the downwind as it relates to more stringent emission Response 3: The EPA appreciates the ambient monitor with the highest New limits on simple cycle turbines units Alliance’s comments with respect to York impact according to EPA’s and peaking units that operate on high their concern for electric system modeling for its Cross-State Air electric demand days (HEDD). Alliance reliability within the NYMA and the Pollution Rule (CSAPR). The members own and operate electric need for caution and flexibility when commenter notes that all combustion generating and transmission and developing and implementing new NOX turbines that meet this criterion are distribution facilities throughout New control measures on peaking units. EPA either in New York City or on Long York and elsewhere. Alliance members acknowledges the importance of Island. The commenter’s detailed 52- operate the majority of the peaking units maintaining reliable electric service to
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ratepayers while implementing new of RACT. NJDEP comments that it threshold are subject to the State’s NOX NOX controls. believes these source categories should RACT regulation for combustion These extensive and detailed be covered under RACT requirements turbines and New York maintained that comments concerning the connection because they are existing, major these emission limits represent RACT between reliability of the electric grid stationary sources for which reasonably for combustion turbines. New York and the development and available control technology exists. further responded that the most recently implementation of NOX emission limits NJDEP comments that the lightering adopted and SIP approved (78 FR on electric generating units are best activities can be considered a major 41846, July 12, 2013) NOX RACT directed to New York State as the State stationary source, similar to the EPA’s regulation requires case-by-case engages in planning for progressing, treatment of some airports for emissions evaluations for combined-cycle under moderate area classification, to inventory, since the activities are combustion turbines. New York further attainment of the 8-hour ozone occurring within established areas of stated that combustion turbines are also standard. These comments relating to New York Harbor. NJDEP further used as part of a system-wide averaging the reliability of the electric grid are not comments that the State of Delaware has plan for NOX RACT and therefore more germane as they do not specifically had regulations addressing lightering stringent limits may not necessarily address the EPA’s proposed action on activities since 2007 thus establishing result in a one-for-one reduction in New York’s December 2014 SIP reasonably available control technology. NOX. submittal that addresses the Response 4: The EPA appreciates the In response to New Jersey’s comment, implementation of RACT for the 8-hour comments from NJDEP. NJDEP the EPA finds that New York’s OTR 2008 ozone standard. recommends that New York consider NOX RACT SIP submittal is sufficient. Comment 4: The State of New Jersey the three source categories identified in System-wide averaging is an EPA Department of Environmental Protection its comment as RACT but NJDEP does approved RACT compliance option. (NJDEP or New Jersey) comments that not provide supporting technical details The EPA, however, encourages New New York’s December 2014 RACT SIP to demonstrate that certain control York to evaluate whether NOX emission will provide necessary emission measures for these three source limits, for the combustion turbines not reductions in NOX and VOC for the New categories can be considered RACT in part of a system-wide averaging York-Northern New Jersey-Connecticut New York. program, could be more stringent. As (NY-NJ-CT) ozone nonattainment area to As stated in our proposed rule dated stated in our September 2017 proposal, move towards attainment of the 2008 September 14, 2017 (82 FR 43209), New the EPA encourages New York to ozone NAAQS (75 ppb ozone), but more York’s December 22, 2014 SIP submittal evaluate lowering the NOX emission still needs to be done for the area to included a response to a comment that limit for simple cycle combustion attain. NJDEP recommends that the EPA ‘‘once the NYMA is reclassified to turbines combusting distillate oil or require New York to adequately address moderate nonattainment for the 2008 more than one fuel since New York’s three source categories that emit ozone NAAQS and an attainment SIP is neighboring states of New Jersey and significant amounts of emissions that required, DEC [New York] will Connecticut have more stringent impact ozone levels in the NY-NJ-CT undertake a review of its many NOX emission limits than New York’s limit of area: control options to determine which 100 parts per million (ppm). For this 1. Adopt rules that reduce NOX would most efficiently and effectively source category, Connecticut has emissions from peaking turbines during reduce emissions in the NYMA.’’ New adopted NOX emission limits of 40–75 high ozone days in the NY-NJ-CT area. York made a similar response to a ppm for June 2018 and 40–75 ppm for 2. Adopt rules that reduce NOX comment related to VOC emissions from June 2023 and New Jersey’s adopted emissions from stationary engines used lightering operations. Since the NYMA limit is equivalent to 43 ppm. In for demand-side management that was reclassified from a marginal to a addition, the EPA encourages New York generate electricity during high ozone moderate nonattainment area on May 4, to propose and submit as a SIP revision days in the NY-NJ-CT area. 2016 (81 FR 26697), effective June 3, for the EPA’s approval any revised case- 3. Assess lightering operations in the 2016, the following EPA response to by-case RACT determinations for New York harbor that emit VOC from NJDEP comments is a recommendation combined-cycle combustion turbines. crude oil, gasoline, and other volatile that New York include, as part of its For stationary engines used for product transfers. upcoming attainment demonstration SIP demand-side management, New York As part of the State’s October 10, 2017 for the 8-hour ozone NAAQS for the responded in its Assessment that the comment letter, NJDEP attached its NYMA moderate nonattainment area, an majority of combustion engines used for August 20, 2014 comment letter to New evaluation of the NJDEP and the EPA’s demand-side management are minor York at the time New York proposed its recommended additional control sources based on NOX emission levels RACT SIP in 2014. NJDEP’s August measures for purposes of reducing and are therefore not subject to RACT; 2014 comment letter to New York additional NOX and VOC emissions. and engines that do exceed major source provides NJDEP’s detailed arguments as In response to NJDEP’s August 2014 emission threshold are subject to the to why New York needs to address the letter, New York issued a document State’s NOX RACT regulation. New York above mentioned three source categories entitled ‘‘Assessment of Public maintained that these requirements as RACT sources. NJDEP states that the Comments New York State fulfill RACT. first two source categories are subject to Implementation Plan for 8-hour Ozone: In response to New Jersey’s comment, the New Jersey’s RACT regulation but Reasonably Available Control the EPA herein responds that we concur not the third source category since there Technology’’ (Assessment) which is with New York’s logic, as articulated in are no lightering operations in New included in the docket for this action. In its Assessment (see preceding Jersey waters. NJDEP comments that its Assessment, New York responded to paragraph) regarding RACT New York, in finalizing its 2014 RACT the three source category comments applicability for sources considered SIP, did not adequately address the from NJDEP as summarized below. minor and major. EPA nonetheless same three source categories since New For peaking turbines, New York encourages New York to consider a York responded that the three source responded that peaking generating units more stringent NOX emission limit for categories did not meet their definition that exceed major source emission internal combustion engines firing with
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distillate oil (solely or in combination as well as the other recommendations disapproval action within certain with other fuels) from the current limit discussed by the EPA as in the timeframes. of 2.3 grams per brake horsepower-hour September 14, 2017 proposal, in its A. What are the Act’s provisions for (g/bhp-hr) to the limit adopted in RACT evaluation as part of the State’s sanctions? Connecticut of 1.5 (for rich burn attainment demonstration for the 2008 engine)-2.3 (for lean burn engine) g/bhp- ozone standard. If the EPA disapproves a required SIP hr, starting in June 2023. In addition, submittal or component of a SIP New Jersey’s SIP approved (72 FR III. What action is the EPA taking? submittal, section 179(a) provides for 41626, July 31, 2007) NOX RACT The EPA is conditionally approving the imposition of sanctions unless the regulation, Subchapter 19, includes a New York’s statewide RACT submittal deficiency is corrected within 18 NOX emission limit of 1.5 g/bhp-hr for dated December 22, 2014, as months of the final disapproval. The rich burn engines. supplemented on September 6, 2017, for first sanction would apply 18 months For lightering operations in the New purposes of satisfying the 2008 8-hour after the EPA disapproves the SIP York harbor, New York, in its ozone standard RACT requirement, as it submittal or if the State fails to make the Assessment, responded that they do not applies to CTG requirements for VOC required submittal. Under the EPA’s consider tank vessels or service vessels major sources. New York must meet its sanctions regulations, 40 CFR 52.31, the to be stationary sources; such vessels are commitment to adopt a revised Part 226 first sanction would be 2:1 offsets for considered mobile sources and are not by November 30, 2018. sources subject to the new source permitted under the Title V stationary The EPA is approving the remainder review requirements under section 173 source permitting program. New York of New York’s OTR RACT SIP submittal, of the Act. If the State has still failed to concluded that it is not appropriate to as it applies to non-CTG major sources submit a SIP 6 months after the first address lightering operations in the New of VOCs and to major sources of NOX. sanction is imposed, the second York SIP. In response to New Jersey’s The EPA is also approving New sanction will apply. The second comment, the EPA finds that New York’s non-attainment new source sanction is a limitation on the receipt of York’s OTR VOC RACT SIP submittal is review certification, state-wide, as Federal highway funds. The EPA also approvable given New York’s current sufficient for purposes of the 2008 has authority under section 110(m) to treatment of tank vessels and service ozone NAAQS. Finally, the EPA is sanction a broader area. vessels. The EPA recognizes that, as New approving New York’s certification that B. What Federal implementation plan Jersey indicates in its comment, the there are no sources within the State for provisions apply if a state fails to submit State of Delaware regulates lightering the following CTGs: (a) Manufacture of an approvable plan? Vegetable Oils and (b) Application of operations in the State’s ‘‘Regulation In addition to sanctions, if the EPA Agricultural Pesticides. No. 1124—Control of Volatile Organic finds that a State failed to submit the Compound Emissions (formally Under section 110(k) of the CAA, the required SIP revision or disapproves the Regulation No. 24), section 46 entitled, EPA may conditionally approve a plan required SIP revision, or a portion Crude Oil Lightering Operations.’’ The revision based on a commitment by the thereof, the EPA must promulgate a FIP EPA approved Delaware’s VOC RACT State to adopt specific enforceable no later than 2 years from the date of the Regulation 1124, section 46, Crude Oil measures by a date certain but not later finding if the deficiency has not been Lightering Operations, into the SIP on than one year after the date of approval corrected. September 13, 2007 (72 FR 52285). As of the plan revision. If New York meets discussed above, in response to a its commitment within the applicable V. Statutory and Executive Order comment received by the State during time frame, the conditionally approved Reviews its RACT rulemaking process, New York submission will remain as part of the Under the Clean Air Act, the states that, if the NYMA is reclassified SIP until the EPA takes final action Administrator is required to approve a to moderate nonattainment, ‘‘New York approving or disapproving the SIP SIP submission that complies with the will investigate the need and requirement in question. If New York provisions of the Act and applicable appropriateness for additional emission fails to meet its commitment within the Federal regulations. 42 U.S.C. 7410(k); reductions and evaluate lightering specified time period, the conditional 40 CFR 52.02(a). Thus, in reviewing SIP controls and/or other emission approval will, by operation of law, submissions, EPA’s role is to approve reductions strategies in order to become a disapproval. If the conditional state choices, provided that they meet determine the most effective manner in approval becomes a disapproval, this the criteria of the Clean Air Act. which to attain the ozone NAAQS.’’ commitment will no longer be a part of Accordingly, this action merely Therefore, the EPA recommends that the approved SIP for New York, and an approves state law as meeting Federal New York review the lightering 18-month clock for sanctions under requirements and does not impose operations in New York’s harbor for CAA section 179(a)(2) and a two-year additional requirements beyond those possible applicability to RACT as it clock for a federal implementation plan imposed by state law. For that reason, relates to New York’s future submittal of (FIP) under CAA section 110(c)(1) this action: its attainment SIP for the NYMA would commence. The EPA • Is not a significant regulatory action nonattainment area. subsequently will publish a document subject to review by the Office of To summarize, since the NYMA has in the Federal Register notifying the Management and Budget under been reclassified from marginal to a public that the conditional approval Executive Orders 12866 (58 FR 51735, moderate nonattainment area, New York converted to a disapproval. October 4, 1993) and 13563 (76 FR 3821, is required to submit a new RACT IV. What are the consequences if the January 21, 2011); determination as part of the State’s • condition is not met? Is not an Executive Order 13771 (82 attainment demonstration for the 2008 FR 9339, February 2, 2017) regulatory ozone standard for the NYMA moderate The Act provides for the imposition of action because SIP approvals are nonattainment area. New York should sanctions and the promulgation of a FIP exempted under Executive Order 12866; include an evaluation of the three if States fail to correct any deficiencies • Does not impose an information source categories suggested by NJDEP, identified by the EPA in a final collection burden under the provisions
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of the Paperwork Reduction Act (44 tribe has jurisdiction. In those areas of or action. This action may not be U.S.C. 3501 et seq.); Indian country, the rule does not have challenged later in proceedings to • Is certified as not having a tribal implications and will not impose enforce its requirements. (See section significant economic impact on a substantial direct costs on tribal 307(b)(2).) substantial number of small entities governments or preempt tribal law as List of Subjects in 40 CFR Part 52 under the Regulatory Flexibility Act (5 specified by Executive Order 13175 (65 U.S.C. 601 et seq.); FR 67249, November 9, 2000). Environmental protection, Air • Does not contain any unfunded The Congressional Review Act, 5 pollution control, Incorporation by mandate or significantly or uniquely U.S.C. 801 et seq., as added by the Small reference, Intergovernmental relations, affect small governments, as described Business Regulatory Enforcement Nitrogen dioxide, Ozone, Reporting and in the Unfunded Mandates Reform Act Fairness Act of 1996, generally provides recordkeeping requirements, Volatile of 1995 (Pub. L. 104–4); that before a rule may take effect, the organic compounds. • Does not have Federalism agency promulgating the rule must Dated: November 29, 2017. implications as specified in Executive submit a rule report, which includes a Peter D. Lopez, Order 13132 (64 FR 43255, August 10, copy of the rule, to each House of the 1999); Congress and to the Comptroller General Regional Administrator, Region 2. • Is not an economically significant of the United States. EPA will submit a regulatory action based on health or Part 52, chapter I, title 40 of the Code report containing this action and other safety risks subject to Executive Order of Federal Regulations is amended as required information to the U.S. Senate, 13045 (62 FR 19885, April 23, 1997); follows: • Is not a significant regulatory action the U.S. House of Representatives, and PART 52—APPROVAL AND subject to Executive Order 13211 (66 FR the Comptroller General of the United PROMULGATION OF 28355, May 22, 2001); States prior to publication of the rule in • Is not subject to requirements of the Federal Register. A major rule IMPLEMENTATION PLANS section 12(d) of the National cannot take effect until 60 days after it ■ Technology Transfer and Advancement is published in the Federal Register. 1. The authority citation for part 52 Act of 1995 (15 U.S.C. 272 note) because This action is not a ‘‘major rule’’ as continues to read as follows: application of those requirements would defined by 5 U.S.C. 804(2). Authority: 42 U.S.C. 7401 et seq. be inconsistent with the Clean Air Act; Under section 307(b)(1) of the Clean and Air Act, petitions for judicial review of Subpart HH—New York • Does not provide EPA with the this action must be filed in the United discretionary authority to address, as States Court of Appeals for the ■ 2. In § 52.1670, the table in paragraph appropriate, disproportionate human appropriate circuit by February 12, (e) is amended by adding the entries health or environmental effects, using 2018. Filing a petition for ‘‘2008 8-hour Ozone RACT analysis’’ practicable and legally permissible reconsideration by the Administrator of and ‘‘2008 8-hour Ozone Nonattainment methods, under Executive Order 12898 this final rule does not affect the finality New Source Review Requirements’’ at (59 FR 7629, February 16, 1994). of this action for the purposes of judicial the end of the table to read as follows: In addition, the SIP is not approved review nor does it extend the time to apply on any Indian reservation land within which a petition for judicial § 52.1670 Identification of plan. or in any other area where EPA or an review may be filed, and shall not * * * * * Indian tribe has demonstrated that a postpone the effectiveness of such rule (e) * * *
EPA-APPROVED NEW YORK NONREGULATORY AND QUASI-REGULATORY PROVISION
New York EPA Action/SIP element Applicable geographic or submittal approval Explanation nonattainment area date date
******* 2008 8-hour Ozone Statewide and to the New York portion of 12/22/14 12/12/17 • Full approval as it applies to non-CTG RACT analysis. the New York-Northern New Jersey- major sources of VOCs and to major Long Island (NY-NJ-CT) and the sources of NOX. Jamestown 8-hour ozone nonattainment • Conditional approval as it applies to areas. CTG for VOC major sources. 2008 8-hour Ozone Statewide and to the New York portion of 12/22/14 12/12/17 • Full approval. Nonattainment the New York-Northern New Jersey- New Source Re- Long Island (NY-NJ-CT) and the view Requirements. Jamestown 8-hour ozone nonattainment areas.
■ 3. Amend § 52.1683 by adding (3) Application of Agricultural ozone national ambient air quality paragraphs (b)(2) and (3) and (p) to read Pesticides. standard (NAAQS), which applies to the as follows: * * * * * entire State, including the New York portion of the New York-Northern New § 52.1683 Control strategy: Ozone. (p)(1) The December 22, 2014 New Jersey-Long Island (NY-NJ-CT) and the * * * * * York reasonably available control Jamestown 8-hour ozone marginal technology (RACT) analysis plan, as (b) * * * nonattainment areas, is conditionally supplemented on September 6, 2017, approved as it applies to the Clean Air (2) Manufacture of Vegetable Oils. submitted pursuant to the 2008 8-hour Act control techniques guidelines (CTG)
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requirements for major sources of material, such as copyrighted material, impose additional requirements beyond volatile organic compounds (VOC). is not placed on the internet and will be those imposed by state law. For that (2) The remainder of New York’s publicly available only in hard copy reason, this action: December 22, 2014 RACT analysis plan, form. Publicly available docket • Is not a ‘‘significant regulatory pursuant to the 2008 8-hour ozone materials are available either action’’ subject to review by the Office NAAQS as applied to the entire State, electronically through http:// of Management and Budget under including the New York portion of the www.regulations.gov or in hard copy at Executive Orders 12866 (58 FR 51735, NY-NJ-CT and the Jamestown 8-hour the EPA Region 6, 1445 Ross Avenue, October 4, 1993) and 13563 (76 FR 3821, ozone marginal nonattainment areas, Suite 700, Dallas, Texas 75202–2733. January 21, 2011); and as it applies to non-CTG major FOR FURTHER INFORMATION CONTACT: • Is not an Executive Order 13771 (82 sources of VOCs and to major sources of James E. Grady, (214) 665–6745; FR 9339, February 2, 2017) regulatory oxides of nitrogen (NOX), is approved. [email protected]. action because SIP approvals are (3) The December 22, 2014 New York SUPPLEMENTARY INFORMATION: exempted under Executive Order 12866; • plan submittal providing a Throughout this document ‘‘we,’’ ‘‘us,’’ Does not impose an information nonattainment new source review or ‘‘our’’ each mean ‘‘the EPA.’’ collection burden under the provisions (NNSR) certification as sufficient for of the Paperwork Reduction Act (44 purposes of the state-wide 2008 8-hour I. Background U.S.C. 3501 et seq.); ozone NAAQS, including the New York The background for this action is • Is certified as not having a portion of the NY-NJ-CT and the discussed in detail in the October 2, significant economic impact on a Jamestown 8-hour ozone nonattainment 2017 proposal (82 FR 45762). In that substantial number of small entities areas, is approved. document the EPA proposed to approve under the Regulatory Flexibility Act (5 [FR Doc. 2017–26657 Filed 12–11–17; 8:45 am] the County’s regional haze progress U.S.C. 601 et seq.); • BILLING CODE 6560–50–P report SIP revision (submitted on June Does not contain any unfunded 24, 2016) as meeting the applicable mandate or significantly or uniquely regional haze requirements set forth in affect small governments, as described ENVIRONMENTAL PROTECTION 40 CFR 51.309(d)(10). In addition, the in the Unfunded Mandates Reform Act AGENCY EPA proposed to approve the County’s of 1995 (Pub. L. 104–4); • determination that the current regional Does not have Federalism 40 CFR Part 52 haze SIP is adequate to meet the State’s implications as specified in Executive [EPA–R06–OAR–2016–0406; FRL–9971–43– 2018 RPGs for the first planning period Order 13132 (64 FR 43255, August 10, and does not require further substantive 1999); Region 6] • revision to achieve the established Is not an economically significant Approval and Promulgation of regional haze goals. The public regulatory action based on health or Implementation Plans; New Mexico; comment period for the proposal closed safety risks subject to Executive Order Albuquerque and Bernalillo County; on November 1, 2017. The EPA did not 13045 (62 FR 19885, April 23, 1997); • Regional Haze Progress Report State receive any comments regarding the Is not a significant regulatory action Implementation Plan proposal during its public comment subject to Executive Order 13211 (66 FR period. 28355, May 22, 2001); AGENCY: Environmental Protection • Is not subject to requirements of Agency (EPA). II. Final Action section 12(d) of the National ACTION: Final rule. The EPA is approving the County’s Technology Transfer and Advancement regional haze progress report SIP Act of 1995 (15 U.S.C. 272 note) because SUMMARY: Pursuant to the Federal Clean revision (submitted on June 24, 2016) as application of those requirements would Air Act (CAA or the Act), the meeting the applicable regional haze be inconsistent with the CAA; and Environmental Protection Agency (EPA) requirements set forth in 40 CFR • Does not provide EPA with the is approving a revision to a State 51.309(d)(10)(i)(A) through (G). The discretionary authority to address, as Implementation Plan (SIP) for the City EPA is also approving the County’s appropriate, disproportionate human of Albuquerque and Bernalillo County, determination that the current regional health or environmental effects, using New Mexico (the County) submitted by haze SIP requires no further substantive practicable and legally permissible the Governor on June 24, 2016. The SIP revision at this time in order to achieve methods, under Executive Order 12898 revision addresses requirements of the the established 2018 RPGs for visibility (59 FR 7629, February 16, 1994). Act and the EPA’s rules that require the improvement and emission reduction In addition, the SIP is not approved County to submit a periodic report (40 CFR 51.309(d)(10)(ii)). This action is to apply on any Indian reservation land assessing reasonable progress goals being taken under section 110 of the or in any other area where EPA or an (RPGs) for regional haze with a Act. Indian tribe has demonstrated that a determination of the adequacy of the tribe has jurisdiction. In those areas of existing regional haze SIP. III. Statutory and Executive Order Indian country, the rule does not have DATES: This rule is effective on January Reviews tribal implications and will not impose 11, 2018. Under the CAA, the Administrator is substantial direct costs on tribal ADDRESSES: The EPA has established a required to approve a SIP submission governments or preempt tribal law as docket for this action under Docket ID that complies with the provisions of the specified by Executive Order 13175 (65 No. EPA–R06–OAR–2016–0406. All Act and applicable Federal regulations. FR 67249, November 9, 2000). documents in the docket are listed at the 42 U.S.C. 7410(k); 40 CFR 52.02(a). The Congressional Review Act, 5 http://www.regulations.gov website. Thus, in reviewing SIP submissions, the U.S.C. 801 et seq., as added by the Small Although listed in the index, some EPA’s role is to approve state choices, Business Regulatory Enforcement information is not publicly available, provided that they meet the criteria of Fairness Act of 1996, generally provides e.g., Confidential Business Information the CAA. Accordingly, this action that before a rule may take effect, the or other information whose disclosure is merely approves state law as meeting agency promulgating the rule must restricted by statute. Certain other Federal requirements and does not submit a rule report, which includes a
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copy of the rule, to each House of the extend the time within which a petition PART 52—APPROVAL AND Congress and to the Comptroller General for judicial review may be filed, and PROMULGATION OF of the United States. The EPA will shall not postpone the effectiveness of IMPLEMENTATION PLANS submit a report containing this action such rule or action. This action may not and other required information to the be challenged later in proceedings to ■ 1. The authority citation for part 52 U.S. Senate, the U.S. House of enforce its requirements. (See section continues to read as follows: Representatives, and the Comptroller 307(b)(2)). Authority: 42 U.S.C. 7401 et seq. General of the United States prior to List of Subjects in 40 CFR Part 52 publication of the rule in the Federal Subpart GG—New Mexico Register. A major rule cannot take effect Environmental protection, Air pollution control, Best available retrofit until 60 days after it is published in the ■ 2. In § 52.1620(e), the second table Federal Register. This action is not a technology, Carbon monoxide, Incorporation by reference, titled ‘‘EPA Approved Nonregulatory ‘‘major rule’’ as defined by 5 U.S.C. Provisions and Quasi-Regulatory 804(2). Intergovernmental relations, Lead, Nitrogen dioxide, Ozone, Particulate Measures in the New Mexico SIP’’ is Under section 307(b)(1) of the CAA, matter, Regional haze, Reporting and amended by adding an entry for ‘‘City petitions for judicial review of this recordkeeping requirements, Sulfur of Albuquerque Progress Report for the action must be filed in the United States dioxide, Visibility, Volatile organic State Implementation Plan for Regional Court of Appeals for the appropriate compounds. Haze’’ at the end of the table to read as circuit by February 12, 2018. Filing a follows: Dated: December 5, 2017. petition for reconsideration by the § 52.1620 Identification of plan. Administrator of this final rule does not Samuel Coleman, affect the finality of this action for the Acting Regional Administrator, Region 6. * * * * * purposes of judicial review nor does it 40 CFR part 52 is amended as follows: (e) * * *
EPA APPROVED NONREGULATORY PROVISIONS AND QUASI-REGULATORY MEASURES IN THE NEW MEXICO SIP
State Applicable submittal/ EPA approval Name of SIP provision geographic or effective date Explanation nonattainment area date
******* City of Albuquerque Progress Report for the State City of Albuquerque- 6/24/2016 12/12/2017, [Insert Fed- Implementation Plan for Regional Haze. Bernalillo County. eral Register citation].
[FR Doc. 2017–26661 Filed 12–11–17; 8:45 am] improve the effectiveness of civil 2. Overview of Final Rule BILLING CODE 6560–50–P monetary penalties and to maintain The 2015 Act requires agencies to: (1) their deterrent effect. This final rule Adjust the level of civil monetary finalizes the catch-up inflation penalties with an initial ‘‘catch-up’’ NATIONAL FOUNDATION FOR THE adjustment interim final rule required adjustment through an interim final ARTS AND HUMANITIES by the Inflation Adjustment Act. rulemaking; and (2) make subsequent annual adjustments for inflation. DATES: Effective date: This rule is National Endowment for the Arts Inflation adjustments will be based on effective December 12, 2017. the percent change in the Consumer 45 CFR Parts 1149 and 1158 FOR FURTHER INFORMATION CONTACT: Price Index for all Urban Consumers RIN 3135–AA33 Aswathi Zachariah, Assistant General (CPI–U) for the month of October Counsel, National Endowment for the preceding the date of the adjustment, Federal Civil Penalties Adjustments Arts, 400 7th St. SW, Washington, DC relative to the October CPI–U in the year 20506, Telephone: 202–682–5418. of the previous adjustment. AGENCY: National Endowment for the The Office of Management and Budget Arts, National Foundation for the Arts SUPPLEMENTARY INFORMATION: has issued two memoranda, providing And Humanities. 1. Background guidance on implementing and ACTION: Final rule. calculating adjustments.1 On June 15, 2017 the NEA issued an In the IFR, the NEA identified two SUMMARY: The National Endowment for interim final rule entitled civil penalties in its regulations that the Arts (NEA) is adjusting the ‘‘Implementing the Federal Civil require adjustment: (1) The penalty maximum civil monetary penalties that Penalties Adjustment Act Improvements associated with Restrictions on may be imposed for violations of the Lobbying (45 CFR 1158.400; 45 CFR part Act of 2015’’ (the IFR) to implement the Program Fraud Civil Remedies Act 1158, app. A) and (2) the penalty required catch-up and annual (PFCRA) and the NEA’s Restrictions on associated with the Program Fraud Civil Lobbying to reflect the requirements of adjustments to the NEA’s civil monetary Remedies Act (45 CFR 1149.9). The the Federal Civil Penalties Inflation penalties. (See 82 FR 27431) This rule NEA received no comments in response Adjustment Act Improvements Act of finalizes the catch-up adjustment to the IFR and the proposed adjustments 2015 (the 2015 Act). The 2015 Act interim final rule and outlines the and therefore will continue to publish further amended the Federal Civil required annual adjustment of civil subsequent annual adjustments in Penalties Inflation Adjustment Act of penalties in accordance with the 2015 1990 (the Inflation Adjustment Act) to Act, as amended. 1 OMB Memoranda M–16–06 and M–17–11.
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accordance with the law or as directed interest. The annual adjustments to civil Director of the Office of Management by the Office of Management and penalties for inflation and the method of and Budget. Budget. calculating those adjustments are Federalism (Executive Order 13132) established by section 5 of the FCPIAA, 3. Subsequent Annual Adjustments as amended, leaving no discretion for This rulemaking does not have The 2015 Act requires agencies to the NEA. Accordingly, public comment Federalism implications, as set forth in make annual adjustments to civil would be impracticable because the E.O. 13132. As used in this order, penalty amounts no later than January NEA would be unable to consider such Federalism implications mean 15 of each year following the comments in the rulemaking process. ‘‘substantial direct effects on the States, adjustments contained in this final rule. Regulatory Planning and Review on the relationship between the national For subsequent annual adjustments (Executive Order 12866) government and the States, or on the made in accordance with the 2015 Act, distribution of power and the amount of the adjustment will have Executive Order 12866 (E.O. 12866) responsibilities among the various the same basis as the annual established a process for review of rules levels of government.’’ The NEA has adjustments previously described in the by the Office of Information and determined that this rulemaking will IFR (the percent increase between the Regulatory Affairs, which is within the not have Federalism implications CPI–U for the month of October Office of Management and Budget within the meaning of E.O. 13132. preceding the date of the adjustment (OMB). Only ‘‘significant’’ proposed and and the CPI–U for the October one year final rules are subject to review under Civil Justice Reform (Executive Order prior to the October immediately this Executive Order. ‘‘Significant,’’ as 12988) preceding the date of the adjustment). If used in E.O. 12866, means This rulemaking meets the applicable there is no increase, there is no ‘‘economically significant.’’ It refers to standards set forth in section 3(a) and adjustment of civil penalties. Therefore, rules with (1) an impact on the economy 3(b)(2) of E.O. 12988. Specifically, this of $100 million; or that (2) were if the NEA adjusts penalties in January final rule is written in clear language inconsistent or interfered with an action 2018, the adjustment will be calculated designed to help reduce litigation. based on the percent change between taken or planned by another agency; (3) the CPI–U for October 2017 (the October materially altered the budgetary impact Indian Tribal Governments (Executive immediately preceding the date of of entitlements, grants, user fees, or loan Order 13175) programs; or (4) raised novel legal or adjustment) and October 2016 (the Under the criteria in E.O. 13175, we October one year prior to October 2017). policy issues. This final rule would not be a have evaluated this final rule and The NEA will publish the amount of determined that it would have no these annual inflation adjustments in significant policy change and OMB has not reviewed this final rule under E.O. potential effects on Federally recognized the Federal Register no later than Indian Tribes. January 15 of each year. 12866. We have made the assessments required by E.O. 12866 and determined Takings (Executive Order 12630) 4. Compliance that this rule: (1) Will not have an effect Under the criteria in E.O. 12630, this Administrative Procedure Act of $100 million or more on the economy; (2) will not adversely affect in rulemaking does not have significant Section 553 of the Administrative a material way the economy, takings implications. Therefore, a Procedure Act requires agencies to productivity, competition, jobs, the takings implication assessment is not provide an opportunity for notice and environment, public health or safety, or required. comment on rulemaking and also State, local, or Tribal governments or Regulatory Flexibility Act of 1980 (5 requires agencies to delay a rule’s communities; (3) will not create a U.S.C. 605(b)) effective date for 30 days following the serious inconsistency or otherwise date of publication in the Federal interfere with an action taken or This rulemaking will not have a Register unless an agency finds good planned by another agency; (4) does not significant adverse impact on a cause to forgo these requirements. alter the budgetary effects of substantial number of small entities, However, section 4(b)(2) of the 2015 Act entitlements, grants, user fees, or loan including small businesses, small requires agencies to adjust civil programs or the rights or obligations of governmental jurisdictions, or certain monetary penalties notwithstanding their recipients; and (5) does not raise small not-for-profit organizations. section 553 of the Administrative novel legal or policy issues. Paperwork Reduction Act of 1995 (44 Procedure Act (APA) and publish U.S.C., Chapter 35) annual inflation adjustments in the Executive Order 13771 Federal Register. ‘‘This means that the Executive Order 13771 section 5 This rulemaking will not impose any public procedure the APA generally requires that agencies, in most ‘‘information collection’’ requirements requires . . . is not required for agencies circumstances, remove or rescind two under the Paperwork Reduction Act. to issue regulations implementing the regulations for every regulation Under the act, information collection annual adjustment.’’ OMB promulgated unless they request and are means the obtaining or disclosure of Memorandum M–17–11. specifically exempted from that order’s facts or opinions by or for an agency by Even if the 2015 Act did not except requirements by the Director of the 10 or more nonfederal persons. this rulemaking from section 553 of the Office of Management and Budget. Unfunded Mandates Act of 1995 APA, the NEA has good cause to This rule is not subject to the (Section 202, Pub. L. 104–4) dispense with notice and comment. requirements of Executive Order 13771 Section 553(b)(B), authorizes agencies to because this rule is not significant under This rulemaking does not contain a dispense with notice and comment Executive Order 12866. Furthermore, Federal mandate that will result in the procedures for rulemaking if the agency the NEA has requested and has received expenditure by State, local, and tribal finds good cause that notice and an exemption from the requirement that governments, in the aggregate, or by the comment are impracticable, the agency rescind two regulations for private sector of $100 million or more unnecessary, or contrary to public every regulation it promulgate from the in any one year.
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National Environmental Policy Act of in plain and clear language so that it can DEPARTMENT OF STATE 1969 (5 U.S.C. 804) be used and understood by the public, 48 CFR Parts 604 and 642 The final rule will not have the NEA has modeled the language of significant effect on the human this rule on the Federal Plain Language [Public Notice 9777] environment. Guidelines. RIN 1400–AE06 Small Business Regulatory Enforcement Public Participation Fairness Act of 1996 (Sec. 804, Pub. L. Department of State Acquisition 104–121) The NEA has written this final rule in Regulation; Technical Amendment compliance with E.O. 13563 by ensuring This final rule would not be a major its accessibility, consistency, simplicity AGENCY: Department of State. rule as defined in section 804 of the of language, and overall ACTION: Final rule. Small Business Regulatory Enforcement Fairness Act of 1996. This final rule will comprehensibility. In addition, the public participation goals of this order SUMMARY: The Department of State not result in an annual effect on the (DOS) is amending the Department of economy of $100,000,000 or more, a are also satisfied by the NEA’s participation in a process in which its State Acquisition Regulation (DOSAR) major increase in costs or prices, to add notice that the Department has an views and information are made public significant adverse effects on agreement with the Defense Contract to the extent feasible, and before any competition, employment, investment, Audit Agency, and to provide a productivity, innovation, or on the decisions are actually made. This will procedural correction. ability of United States-based allow the public the opportunity to react DATES: This final rule is effective on companies to compete with foreign to the comments, arguments, and January 11, 2018. based companies in domestic and information of others during the export markets. rulemaking process. The NEA initiates FOR FURTHER INFORMATION CONTACT: Ms. its participation in an open exchange by Colleen Kosar, Policy Division, Office of E-Government Act of 2002 (44 U.S.C. the Procurement Executive, A/OPE, 3504) posting the regulation and its rulemaking docket on https:// 2201 C Street NW, Suite 1060, State Annex Number 15, Washington, DC Section 206 of the E-Government Act www.regulations.gov. requires agencies, to the extent 20520. Telephone: 703–516–1685. practicable, to ensure that all Finally, Section 2 of E.O. 13563 email: [email protected]. information about that agency required directs agencies, where feasible and SUPPLEMENTARY INFORMATION: This to be published in the Federal Register appropriate, to seek the views of those document adds a new subpart 642.1, is also published on a publicly who are likely to be affected by including section 642.101(b), to provide accessible Website. All information rulemaking. This provision emphasizes notice of the Department’s agreement about the NEA required to be published the importance of prior consultation with the Defense Contract Audit Agency in the Federal Register may be accessed with ‘‘those who are likely to benefit on the conduct of incurred cost audits at www.arts.gov. This Act also requires from and those who are potentially for the Department’s cost- agencies to accept public comments on subject to such rulemaking.’’ One goal is reimbursement contracts. In addition, their rules ‘‘by electronic means.’’ See to solicit ideas about alternatives, part 604 is amended to specify the office heading ‘‘Public Participation’’ for relevant costs and benefits (both through which audits are coordinated, directions on electronic submission of quantitative and qualitative), and from the Office of the Inspector General public comments on this final rule. potential flexibilities. The NEA reaches to the Audit Team in the Office of Finally, the E-Government Act out to interested and affected parties by Acquisitions Management’s Quality requires, to the extent practicable, that Assurance Branch. agencies ensure that a publicly soliciting comments. accessible Federal Government Website List of Subjects in 45 CFR Parts 1149 Regulatory Findings contains electronic dockets for and 1158 Administrative Procedure Act rulemakings under the Administrative Procedure Act of 1946 (5 U.S.C. 551 et Administrative practice and The Department is publishing this seq.). Under this Act, an electronic procedure, Government contracts, Grant rule as a final rule, as a rule of agency docket consists of all submissions under programs, Loan programs, Lobbying, procedure or practice. section 553(c) of title 5, United States Penalties. Regulatory Flexibility, Unfunded Code; and all other materials that by Mandates, SBREFA agency rule or practice are included in ■ For the reasons stated in the preamble, the rulemaking docket under section the interim rule amending 45 CFR parts The Department of State, in 553(c) of title 5, United States Code, 1149 and 1158 which was published at accordance with the Regulatory whether or not submitted electronically. 82 FR 27431 on June 15, 2017 is Flexibility Act (5 U.S.C. 605(b)), has The Website https:// adopted as final without change. reviewed this regulation and, by approving it, certifies that this rule will www.regulations.gov contains electronic Dated: December 7, 2017. dockets for the NEA’s rulemakings not have a significant economic impact under the Administrative Procedure Act Jillian Miller, on a substantial number of small of 1946. Director of Guidelines and Panel Operations, entities. This determination was based Administrative Services, National on the fact that the amendment in this Plain Writing Act of 2010 (5 U.S.C. 301) Endowment for the Arts. rule will not have any cost or Under this Act, the term ‘‘plain [FR Doc. 2017–26733 Filed 12–11–17; 8:45 am] administrative impact on offerors or writing’’ means writing that is clear, BILLING CODE P contractors. This rule will not result in concise, well-organized, and follows the expenditure by State, local, and other best practices appropriate to the tribal governments, in the aggregate, or subject or field and intended audience. by the private sector, of $100 million or To ensure that this rule has been written more in any year and it will not
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significantly or uniquely affect small 604.804–70 Contract closeout procedures. Procurement Executive, A/OPE, 2201 C governments. Therefore, no actions were * * * * * Street NW, Suite 1060, State Annex deemed necessary under the provisions (d) * * * Number 15, Washington, DC 20520. of the Unfunded Mandates Act of 1995. (3) * * * Requests for audits, • Persons with access to the internet Finally, this rule is not a major rule as normally by the Defense Contract Audit may view this interim rule and submit defined by the Small Business Agency (DCAA) in accordance with the comments by visiting: http:// Regulatory Enforcement Act of 1996 (5 agreement DOS has with DCAA to www.regulations.gov, and searching for U.S.C. 801 et seq.). conduct incurred cost audits, shall be docket number DOS–2017–0007. submitted through the A/LM/AQM/ Executive Orders 12866, 13563 and FOR FURTHER INFORMATION CONTACT: Ms. BOD/QA Audit Team (see 13771 Colleen Kosar, Policy Division, Office of 642.101(b)). * * * the Procurement Executive, A/OPE, The Department of State does not * * * * * 2201 C Street NW, Suite 1060, State consider this rule to be an Annex Number 15, Washington, DC ‘‘economically significant’’ regulatory PART 642—CONTRACT 20520. Telephone 703–516–1685. action under E.O. 12866. The ADMINISTRATION AND AUDIT SUPPLEMENTARY INFORMATION: The Department has reviewed the regulation SERVICES purpose of this interim rule is to update to ensure its consistency with the 48 CFR part 636, section 636.513, regulatory philosophy and principles set ■ 3. Add subpart 642.1, consisting of Accident Prevention; 48 CFR part 637; forth in Executive Orders 12866 and section 642.101, to read as follows: and 48 CFR part 652, section 652.236– 13563 and finds that the benefits of 70, Accident Prevention. The updating this rule outweigh any costs, Subpart 642.1—Contract Audit Department of State (DOS) is rescinding which the Department assesses to be Services the class deviation that authorized the minimal. This final rule is not subject to 642.101 Contract audit responsibilities. substitution of DOSAR 652.236–70, the requirements of Executive Order (b) The Department has an Accident Prevention, for FAR 52.236–13 13771 because this final rule is related interagency agreement with the Defense Accident Prevention, thus reinstating to agency organization, management or Contract Audit Agency (DCAA) to the requirement for use of FAR 52.236– personnel, and has been determined to perform incurred cost audits on cost- 13. Additionally, a new clause, be non-significant within the meaning reimbursement contracts. DCAA audits ‘‘Additional Safety Measures,’’ is added of Executive Order 12866. are requested through the A/LM/AQM/ to replace DOSAR 652.236–70. Executive Orders 13132 and 13175 BOD/QA Audit Team. Specifically, the interim rule: • Amends section 636.513 to reinstate This rule will not have substantial Eric N. Moore, the use of FAR 52.236–13, Accident direct effects on the States, on the Procurement Executive (Acting), Department Prevention, together with its Alternate I, relationship between the national of State. government and the States, or on the and to prescribe the use of DOSAR [FR Doc. 2017–26712 Filed 12–11–17; 8:45 am] clause 652.236–70, Additional Safety distribution of power and BILLING CODE 4710–24–P responsibilities among the various Measures. • Amends part 637, to add a new levels of government. The Department section 637.102–71 to provide a cross- has determined that this rulemaking DEPARTMENT OF STATE reference to 636.513 for services will not have tribal implications, will 48 CFR Parts 636, 637, and 652 contracts. not impose substantial direct • Amend section 652.236–70 to compliance costs on Indian tribal [Public Notice 9703] replace the current clause (‘‘Accident governments, and will not pre-empt RIN 1400–AE04 Prevention’’) with a new clause tribal law. (‘‘Additional Safety Measures’’). Paperwork Reduction Act Department of State Acquisition The Department has determined to issue The rule imposes no new or revised Regulation an interim final rule due to the overriding importance of the safety of information collections under the AGENCY: Department of State. individuals associated with overseas Paperwork Reduction Act of 1995 (44 ACTION: Interim final rule. U.S.C. Chapter 35). DOS construction and services projects. SUMMARY: The Department of State Regulatory Findings List of Subjects in 48 CFR Parts 604 and (DOS) is amending the Department of 642 State Acquisition Regulation (DOSAR) Administrative Procedure Act Government procurement. to provide new guidance prescribing In accordance with 5 U.S.C. 553(a)(2), For the reasons stated in the more stringent safety requirements for which exempts from the Administrative preamble, the Department of State certain overseas construction and Procedure Act matters relating to amends 48 CFR chapter 6 as follows: services projects. contracts, the Department is publishing ■ 1. The authority citation for 48 CFR DATES: Effective Date: This interim rule this rulemaking as an interim final rule, parts 604 and 642 continues to read as is effective on January 11, 2018. but is inviting public comment. follows: Comment Date: The Department of State will accept comments on this Regulatory Flexibility Act Authority: 22 U.S.C. 2651a, 40 U.S.C. interim rule until February 12, 2018. This rulemaking is not a ‘‘rule’’ as 121(c) and 48 CFR chapter 1. ADDRESSES: You may submit comments defined by the Regulatory Flexibility PART 604—ADMINISTRATIVE by any of the following methods: Act (5 U.S.C. 601 et seq.; therefore, that MATTERS • Email: [email protected]. You Act does not apply to it. However, the must include the RIN 1400–AE04 in the Department of State has reviewed this ■ 2. Amend section 604.804–70 by subject line of your message. regulation and, by approving it, certifies revising the second sentence of • Mail (paper only): Ms. Colleen that it will not have a significant paragraph (d)(3) to read as follows: Kosar, Policy Division, Office of the economic impact on a substantial
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number of small entities. This Executive Order 13132 Direct comments to the Department of determination was based on the fact that This interim rule will not have State Desk Officer in the Office of few of the DOS overseas construction substantial direct effects on the States, Information and Regulatory Affairs at contracts are performed by small on the relationship between the national the Office of Management and Budget business concerns. In FY 2015, only 19 government and the States, or on the (OMB). You may submit comments by of the 161 DOS overseas construction distribution of power and the following methods: contractors to which this would apply • Email: oira_submission@ responsibilities among the various were small business concerns. omb.eop.gov. You must include the levels of government. Therefore, in information collection title and the Unfunded Mandates Act of 1995 accordance with section 6 of Executive OMB control number in the subject line Order 13132, it is determined that this This interim rule will not result in the of your message. interim rule does not have sufficient expenditure by State, local, and tribal • Fax: 202–395–5806. Attention: Desk federalism implications to require governments, in the aggregate, or by the Officer for Department of State. In consultations or warrant the preparation private sector, of $100 million or more addition, please direct a copy of your of a federalism summary impact in any year and it will not significantly comments to the Department of State, statement. or uniquely affect small governments. Office of the Procurement Executive. Therefore, no actions were deemed Executive Order 13175 You may submit comments by the necessary under the provisions of the The Department has determined that following methods: Unfunded Mandates Act of 1995. • Email: [email protected]. this interim rulemaking will not have • Regular Mail: Ms. Colleen Kosar, Small Business Regulatory Enforcement tribal implications, will not impose Policy Division, Office of the Fairness Act of 1996 substantial direct compliance costs on Procurement Executive, A/OPE, Indian tribal governments, and will not This rule is not a major rule as 2201 C Street NW, Suite 1060, State pre-empt tribal law. Accordingly, the defined by the Small Business Annex Number 15, Washington, DC requirements of Executive Order 13175 Regulatory Enforcement Act of 1996 (5 20520. U.S.C. 801 et seq.). This rule will not do not apply to this interim rulemaking. You must include the information result in an annual effect on the Paperwork Reduction Act collection title and the OMB control economy of $100 million or more; a The interim rule removes a data number in any correspondence. major increase in costs or prices; or Direct requests for additional significant adverse effects on collection requirement from Department of State Acquisition Regulation information regarding the collection competition, employment, investment, listed in this document, including productivity, innovation, or on the (DOSAR) information collection under OMB Control Number 1405–0050. The requests for copies of the proposed ability of United States-based collection instrument and supporting companies to compete with foreign- data collection requirement removed is DOSAR 652.236–70, Accident documents, to Ms. Colleen Kosar, U.S. based companies in domestic and Department of State, Office of the import markets. Prevention, which requires construction contractors to submit a written accident Procurement Executive, 2201 C Street Executive Orders 12866, 13563 and prevention plan. The removal of this NW, Suite 1060, State Annex Number 13771 requirement will reduce the total 15, Washington, DC 20520; who may be reached on (703) 516–1685. Executive Orders (E.O.) 12866 and burden hours of this information • 13563 direct agencies to assess costs and collection under the Paperwork Title of Information Collection: benefits of available regulatory Reduction Act of 1995 (44 U.S.C. Department of State Acquisition alternatives and, if regulation is Chapter 35) by 150 hours. Regulation (DOSAR). • OMB Control Number: 1405–0050. necessary, to select regulatory This information collection renewal • Type of Request: Extension of a approaches that maximize net benefits was approved by OMB on February 23, Currently Approved Collection. 2016. The removal of the data collection (including potential economic, • Originating Office: Bureau of will not affect any other data collection environmental, public health and safety Administration, Office of the requirements within this information effects, distributive impacts and equity). Procurement Executive (A/OPE). E.O. 13563 emphasizes the importance collection. • Form Number: No Form. of quantifying both costs and benefits, of 60-Day Notice of Proposed • Respondents: Any business, other reducing costs, of harmonizing rules, Information Collection: Department of for-profit, individual, not-for-profit, or and of promoting flexibility. The State Acquisition Regulation (DOSAR). household. Department of State does not consider The Department of State is seeking • Estimated Number of Respondents: this interim rule to be an ‘‘economically Office of Management and Budget 1647. significant regulatory action’’ under (OMB) approval for the information • Estimated Number of Responses: Executive Order 12866. collection described below. In 2600. The Department has reviewed the accordance with the Paperwork • Average Time per Response: 98 regulation to ensure its consistency with Reduction Act of 1995, we are hours. the regulatory philosophy and requesting comments on this collection • Total Estimated Burden Time: principles set forth in the Executive from all interested individuals and 253,764 hours. Orders and finds that the benefits of this organizations. The purpose of this • Frequency: On Occasion. rule outweigh any costs, which the document is to allow 60 days for public • Obligation to Respond: Required. Department assesses to be minimal. This comment preceding submission of the We are soliciting public comments to interim final rule is not subject to the collection to OMB. permit the Department to: requirements of Executive Order 13771 Submit comments to the Office of • Evaluate whether the proposed because this final rule has been Management and Budget (OMB) and information collection is necessary for determined to be non-significant within Department of State, Office of the the proper functions of the Department. the meaning of the Executive Order Procurement Executive, up to February • Evaluate the accuracy of our 12866. 12, 2018. estimate of the time and cost burden for
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this proposed collection, including the PART 636—CONSTRUCTION AND (a) High risk activities. If the project validity of the methodology and ARCHITECT-ENGINEER CONTRACTS contains any of the following high risk assumptions used. activities, the contractor shall follow the ■ 2. Section 636.513 is revised to read • Enhance the quality, utility, and section in the latest edition, as of the as follows: clarity of the information to be date of the solicitation, of the U.S. Army Corps of Engineers Safety and Health collected. 636.513 Accident prevention. manual, EM 385–1–1, that corresponds • Minimize the reporting burden on (a) The contracting officer shall insert to the high risk activity. Before work those who are to respond, including the the clause at 652.236–70, Additional may proceed, the contractor must obtain use of automated collection techniques Safety Measures in all solicitations and approval from the COR of the written or other forms of information contracts that include FAR 52.236–13, safety plan required by FAR 52.236–13, technology. Accident Prevention, Alternate I, i.e.: Accident Prevention Alternate I (see (1) When a fixed-price construction Please note that comments submitted paragraph (f) of this clause), containing contract or a fixed-price dismantling, in response to this Notice are public specific hazard mitigation and control demolition, or removal of improvements record. Before including any detailed techniques. contract is contemplated and the personal information, you should be (1) Scaffolding; contract amount is expected to exceed aware that your comments as submitted, (2) Work at heights above 1.8 meters; the simplified acquisition threshold and (3) Trenching or other excavation including your personal information, the contract will involve work of a long will be available for public review. greater than one (1) meter in depth; duration or hazardous nature; or (4) Earth-moving equipment and other Abstract of proposed collection: This (2) When a contract for services to be large vehicles; information collection covers pre-award performed at Government facilities (see (5) Cranes and rigging; and post-award requirements of the FAR part 37) is contemplated, and (6) Welding or cutting and other hot DOSAR. During the pre-award phase, technical representatives advise that work; information is collected to determine special precautions are appropriate, (7) Partial or total demolition of a which proposals offer the best value to such as contracts for building structure; the U.S. Government. Post-award maintenance, building operations or (8) Temporary wiring, use of portable actions include monitoring the infrastructure repair. electric tools, or other recognized contractor’s performance; issuing (b) The contracting officer shall confer electrical hazards. Temporary wiring modifications to the contract; dealing with OBO/OM/SHEM if there are any and portable electric tools require the with unsatisfactory performance; and questions on any factors listed in use of a ground fault circuit interrupter closing out the contract upon its paragraph (a) of the clause, or if the (GFCI) in the affected circuits; other completion. This program collects contracting officer has any questions electrical hazards may also require the information pursuant to the Foreign regarding safety issues. use of a GFCI; Service Buildings Act of 1926, as (9) Work in confined spaces (limited PART 637—SERVICE CONTRACTING amended (22 U.S.C. 302), the Omnibus exits, potential for oxygen less than 19.5 Diplomatic Security and Antiterrorism percent or combustible atmosphere, ■ 3. Section 637.102–71 is added to read potential for solid or liquid engulfment, Act (22 U.S.C. 4852), and the Foreign as follows: or other hazards considered to be Relations Authorization Act, Fiscal immediately dangerous to life or health Years 1990 and 1991 (22 U.S.C. 4864). 637.102–71 Safety considerations. such as water tanks, transformer vaults, When contracting for services to be Methodology: Information is collected sewers, cisterns, etc.); from prospective offerors to evaluate performed overseas, always consider (10) Hazardous materials—a material their proposals. The responses provided 636.513(b) and FAR 36.513(b), and with a physical or health hazard by the public are part of the offeror’s consult with technical representatives to including but not limited to, flammable, proposals in response to Department determine whether special precautions explosive, corrosive, toxic, reactive or solicitations. This information may be are appropriate, such as when the unstable, or any operations, which submitted electronically (through fax or services are for building operations, creates any kind of contamination email), or may require a paper building maintenance or infrastructure inside an occupied building such as submission, depending upon repairs. dust from demolition activities, paints, complexity. After contract award, PART 652—SOLICITATION solvents, etc.; or contractors are required to submit PROVISIONS AND CONTRACT (11) Hazardous noise levels as information, on an as-needed basis, and CLAUSES required in EM 385–1 Section 5B or related to the occurrence of specific local standards if more restrictive. circumstances. ■ 4. Section 652.236–70 is revised to (b) Safety and health requirements. read as follows: The contractor and all subcontractors List of Subjects in 48 CFR Parts 636, shall comply with the latest edition of 637 and 652 652.236–70 Additional Safety Measures. the U.S. Army Corps of Engineers Safety and Health manual EM 385–1–1, or Government procurement. As prescribed in 636.513, insert the following clause. OSHA 29 CFR part 1910 or 1926 if no For the reasons stated in the EM 385–1–1 requirements are ADDITIONAL SAFETY MEASURES preamble, the Department of State applicable, and the accepted (OCT 2017) amends 48 CFR chapter 6 as follows: contractor’s written safety program. In addition to the safety/accident (c) Mishap reporting. The contractor is ■ 1. The authority citation for 48 CFR prevention requirements of FAR required to report immediately all parts 636, 637 and 652 continues to read 52.236–13, Accident Prevention mishaps to the COR and the contracting as follows: Alternate I, the contractor shall comply officer. A ‘‘mishap’’ is any event causing Authority: 22 U.S.C. 2651a, 40 U.S.C. with the following additional safety injury, disease or illness, death, material 121(c) and 48 CFR chapter 1. measures. loss or property damage, or incident
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causing environmental contamination. (End of clause) Washington, DC, between 9 a.m. and 5 The mishap reporting requirement shall p.m., Monday through Friday, except Eric N. Moore, include fires, explosions, hazardous legal public holidays. Procurement Executive (Acting), Department materials contamination, and other of State. Privacy: We will post all comments similar incidents that may threaten [FR Doc. 2017–26711 Filed 12–11–17; 8:45 am] we receive, without change, to http:// people, property, and equipment. BILLING CODE 4710–24–P www.regulations.gov, including any (d) Records. The contractor shall personal information provided. maintain an accurate record on all FOR FURTHER INFORMATION CONTACT: mishaps incident to work performed NATIONAL TRANSPORTATION Kathleen Silbaugh, General Counsel, under this contract resulting in death, SAFETY BOARD (202) 314–6016. traumatic injury, occupational disease, or damage to or theft of property, 49 CFR Part 801 SUPPLEMENTARY INFORMATION: materials, supplies, or equipment. The [Docket No.: NTSB–GC–2017–0004] I. Background contractor shall report this data in the RIN 3147–AA18 manner prescribed by the contracting The FOIA provides that any person officer. Public Availability of Information has a right, enforceable in federal court, (e) Subcontracts. The contractor shall to obtain access to federal agency AGENCY: National Transportation Safety records, except to the extent that any insert this clause, including this Board (NTSB). paragraph (e), with appropriate changes portions of such records are protected ACTION: Interim final rule. in the designation of the parties, in from public disclosure by one of nine exemptions or by one of three special subcontracts. SUMMARY: The NTSB is issuing an interim final rule that revises 49 CFR law enforcement record exclusions. The (f) Written program. The plan FOIA also sets forth the process for required by paragraph (f)(1) of the part 801, ‘‘Public Availability of Information,’’ to implement the obtaining federal agency records and clause entitled ‘‘Accident Prevention requires agencies to promulgate Alternate I’’ shall be known as the Site substantive and procedural changes to the Freedom of Information Act (FOIA), regulations addressing the requirements Safety and Health Plan (SSHP) and shall identified in the Open Government Act for making initial requests and appeals, address any activities listed in of 2007, December 31, 2007, the Open the fees an agency may charge, and the paragraph (a) of this clause, or as FOIA Act of 2009, October 28, 2009, and standards and procedures for regular otherwise required by the contracting the FOIA Improvement Act of 2016, and expedited processing of requests. officer/COR. June 30, 2016. These revisions to the Since the NTSB last revised 49 CFR (1) The SSHP shall be submitted at NTSB FOIA regulation are being issued part 801 on April 16, 2007, 72 FR 18914, least 10 working days prior to as an interim final rule to ensure that an the FOIA was amended three times: In commencing any activity at the site. updated regulation is in place as soon the Open Government Act of 2007, (2) The plan must address developing as practicable to implement the Acts Public Law 110–175, 121 Stat. 2524, activity hazard analyses (AHAs) for referenced above. December 31, 2007 (hereinafter ‘‘2007 specific tasks. The AHAs shall define DATES: This interim final rule is Act’’), the Open FOIA Act of 2009, the activities being performed and effective on December 12, 2017. The Public Law 111–83, 123 Stat. 2142, identify the work sequences, the NTSB will accept written comments on October 28, 2009 (hereinafter ‘‘2009 specific anticipated hazards, site this interim final rule on or before Act’’), and the FOIA Improvement Act February 12, 2018. conditions, equipment, materials, and of 2016, Public Law 114–185, 130 Stat. the control measures to be implemented ADDRESSES: A copy of this interim final 538, June 30, 2016 (hereinafter ‘‘2016 to eliminate or reduce each hazard to an rule, published in the Federal Register Act’’). The 2016 Act specifically (FR), is available for inspection and acceptable level of risk. Work shall not requires all agencies to review and copying in the NTSB’s public reading update their FOIA regulations in begin until the AHA for the work room, located at 490 L’Enfant Plaza SW, accordance with its provisions. The activity has been accepted by the COR Washington, DC 20594–003. NTSB is revising part 801 to (1) and discussed with all engaged in the Alternatively, a copy is available on the implement the 2007, 2009, and 2016 activity, including the Contractor, government-wide website on regulations statutory amendments, and (2) update subcontractor(s), and Government on- at http://www.regulations.gov (Docket and clarify the regulation pursuant to site representatives. ID Number NTSB–GC–2017–0004). the NTSB’s plan to review and revise all (3) The names of the Competent/ You may send comments identified of its regulations. NTSB Plan for Qualified Person(s) required for a by Docket ID Number NTSB–GC–2017– Retrospective Analysis of Existing Rules, particular activity (for example, 0004 using any of the following 77 FR 37865 (June 25, 2012); excavations, scaffolding, fall protection, methods: Retrospective Analysis of Existing Rules; other activities as specified by EM 385– 1. Federal eRulemaking Portal: Go to Notification, 78 FR 1193, 1194 (January 1–1) shall be identified and included in http://www.regulations.gov and follow 8, 2013). the instructions for sending your the AHA. Proof of their competency/ comments electronically. The NTSB is issuing this regulation as qualification shall be submitted to the 2. Mail: Send comments to NTSB an interim final rule to ensure that the contracting officer or COR for Office of General Counsel, 490 L’Enfant agency implements the 2016 Act as soon acceptance prior to the start of that work Plaza East SW, Washington, DC 20594– as practicable. In the revised regulation, activity. The AHA shall be reviewed 003. the NTSB has adopted, where and modified as necessary to address 3. Facsimile: Fax comments to 202– appropriate, the template for agency changing site conditions, operations, or 314–6090. FOIA regulations released by the Office change of competent/qualified 4. Hand Delivery: Bring comments to of Information Policy at the Department person(s). 490 L’Enfant Plaza East SW, 6th Floor, of Justice.
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II. Guidelines for Adoption of Interim C. Time Limits Pursuant to the 2009 Act, section Rules Section 801.20 provides definitions 801.53, which implements the FOIA exemption at 5 U.S.C. 552(b)(3) for The NTSB has concluded that good and procedures for deciding requests for expedited processing. Sections 801.21 records exempt by statute from cause exists, under the Administrative disclosure, provides that, to exempt Procedure Act (APA), 5 U.S.C. 553(b)(B) and 801.23 clarify the circumstances in which the NTSB may extend the time to information from disclosure under the and (d)(3), to waive the APA’s notice- FOIA, statutes enacted after the 2009 and-comment and delayed-effective- make an initial determination, and the procedures to follow when extending Act must specifically cite to section date requirements and to issue this 552(b). regulation as an interim final rule. The the time. Pursuant to the 2016 Act, amendments to part 801 primarily section 801.22 extends the time to IV. Regulatory Analysis appeal an initial determination to the address how the NTSB will implement This rule does not require an NTSB Managing Director from 20 days the 2007, 2009, and 2016 Acts, and assessment of its potential costs and to 90 days. make clarifying and general updates to benefits under section 6(a)(3) of E.O. the existing regulation but do not D. Requester Assistance 12866, Regulatory Planning and Review, fundamentally alter or change the Pursuant to the 2007 Act, as amended 58 FR 51735 (Sept. 30, 1993), because it regulation’s nature or scope. Further, in by the 2016 Act, sections 801.21–.23 is not a ‘‘significant regulatory action’’ light of the significant need for and 801.60 permit requesters to seek under section 3(f) of that Order. Thus, immediate guidance regarding the dispute resolution services from the the Office of Management and Budget changes made under the 2016 Act, the NTSB FOIA Public Liaison, or the Office has not reviewed this rule under E.O. NTSB has determined that notice-and- of Government Information Services 12866. Likewise, this rule does not comment rulemaking is impracticable (OGIS) in the National Archives and require an analysis under the Unfunded and unnecessary. The revisions are Records Administration, in connection Mandates Reform Act, 2 U.S.C. 1501–71, noncontroversial, and no opposition or with initial and final determinations, or the National Environmental Policy significant adverse comments are time extensions, and fee assessments. Act, 42 U.S.C. 4321–47. expected. Nevertheless, the NTSB is Sections 801.20 and 801.23 also allow a In addition, under the Regulatory providing the public a 60-day period requester to modify a request to qualify Flexibility Act, 5 U.S.C. 601–12, the following publication of the interim for faster processing. NTSB has considered whether this rule final rule to submit comments. The would have a significant economic NTSB will consider comments received E. Fees impact on a substantial number of small during the comment period, and will Pursuant to the 2007 Act, as amended entities. The NTSB certifies under 5 alter the issued final rule if the by the 2016 Act, section 801.60 U.S.C. 605(b) that this rule would not comments warrant alteration. prohibits the NTSB from charging have a significant economic impact on search fees, or for some requesters, a substantial number of small entities. III. Summary of Changes to Part 801 Moreover, in accordance with 5 U.S.C. Made by This Interim Final Rule duplication fees, if the NTSB fails to comply with the time limits, including 605(b), the NTSB will submit this A. Proactive Disclosures extensions, for processing a request. If certification to the Chief Counsel for Advocacy at the Small Business The revisions add to § 801.10, the NTSB fails to comply with a time limit for processing a request, it may Administration. ‘‘General,’’ a list of proactive disclosures assess search fees only if unusual The NTSB does not anticipate this pursuant to 5 U.S.C. 552(a)(2), (a)(5), circumstances exist, the request rule will have a substantial, direct effect (e)(3), and (g). Pursuant to the 2016 Act, involves more than 5,000 responsive on state or local governments or will § 801.10 explains that the proactive pages; and the NTSB has attempted in preempt state law; as such, this rule disclosures are available on the NTSB’s good faith to work with the requester to does not have implications for Website, and specifies the categories of limit the scope of the request. federalism under E.O. 13132, agency records that must be made Section 801.60 also prohibits the Federalism, 64 FR 43255 (Aug. 4, 1999). available in its electronic reference NTSB from requiring advance payment This rule also complies with all room and its public reference room at of fees unless the requester has applicable standards in sections 3(a) NTSB headquarters. These proactively previously failed to pay or the fee is and 3(b)(2) of E.O. 12988, Civil Justice disclosed records include records that expected to exceed $250; Reform, 61 FR 4729 (Feb. 5, 1996), to have been disclosed pursuant to a FOIA minimize litigation, eliminate request and have been requested at least F. Exemptions ambiguity, and reduce burden. three times. Pursuant to the 2016 Act, the NTSB NTSB has evaluated this rule under: B. Electronic Availability of Information will withhold records under a FOIA E.O. 12630, Governmental Actions and exemption only if the NTSB reasonably Interference with Constitutionally Throughout part 801, pursuant to the foresees that disclosure would harm an Protected Property Rights, 53 FR 8859 2016 Act, the revisions emphasize interest protected by the exemption. The (Mar. 15, 1988); E.O. 13045, Protection information that is available on the NTSB will partially disclose a record if of Children from Environmental Health NTSB’s Website. Section 801.10 also a releasable portion of the record is Risks and Safety Risks, 62 FR 19885 explains that the NTSB maintains a reasonably segregable from a portion (Apr. 21, 1997); E.O. 13175, public access link for requesters to that is being withheld. Consultation and Coordination with submit and track FOIA requests Also, pursuant to the 2016 Act, Indian Tribal Governments, 65 FR electronically. section 801.55, which implements the 67249 (Nov. 6, 2000); E.O. 13211, Pursuant to the 2007 Act, the interagency and intra-agency exchanges Actions Concerning Regulations That definition of ‘‘record’’ in § 801.3 exemption under 5 U.S.C. 552(b)(5), Significantly Affect Energy Supply, specifies that agency records include provides that the deliberative process Distribution, or Use, 66 FR 28355 (May information maintained in an electronic privilege does not apply to records 18, 2001); and the National Technology format and information maintained by created 25 years or more before the Transfer and Advancement Act, Public contractors. FOIA request. Law 104–113, 110 Stat. 775, Mar. 7,
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1996. The NTSB has concluded that this Authority: 49 U.S.C. 1113(f); 5 U.S.C. 552; FOIA Public Liaison means a interim final rule neither violates, nor 18 U.S.C. 641, 2071; 31 U.S.C. 3717, 9701; 44 supervisory official, designated by the requires further consideration under U.S.C. Chapters 21, 29, 31, and 33. Chief FOIA Officer, who is responsible those Orders and statutes. for assisting in reducing delays, Subpart A—Applicability and Policy The NTSB invites comments relating increasing transparency and to any of the foregoing determinations § 801.1 Applicability. understanding of the status of requests, and notes the most helpful comments (a) This part contains the rules that and assisting in resolving disputes. reference a specific portion of this the National Transportation Safety Managing Director means the interim final rule, explain the reason for Board (NTSB) follows in processing Managing Director of the NTSB. any recommended change, and include requests for records under the Freedom Non-docket items include records supporting data. of Information Act, as amended (FOIA), from an accident that are not directly pertinent to the investigation, and are List of Subjects in 49 CFR Part 801 5 U.S.C. 552. These rules should be read together with the FOIA, which provides not in the public docket. Archives and records; Freedom of additional information about public Public Docket includes a collection of information. access to records maintained by the records from an accident investigation Accordingly, for the reasons stated in NTSB. that the agency deemed pertinent to the investigation. the Preamble, the NTSB is revising 49 (b) This part also provides for Record, document, or any other term CFR part 801 to read as follows: document services and the fees for such used to reference information includes: services, pursuant to 31 U.S.C. 9701. PART 801—PUBLIC AVAILABILITY OF (1) Any writing, drawing, map, (c) This part applies only to records INFORMATION recording, tape, film, photo, or other existing when the request for the documentary material by which Subpart A—Applicability and Policy information is made. The NTSB is not information is preserved. In this part, Sec. required to create records for the sole ‘‘document’’ and ‘‘record’’ have the 801.1 Applicability. purpose of responding to a FOIA same meaning; 801.2 Presumption of openness. request. (2) Any information that would be an 801.3 Definitions. (d) Subpart F of this part describes agency record subject to the Subpart B—Administration records that are exempt from public requirements of this section when disclosure. 801.10 General. maintained by the NTSB in any format, 801.11 Segregability of records. § 801.2 Presumption of openness. including an electronic format; and (3) Any information described under 801.12 Protection of records. (a) In implementing the FOIA, it is the subparagraphs (1) or (2) that is Subpart C—Time Limits policy of the NTSB to make information maintained for the NTSB by an entity available to the public to the greatest 801.20 Processing of requests. under Government contract, for the extent possible, consistent with the 801.21 Initial determination. purposes of records management. 801.22 Final determination. mission of the NTSB. The NTSB will Redact refers to the act of making a 801.23 Extension. withhold records under the FOIA only portion of text illegible by placing a Subpart D—Accident Investigation Records when the NTSB reasonably foresees that black mark on top of the text. disclosure would harm an interest 801.30 Records from accident Requester means any person, as investigations. protected by a FOIA exemption or is defined in 5 U.S.C. 551(2), who submits 801.31 Public hearings regarding prohibited by law. Whenever the NTSB a request pursuant to the FOIA. investigations. determines that full disclosure of a 801.32 Accident reports. requested record is not possible, the Subpart B—Administration NTSB will consider whether partial Subpart E—Other Agency Documents disclosure is possible and will take § 801.10 General. 801.40 NTSB rules. reasonable steps to segregate and release (a) The NTSB’s Chief FOIA Officer 801.41 Reports to Congress. nonexempt material. Information the provides high level oversight and Subpart F—Exemption From Public NTSB routinely provides to the public support to NTSB’s FOIA programs, and Disclosure as part of a regular NTSB activity (such recommends adjustments to agency 801.50 Exemptions from disclosure. as press releases and information practices, personnel, and funding as 801.51 National defense and foreign policy disclosed on the NTSB’s public may be necessary to improve FOIA secrets. Website) may be provided to the public administration. The Chief FOIA Officer 801.52 Internal personnel rules and without compliance with this part. is responsible for the initial practices of the NTSB. (b) The NTSB will release on its determination of whether to release 801.53 Records exempt by statute from website a ‘‘public docket’’ containing records within the 20-working-day time disclosure. 801.54 Trade secrets and commercial or documentation that the agency deemed limit, or the extension, specified in the financial information. pertinent to the investigation. Freedom of Information Act. The Chief 801.55 Interagency and intra-agency Requesters may access these public FOIA Officer is also responsible for exchanges. dockets without submitting a FOIA designating one or more FOIA Public 801.56 Unwarranted invasion of personal request. The NTSB encourages all Liaisons. privacy. requesters to review the public docket (b) The NTSB’s Chief, Records 801.57 Records compiled for law materials before submitting a FOIA Management Division: enforcement purposes. request. (1) Is responsible for the custody and 801.58 Records for regulation of financial control of all NTSB records required to institutions. § 801.3 Definitions. be preserved under the Federal Records 801.59 Geological records. The following definitions apply in Act, 44 U.S.C. Chapters 21, 29, 31, and Subpart G—Fee Schedule this part: 33. 801.60 Fee schedule. Chairman means the Chairman or (2) Maintains a public reference room 801.61 Appeals of fee determinations. Acting Chairman of the NTSB. and an electronic reading room in
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accordance with 5 U.S.C. 552(a)(2). The NTSB of changes to the requester’s Subpart C—Time Limits NTSB’s public reference room is located contact information. Requests mailed to at 490 L’Enfant Plaza SW, Washington, the NTSB must prominently display the § 801.20 Processing of requests. DC. The NTSB’s electronic reading room letters ‘‘FOIA’’ to distinguish the FOIA (a) Multi-track processing. The FOIA is located on the NTSB’s FOIA website, request from other types of document Office processes FOIA requests in one of found at http://www.ntsb.gov/. requests. For requests regarding an three tracks: (3) Maintains a public access link on investigation of a particular accident, (1) Track 1: Requests that meet the the NTSB’s FOIA Website for requesters requesters should include the date and criteria for expedited processing, or to electronically submit a FOIA request location of the accident, as well as the requests that seek records that have and track the status of the request. NTSB investigation number. been produced in response to a prior (c) The NTSB maintains in its (e) In response to broad requests for request. electronic reading room and makes records regarding a particular (2) Track 2: Requests that do not available for public inspection in its investigation, the FOIA Office will involve voluminous records or lengthy public reference room: notify the requester that a public docket consultations with other entities. (1) Records that have been provided has been or will be opened for the (3) Track 3: Requests that involve pursuant to a FOIA request, and investigation, and attempt to clarify voluminous records and for which (i) Have been requested at least three whether the information in the docket lengthy or numerous consultations are times or satisfies the request. required, or those requests which may (ii) Are likely to be the subject of involve sensitive records. repeat requests. (f) The NTSB will not release records (b) Expedited processing. (1) A (2) A general index of the records in originally generated by other agencies or requester may submit a statement paragraph (c)(1) of this section; entities. Instead, the NTSB will refer (3) Final opinions, including such requests for other agencies’ records demonstrating with reasonable concurring and dissenting opinions, as to the appropriate agency, which will particularity that the requester has a well as orders, made in the adjudication make a release determination upon compelling need for expedited of appeals under parts 821 and 825 of receiving and processing the referred processing in Track 1. The requester this chapter. request. must certify that the statement is true (4) Statements of policy and and correct to the best of the requester’s (g) Where a requester seeks a record knowledge. Within 10 calendar days interpretations which have been on behalf of another person, and the adopted by the agency and are not after receipt of the statement, the FOIA record contains that person’s personal Office will inform the requester whether published in the Federal Register; information protected by 5 U.S.C. (5) Administrative staff manuals and the request qualifies for expedited 552(b)(6) and § 801.56, the personal processing, and if not, provide the instructions to staff that affect a member information will not be provided to the of the public; requester with the information in requester unless the requester submits a § 801.21(b). (6)(i) The annual report submitted to notarized statement of consent from the the Attorney General and the Office of (2) In this section, ‘‘compelling need’’ person whose personal information is means: Government Information Services in the contained in the record. National Archives and Records (i) That a failure to expedite the Administration (OGIS), under 5 U.S.C. (h) In general, the NTSB will deny request could reasonably be expected to 552(e)(1); and requests for records concerning a pose an imminent threat to the life or (ii) The raw statistical data used in the pending investigation, pursuant to physical safety of an individual; or annual report in an aggregate, appropriate exemptions under the (ii) With respect to a request made by searchable, and downloadable format, FOIA. The FOIA Office will notify the a person primarily engaged in provided without charge, license, or requester of this denial in accordance disseminating information, urgency to registration requirement; with § 801.21(b), and provide the inform the public concerning actual or (7) A guide for requesting records or requester additional information alleged Federal Government activity. information from the NTSB that regarding how the requester may receive (3) The requester may appeal the includes an index of the agency’s major information on the investigation once FOIA Office’s decision regarding information systems, major information the investigation is complete. expedited processing to the Managing and record locator systems, concise § 801.11 Segregability of records. Director within 90 calendar days. The descriptions of FOIA exemptions, and Managing Director will decide the general categories of NTSB records to The initial decision of the FOIA appeal on an expedited basis, and no which the exemptions apply; and Officer will include a determination of later than 20 days (excluding Saturdays, (8) A record of the votes of each segregability. If it is reasonable to do so, Sundays, and legal public holidays) Member in NTSB proceedings. the exempt portions of a record will be after receipt of the appeal. The final (d) FOIA requests for records or segregated and, where necessary, determination will notify the requester information not publicly available on redacted, and the nonexempt portions of the statutory right to seek judicial the NTSB Website may be submitted will be sent to the requester. review of the determination pursuant to electronically by email or through the § 801.12 Protection of records. 5 U.S.C. 552(a)(6)(E)(iii), and will public access link, or in writing to: inform the requester of the dispute National Transportation Safety Board, No person may, without permission, resolution services offered by OGIS. Attention: FOIA Requester Service remove from the place where it is made Center, CIO–40, 490 L’Enfant Plaza SW, available any record made available for § 801.21 Initial determination. Washington, DC 20594–003. All inspection or copying under § 801.10(c). (a) The NTSB FOIA Officer will make requests must reasonably identify the Removing, concealing, altering, an initial determination as to whether to record requested and contain the name, mutilating, obliterating, or destroying, comply with the request within 20 days address, email address, and telephone in whole or in part, such a record is (excluding Saturdays, Sundays, and number of the person making the deemed a criminal offense pursuant to legal public holidays) after the request request. A requester must inform the 18 U.S.C. 641, 2071(a). is received.
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(b) Upon the FOIA Office’s receipt of in paragraph (a) of this section, the § 801.32 Accident reports. a FOIA request, the time limit is tolled requester will be: (a) The NTSB will report the facts, while the FOIA Office seeks reasonable (1) Notified in writing; conditions, circumstances, and its information from the requester: (2) Given an opportunity to limit the determination of the probable causes of (1) About the scope of the request, scope of the request so that it may be U.S. civil transportation accidents, in such as whether docket items and other processed within that time limit, or an accordance with 49 U.S.C. 1131(e). publicly available information on the opportunity to arrange with the agency (b) These reports will be made NTSB website satisfy the request; and an alternative time frame for processing available on the NTSB Website and (2) Necessary to resolve fee the request or a modified request; and available for public inspection and assessment issues. (3) Advised of the requester’s right to copying in the NTSB’s public reference (c) If unusual circumstances exist, this seek assistance from the NTSB’s FOIA room. time limit may be extended up to 10 Public Liaison and seek dispute additional days (excluding Saturdays, resolution services from OGIS. Subpart E—Other Agency Documents Sundays, and legal public holidays) in (c) As used in this paragraph (c), § 801.40 NTSB rules. accordance with § 801.23. The requester ‘‘unusual circumstances,’’ as they relate will be notified immediately of an to any delay that is reasonably necessary The NTSB’s rules are published in the extension in accordance with § 801.23. to the proper processing of the Code of Federal Regulations, Title 49, If a determination is made to release the particular request, means: Chapter VIII. requested record(s), such record(s) will (1) The need to search for and collect § 801.41 Reports to Congress. be made available promptly. the requested records from field The NTSB submits its annual report (d) If the FOIA Officer determines not facilities or other establishments that are to Congress, in accordance with 49 to release the record(s), the FOIA Office separate from the office processing the U.S.C. 1117. The report will be available will notify the requester of: request; on the NTSB’s website, found at http:// (1) The reason for the determination; (2) The need to search for, collect, and www.ntsb.gov. Interested parties may (2) The right to appeal the appropriately examine and process a determination to the Managing Director purchase the report from the U.S. voluminous amount of separate and Government Publishing Office or review within 90 calendar days; distinct records which are the subject of (3) The name and title or positions of it in the NTSB’s public reference room. a single request; or All other reports or comments to each person responsible for the denial of (3) The need to consult with another the request; Congress will be available in the NTSB’s agency that has a substantial interest in electronic reading room and in its (4) The right to seek dispute the disposition of the request or with resolution services from the NTSB’s public reference room for inspection or two or more components of the agency by ordering a copy after issuance. FOIA Public Liaison or OGIS. having substantial subject-matter § 801.22 Final determination. interest therein. Subpart F—Exemption From Public Disclosure Requesters seeking an appeal of the Subpart D—Accident Investigation FOIA Officer’s initial determination Records § 801.50 Exemptions from disclosure. must send a written appeal to the Title 5 U.S.C. 552(a) and (b) exempt NTSB’s Managing Director within 90 § 801.30 Records from accident investigations. certain records from public disclosure. calendar days. The NTSB’s Managing Examples of records given in this Director will determine whether to grant Upon completion of an accident subpart included within a particular or deny any appeal within 20 days investigation, the NTSB will compile a statutory exemption are not necessarily (excluding Saturdays, Sundays, and public docket containing investigators’ illustrative of all types of records legal public holidays) after receipt of factual reports, and documents and covered by the applicable exemption. such appeal, except that this time limit exhibits that the agency deemed may be extended by as many as 10 pertinent to the investigation. The Chief, § 801.51 National defense and foreign additional days (excluding Saturdays, Records Management Division, will policy secrets. Sundays, and legal public holidays), in then make the docket available on the Pursuant to 5 U.S.C. 552(b)(1), accordance with § 801.23. The final NTSB Website and available for public national defense and foreign policy determination will notify the requester inspection and copying in the NTSB’s secrets established by Executive Order, of the statutory right to seek judicial public reference room. as well as properly classified review of the determination pursuant to documents, are exempt from public 5 U.S.C. 552(a)(4)(B), and will inform § 801.31 Public hearings regarding investigations. disclosure. Requests to the NTSB for the requester of the dispute resolution such records will be transferred to the services offered by OGIS. Within approximately four (4) weeks source agency as appropriate, where after a public investigative hearing such classified records are identified. § 801.23 Extension. conducted in accordance with part 845, (See, e.g., Executive Order 12,958, as (a) In unusual circumstances as subpart A, of this chapter, the Chief, amended on March 25, 2003.) specified in this section, the time limits Records Management Division, will prescribed in either § 801.21 or § 801.22 make the hearing transcript available in § 801.52 Internal personnel rules and may be extended by no more than 10 the electronic reading room and the practices of the NTSB. days (excluding Saturdays, Sunday, and public reference room. On or before the Pursuant to 5 U.S.C. 552(b)(2), the legal public holidays) by providing date of the hearing, the Chief, Records following records are exempt from written notice to the requester setting Management Division, will make the disclosure under FOIA: forth the reasons for the extension and exhibits introduced at the hearing (a) Records relating solely to internal the date on which a determination is available on the NTSB Website and personnel rules and practices, including expected to be dispatched. available for public inspection and memoranda pertaining to personnel (b) If the request cannot be processed copying in the NTSB’s public reference matters such as staffing policies, and within the extended time limit specified room. procedures for the hiring, training,
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promotion, demotion, or discharge of developmental stage, if premature Subpart G—Fee Schedule employees, and management plans, disclosure would be detrimental to the records, or proposals relating to labor- authorized and appropriate purposes for § 801.60 Fee schedule. management relations. which the material is being used, or if, (a) Authority. Pursuant to 5 U.S.C. (b) Records regarding: because of its tentative nature, the 552(a)(4)(i) and the Office of (1) Internal matters of a relatively material is likely to be revised or Management and Budget’s Uniform trivial nature that have no significant modified before it is officially presented Freedom of Information Act Fee public interest, and to the public. Schedule and Guidelines, 52 FR 10012, (2) Predominantly internal matters, (c) Examples of materials covered by Mar. 27, 1987, the NTSB may charge the release of which would risk this section include, but are not limited certain fees for processing requests circumvention of a statute or agency to, staff papers containing advice, under the FOIA in accordance with regulation. opinions, or suggestions preliminary to paragraph (c) of this section, except where fees are limited under paragraph § 801.53 Records exempt by statute from a decision or action; preliminary notes; advance information on such things as (d) of this section, or where a waiver or disclosure. reduction of fees is granted under Pursuant to 5 U.S.C. 552(b)(3), the proposed plans to procure, lease, or otherwise hire and dispose of materials, paragraph (e) of this section. The NTSB NTSB will not disclose records does not require advance payment of specifically exempted from disclosure real estate, or facilities; documents exchanged in preparation for any fee unless the requester has by statute (other than 5 U.S.C. 552(b)), previously failed to pay fees in a timely provided that such statute: anticipated legal proceedings; material intended for public release at a specified fashion, or the NTSB determines that (a)(1) Requires that the matters be the fee will exceed $250.00. A requester withheld from the public in such future time, if premature disclosure would be detrimental to orderly must pay fees in accordance with the manner as to leave no discretion on the instructions provided on the invoice the issue, or processes of the NTSB; records of inspections, investigations, and surveys FOIA Office sends to the requester. (2) Establishes particular criteria for (b) Definitions. For purposes of this pertaining to internal management of withholding or refers to particular types section: of matters to be withheld; and the NTSB; and matters that would not Commercial use request means a (b) If enacted after the date of be routinely disclosed in litigation but request from or on behalf of a person enactment of the Open FOIA Act of which are likely to be the subject of who seeks information for a use or 2009, Public Law 111–83, Title V, litigation. purpose that furthers his or her section 564, 123 Stat. 2142, Oct. 28, (d) The deliberative process privilege commercial, trade, or profit interests. 2009, specifically cites to 5 U.S.C. does not apply to records created 25 This includes the furtherance of 552(b)(3). years or more before the date on which commercial interests through litigation. the records were requested. § 801.54 Trade secrets and commercial or When it appears that the requester will financial information. § 801.56 Unwarranted invasion of personal use the requested records for a Pursuant to 5 U.S.C. 552(b)(4), trade privacy. commercial purpose, either because of secrets and items containing Pursuant to 5 U.S.C. 552(b)(6), any the nature of the request or because the commercial or financial information personal, medical, or similar file is NTSB has reasonable cause to doubt a that are obtained from a person and are exempt from public disclosure if its requester’s stated use, the NTSB will privileged or confidential are exempt disclosure would harm the individual provide the requester with a reasonable from public disclosure. concerned or would be a clearly opportunity to submit further unwarranted invasion of the person’s clarification. § 801.55 Interagency and intra-agency Direct costs mean those expenses that personal privacy. exchanges. an agency incurs in searching for, (a) Pursuant to 5 U.S.C. 552(b)(5), any § 801.57 Records compiled for law reviewing, and duplicating records in record prepared by an NTSB employee enforcement purposes. response to a FOIA request. This for internal Government use is exempt Pursuant to 5 U.S.C. 552(b)(7), any includes the salaries of NTSB from public disclosure to the extent that records compiled for law or regulatory employees performing the work, as it contains— enforcement are exempt from public listed below, but does not include (1) Opinions made in the course of disclosure to the extent that disclosure overhead expenses such as the costs of developing official action by the NTSB would interfere with enforcement, office space. but not actually made a part of that would be an unwarranted invasion of Duplication means the copying of a official action, or privacy, would disclose the identity of record, or of the information contained (2) Information concerning any a confidential source, would disclose in a record, in response to a FOIA pending NTSB proceeding, or similar investigative procedures and practices, request. Copies can take the form of matter, including any claim or other or would endanger the life or security of paper, audiovisual materials, or dispute to be resolved before a court of law enforcement personnel. electronic records, among others. law, administrative board, hearing Educational institution means any officer, or contracting officer. § 801.58 Records for regulation of school, or institution of vocational (b) The purpose of this section is to financial institutions. education that operates a program of protect the full and frank exchange of Pursuant to 5 U.S.C. 552(b)(8), records scholarly research. In order for a ideas, views, and opinions necessary for compiled for agencies regulating or requester to demonstrate that their the effective functioning of the NTSB. supervising financial institutions are request falls within the category of an These resources must be fully and exempt from public disclosure. ‘‘educational institution,’’ the requester readily available to those officials upon must show that the request is authorized whom the responsibility rests to take § 801.59 Geological records. by the qualifying institution and that the official NTSB action. Its purpose is also Pursuant to 5 U.S.C. 552(b)(9), records requester does not seek the records for to protect against the premature concerning geological wells are exempt commercial use, but only to further disclosure of material that is in the from public disclosure. scholarly research.
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Representative of the news media or when the FOIA Office can readily (4) Except for requesters seeking news media requester means any person reproduce it in the format requested. records for commercial use, the NTSB actively gathering news for an entity (ii) The NTSB will charge $0.10 per will provide the following items that is organized and operated to page for the duplication of a standard- without charge: publish or broadcast news to the public. size paper record. For other forms of (i) The first 100 pages of duplication For ‘‘freelance’’ journalists to be duplication, the NTSB will charge the (or the cost equivalent) of a record; and regarded as working for a news direct costs of the duplication. (ii) The first two hours of search (or organization, they must demonstrate a (iii) Where the NTSB certifies records the cost equivalent) for a record. solid basis for expecting publication upon request, the NTSB will charge the (5) Whenever the total fee calculated through that organization (for example, direct cost of certification. under paragraph (c) of this section is a journalist may submit a copy of a (3) Review. For a commercial use $14.00 or less for any request, the NTSB publication contract for which the request, the NTSB will charge fees for will not charge a fee. journalist needs NTSB records). the initial review of a record to (6) The NTSB will not charge fees for Review means the examination of a determine whether the record falls ordinary packaging and mailing costs. record located in response to a request within the scope of a request and (7) When the FOIA Office determines in order to determine whether any whether the record is exempt from or estimates that fees to be charged portion of it is exempt from disclosure. disclosure. The NTSB will not charge under this section will amount to more Review also includes processing the for subsequent review of the request and than $25.00, the Office will notify the record(s) for disclosure, which includes responsive record. For example, in requester of the actual or estimated redacting and otherwise preparing general, the NTSB will not charge amount of the fees, including a releasable records for disclosure. additional fees for review at the breakdown of the fees for the search, Review does not include time spent administrative appeal level when the review or duplication, unless the resolving legal or policy issues NTSB has already applied an requester has indicated a willingness to regarding the application of exemptions exemption. The NTSB will charge pay fees as high as those anticipated. If nor will the NTSB charge for review review fees at the same rate as those the FOIA Office is able to estimate only during the administrative appeal stage, charged for a search under paragraph a portion of the expected fee, the FOIA if applicable. The NTSB may recover (c)(1)(ii). Office will advise the requester that the review costs even if the NTSB (d) Limitations on charging fees. (1) estimated fee may be only a portion of ultimately does not release the record(s). The NTSB will not charge fees if it fails the total fee. Where the FOIA Office Search means the process of looking to comply with the time limits in notifies a requester that the actual or for and retrieving records or information §§ 801.21 or 801.22, including an estimated fees will exceed $25.00, the within the scope of a request. Search extension of time pursuant to NTSB will not expend additional includes page-by-page or line-by-line § 801.23(a), except: agency resources on the request until identification of information within (i) If the NTSB determines there are the requester agrees in writing to pay records and also includes reasonable unusual circumstances, as defined by 5 the anticipated total fee. The NTSB does efforts to locate and retrieve electronic U.S.C. 552(a)(6)(B)(iii) and § 801.23(c), not accept payments in installments. records. The NTSB will make an effort and more than 5,000 pages are (8) In circumstances involving a total to conduct such searches in the least responsive to the request, the FOIA fee that will exceed $250.00, or if the expensive manner. Office may charge fees if timely written requester has previously failed to pay (c) Fees. In responding to FOIA notice of the unusual circumstances has fees in a timely fashion, the NTSB may requests, the NTSB will charge the been provided to the requester and the require the requester to make an following fees, subject to the limitations FOIA Office has discussed with the advance payment or deposit of a in paragraph (d) of this section, unless requestor (or made not less than three specific amount before beginning to a waiver or reduction of fees has been good-faith attempts to do so) how the process the request. If the requester does granted under paragraph (e) of this requester could limit the scope of the not pay the advance payment within 30 section: request. calendar dates after the date of the FOIA (1) Search. (i) The NTSB will charge (ii) If a court determines there are Office’s fee determination, the request search fees except for a request from an exceptional circumstances, as defined will be closed. educational institution, a by 5 U.S.C. 552(a)(6)(C), a failure to (9) The NTSB may charge interest on noncommercial scientific institution, or comply with the time limits will be any unpaid bill starting on the 31st day a news media representative. The NTSB excused for the length of time provided following the date of billing the may charge for time spent searching by the court order. requester. Interest charges will be even if the NTSB does not locate any (2) The NTSB will not charge a fee for assessed at the rate provided at 31 responsive record or if the NTSB notices, decisions, orders, etc. provided U.S.C. 3717 and will accrue from the withholds the record(s) located because to persons acting as parties in the date of the billing until the NTSB such record(s) are exempt from investigation under the procedures set receives payment. The NTSB will follow disclosure. forth in part 831 of this chapter, or the provisions of the Debt Collection (ii) In searching for and retrieving where required by law to be served on Act of 1982, Public Law 97–365, 96 Stat. records, the NTSB will charge $4.00 for a party to any proceeding or matter 1749, as amended, and its each quarter of an hour spent by before the NTSB. Likewise, the NTSB administrative procedures, including administrative personnel, $7.00 for each will not charge fees for requests made the use of consumer reporting agencies, quarter of an hour spent by professional by family members of accident victims, collection agencies, and offset. personnel, and $10.25 for each quarter when the NTSB has investigated the (10) Where the NTSB reasonably of an hour spent by management accident that is the subject of the FOIA believes that a requester or group of personnel. request. requesters acting together is attempting (2) Duplication. (i) The NTSB will (3) The NTSB will not charge a search to divide a request into a series of charge duplication fees. The NTSB will fee or review fee for a quarter-hour requests for the purpose of avoiding honor a requester’s preference for period unless more than half of that fees, the NTSB may aggregate those receiving a record in a particular format period is required for search or review. requests and charge accordingly.
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(11) The NTSB will make the FOIA (iii) Whether disclosure of the (6) Requests for the waiver or Public Liaison available to assist the requested information would contribute reduction of fees should address the requester in reformulating a request to to the understanding of a reasonably factors listed in paragraphs (e)(2) and (3) meet the requester’s needs at a lower broad audience of persons interested in of this section, insofar as they apply to cost. the subject, as opposed to the individual each request. The NTSB will exercise its (e) Requirements for waiver or understanding of the requester. The discretion to consider the cost- reduction of fees. (1) For fee purposes, NTSB will consider a requester’s effectiveness of its use of administrative the NTSB will determine, whenever expertise in the subject area and ability resources in determining whether to reasonably possible, the use to which a to effectively convey information to the grant waivers or reductions of fees. requester will put the requested records. public. (f) Services available free of charge. The NTSB will furnish records (iv) Whether the disclosure is likely to (1) The following documents are responsive to a request without charge, enhance the public’s understanding of available without commercial or at a reduced charge, where the NTSB government operations or activities. reproduction cost until limited supplies determines, based on all available (3) The NTSB’s decision to designate are exhausted: information, that the requester has the FOIA request as commercial will be (i) Press releases; shown that: made on a case-by-case basis based on (ii) NTSB regulations (Chapter VIII of (i) Disclosure of the requested the NTSB’s review of the requester’s Title 49, Code of Federal Regulations); information is in the public interest intended use of the information. The because it is likely to contribute NTSB will provide the requester with a (iii) Indexes to initial decisions, Board significantly to public understanding of reasonable opportunity to submit orders, opinion and orders, and staff the operations of activities of the further clarification. In determining manuals and instructions; government; and whether the request is primarily in the (iv) Safety recommendations; and (ii) Disclosure of the requested commercial interest of the requester, the information is not primarily in the (v) NTSB Annual Reports. NTSB will consider the following commercial interest or for the (2) The NTSB public Website, http:// factors: commercial use of the requester. www.ntsb.gov, also includes an email (2) In determining whether disclosure (i) The existence and magnitude of subscription service for press releases, of the requested information is in the any commercial interest the requester safety recommendations, and other public interest, the NTSB will consider may have, or of any person on whose announcements. the following factors: behalf the requester may be acting. The (i) Whether the subject of the NTSB will provide requesters with an § 801.61 Appeals of fee determinations. requested records concerns identifiable opportunity in the administrative Requesters seeking an appeal of the operations or activities of the Federal process to submit explanatory FOIA Office’s fee or fee waiver Government, with a connection that is information regarding this determination must send a written direct and clear, and not remote or consideration. appeal to the Managing Director within attenuated. In this regard, the NTSB will (ii) Whether the commercial interest 90 calendar days. The Managing consider whether a requester’s use of is greater in magnitude than any public Director will determine whether to grant the documents would enhance interest in disclosure. or deny any appeal made pursuant to transportation safety or contribute to the (4) Additionally, the NTSB may, at its § 801.21 within 20 days (excluding NTSB’s programs. discretion, waive search, duplication, Saturdays, Sundays, and legal public (ii) Whether the portions of a record and review fees for qualifying foreign holidays) after receipt of such appeal, subject to disclosure are meaningfully countries, international organizations, except that this time limit may be informative about government nonprofit public safety entities, state extended for as many as 10 additional operations or activities. The disclosure and federal transportation agencies, and days (excluding Saturdays, Sundays, of information already in the public colleges and universities, after approval and legal public holidays), in domain, in either a duplicative or by the Chief, Records Management accordance with § 801.23. substantially identical form, would not Division. be as likely to contribute to such (5) Where only some of the records to Robert L. Sumwalt III, understanding where nothing new be released satisfy the requirements for Chairman. would be added to the public’s a waiver of fees, the NTSB will grant a [FR Doc. 2017–26316 Filed 12–11–17; 8:45 am] understanding. waiver for those particular records. BILLING CODE 7533–01–P
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Proposed Rules Federal Register Vol. 82, No. 237
Tuesday, December 12, 2017
This section of the FEDERAL REGISTER p.m., Monday through Friday, except will also post a report summarizing each contains notices to the public of the proposed Federal holidays. substantive verbal contact we receive issuance of rules and regulations. The For service information identified in about this NPRM. purpose of these notices is to give interested this NPRM, contact Gulfstream Discussion persons an opportunity to participate in the Aerospace Corporation, P.O. Box 2206, rule making prior to the adoption of the final We were notified that fatigue cracking rules. Savannah, Georgia 31402–2206; telephone: (800) 810–4853; fax 912– in the main landing gear (MLG) actuator 965–3520; email: [email protected]; attachment fitting could occur on DEPARTMENT OF TRANSPORTATION internet: http://www.gulfstream.com/ certain Gulfstream Aerospace product_support/technical_pubs/pubs/ Corporation (Gulfstream) Models G–IV Federal Aviation Administration index.htm. You may review this and GIV–X airplanes that are referenced service information at the Maintenance Steering Group ‘‘MSG–3’’ 14 CFR Part 39 FAA, Policy and Innovation Division, compliant and have had repair 901 Locust, Kansas City, Missouri SE05732102 incorporated. [Docket No. FAA–2017–1163; Product 64106. For information on the It has been determined that incorrect Identifier 2017–CE–041–AD] availability of this material at the FAA, fracture toughness was used in call (816) 329–4148. calculating repetitive inspection RIN 2120–AA64 intervals based on damage tolerances. Examining the AD Docket Repair SE05732102 for the MLG side Airworthiness Directives; Gulfstream brace fitting was issued without Aerospace Corporation Airplanes You may examine the AD docket on the internet at http:// Instructions for Continued AGENCY: Federal Aviation www.regulations.gov by searching for Airworthiness (ICA). Gulfstream has Administration (FAA), DOT. and locating Docket No. FAA–2017– developed new ICA to address this ACTION: Notice of proposed rulemaking 1163; or in person at the Docket issue. (NPRM). Management Facility between 9 a.m. This condition, if not corrected, could and 5 p.m., Monday through Friday, result in failure of the MLG actuator SUMMARY: We propose to adopt a new except Federal holidays. The AD docket attachment, which could compromise airworthiness directive (AD) for certain contains this NPRM, the regulatory the lateral support of the MLG during Gulfstream Aerospace Corporation evaluation, any comments received, and ground maneuvers, possibly leading to Models G–IV and GIV–X airplanes. This other information. The street address for collapse of the affected MLG with proposed AD was prompted by the the Docket Office (phone: 800–647– consequent loss of control. In addition, this condition could also cause the MLG potential for fatigue cracks developing 5527) is in the ADDRESSES section. side brace to fail, which could result in in the main landing gear actuator Comments will be available in the AD penetration of the wing fuel tank and attachment fitting that had a certain docket shortly after receipt. cause an uncontained fire. repair incorporated. This proposed AD FOR FURTHER INFORMATION CONTACT: would require incorporating new William O. Herderich, Aerospace Related Service Information Under 1 revisions into the Instructions for Engineer, Atlanta ACO Branch, FAA, CFR Part 51 Continued Airworthiness of the 1701 Columbia Avenue, College Park, We reviewed Gulfstream G350 Limitations section of the FAA- Georgia 30337; phone: (404) 474–5547; Customer Bulletin Number 192A, dated approved maintenance program (e.g., fax: (404) 474–5605; email: June 15, 2017, including Appendix A, maintenance manual) that establish an [email protected]. Gulfstream Document GIV–SGER–553, inspection cycle for the repaired MLG SUPPLEMENTARY INFORMATION: Revision A, Instructions for Continued side brace actuator fittings. We are Airworthiness for Gulfstream Repair proposing this AD to address the unsafe Comments Invited Drawing SE05732102, dated December condition on these products. We invite you to send any written 14, 2016; Gulfstream G450 Customer DATES: We must receive comments on relevant data, views, or arguments about Bulletin 192A, dated June 15, 2017, this proposed AD by January 26, 2018. this proposal. Send your comments to including Appendix A, Gulfstream ADDRESSES: You may send comments, an address listed under the ADDRESSES Document GIV–SGER–553, Revision A, using the procedures found in 14 CFR section. Include ‘‘Docket No. FAA– Instructions for Continued 11.43 and 11.45, by any of the following 2017–1163; Product Identifier 2017–CE– Airworthiness for Gulfstream Repair methods: 041–AD’’ at the beginning of your Drawing SE05732102, dated December • Federal eRulemaking Portal: Go to comments. We specifically invite 14, 2016; Gulfstream IV Customer http://www.regulations.gov. Follow the comments on the overall regulatory, Bulletin Number 238A, dated June 15, instructions for submitting comments. economic, environmental, and energy 2017, including Appendix A, • Fax: 202–493–2251. aspects of this NPRM. We will consider Gulfstream Document GIV–SGER–553, • Mail: U.S. Department of all comments received by the closing Revision A, Instructions for Continued Transportation, Docket Operations, M– date and may amend this NPRM Airworthiness for Gulfstream Repair 30, West Building Ground Floor, Room because of those comments. Drawing SE05732102, dated December W12–140, 1200 New Jersey Avenue SE., We will post all comments we 14, 2016; Gulfstream G300 Customer Washington, DC 20590. receive, without change, to http:// Bulletin Number 238A, dated June 15, • Hand Delivery: Deliver to Mail www.regulations.gov, including any 2017, including Appendix A, address above between 9 a.m. and 5 personal information you provide. We Gulfstream Document GIV–SGER–553,
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Revision A, Instructions for Continued main landing gear side brace fitting has described previously is likely to exist or Airworthiness for Gulfstream Repair been incorporated and determining develop in other products of the same Drawing SE05732102, dated December initial and repetitive inspection type design. requirements for the main landing gear 14, 2016; and Gulfstream G400 Proposed AD Requirements Customer Bulletin Number 238A, dated side brace fitting. This service June 15, 2017, including Appendix A, information is reasonably available This proposed AD would require Gulfstream Document GIV–SGER–553, because the interested parties have accomplishing the actions specified in Revision A, Instructions for Continued access to it through their normal course the service information described Airworthiness for Gulfstream Repair of business or by the means identified previously. Drawing SE05732102, dated December in the ADDRESSES section. Costs of Compliance 14, 2016. In combination, the service FAA’s Determination We estimate that this proposed AD information describes procedures for We are proposing this AD because we affects 709 airplanes of U.S. registry. inspecting maintenance records to evaluated all the relevant information We estimate the following costs to determine if repair SE05732102 for the and determined the unsafe condition comply with this proposed AD:
ESTIMATED COSTS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Inspect Maintenance Records ...... 1 work-hour × $85 per hour Not applicable ...... $85 $60,265 = $85. Incorporate new revisions into the Instructions for Con- 1 work-hour × $85 per hour Not applicable ...... 85 60,265 tinued Airworthiness of the Limitations section of the = $85. FAA-approved maintenance program (e.g., mainte- nance manual).
Authority for This Rulemaking Regulatory Findings PART 39—AIRWORTHINESS DIRECTIVES Title 49 of the United States Code We determined that this proposed AD specifies the FAA’s authority to issue would not have federalism implications ■ 1. The authority citation for part 39 rules on aviation safety. Subtitle I, under Executive Order 13132. This continues to read as follows: section 106, describes the authority of proposed AD would not have a Authority: 49 U.S.C. 106(g), 40113, 44701. the FAA Administrator. Subtitle VII: substantial direct effect on the States, on Aviation Programs, describes in more the relationship between the national § 39.13 [Amended] detail the scope of the Agency’s Government and the States, or on the ■ 2. The FAA amends § 39.13 by adding authority. distribution of power and the following new airworthiness We are issuing this rulemaking under responsibilities among the various directive (AD): the authority described in Subtitle VII, levels of government. Gulfstream Aerospace Corporation: Docket Part A, Subpart III, Section 44701: For the reasons discussed above, I No. FAA–2017–1163; Product Identifier ‘‘General requirements.’’ Under that certify this proposed regulation: 2017–CE–041–AD. section, Congress charges the FAA with (1) Is not a ‘‘significant regulatory (a) Comments Due Date promoting safe flight of civil aircraft in action’’ under Executive Order 12866, We must receive comments by January 26, air commerce by prescribing regulations 2018. (2) Is not a ‘‘significant rule’’ under for practices, methods, and procedures the DOT Regulatory Policies and (b) Affected ADs the Administrator finds necessary for Procedures (44 FR 11034, February 26, None. safety in air commerce. This regulation 1979), is within the scope of that authority (c) Applicability because it addresses an unsafe condition (3) Will not affect intrastate aviation This AD applies to the following that is likely to exist or develop on in Alaska, and Gulfstream Aerospace Corporation model products identified in this rulemaking (4) Will not have a significant airplanes that are certificated in any category: action. economic impact, positive or negative, (1) Model G–IV, serial numbers (S/Ns) 1000 through 1399 having Aircraft Service This proposed AD is issued in on a substantial number of small entities Change (ASC) 416A (MSG–3) incorporated; accordance with authority delegated by under the criteria of the Regulatory and S/Ns 1400 through 1535; and the Executive Director, Aircraft Flexibility Act. (2) Model GIV–X, S/Ns 4001 through 4355. Certification Service, as authorized by List of Subjects in 14 CFR Part 39 (d) Subject FAA Order 8000.51C. In accordance Joint Aircraft System Component (JASC)/ with that order, issuance of ADs is Air transportation, Aircraft, Aviation Air Transport Association (ATA) of America normally a function of the Compliance safety, Incorporation by reference, Code 32, Landing Gear. and Airworthiness Division, but during Safety. (e) Unsafe Condition this transition period, the Executive The Proposed Amendment Director has delegated the authority to This AD was prompted by the potential for fatigue cracks in the main landing gear (MLG) issue ADs applicable to small airplanes Accordingly, under the authority actuator attachment fitting that had a certain and domestic business jet transport delegated to me by the Administrator, repair incorporated. We are issuing this AD airplanes to the Director of the Policy the FAA proposes to amend 14 CFR part to prevent failure of the MLG actuator and Innovation Division. 39 as follows: attachment. The unsafe condition, if not
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corrected, could compromise the lateral (5) Appendix A, Gulfstream Document Issued in Kansas City, Missouri, on support of the MLG during ground GIV–SGER–553, Revision A, Instructions for December 5, 2017. maneuvers, possibly leading to collapse of Continued Airworthiness for Gulfstream Pat Mullen, the affected MLG with consequent loss of Repair Drawing SE05732102, dated Acting Deputy Director, Policy & Innovation control. In addition, this condition could also December 14, 2016, to Gulfstream G400 Division, Aircraft Certification Service. cause the MLG side brace to fail, which could Customer Bulletin No. 283A, dated June 15, result in a penetration of the wing fuel tank 2017. [FR Doc. 2017–26617 Filed 12–11–17; 8:45 am] causing an uncontained fire. BILLING CODE 4910–13–P (i) Revise Limitations Section (f) Compliance Insert the documents listed in paragraphs Within the next 100 hours time-in-service (h)(1) through (5) of this AD into the after the effective date of this AD, comply Instructions for Continued Airworthiness of ENVIRONMENTAL PROTECTION with the actions in paragraphs (g) through (i) the Limitations section of the FAA-approved AGENCY of this AD, unless already done. maintenance program (e.g., maintenance manual), as applicable. The revised 40 CFR Part 80 (g) Inspect Maintenance Records limitations sections establish inspections of Inspect the airplane maintenance records the repaired MLG side brace actuator fittings. to determine if repair SE05732102 for the [EPA–HQ–OAR–2017–0627; FRL–9971–67– MLG side brace fitting has been incorporated. (j) Alternative Methods of Compliance OAR] To do this inspection, use the (AMOCs) Accomplishment Instructions in Gulfstream (1) The Manager, Atlanta ACO Branch, Periodic Reviews of the Renewable G350 Customer Bulletin Number 192A; FAA, has the authority to approve AMOCs Fuel Standard Program Gulfstream G450 Customer Bulletin 192A; for this AD, if requested using the procedures Gulfstream IV Customer Bulletin Number found in 14 CFR 39.19. In accordance with AGENCY: Environmental Protection 238A; Gulfstream G300 Customer Bulletin 14 CFR 39.19, send your request to your Agency (EPA). Number 238A; and Gulfstream G400 principal inspector or local Flight Standards ACTION: Notification of availability. Customer Bulletin Number 238A; all dated District Office, as appropriate. If sending June 15, 2017, as applicable. The service information directly to the manager of the SUMMARY: The Environmental Protection information referenced in this paragraph certification office, send it to the attention of Agency (EPA) is required to conduct specifies sending a service reply card back to the person identified in paragraph (k)(1) of periodic reviews of certain aspects of Gulfstream Aerospace Corporation if repair this AD. the Renewable Fuel Standard (RFS) SE05732102 for the MLG side brace fitting (2) Before using any approved AMOC, has been not been incorporated. This action notify your appropriate principal inspector, program under the Clean Air Act. This is not required in this AD. or lacking a principal inspector, the manager Notification of Availability (NOA) of the local flight standards district office/ announces the availability of a (h) Determine Initial and Repetitive certificate holding district office. document titled ‘‘Periodic Reviews for Inspection Requirements (3) For service information that contains the Renewable Fuel Standard Program.’’ If it is determined during the maintenance steps that are labeled as Required for The document describes EPA’s records inspection required in paragraph (g) Compliance (RC), the provisions of interpretation of the statutory of this AD that repair SE05732102 for the paragraphs (g) through (i) of this AD apply. requirement to conduct periodic MLG side brace fitting has been incorporated, (i) The steps labeled as RC, including reviews, and prior actions that EPA has determine the initial and repetitive substeps under an RC step and any figures inspection requirements using the identified in an RC step, must be done to taken to fulfill its obligations to conduct Accomplishment Instructions of the service comply with the AD. An AMOC is required such reviews. information identified in paragraph (g) of this for any deviations to RC steps, including DATES: December 12, 2017. AD along with the following documents, as substeps and identified figures. FOR FURTHER INFORMATION CONTACT: Julia applicable. Comply with the inspection (ii) Steps not labeled as RC may be MacAllister, Office of Transportation requirements as determined. deviated from using accepted methods in (1) Appendix A, Gulfstream Document accordance with the operator’s maintenance and Air Quality, Assessment and GIV–SGER–553, Revision A, Instructions for or inspection program without obtaining Standards Division, Environmental Continued Airworthiness for Gulfstream approval of an AMOC, provided the RC steps, Protection Agency, 2000 Traverwood Repair Drawing SE05732102, dated including substeps and identified figures, can Drive, Ann Arbor, MI 48105; telephone December 14, 2016, to Gulfstream G350 still be done as specified, and the airplane number: 734–214–4131; email address: Customer Bulletin No. 192A, dated June 15, can be put back in an airworthy condition. [email protected]. 2017; SUPPLEMENTARY INFORMATION: (2) Appendix A, Gulfstream Document (k) Related Information GIV–SGER–553, Revision A, Instructions for (1) For more information about this AD, I. How can I get copies of this document Continued Airworthiness for Gulfstream contact William O. Herderich, Aerospace and other related information? Repair Drawing SE05732102, dated Engineer, Atlanta ACO Branch, FAA, 1701 December 14, 2016, to Gulfstream G450 Columbia Avenue, College Park, Georgia A. Docket Customer Bulletin No. 192A, dated June 15, 30337; phone: (404) 474–5547; fax: (404) 2017; 474–5605; email: william.o.herderich@ EPA has established a docket for this (3) Appendix A, Gulfstream Document faa.gov. action under Docket ID No. EPA–HQ– GIV–SGER–553, Revision A, Instructions for (2) For service information identified in OAR–2017–0627. Publicly available Continued Airworthiness for Gulfstream this AD, contact Gulfstream Aerospace docket materials are available either Repair Drawing SE05732102, dated Corporation, P.O. Box 2206, Savannah, electronically through December 14, 2016, to Gulfstream IV Georgia 31402–2206; telephone: (800) 810– www.regulations.gov or in hard copy at Customer Bulletin No. 283A, dated June 15, 4853; fax 912–965–3520; email: pubs@ the EPA Docket Center, (EPA/DC) EPA 2017; gulfstream.com; internet: http:// _ West, Room 3334, 1301 Constitution (4) Appendix A, Gulfstream Document www.gulfstream.com/product support/ Ave. NW, Washington, DC. The EPA GIV–SGER–553, Revision A, Instructions for technical_pubs/pubs/index.htm. You may Continued Airworthiness for Gulfstream review this referenced service information at Docket Center Public Reading Room is Repair Drawing SE05732102, dated the FAA, Policy and Innovation Division, 901 open from 8:30 a.m. to 4:30 p.m., December 14, 2016, to Gulfstream G300 Locust, Kansas City, Missouri 64106. For Monday through Friday, excluding legal Customer Bulletin No. 283A, dated June 15, information on the availability of this holidays. The telephone number for the 2017; and material at the FAA, call (816) 329–4148. Public Reading Room is (202) 566–1744.
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B. Electronic Access • Mail: Filings can be sent by hand or commercial availability of cable You may access this Federal Register messenger delivery, by commercial operator-related data, we think it is document electronically from the overnight courier, or by first-class or appropriate to take a fresh look at the Government Printing Office under the overnight U.S. Postal Service mail. All form and to evaluate the continued need ‘‘Federal Register’’ listings at FDSys filings must be addressed to the for the Form 325 information collection. (http://www.gpo.gov/fdsys/browse/ Commission’s Secretary, Office of the We also note that, as part of the record collection.action?collectionCode=FR). Secretary, Federal Communications in the Commission’s Modernization of Commission. Media Regulation Initiative proceeding, II. Overview People with Disabilities: Contact the some industry commenters request that Under section 211(o)(11) of the Clean FCC to request reasonable the Commission reevaluate the Air Act, EPA is required to conduct accommodations (accessible format requirement for cable systems to file certain periodic reviews. A separate documents, sign language interpreters, Form 325 and consider whether the document entitled, ‘‘Periodic Reviews CART, etc.) by email: [email protected] form should be eliminated to reduce for the Renewable Fuel Standard or phone: (202) 418–0530 or TTY: (202) burdens on the cable industry.1 We seek 418–0432. Program’’ explains our interpretation of comment on whether the costs of the the statutory text, including both FOR FURTHER INFORMATION CONTACT: For Form 325 data collection now exceed ambiguities and unintelligible aspects of additional information on this the benefits of the information and on subparagraph (C) of CAA section proceeding, contact Maria Mullarkey of whether there may be less burdensome 211(o)(11). That document also the Policy Division, Media Bureau at ways for the Commission to obtain this describes our fulfillment of the [email protected], or (202) 418– data or on whether the form should be 2120. obligation to conduct periodic reviews modified to reflect technological and notwithstanding the interpretive issues, SUPPLEMENTARY INFORMATION: This is a other pertinent industry changes. and the contexts in which we have used summary of the Commission’s Notice of the results of those periodic reviews. Proposed Rulemaking, FCC 17–157, I. Background That document, and other supporting adopted and released on November 16, documents, are available in the docket. 2017. The full text of this document is 2. Form 325 collects operational available electronically via the FCC’s information from cable television Dated: November 30, 2017. systems nationwide, including data Christopher Grundler, Electronic Document Management System (EDOCS) website at https:// about subscriber numbers, equipment, Director, Office of Transportation and Air _ plant information, frequency and signal Quality. apps.fcc.gov/edocs public/attachmatch/ FCC-17-157A1.pdf. Documents will be distribution information, and [FR Doc. 2017–26422 Filed 12–11–17; 8:45 am] available electronically in ASCII, programming.2 The form must be filed BILLING CODE 6560–50–P Microsoft Word, and/or Adobe Acrobat. annually by all cable systems with This document is also available for 20,000 or more subscribers, which public inspection and copying during accounts for the vast majority of cable FEDERAL COMMUNICATIONS regular business hours in the FCC subscribers, and a random sampling of COMMISSION Reference Information Center, Federal small cable systems with fewer than Communications Commission, 445 12th 20,000 subscribers.3 Each year in 47 CFR Part 76 Street SW, CY–A257, Washington, DC December, the Commission sends a [MB Docket Nos. 17–290, 17–105; FCC 17– 20554. Alternative formats are available notification to each operator that must 157] for people with disabilities (Braille, file Form 325 and instructs the operator large print, electronic files, audio to file the form electronically via the FCC Form 325 Data Collection; format), by sending an email to fcc504@ Cable Operations and Licensing System Modernization of Media Regulation fcc.gov or calling the Commission’s (COALS) within 60 days from the date Initiative Consumer and Governmental Affairs of the letter.4 Form 325 filers report data Bureau at (202) 418–0530 (voice), (202) from the last week in December of the AGENCY: Federal Communications 418–0432 (TTY). Commission. preceding year. Cable systems have filed Synopsis the current version of Form 325 since ACTION: Proposed rule. 2003, with minor updates made in 1. This Notice of Proposed 2008.5 Filers have been required to file SUMMARY: In this document, the Federal Rulemaking (NPRM) seeks comment on Communications Commission whether to eliminate Form 325, Annual 1 See Comments of the American Cable (Commission) seeks comment on Report of Cable Television Systems, or, whether to eliminate Form 325, Annual Association, MB Docket No. 17–105, at 26–27 (ACA in the alternative, on ways to modernize Comments); Comments of NCTA—The Internet and Report of Cable Television Systems, or, and streamline the form. Form 325 Television Association, MB Docket No. 17–105, at in the alternative, on ways to modernize collects operational information from 29–30 (NCTA Comments); Comments of Verizon, and streamline the form. MB Docket No. 17–105, at 17–18 (Verizon cable television systems nationwide, Comments). DATES: Comments are due on or before including their network structure, 2 See 47 CFR 76.403. The FCC Form 325 is February 12, 2018; reply comments are system-wide capacity, programming, available via the Commission’s website at http:// due on or before February 26, 2018. and number of subscribers. There have www.fcc.gov/forms or https://fcc.gov/coals/. 3 ADDRESSES: You may submit comments, been significant changes in the 47 CFR 76.403. 4 See id. In recent years, this notification letter identified by MB Docket Nos. 17–290, multichannel video programming has been emailed to cable systems. Follow up 17–105, by any of the following distributor (MVPD) marketplace and in notifications to operators that fail to file on time are methods: the way cable systems operate since the sent via certified mail. • Federal Communications Commission last examined the 5 See FCC, Public Information Collection Requirement Submitted to OMB for Review and Commission’s website: http://fjallfoss. requirement to file Form 325 almost two Approval, Comments Requested, Notice, 73 FR fcc.gov/ecfs2/. Follow the instructions decades ago. Given these 50814 (Aug. 28, 2008) (describing refinements made for submitting comments. transformations in the industry, and the to Form 325).
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the form electronically via COALS since 4. The Commission’s last significant persuaded to eliminate the form, and it 2005.6 modification of the Form 325 data found that ‘‘there is sufficient value in 3. The Commission first developed collection was in 1999.11 At that time, the information collected . . . that the the form for use in 1966 7 and the Commission revised and information collection process should subsequently adopted it as an annual streamlined the form, and significantly not be altogether eliminated.’’ 17 filing requirement in 1971.8 The reduced the number of cable systems 5. Today, industry commenters argue Commission explained in 1971 that the required to file Form 325 annually by that Form 325 is burdensome for cable form was ‘‘necessary to enable the devising a sampling methodology to systems and has outlived its usefulness, Commission to keep abreast of [cable TV gather information from systems with given the availability of information system] developments, fulfill its fewer than 20,000 subscribers rather about the cable industry from regulatory responsibilities in this field, than requiring all such systems to file alternative sources and the changes in and assist Congress in its consideration each year.12 The Commission sought ‘‘to the MVPD marketplace. In the 2017 of related legislative proposals.’’ 9 At strike a balance to reduce the burdens Modernization of Media Regulation that time, the Commission required that placed upon the industry and on Initiative proceeding, NCTA—The all cable systems file the form, declining Commission resources in the Form 325 Internet and Television Association to exclude small systems from this information collection process while (NCTA), the American Cable requirement because the Commission still retaining access to core information Association (ACA), Verizon, and concluded that it needed that is needed by the Commission in ITTA—The Voice of America’s comprehensive data to properly order to perform its regulatory Broadband Providers (ITTA) each assert evaluate such systems.10 functions.’’ 13 It noted that the that the Commission should eliminate processing and compilation of Form 325 the Form 325 requirement. NCTA argues 6 FCC, Public Notice, Media Bureau Implements data was ‘‘a labor intensive process for that the routine collection of Mandatory Electronic Filing of FCC Forms 320, 322, the Commission.’’ 14 The Commission information does not make sense in 324, and 325 Via COALS, 19 FCC Rcd 13053 (MB 2004). concluded that the information today’s competitive video marketplace, 7 Amendment of Subpart L, Part 91, to Adopt collected based on the sampling of particularly where there is no similar Rules and Regulations to Govern the Grant of subscribers would ‘‘provide the requirement applicable to non-cable Authorizations in the Business Radio Service for Commission with an adequate profile of MVPDs or online video distributors.18 Microwave Stations to Relay Television Signals to NCTA argues further that the Form 325 Community Antenna Systems; Amendment of how cable systems operate today and Subpart I, Part 21, to Adopt Rules and Regulations how they impact the general filing ‘‘is not statutorily required and to Govern the Grant of Authorizations in the population.’’ 15 At that time, the does not serve any clear or legitimate Domestic Public Point-To-Point Microwave Radio Commission also considered whether to purpose.’’ 19 ACA contends that Form Service for Microwave Stations Used to Relay 325 collects information that is publicly Television Broadcast Signals to Community eliminate this data collection process Antenna Television Systems; Amendment of Parts entirely, assessing the utility of the form available or provided to the Commission 21, 74, and 91 to Adopt Rules and Regulations for purposes of the agency’s in other required filings, such as signal Relating to the Distribution of Television Broadcast policymaking and enforcement distribution and frequency information, Signals By Community Antenna Television 16 as well as information that has little Systems, and Related Matters, Second Report and activities. The Commission was not Order, 2 FCC 2d 725, para. 99 (1966). The 1966 utility today, such as set-top box and Form 325 requested ownership information, Television Systems, Report and Order, 36 FCC 2d number of subscribers, broadcast signal carriage, 143 (1972) (adopting 47 CFR 76.401). Before 1976, sources.’’ Id. In response, two commenters argued program origination data, certain financial data, and cable operators were required to file the form on a in favor of keeping the form—the Institute for a map of the system. fixed date (on or before March 1). 47 CFR 76.401. Public Representation, which argued that the 8 Amendment of Part 74, Subpart K, of the In 1976, the Commission changed the process to information in the form is critical to the Commission’s Rules and Regulations Relative to facilitate data automation, sending cable operators Commission’s assessment of cable operator Community Antenna Television Systems; and a pre-filled form that cable operators corrected and compliance with horizontal integration, must carry, Inquiry Into the Development of Communications returned to the Commission within 60 days. See and leased access rules, and the National Technology and Services to Formulate Regulatory Amendment of Part 76 of the Commission’s Rules Association of Broadcasters, which argued that the Policy and Rulemaking and/or Legislative and Regulations to Alter Cable Television Reporting information would be needed for purposes of the Proposals, Third Report and Order, 32 FCC 2d 13, Requirements, Order, 61 FCC 2d 1014 (1976). At Commission’s digital television must carry para. 5 (1971). this time, the Commission also moved the Form 325 rulemaking proceeding. 1999 Form 325 Order, 9 Id. para. 2. reporting requirement to its current location at paras. 9–10. Other industry commenters argued that 10 Id. para. 5 (finding that ‘‘excusing small Section 76.403 of the rules. See id. (adopting 47 the form serves no identifiable regulatory or policy CFR 76.403). This process remained in place until systems from filing certain data would deprive the purpose, is burdensome to the cable industry, and 2005, when operators were required to file the form Commission of the very information which it contains information that can be obtained from electronically via COALS. lacks’’). In 1972, the Commission adopted rules alternative sources, including data published by 11 governing the Cable Television Service, which 1998 Biennial Regulatory Review—‘‘Annual commercial resources or available through other included the annual Form 325 reporting Report of Cable Television Systems,’’ Form 325, government filings. Id. paras. 5–8. requirement. See Amendment of Part 74, Subpart K, Filed Pursuant to Section 76.403 of the 17 1999 Form 325 Order, 14 FCC Rcd at 4725, of the Commission’s Rules and Regulations Relative Commission’s Rules, Report and Order, 14 FCC Rcd 4727, paras. 11, 14–15. See also 1998 Biennial to Community Antenna Television Systems; and 4720 (1999) (1999 Form 325 Order). Regulatory Review—‘‘Annual Report of Cable 12 Inquiry into the Development of Communications Id. para. 12. Television Systems,’’ Form 325, Filed Pursuant to Technology and Services to Formulate Regulatory 13 Id. para. 11. But see id. (Statements of Section 76.403 of the Commission’s Rules, Order on Policy and Rulemaking and/or Legislative Commissioners Furchtgott-Roth and Powell Reconsideration, 15 FCC Rcd 9707 (2000). With Proposals; Amendment of Section 74.1107 of the dissenting from the Commission’s decision not to respect to the argument that certain information on Commission’s Rules and Regulations to Avoid eliminate Form 325). Form 325 is available from other sources, the Filing of Repetitious Requests; Amendment of 14 Id. para. 4. Commission observed that there are no assurances Section 74.1031(c) and 74.1105(a) and (b) of the 15 Id. para. 12. such information is current or collected Commission’s Rules and Regulations As They 16 1998 Biennial Regulatory Review—‘‘Annual consistently by commercial entities, and it noted Relate to Addition of New Television Signals; Report of Cable Television Systems,’’ Form 325, that having current and accurate information Amendment of Part 74, Subpart K, of the Filed Pursuant to Section 76.403 of the available to the Commission is ‘‘of considerable Commission’s Rules and Regulations Relative to Commission’s Rules, Notice of Proposed importance.’’ 1999 Form 325 Order, paras. 14–15. Federal–State or Local Relationships in the Rulemaking, 13 FCC Rcd 12266, para. 6 (1998). 18 NCTA Comments at 30. See also ACA Community Antenna Television System Field; and/ Specifically, the Commission sought comment ‘‘on Comments at 27 (noting that the Commission does or Formulation of Legislative Proposals in this whether it continues to be important for the not request similar data from DBS providers or Respect; Amendment of Subpart K of Part 74 of the Commission to have access to the type of data competitive video entrants that are not registered in Commission’s Rules and Regulations With Respect reported on the current Form 325 and the extent to the COALS database). to Technical Standards for Community Antenna which this information is available from other 19 NCTA Comments at 30.
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cable plant details.20 According to ACA, of leased access channels being used on Would eliminating Form 325 hinder the the form is no longer necessary and cable systems.24 However, the Commission’s ability to evaluate the should be eliminated.21 Likewise, Commission provides information on state of competition among cable Verizon argues that the Commission the average number of leased access systems? If so, what aspects of the form should eliminate Form 325 and its channels in its annual report on cable are essential to this evaluation? associated data collection, opining that industry prices.25 Is it still useful to 8. We also seek comment on the the information collected on the form collect this information on Form 325? burden for cable operators to file Form does not fit competitive video services We note that the Commission started 325 each year and, in particular, on the such as Verizon, is not reflective of collecting information from cable amount of time and resources it takes to today’s competitive video marketplace, systems via Form 325 well before cable complete the filing for each cable and can be obtained from other operators became significant players in system. Do the benefits and uses of the sources.22 In reply comments, ITTA the broadband market. The Commission information collected via Form 325 agrees with the arguments set forth by currently collects information from outweigh the burdens and costs on cable NCTA, ACA, and Verizon in favor of broadband providers, including cable systems to file the form? To the extent eliminating Form 325.23 No commenters operators, on FCC Form 477, Local the Commission might in the future argued in favor of retaining the form. Telephone Competition and Broadband need discrete information, would it be Reporting, and there is some overlap more cost effective for the Commission II. Discussion between the Form 325 and Form 477 to undertake targeted information A. Utility of Form 325 Reporting data collections.26 Is there a continued collections to obtain it? Requirement need for the Commission to collect 9. We also seek comment on whether and to what extent Form 325 merely 6. We seek comment on the continued Form 325 data to support the duplicates information that the utility of collecting Form 325 data and Commission’s policy initiatives and Commission can obtain from whether the Commission should decision making or to inform reports to commercial sources. For example, the eliminate the form entirely. Given the Congress, such as the Commission’s 27 Commission routinely cites data from substantial changes in the MVPD annual video competition report? SNL Kagan, BIA/Kelsey, The Nielsen marketplace and in the operations of 24 Company, and Warren Communications cable systems since the Commission last 1999 Form 325 Order, para. 22. 25 See Implementation of Section 3 of the Cable Television and Cable Factbook.28 What considered the utility and effectiveness Television Consumer Protection and Competition other sources of cable data are available? of the Form 325 data collection almost Act of 1992; Statistical Report on Average Rates for Does the information collected by other two decades ago, including the Basic Service, Cable Programming Service, and sources duplicate what is collected via transition to digital television and the Equipment, Report on Cable Industry Prices, 31 FCC Rcd 11498, para. 21, table 6 (2016). Form 325? In recent years the development of new technologies and 26 For example, Form 325 solicits information on Commission has cited Form 325 data in ways to deliver video programming to the number of cable modem (i.e., broadband) a few proceedings.29 To the extent this consumers, we believe it is appropriate subscribers and the number of telephony to consider whether the form continues subscribers for each cable system, and Form 477 to be useful to the agency’s regulatory collects information on the number of broadband to inform other reports to Congress. See, e.g., In- and telephony subscribers by census tract. See FCC State Broadcast Programming: Report to Congress and adjudicatory functions with respect Form 477, Local Telephone Competition and Pursuant to Section 304 of the Satellite Television to the cable industry and whether the Broadband Reporting, Instructions, Section 5: Extension and Localism Act of 2010, Report, 26 FCC information collected therein is Completing Each Section of FCC Form 477 (Dec. 5, Rcd 11919, para. 42 (2011) (using Form 325 data to determine the carriage of in-state broadcast stations available from alternative sources. We 2016), available at https://transition.fcc.gov/form 477/477inst.pdf. on cable systems). also seek comment on the costs of this 27 Form 325 data has been cited in the 28 See, e.g., Annual Assessment of the Status of requirement for cable systems and on Commission’s annual video competition reports, for Competition in the Market for the Delivery of Video whether the benefits of the information example, to show the growth in the number of all- Programming, Eighteenth Report, 32 FCC Rcd 568 outweigh the costs. digital cable systems and the percentage of (2017) (citing data from Nielsen, BIA/Kelsey, and households passed by incumbent cable systems as SNL Kagan throughout as support for multiple data 7. We seek comment on whether well as the percentage of households passed that points regarding MVPDs, broadcast television changes in the MVPD marketplace or subscribe to these systems. See, e.g., Annual stations, and online video distributors); Cable other factors since the Commission last Assessment of the Status of Competition in the Television Technical and Operational Standards, considered the utility and effectiveness Market for the Delivery of Video Programming, Report and Order, MB Docket No. 12–217, FCC 17– Sixteenth Report, 30 FCC Rcd 3253, para. 79, tables 120, at 2, 35, para. 3, app. C, para. 8 & notes 16, of the Form 325 data collection almost 3–4 (2015) (using Form 325 data to show the growth 18 (rel. Sept. 25, 2017) (citing data from SNL Kagan two decades ago should lead the in all-digital cable systems for cable systems with on the percentage of cable video customers that Commission to a different conclusion more than 20,000 subscribers and for the sampling subscribe to digital service, and data from Warren regarding the need for the Commission of cable systems with between 5,000 and 20,000 Communications Television & Cable Factbook on subscribers); Annual Assessment of the Status of the number of cable systems by subscriber size). to collect the data required by the form. Competition in the Market for the Delivery of Video 29 In a recent channel sharing order, the To what extent do the changes in the Programming, Fourteenth Report, 27 FCC Rcd 8610, Commission reviewed data collected from the 2015 industry and regulatory environment paras. 70, 116, note 350 (2012) (citing Form 325 Form 325 filing to determine the number of low since 1999 obviate or reduce the need data to show the percentage of households passed power television (LPTV) and Class A stations by incumbent cable systems that subscribe to these carried on cable systems pursuant to mandatory for this information? For example, in the systems as well as the number of very small cable carriage. Expanding the Economic and Innovation 1999 Form 325 Order, the Commission systems (fewer than 5,000 subscribers) surveyed Opportunities of Spectrum Through Incentive noted the utility of the form in that offer neither internet access nor television Auctions; Amendment of Parts 73 and 74 of the providing information about the number access). In addition, Form 325 data has been cited Commission’s Rules to Establish Rules for Digital as a source in the Commission’s annual reports on Low Power Television and Television Translator cable industry prices. See, e.g., Implementation of Stations; Channel Sharing by Full Power and Class 20 ACA Comments at 27. See also Reply Section 3 of the Cable Television Consumer A Stations Outside the Broadcast Television Comments of the American Cable Association, MB Protection and Competition Act of 1992; Statistical Spectrum Incentive Auction Context, Report and Docket No. 17–105, at 9–10. Report on Average Rates for Basic Service, Cable Order, 32 FCC Rcd 2637, para. 12, note 47 (2017). 21 ACA Comments at 27. Programming Service, and Equipment, Report on See also Carriage of Digital Television Broadcast 22 Verizon Comments at 17–18. See also Reply Cable Industry Prices, 31 FCC Rcd 11498, attach. 1 Signals: Amendment to Part 76 of the Commission’s Comments of Verizon, MB Docket No. 17–105, at 6. (2016) (citing Form 325 data for the numbers of Rules, Fourth Further Notice of Proposed 23 Reply Comments of ITTA—The Voice of cable communities by each sampling group (i.e., Rulemaking and Declaratory Order, 27 FCC Rcd America’s Broadband Providers, MB Docket No. 17– noncompetitive group and effective competition 1713, paras. 9–10, 20, notes 32–33, 36, 66–68, app. 105, at 8–9 (ITTA Reply). group)). The Commission has used Form 325 data Continued
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information continues to be useful, can collected by the form no longer Form 325 data collection. We seek the Commission obtain it from other necessary and raise new information comment on this tentative conclusion sources? Is there unique value in having needs not met by the current form. If the and on whether we should modify or the Commission collect the information Commission decides to retain the Form streamline this section of the form. contained within Form 325, rather than 325 data collection, we seek to Currently, Form 325 requires filers to relying on third-party sources? minimize the administrative burden on provide the cable operator’s legal name 10. Are there other external uses of cable television systems and improve and complete mailing address, the Form 325 data collection of which the quality and usefulness of Form 325 including zip code. Are there any ways the Commission should take account? 30 data to reflect technological and other in which the Commission can We note that Warren Communications pertinent industry changes. We also streamline this section of the form, such annually files a Freedom of Information seek to ensure that the data we collect as by pre-filling information using a Act (FOIA) request for Form 325 data are closely aligned with the uses to cable system’s Physical System from the Commission and that other which they will be put by the Identifier (PSID), which is a six-digit entities and individuals have Commission. number used by the Commission to periodically sought Form 325 data 12. In addition, to the extent the form identify each cable system. through FOIA requests. The is retained, we propose to upgrade the Commission does not provide this current COALS filing system to 2. General Information information in response to FOIA minimize the filing burden for cable 15. Subscriber Information. We seek requests until three years after initial systems. An upgraded filing system comment on whether there is a filing due to confidentiality requests would be able to pre-fill much of the continued need to collect cable that are routinely filed by cable data that does not change from year to subscriber information to the extent the operators. Is any information from year using other filings, such as form is retained, and, if not, whether we alternative sources based on the FCC’s community registrations, online public should eliminate this section of the Form 325 data? inspection files (OPIF), and previous form. We seek comment on the uses of Form 325 submissions. Cable operators this data and whether we can obtain it B. Ways To Improve and Modernize will only have to verify the continued from other sources. We also seek Form 325 Data Collection accuracy of any pre-filled information, comment on whether there are ways the 11. If the Commission decides to and update those fields only if Commission can update or streamline retain the Form 325 data collection, we necessary. the reporting of information on cable seek comment on ways to improve and 13. Currently, Form 325 is organized subscribers, if it decides to retain this modernize the form. The cable into five parts: (1) Operator information; section of the form. Part II of Form 325 television industry has experienced (2) general information; (3) frequency requires the reporting of subscriber many changes since Form 325 was last and signal distribution information; (4) information, including the number of updated, most notably the ongoing channel line-up; and (5) certification.31 subscribers; number of potential transition to digital technology and the We seek comment below on each subscribers; whether the system is introduction of video programming section of the form. We also seek overbuilt by a competing cable system; delivered via internet protocol (IPTV). comment on whether the Commission number of homes passed that are also These changes may render some data should consider any organizational passed by a competing cable system; changes to Form 325, such as changes name of incumbent operator(s) where B (2012) (using Form 325 data to determine the to the categories of information the system is overbuilt by a competing number of cable subscribers served by all-digital collected. Commenters should specify systems, the number of broadcast stations that elect cable system; number of cable modem or default to must carry on cable systems, and the any elements of the data collection that subscribers; and number of telephony number of small cable systems relying on the HD we should consider for elimination, subscribers. Subscriber data is a useful carriage exemption). Further, the Commission has whether because of redundancy, measure of the size and competitiveness used Form 325 data to evaluate and craft insufficient usefulness, or availability exemptions in rulemaking proceedings of a cable system, and has been used by implementing accessibility rules pursuant to the from other sources, as well as elements the Commission to prepare the annual Twenty-First Century Communications and Video of the data collection that are video competition report and to inform Accessibility Act of 2010. See Accessibility of User particularly burdensome to filers. We our policymaking.32 For example, the Interfaces, and Video Programming Guides and also ask commenters to specify the data Menus; Accessible Emergency Information, and Commission has used subscriber data as Apparatus Requirements for Emergency elements that should be retained or the basis for crafting rule exemptions Information and Video Description: Implementation modified, as well as the rationale for and justifying differing regulatory of the Twenty-First Century Communications and any proposed change. Is there any treatment based on the number of Video Accessibility Act of 2010, Report and Order information contained in Form 325 that 33 and Further Notice of Proposed Rulemaking, 28 subscribers served. Is subscriber data FCC Rcd 17330, para. 117, note 473 (2013) (citing would be helpful to consumers? Could Form 325 data for its estimate of the number of some of the information be made 32 But see Verizon Comments at 17 subscribers that would be affected by a longer publicly available earlier than three (‘‘[I]nformation on subscriber counts and ‘homes phase-in period for smaller and mid-sized cable years from the date of filing? passed’ by cable systems does not reflect consumer systems and operators in a 2013 order adopting video viewing patterns or the competitive nature of accessible user interfaces requirements); Closed 1. Operator Information the video distribution market.’’). Captioning of internet Protocol-Delivered Video 33 See, e.g., Implementation of the Commercial Programming: Implementation of the Twenty-First 14. Identification and Contact Advertisement Loudness Mitigation (CALM) Act, Century Communications and Video Accessibility Information. To the extent the form is Report and Order, 26 FCC Rcd 17222, paras. 35–37, Act of 2010, Report and Order, 27 FCC Rcd 787, retained, we tentatively conclude that 52–54 (2011) (allowing MVPD systems with fewer para. 96, note 382 (2012) (using information cable system identification and contact than 15,000 subscribers and that are not affiliated collected via Form 325 on the number of deployed with a larger operator serving more than 10 percent set-top boxes to conclude that applying IP closed information should remain a part of the of all MVPD subscribers to file streamlined captioning rules only to devices with built-in financial hardship waivers to delay compliance screens would exclude one of the most common 31 Part V of Form 325 requires certification that from CALM Act rules for up to two years and means by which consumers view programming). all statements of fact contained on the form are true, excusing MVPD operators with fewer than 400,000 30 We also note that Form 325 filings are made complete, and correct to the best of the certifying subscribers from the requirement to perform annual available to the public via COALS three years after official’s knowledge, information, and belief, and spot checks); Accessibility of User Interfaces, and initial filing. are made in good faith. Video Programming Guides and Menus; Accessible
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available from alternative sources, and, information via Form 325 to the extent from other sources. We also seek if so, is such data as accurate and the form is retained, and, if not, whether comment on how the Commission can current as data provided directly to the we should eliminate this section of the modernize this portion of Form 325 to Commission by cable systems? We form. We seek comment on the uses of better reflect system capacity, if it tentatively conclude that we should this data and whether we can obtain it decides to retain this section. Part II of eliminate the collection of modem and from other sources. We also seek Form 325 collects information on the telephony subscriber data via Form 325 comment on whether there are ways the cable plant, including the type of because similar data is collected via Commission can modernize this portion delivery system used (e.g., xDSL, fiber FCC Form 477, Local Telephone of Form 325 to better reflect devices to the home, Hybrid Fiber-Coaxial (HFC) Competition and Broadband Reporting, used by consumers to view cable network, or other); the length of optical and we seek comment on this tentative programming, if it decides to retain this fiber used in the plant; the number of conclusion.34 Should we collect data on section. Part II of Form 325 collects the fiber optic nodes, including the average the number of analog and digital following equipment information: the number of subscribers served from these subscribers so that the Commission can total number of leased cable modems nodes; whether the cable system is part track the progress of each system’s deployed throughout the system and the of a cluster, and, if so, the number of transition to all-digital service? Or, is total number of leased set-top boxes systems included in the cluster and total this information available from public deployed in the system, including a number of subscribers served by the sources? We also seek comment on breakdown of this total into the number cluster; and whether the facility uses whether we should retain the existing of analog, hybrid, and digital set-top Cable Television Relay Service (CARS) instruction for how bulk rate customers boxes leased. Is this information links, as well as a list of all call signs are calculated for the form, if the relevant to the Commission’s duties used by the system. Is this information Commission continues to require under Section 629 of the still relevant to the Commission’s reporting of subscriber numbers. Communications Act of 1934, as regulation of cable television? Collecting Currently, when reporting the number amended? 36 Should we modify the information about system technology of subscribers on Form 325, operators equipment section of Form 325 to better and capacity may enable us to better must include an estimate of the number achieve our duties under Section 629, understand the ability of a system to of subscribers who pay a bulk rate for and, if so, how? Or, is this information comply with various regulations, based service through an intermediary, such as available from public sources? What on their sophistication, capacity, and apartment management. On the existing information will best allow the other technological limitations. Given form, the instructions explain that the Commission to determine whether the that, in a digital world, the technical number of bulk rate customers should market for equipment used to access specifications of the cable plant no be calculated as follows: ‘‘[b]ulk-rate multichannel video programming is longer directly correlate to the systems’ customers = total annual bulk-rate fully competitive, pursuant to Section capacity for delivering programming, charge divided by basic annual 629? How can we best measure the level these questions may not provide subscription rate for individual of competition as contemplated by meaningful information about an ever- households.’’ 35 Is there any reason to Section 629? 37 growing percentage of systems. As cable change this approach? Commenters 17. Plant Information. We seek systems have converted to digital advocating a different approach should comment on whether there is a technology, data on the number of explain their proposed methodology continued need to collect plant programming streams, as well as on the and why it would be an improvement information via Form 325 to the extent compression and modulation used, may over the one currently in place. the form is retained, and, if not, whether be more valuable than previous metrics 16. Equipment Information. We seek we should eliminate this section of the used for measuring capacity of analog comment on whether there is a form. We seek comment on the uses of systems. We seek comment on this continued need to collect equipment this data and whether we can obtain it analysis. Is such data available from other sources? In conjunction with Emergency Information, and Apparatus 36 Section 629(a) directs the Commission to Section III.B.3 below (frequency and Requirements for Emergency Information and Video ‘‘adopt regulations to assure the commercial signal distribution information), we seek Description: Implementation of the Twenty-First availability . . . of . . . equipment used by comment on how the Commission can Century Communications and Video Accessibility consumers to access multichannel video Act of 2010, Report and Order and Further Notice programming and other services offered over update its questions on system of Proposed Rulemaking, 28 FCC Rcd 17330, para. multichannel video programming systems’’ from technology and capacity should it retain 114 (2013) (granting a five-year delayed compliance sources other than the multichannel video the form. deadline to MVPD operators with 400,000 or fewer programming distributor. 47 U.S.C. 549(a). Section subscribers and to MVPD systems with 20,000 or 629(e) states that the regulations will sunset ‘‘when 3. Frequency and Signal Distribution fewer subscribers that are not affiliated with an the Commission determines that—(1) the market for Information operator serving more than 10 percent of all MVPD the multichannel video programming distributors is subscribers). fully competitive; (2) the market for converter 18. We seek comment on whether 34 See Form 477 Resources for Filers, https:// boxes, and interactive communications equipment, there is a continued need to collect www.fcc.gov/general/form-477-resources-filers. used in conjunction with that service is fully information on frequency and signal Links to instructions detailing the data collected on competitive; and (3) elimination of the regulations distribution to the extent the form is the form and screen-shots of the form are provided would promote competition and the public at this location. Form 477 collects data semi- interest.’’ Id. sec. 549(e). retained, and, if not, whether we should annually about broadband connections to end-user 37 See GAO Report, Video Programming: FCC eliminate this section of the form. We locations, wired and wireless local telephone Should Conduct Additional Analysis to Evaluate seek comment on the uses of this data services, and interconnected Voice over internet Need for Set-Top Box Regulation, at 22–23 (Sept. and whether we can obtain it from other Protocol (VoIP), and it requires all covered 2017) (recommending that the FCC, ‘‘as part of its providers to file, regardless of size. See Modernizing future annual video competition reports, analyze sources. We also seek comment on how the FCC Form 477 Data Collection, Further Notice how the ongoing evolution in the video the Commission can modernize the of Proposed Rulemaking, 32 FCC Rcd 6329, para. programming market affects competition in the questions about a cable system’s 2 (2017). related market for set-top boxes and devices, technical capabilities, capacity, and 35 See Instructions for FCC Form 325, Annual including how this evolution affects the extent to Report of Cable Television Systems, Section II.2.a which consumer choice for devices to access MVPD potential for growth, including its (General Information, Subscriber Information, content remains a relevant aspect of the competitive ability to offer sophisticated services, if Number of Subscribers). environment’’). it decides to retain this section of the
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form. Part III of Form 325 requires cable Currently, Part IV of Form 325 requires increases the burden on those smaller systems to report frequency and signal cable systems to list the program providers selected, as the operators distribution information, including name,39 type (e.g., broadcast must carry, often have no experience filling [out] available upstream spectrum and broadcast retransmission consent, the form and must often engage outside maximum activated upstream spectrum; leased access, public access, resources for assistance completing available downstream spectrum and government access, education access, it.’’ 43 Which data, if any, is particularly maximum activated downstream local origination, cable network, or burdensome on smaller systems to spectrum; number of channels allocated other), format (e.g., analog, digital, or provide? Commenters should explain to analog video programming and the digital high definition), and tier (e.g., and quantify such burden. If the number of channels actually used for basic, cable programming services tier/ Commission decides to retain the form, analog video programming; number of expanded basic tier, premium, pay per will the burden on small systems to file channels allocated to digital video view, or other) for each program carried Form 325 be significantly reduced if the programming and the number of on the system. We seek general Commission streamlines and channels actually used for digital video comment on the burdens associated modernizes the form as discussed programming; number of digital streams with the collection of programming herein? How is the data from smaller carried per 6 MHz of bandwidth; and information and any associated benefits. cable systems useful to the Commission, modulation method used. To what and does its usefulness outweigh the extent does this type of data enable the C. Procedural Changes for Filing Form burden on such systems? Commission to measure a system’s 325 22. We tentatively conclude that, at a competitiveness and aid our 20. Applicability of Requirement to minimum, the Commission should policymaking with respect to the cable Small Cable Systems. We seek comment exempt systems that serve fewer than industry? Does the ongoing cable on whether the annual Form 325 filing 5,000 subscribers and are not affiliated transition to digital transmission and requirement should continue to apply to with a larger operator from filing Form other advancements in cable a random sampling of cable systems that 325, if the form is retained. We seek technology, such as IPTV, render many serve fewer than 20,000 subscribers, if comment on this tentative conclusion. of the current questions on this part of the Commission decides to retain the Given the relative burdens and benefits, the form ineffective or unnecessary, or form.40 Specifically, the Commission should we also exempt other smaller does it raise new information needs not samples approximately 50 percent of the systems from having to complete the met by the current form? Is there a need systems serving between 5,000 and form? In addition, for those small cable for the Commission to understand the 20,000 subscribers, but only systems that may still be required to file, current capacity of a system, its approximately 4 percent of systems should the Commission maintain the potential for increases in capacity, and serving fewer than 5,000 subscribers.41 current approach of requiring only a the rate at which new capacity is being 21. We seek specific comment on the sample of these systems to file Form 325 delivered into the marketplace over burden imposed by the Form 325 filing each year? Instead of randomly time? If so, how can we gather requirement on smaller cable systems. sampling smaller systems annually, information on system technology and In its media modernization proceeding should we require smaller systems to capacity in a way that will prove comments, ACA contends that, should file the report every two, three, or five flexible and informative as technology the Commission decide to retain Form years, or some other time period? How continues to evolve? Is such data 325, it should no longer require cable should we define small systems for such available from other sources? systems with fewer than 20,000 purposes? For example, we could subscribers to complete the form.42 require systems that serve between 4. Channel Line-Up According to ACA, ‘‘[r]andomly 5,000 and 20,000 subscribers and are 19. We tentatively conclude that we sampling smaller cable systems not affiliated with a larger operator should eliminate the collection of (serving more than 2 percent of all channel line-up information to the certain Commission regulatory requirements, which MVPD subscribers 44) to file every three extent the form is retained. We note that will allow the Commission to evaluate the years. We seek comment on these or any information about a cable system’s effectiveness of these rules and facilitate other alternative approaches. enforcement. This would include broadcast must programming is available from online carry stations, including local commercial stations, 23. Fixed Date for Form 325 Annual sources, including on cable operator qualified local non-commercial educational (NCE) Filing. We seek comment on whether we websites and from third-party guide stations, and qualified LPTV or Class A stations; should set a fixed date on which cable services. Given the availability of this broadcast retransmission consent stations, systems must annually file Form 325, if including local commercial stations, significantly- information from other public sources, viewed stations, distant (out-of-market) stations, the Commission decides to retain the we tentatively conclude that it is not and qualified LPTV or Class A stations; leased form. Currently, all systems, even those necessary to continue to collect it from access; public access; government access; with 20,000 or more subscribers, wait the cable operators via Form 325. We educational access; and local origination. See, e.g., for the Commission to notify them of 47 CFR 76.55, 76.56, 76.64, 76.970, 76.971. their obligation to file Form 325. This seek comment on this tentative 39 The instructions to Form 325 specify that conclusion. If, on the other hand, the ‘‘program name’’ refers to ‘‘[t]he call sign of the TV notification, in addition to establishing Commission ultimately decides that this broadcast station or abbreviation for the pay TV the obligation to file, begins a 60-day information collection is necessary and service or non-broadcast (usually satellite clock determining when the operator delivered) service distributed on the system (e.g., must file.45 As a result, operators remain useful, are there ways for the ESPN, CSPAN, HBO).’’ Commission to streamline this section 40 See 47 CFR 76.403. uncertain, from year to year, when they of Form 325 to reduce the burden on 41 Staff analysis of 2016 Form 325 Annual Report cable systems to input their entire of Cable Television Systems. For the 2016 filing 43 ACA Comments at 27. See also NCTA channel lineup? For example, should year, 544 cable systems with fewer than 20,000 Comments at 30 (‘‘Operators devote many hours to subscribers were selected to file Form 325. Of those, completion of the filing for each PSID every year.’’). we reduce the types of program 354 were cable systems with between 5,000 and 44 See Carriage of Digital Television Broadcast 38 channels that must be reported? 20,000 subscribers, and 190 were cable systems Signals: Amendment to Part 76 of the Commission’s with fewer than 5,000 subscribers. Rules, Sixth Report and Order, 30 FCC Rcd 6653, 38 For example, we could require cable systems to 42 ACA Comments at 27. See also ITTA Reply at para. 4 (2015). report only those types of channels that relate to 9, note 33. 45 See 47 CFR 76.403.
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must file. Should we instead set a fixed Initial Paperwork Reduction Act § 1.1206(b). In proceedings governed by date on which filing must occur? We Analysis rule § 1.49(f) or for which the believe this approach could simplify the 25. The NPRM may result in revised Commission has made available a annual reporting process and add information collection requirements. If method of electronic filing, written ex certainty and efficiency to the operator’s the Commission adopts any revised parte presentations and memoranda workflow and that of the Commission, information collection requirement, the summarizing oral ex parte and we seek comment on this analysis. Commission will publish a notice in the presentations, and all attachments If the Commission were to adopt a fixed Federal Register inviting the public to thereto, must be filed through the due date, which date would be comment on the requirement, as electronic comment filing system appropriate? Currently, we request that required by the Paperwork Reduction available for that proceeding, and must systems report their information as of Act of 1995, Public Law 104–13 (44 be filed in their native format (e.g., .doc, the last full week in December, and U.S.C. 3501–3520). In addition, .xml, .ppt, searchable .pdf). Participants believe retaining that ‘‘as of’’ date makes pursuant to the Small Business in this proceeding should familiarize sense for year-to-year consistency. The Paperwork Relief Act of 2002, Public themselves with the Commission’s ex date should ensure that cable systems Law 107–198, see 44 U.S.C. 3506(c)(4), parte rules. have sufficient time to compile and file the Commission seeks specific comment Filing Requirements their information. Given that the on how it might ‘‘further reduce the 27. Comments and Replies. Pursuant Commission previously required Form information collection burden for small to §§ 1.415 and 1.419 of the 325 to be filed on March 1 of each year, business concerns with fewer than 25 Commission’s rules, 47 CFR 1.415, would that be an appropriate date? employees.’’ 24. Confidential Treatment of Form 1.419, interested parties may file 325. We seek comment on whether we Ex Parte Rules comments and reply comments on or should adopt any standardized 26. Permit-But-Disclose. This before the dates indicated on the first confidentiality procedures for Form 325, proceeding shall be treated as a ‘‘permit- page of this document. Comments may if the Commission decides to retain the but-disclose’’ proceeding in accordance be filed using the Commission’s form, and, if so, what those standards with the Commission’s ex parte rules.48 Electronic Comment Filing System should be. Form 325 filings and the Persons making ex parte presentations (ECFS). See Electronic Filing of information contained therein generally must file a copy of any written Documents in Rulemaking Proceedings, 63 FR 24121 (1998). are not made available to the public presentation or a memorandum • until three years after filing due to summarizing any oral presentation Electronic Filers: Comments may be confidentiality requests that are within two business days after the filed electronically using the internet by routinely filed by cable operators, but presentation (unless a different deadline accessing the ECFS: http:// are made public via COALS thereafter.46 applicable to the Sunshine period fjallfoss.fcc.gov/ecfs2/. • Paper Filers: Parties who choose to Before the three-year period, the data is applies). Persons making oral ex parte file by paper must file an original and used by the Commission on an presentations are reminded that one copy of each filing. If more than one anonymized basis. Should the memoranda summarizing the docket or rulemaking number appears in Commission automatically designate presentation must (1) list all persons the caption of this proceeding, filers certain sections of Form 325 as attending or otherwise participating in must submit two additional copies for confidential for all filers, and, if so, the meeting at which the ex parte each additional docket or rulemaking which sections? Is there a need to adopt presentation was made, and (2) summarize all data presented and number. more formal Form 325 confidentiality Filings can be sent by hand or arguments made during the procedures or are the Commission’s messenger delivery, by commercial presentation. If the presentation current practices sufficient? Should the overnight courier, or by first-class or consisted in whole or in part of the Commission provide a mechanism for overnight U.S. Postal Service mail. All presentation of data or arguments filers to request confidentiality within filings must be addressed to the already reflected in the presenter’s the Form 325 as it does with regard to Commission’s Secretary, Office of the 47 written comments, memoranda, or other Form 477 filers? Secretary, Federal Communications filings in the proceeding, the presenter 46 Commission. Cable operators, cognizant of potentially may provide citations to such data or All hand-delivered or messenger- sensitive information disclosed on the form, often arguments in his or her prior comments, request that all or portions of the form not be made delivered paper filings for the routinely available to the public pursuant to Section memoranda, or other filings (specifying Commission’s Secretary must be 0.459 of the Commission’s rules. See, e.g., Request the relevant page and/or paragraph delivered to FCC Headquarters at 445 for Confidentiality for Information Submitted on numbers where such data or arguments 12th Street SW, TW–A325, Washington, Forms 325 for the Year 2004, Order, 21 FCC Rcd can be found) in lieu of summarizing 2312 (MB 2006) (Request for Confidentiality). See DC 20554. The filing hours are 8:00 a.m. also 47 CFR 0.459, 0.461. The Media Bureau has them in the memorandum. Documents to 7:00 p.m. All hand deliveries must be recognized that information on Form 325 is shown or given to Commission staff held together with rubber bands or commercial in nature and, in the past, has made the during ex parte meetings are deemed to determination of whether to keep commercial fasteners. Any envelopes and boxes be written ex parte presentations and must be disposed of before entering the information confidential on a case-by-case basis by must be filed consistent with rule determining whether there is a ‘‘preponderance of building. the evidence that shows that disclosure of the Commercial overnight mail (other information will cause the parties substantial Requesting Confidentiality, at 32 (Dec. 5, 2016), than U.S. Postal Service Express Mail competitive harm.’’ Request for Confidentiality, available at https://transition.fcc.gov/form477/ para. 4. 477inst.pdf. See also Modernizing the FCC Form and Priority Mail) must be sent to 9050 47 Filers of FCC Form 477 are instructed that they 477 Data Program, Further Notice of Proposed Junction Drive, Annapolis Junction, MD may submit a request that certain information in the Rulemaking, 32 FCC Rcd 6329, paras. 51–55 (2017) 20701. submission not be made routinely available for (seeking comment on proposals that certain data U.S. Postal Service first-class, public inspection by so indicating in the ‘‘Filer collected in the Form 477 that are not commercially Identification Information’’ for that submission. See sensitive but are currently treated as confidential be Express, and Priority mail must be FCC Form 477, Local Telephone Competition and made public). addressed to 445 12th Street SW, Broadband Reporting, Instructions, Section 7.4: 48 47 CFR 1.1200 et seq. Washington, DC 20554.
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28. Availability of Documents. subscribers, which is used to inform the number of such small entities, where Comments, reply comments, and ex Commission’s policymaking and feasible. parte submissions will be available for enforcement activities on matters 35. Cable Companies and Systems public inspection during regular related to the cable industry. The NPRM (Rate Regulation Standard). The business hours in the FCC Reference seeks comment on the utility of Commission has also developed its own Center, Federal Communications collecting Form 325 data and whether small business size standards, for the Commission, 445 12th Street SW, the Commission should continue to purpose of cable rate regulation. Under CY–A257, Washington, DC 20554. require this annual filing by cable the Commission’s rules, a ‘‘small cable These documents will also be available television systems. The NPRM also company’’ is one serving 400,000 or via ECFS. Documents will be available seeks comment on ways to modernize fewer subscribers, nationwide. Industry electronically in ASCII, Microsoft Word, and streamline Form 325 to minimize data indicate that, of 1,076 cable and/or Adobe Acrobat. the administrative burden on cable operators nationwide, all but 11 are 29. People with Disabilities. To systems while ensuring that the most small under this size standard. In request materials in accessible formats pertinent information about cable addition, under the Commission’s rules, for people with disabilities (Braille, television systems is collected, if the a ‘‘small system’’ is a cable system large print, electronic files, audio Commission decides to retain the Form serving 15,000 or fewer subscribers. format), send an email to [email protected] 325 data collection. Further, the NPRM Industry data indicate that, of 6,635 or call the FCC’s Consumer and seeks comment on the impact of the systems nationwide, 5,802 systems have Governmental Affairs Bureau at (202) Form 325 filing requirement on smaller under 10,000 subscribers, and an 418–0530 (voice), (202) 418–0432 cable systems and on whether the additional 302 systems have 10,000– (TTY). annual Form 325 filing requirement 19,999 subscribers. Thus, under this should continue to apply to a random second size standard, the Commission Additional Information sampling of cable systems that serve believes that most cable systems are 30. For additional information on this fewer than 20,000 subscribers. small. proceeding, contact Maria Mullarkey of 36. Cable System Operators. The Act the Policy Division, Media Bureau, at B. Legal Basis also contains a size standard for small cable system operators, which is ‘‘a [email protected], or (202) 418– 33. The proposed action is authorized 2120. cable operator that, directly or through pursuant to sections 4(i), 4(j), 303, and an affiliate, serves in the aggregate fewer Initial Regulatory Flexibility Act 628 of the Communications Act of 1934, than 1 percent of all subscribers in the Analysis as amended, 47 U.S.C. 154(i), 154(j), United States and is not affiliated with 303, and 548. 31. As required by the Regulatory any entity or entities whose gross Flexibility Act of 1980, as amended C. Description and Estimate of the annual revenues in the aggregate exceed (RFA),49 the Commission has prepared Number of Small Entities to Which the $250,000,000.’’ The Commission has this present Initial Regulatory Proposed Rules Will Apply determined that an operator serving Flexibility Analysis (IRFA) concerning fewer than 677,000 subscribers shall be the possible significant economic 34. The RFA directs agencies to deemed a small operator, if its annual impact on small entities by the policies provide a description of, and where revenues, when combined with the total and rules proposed in the Notice of feasible, an estimate of the number of annual revenues of all its affiliates, do small entities that may be affected by not exceed $250 million in the Proposed Rulemaking (NPRM). Written 52 public comments are requested on this the proposed rules, if adopted. The aggregate. Industry data indicate that, of IRFA. Comments must be identified as RFA generally defines the term ‘‘small 1,076 cable operators nationwide, all responses to the IRFA and must be filed entity’’ as having the same meaning as but 10 are small under this size by the deadlines for comments provided the terms ‘‘small business,’’ ‘‘small standard. We note that the Commission organization,’’ and ‘‘small governmental neither requests nor collects information on the first page of the NPRM. The 53 Commission will send a copy of the jurisdiction.’’ In addition, the term on whether cable system operators are NPRM, including this IRFA, to the Chief ‘‘small business’’ has the same meaning affiliated with entities whose gross as the term ‘‘small business concern’’ annual revenues exceed $250 million, Counsel for Advocacy of the Small 54 Business Administration (SBA).50 In under the Small Business Act. A small and therefore we are unable to estimate addition, the NPRM and IRFA (or business concern is one which: (1) Is more accurately the number of cable summaries thereof) will be published in independently owned and operated; (2) system operators that would qualify as small under this size standard. the Federal Register.51 is not dominant in its field of operation; and (3) satisfies any additional criteria 37. Open Video Services. Open Video A. Need for, and Objectives of, the established by the SBA.55 Below, we Service (OVS) systems provide Proposed Rules provide a description of such small subscription services. The open video system framework was established in 32. Form 325 collects operational entities, as well as an estimate of the 1996, and is one of four statutorily information from cable television 52 recognized options for the provision of systems nationwide, including their 5 U.S.C. 603(b)(3). 53 video programming services by local network structure, system-wide Id. sec. 601(6). 54 exchange carriers. The OVS framework capacity, programming, and number of Id. sec. 601(3) (incorporating by reference the definition of ‘‘small-business concern’’ in 15 U.S.C. provides opportunities for the 632). Pursuant to 5 U.S.C. 601(3), the statutory distribution of video programming other 49 See 5 U.S.C. 603. The RFA, see 5 U.S.C. 601– definition of a small business applies ‘‘unless an 612, has been amended by the Small Business agency, after consultation with the Office of than through cable systems. Because Regulatory Enforcement Fairness Act of 1996 Advocacy of the Small Business Administration OVS operators provide subscription (SBREFA), Public Law 104–121, Title II, 110 Stat. and after opportunity for public comment, services, OVS falls within the SBA 857 (1996). The SBREFA was enacted as Title II of establishes one or more definitions of such term small business size standard covering the Contract With America Advancement Act of which are appropriate to the activities of the agency 1996 (CWAAA). and publishes such definition(s) in the Federal cable services, which is ‘‘Wired 50 See 5 U.S.C. 603(a). Register.’’ 5 U.S.C. 601(3). Telecommunications Carriers.’’ The 51 See id. 55 15 U.S.C. 632. SBA has developed a small business
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size standard for this category, which is: indicate that in that year there were and to ensure that the data collected are All such firms having 1,500 or fewer 3,117 firms operating businesses as closely aligned with the uses to which employees. To gauge small business wired telecommunications carriers. Of they will be put by the Commission, if prevalence for the OVS service, the that 3,117, 3,059 operated with 999 or the Commission retains the form. We Commission relies on data currently fewer employees. Based on this data, we anticipate that the removal or available from the U.S. Census for the estimate that a majority of operators of modification of Form 325 reporting year 2012. According to that source, SMATV/PCO companies were small requirements will lead to a long-term there were 3,117 firms that in 2012 were under the applicable SBA size standard. reduction in reporting, recordkeeping, or other compliance requirements on all Wired Telecommunications Carriers. Of D. Description of Projected Reporting, cable systems, including small entities. these, 3,059 operated with less than Recordkeeping, and Other Compliance 1,000 employees. Based on this data, the Requirements E. Steps Taken To Minimize Significant majority of these firms can be 39. As indicated above, the NPRM Economic Impact on Small Entities and considered small. In addition, we note Significant Alternatives Considered that the Commission has certified some seeks comment on the utility of OVS operators, with some now collecting Form 325 data and on 40. The RFA requires an agency to providing service. Broadband service whether the Commission should describe any significant alternatives that providers (‘‘BSPs’’) are currently the eliminate the Form 325 data collection it has considered in reaching its only significant holders of OVS entirely. The NPRM also seeks comment proposed approach, which may include certifications or local OVS franchises. on ways to improve and modernize the the following four alternatives (among The Commission does not have form, if the Commission decides to others): ‘‘(1) The establishment of financial or employment information retain the Form 325 data collection. differing compliance or reporting regarding the entities authorized to With respect to each section of Form requirements or timetables that take into provide OVS, some of which may not 325, the NPRM seeks comment on account the resources available to small yet be operational. Thus, at least some whether there is a continued need to entities; (2) the clarification, of the OVS operators may qualify as collect the information solicited therein consolidation, or simplification of small entities. The Commission further to the extent the form is retained, and, compliance and reporting requirements notes that it has certified approximately if not, whether the Commission should under the rule for such small entities; 45 OVS operators to serve 116 areas, eliminate that particular section of the (3) the use of performance, rather than form; on the uses of the data and design standards; and (4) an exemption and some of these are currently whether such data can be obtained from from coverage of the rule, or any part providing service. Affiliates of other sources; and on how the thereof, for small entities.’’ 56 Residential Communications Network, Commission can update or modernize 41. The Commission expects to more Inc. (RCN) received approval to operate the questions, if it decides to retain that fully consider the economic impact on OVS systems in New York City, Boston, particular section of the form. In order small entities following its review of Washington, DC, and other areas. RCN to evaluate any new or modified comments filed in response to the has sufficient revenues to assure that reporting, recordkeeping, or other NPRM and this IRFA. Generally, the they do not qualify as a small business compliance requirements that may NPRM seeks comment on the burden for entity. Little financial information is result from the actions proposed in this cable operators to file Form 325 each available for the other entities that are NPRM, the Commission has sought year and on the amount of time and authorized to provide OVS and are not input from the parties on various resources it takes to complete the filing yet operational. Given that some entities matters. For example, the NPRM seeks for each cable system. The NPRM also authorized to provide OVS service have comment on the burden imposed by the asks whether the benefits and uses of not yet begun to generate revenues, the Form 325 filing requirement on smaller the information collected via Form 325 Commission concludes that up to 44 cable systems; which data, if any, is outweigh the burdens and costs on cable OVS operators (those remaining) might particularly burdensome on smaller systems to file the form. The NPRM also qualify as small businesses that may be systems to provide; and whether the seeks specific comment on the burden affected by the rules and policies burden on smaller systems to file Form imposed by the Form 325 filing adopted herein. 325 will be significantly reduced if the requirement on smaller cable systems. 38. Satellite Master Antenna form is streamlined and modernized as The NPRM inquires as to which data is Television (SMATV) Systems, also proposed in the NPRM. The NPRM particularly burdensome on smaller known as Private Cable Operators tentatively concludes that, at a systems to provide and on whether the (PCOs). SMATV systems or PCOs are minimum, the Commission should burden on small systems to file Form video distribution facilities that use exempt systems that serve fewer than 325 would be significantly reduced if closed transmission paths without using 5,000 subscribers and are not affiliated the Commission streamlines and any public right-of-way. They acquire with a larger operator from filing Form modernizes the form as discussed in the video programming and distribute it via 325, if the form is retained. The NPRM NPRM, if it decides to retain the form. terrestrial wiring in urban and suburban also seeks comment on whether to The NPRM tentatively concludes that, at multiple dwelling units such as exempt other smaller systems from a minimum, the Commission should apartments and condominiums, and having to complete the form or whether exempt systems that serve fewer than commercial multiple tenant units such to maintain the current approach of 5,000 subscribers and are not affiliated as hotels and office buildings. SMATV requiring a sample of smaller cable with a larger operator from filing Form systems or PCOs are now included in systems to file the Form 325 each year. 325, if the form is retained. The NPRM the SBA’s broad economic census Through this NPRM, the Commission asks whether the Commission should category, ‘‘Wired Telecommunications seeks to minimize the administrative exempt other smaller cable systems Carriers,’’ which was developed for burden on cable television systems, from having to complete the form or on small wireline firms. Under this including smaller cable systems, any alternative approaches to alleviate category, the SBA deems a wireline improve the quality and usefulness of the filing burden on smaller systems, business to be small if it has 1,500 or Form 325 data to reflect technological fewer employees. Census data for 2012 and other pertinent industry changes, 56 5 U.S.C. 603(c)(1)–(c)(4).
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such as requiring smaller systems to file Medtronic, Inc., Chuck Powers on ACTION: Notice of intent to prepare an the report every few years instead of behalf of Motorola Solutions, Inc., and environmental impact statement; randomly sampling smaller systems Michael E. Williams, on behalf of Cobra request for written comments. annually. If the Commission decides to Electronics Corporation. SUMMARY: NMFS, in consultation with retain Form 325, it seeks comment on DATES: Oppositions to the Petition must the North Pacific Fishery Management ways in which it can streamline the be filed on or before December 27, 2017. current requirements and thereby Council (Council), announces its intent Replies to an opposition must be filed to prepare an Environmental Impact reduce the burdens on small cable on or before January 8, 2018. system filers. The Commission’s Statement (EIS) on a new halibut ADDRESSES: Federal Communications bycatch management program for evaluation of the comments filed on Commission, 445 12th Street SW, these topics as well as on other groundfish fisheries in the Bering Sea Washington, DC 20554. and Aleutian Islands (BSAI), in questions in the NPRM that seek to FOR FURTHER INFORMATION CONTACT: accordance with the National reduce the burdens placed on small Environmental Policy Act of 1969 cable systems will shape the final Thomas Derenge, email: (NEPA). The proposed action would conclusions it reaches, the final [email protected]; phone: (202) create a new method of managing significant alternatives it considers, and 418–2451 or Scot Stone, email: halibut bycatch that links halibut the actions it ultimately takes in this [email protected]; phone: (202) prohibited species catch (PSC) limits for proceeding to minimize any significant 418–0638. the groundfish fisheries to data on economic impact that may occur on SUPPLEMENTARY INFORMATION: This is a halibut abundance. The proposed action small entities. summary of the Commission’s document, Report No. 3082, released is intended to provide a responsive F. Federal Rules That May Duplicate, December 01, 2017. The full text of the approach for managing halibut bycatch Overlap, or Conflict With the Proposed Petitions is available for viewing and at varying levels of halibut abundance. Rule copying at the FCC Reference The new program would minimize 42. None. Information Center, 445 12th Street SW, halibut bycatch to the extent practicable 43. Accordingly, it is ordered that, Room CY–A257, Washington, DC 20554. while achieving, on a continuing basis, pursuant to the authority found in It also may be accessed online via the optimum yield from the groundfish sections 4(i), 4(j), 303, and 628 of the Commission’s Electronic Comment fisheries. The new management program Communications Act of 1934, as Filing System at: http://apps.fcc.gov/ also could provide additional amended, 47 U.S.C. 154(i), 154(j), 303, ecfs/. The Commission will not send a opportunity for the directed halibut and 548, this Notice of Proposed Congressional Review Act (CRA) fishery at low levels of halibut Rulemaking is adopted. submission to Congress or the abundance compared to the status quo 44. It is further ordered that the Government Accountability Office and promote conservation of the halibut Commission’s Consumer and pursuant to the CRA, 5 U.S.C. because spawning stock biomass, particularly at low levels of abundance. The EIS will Governmental Affairs Bureau, Reference no rules are being adopted by the analyze the impacts to the human Information Center, shall send a copy of Commission. environment resulting from the this Notice of Proposed Rulemaking, Subject: Personal Radio Services, FCC proposed bycatch management program. including the Initial Regulatory 17–57, published at 82 FR 41096, NMFS will accept written comments Flexibility Analysis, to the Chief August 29, 2017, in WT Docket No. 10– from the public to identify the issues of Counsel for Advocacy of the Small 119. This document is being published concern and assist the Council in Business Administration. pursuant to 47 CFR 1.429(e). See also 47 determining the appropriate range of CFR 1.4(b)(1) and 1.429(f), (g). List of Subjects in 47 CFR Part 79 management alternatives for the EIS. Number of Petitions Filed: 3. Cable television operators. DATES: Written comments will be Federal Communications Commission. Federal Communications Commission. accepted through February 16, 2018. Marlene H. Dortch, Marlene H. Dortch, ADDRESSES: You may submit comments Secretary. on this document, identified by NOAA– Secretary. [FR Doc. 2017–26728 Filed 12–11–17; 8:45 am] NMFS–2017–0144, by any of the [FR Doc. 2017–26678 Filed 12–11–17; 8:45 am] BILLING CODE 6712–01–P following methods: BILLING CODE 6712–01–P • Electronic Submission: Submit all electronic public comments via the DEPARTMENT OF COMMERCE Federal e-Rulemaking Portal. Go to FEDERAL COMMUNICATIONS www.regulations.gov/#!docket COMMISSION National Oceanic and Atmospheric Detail;D=NOAA-NMFS-2017-0144, click 47 CFR Part 95 Administration the ‘‘Comment Now!’’ icon, complete the required fields, and enter or attach [WT Docket No. 10–119, RM–10762, RM– 50 CFR Part 679 your comments. 10844; Report No. 3082] • Mail: Submit written comments to RIN 0648–XF852 Glenn Merrill, Assistant Regional Petitions for Reconsideration of Action Administrator, Sustainable Fisheries in Rulemaking Proceeding Fisheries of the Exclusive Economic Zone Off Alaska; Halibut Bycatch Division, Alaska Region NMFS, Attn: AGENCY: Federal Communications Management in the Groundfish Ellen Sebastian. Mail comments to P.O. Commission. Fisheries of the Bering Sea and Box 21668, Juneau, AK 99802–1668. ACTION: Petitions for Reconsideration. Aleutian Islands Instructions: Comments sent by any other method, to any other address or SUMMARY: Petitions for Reconsideration AGENCY: National Marine Fisheries individual, or received after the end of (Petition) have been filed in the Service (NMFS), National Oceanic and the comment period, may not be Commission’s rulemaking proceeding Atmospheric Administration (NOAA), considered by NMFS. All comments by Charles S. Farlow, on behalf of Commerce. received are a part of the public record
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and will generally be posted for public Pacific halibut fisheries through directed halibut fisheries compared to viewing on www.regulations.gov regulations established under the the status quo at low levels of halibut without change. All personal identifying authority of the Northern Pacific Halibut abundance. information (e.g., name, address), Act of 1982 (Halibut Act) (16 U.S.C. NMFS and the Council have confidential business information, or 773–773k). The IPHC adopts regulations determined the preparation of an EIS otherwise sensitive information governing the target fishery for Pacific may be required for this action because submitted voluntarily by the sender will halibut under the Convention between abundance-based halibut PSC limits be publicly accessible. NMFS will the United States and Canada for the may have effects on target and bycatch accept anonymous comments (enter Preservation of the Halibut Fishery of species and their users that are ‘‘N/A’’ in the required fields if you wish the North Pacific Ocean and Bering Sea uncertain or unknown and may result in to remain anonymous). (Convention), signed at Ottawa, Ontario, significant impacts on the human FOR FURTHER INFORMATION CONTACT: on March 2, 1953, as amended by a environment not previously analyzed. Glenn Merrill, (907) 586–7228 or email Protocol Amending the Convention Thus, NMFS and the Council are [email protected]. (signed at Washington, DC, on March initiating scoping for an EIS in the event 29, 1979). For the United States, an EIS is needed. SUPPLEMENTARY INFORMATION: regulations governing the fishery for NMFS and the Council are seeking Authority for Action Pacific halibut developed by the IPHC information from the public through the are subject to acceptance by the EIS scoping process on the range of Under the Magnuson-Stevens Fishery alternatives to be analyzed, and on the Conservation and Management Act Secretary of State with concurrence from the Secretary of Commerce. After environmental, social, and economic (Magnuson-Stevens Act), the United issues to be considered in the analysis. States has exclusive fishery acceptance by the Secretary of State and the Secretary of Commerce, NMFS Written comments generated during this management authority over all living publishes the IPHC regulations in the scoping process will be provided to the marine resources found within the Federal Register as annual management Council and incorporated into the EIS exclusive economic zone (EEZ). The measures pursuant to 50 CFR 300.62. for the proposed action. management of these marine resources, The final rule implementing IPHC with the exception of marine mammals Halibut Bycatch Management in the regulations for 2017 published on and birds, is vested in the Secretary of BSAI Groundfish Fisheries March 7, 2017 (82 FR 12730). Commerce. The Council has the Section 773c(c) of the Halibut Act also The Magnuson-Stevens Act authorizes responsibility to prepare fishery provides the Council with authority to the Council and NMFS to manage management plans for the fishery develop regulations that are in addition groundfish fisheries in the Alaska EEZ resources that require conservation and to, and not in conflict with, approved that take halibut as bycatch. The management in the EEZ off Alaska. IPHC regulations. The Council has groundfish fisheries cannot be Management of the Federal groundfish exercised this authority in the prosecuted without some level of fisheries in the BSAI is carried out development of Federal regulations for halibut bycatch because groundfish and under the Fishery Management Plan for the halibut fishery such as (1) halibut occur in the same areas at the Groundfish of the Bering Sea and subsistence halibut fishery management same times, and no fishing gear or Aleutian Islands Management Area measures, codified at § 300.65; (2) the technique has been developed that can (FMP). The FMP, its amendments, and limited access program for charter avoid all halibut bycatch. However, the implementing regulations (found at 50 vessels in the guided sport fishery, Council and NMFS have taken a number CFR part 679) are developed in codified at § 300.67; and (3) the of management actions over the past accordance with the requirements of the Individual Fishing Quota (IFQ) Program several decades to minimize halibut Magnuson-Stevens Act and other for the commercial halibut and sablefish bycatch in the BSAI groundfish applicable Federal laws and executive fisheries, codified at 50 CFR part 679, fisheries. Most importantly, the Council orders, notably the National under the authority of section 773 of the has designated Pacific halibut and Environmental Policy Act (NEPA) and Halibut Act and section 303(b) of the several other species (herring, salmon the Endangered Species Act (ESA). Magnuson-Stevens Act. and steelhead, king crab, and Tanner The Pacific halibut (Hippoglossus crab) as ‘‘prohibited species’’ (Section stenolepis) resource is fully utilized in Background 3.6.1 of the FMP). By regulation, the Alaska and is a target species in The Council is examining abundance- operator of any vessel fishing for subsistence, personal use, recreational based approaches for halibut PSC limits groundfish in the BSAI must minimize (sport), and commercial fisheries. in the BSAI groundfish fisheries. the catch of prohibited species Halibut have significant social, cultural, Currently, halibut PSC limits are a fixed (§ 679.21(b)(2)(i)). and economic importance to fishery amount of halibut mortality in metric Although halibut is taken as bycatch participants and fishing communities tons. When halibut abundance declines, by vessels using all types of gear (trawl, throughout the geographical range of the halibut PSC becomes a larger proportion hook-and-line, pot, and jig gear), halibut resource. Halibut are also incidentally of total halibut removals and can result bycatch primarily occurs in the trawl taken as bycatch in groundfish fisheries. in lower catch limits for directed halibut and hook-and-line groundfish fisheries. The Magnuson-Stevens Act defines fisheries. Both the Council and the IPHC NMFS manages halibut bycatch in the bycatch as fish which are harvested in have expressed concern about the BSAI by (1) establishing halibut PSC a fishery, but which are not sold or kept impacts of lower catch limits on limits for trawl and non-trawl fisheries; for personal use, and includes economic directed halibut fisheries at low levels (2) apportioning those halibut PSC discards and regulatory discards. The of halibut abundance under the status limits to groundfish sectors, fishery term does not include fish released alive quo. The Council identified abundance- categories, and seasons; and (3) under a recreational catch and release based halibut PSC limits as a potential managing groundfish fisheries to fishery management program. 16 U.S.C. management approach to address this prevent PSC from exceeding the 1802 3(2). concern by linking halibut PSC limits to established limits. The International Pacific Halibut halibut abundance and potentially Consistent with National Standard 1 Commission (IPHC) and NMFS manage providing additional opportunity for the and National Standard 9 of the
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Magnuson-Stevens Act, the Council and opportunity for the directed halibut fishery, substantial changes to many of the NMFS use halibut PSC limits in the and protect the halibut spawning stock current management measures for BSAI groundfish fisheries to minimize biomass, particularly at low levels of halibut PSC in the groundfish fisheries. bycatch to the extent practicable while abundance. The Council recognizes that The EIS will analyze these changes and abundance-based halibut PSC limits may the likely impacts of those changes on achieving, on a continuing basis, increase and decrease with changes in optimum yield from the groundfish halibut abundance. groundfish stocks and participants in fisheries. Halibut PSC limits in the the groundfish fisheries. The EIS also groundfish fisheries provide an In October 2016, the Council will analyze the likely impacts of an additional constraint on halibut PSC identified the following objectives for abundance-based halibut PSC limits on mortality and promote conservation of establishing abundance-based halibut the halibut stock and on participants in the halibut resource. With one limited PSC limits to guide the development of directed halibut fisheries. Alternatives exception for the Bering Sea midwater appropriate management measures and may be formulated based on two pollock fishery described in the tradeoffs among them: elements critical to establishing § 679.21(e)(3)(ii)(C), groundfish fishing 1. Halibut PSC limits should be abundance-based halibut PSC limits: (1) is prohibited once a halibut PSC limit indexed to halibut abundance. A halibut abundance index, and (2) a has been reached for a particular sector 2. Halibut spawning stock biomass control rule informed by abundance or season. Therefore, halibut PSC limits should be protected especially at lower index data that results in a halibut PSC must be set to balance the needs of levels of abundance. limit for the trawl and fixed gear fishermen, fishing communities, and 3. There should be flexibility groundfish fisheries in the BSAI. The U.S. consumers that depend on both provided to avoid unnecessarily Council has identified the following halibut and groundfish resources. constraining the groundfish fishery index and control rule options for In 2015, the Council revised halibut particularly when halibut abundance is preliminary analysis. PSC management in the BSAI high. Possible alternatives for the groundfish fisheries by recommending 4. Provide for directed halibut fishing abundance-based halibut PSC Amendment 111 to the FMP. operations in the Bering Sea. management program could be Amendment 111 reduced halibut PSC 5. Provide for some stability in PSC constructed from one or more of the limits for the BSAI groundfish fisheries limits on an inter-annual basis. following options, in addition to those In October 2017, the Council by 21 percent. NMFS implemented developed through the public scoping requested a preliminary analysis using Amendment 111 on May 27, 2016 (81 and Council processes: specific elements and options it intends FR 24714). In February 2015, in 1. Abundance index and application: to consider in developing alternatives conjunction with review of the analysis Establish halibut abundance indices for abundance-based halibut PSC limits. prepared for Amendment 111, the using the annual NMFS eastern Bering The Council and NMFS also agreed to Council also requested an initial Sea trawl survey and the annual IPHC initiate scoping to prepare an EIS for the evaluation of possible approaches to setline survey. Data from these indices proposed action to establish abundance- link BSAI halibut PSC limits to data or may be applied separately or in based halibut PSC limits in the BSAI model-based abundance estimates of combination to establish trawl and fixed groundfish fisheries. Additional halibut. The Council reviewed this gear halibut PSC limits. information on the Council’s 2. Control rule: Using the selected initial evaluation at its December 2015 development of abundance-based abundance index, establish a control meeting and requested additional halibut PSC limits is available on the rule that results in annual halibut PSC information on appropriate indices for Council’s website at http:// limits for the trawl and fixed gear use in indexing halibut abundance to www.npfmc.org/. groundfish fisheries in the BSAI. The PSC limits in the BSAI. control rule to establish halibut PSC In April 2016, the Council reviewed Proposed Action limits may have one or more of the additional information on abundance- The EIS will analyze the proposed following features: based approaches for halibut PSC limits action to establish halibut PSC limits for • Control rule application: The and unanimously adopted a purpose the BSAI groundfish fisheries that can control rule could be applied through a and need statement to establish vary with changes in halibut abundance. mathematical formula to specify halibut abundance-based halibut PSC limits for Abundance-based halibut PSC limits PSC limits based on the abundance the BSAI groundfish fisheries. The would replace current PSC limits that index data. The control rule also could Council refined the purpose and need establish a fixed amount of halibut PSC be applied through a decision statement at subsequent meetings in as the limit for each groundfish sector framework that identifies specific ranges 2016 and 2017: in the BSAI. The proposed action would of halibut abundance levels and the The current fixed yield based halibut PSC apply to participants in Federal resulting halibut PSC limits. For caps are inconsistent with management of the groundfish fisheries prosecuted in the example, the control rule could directed halibut fisheries and Council BSAI using trawl and non-trawl (fixed) associate low, intermediate and high management of groundfish fisheries, which are managed based on abundance. When gear. This area is defined at § 679.2 and levels of the spawning biomass with halibut abundance declines, PSC becomes a shown in Figure 1 to 50 CFR part 679. low, intermediate and high PSC limits. • Responsiveness of control rule to larger proportion of total halibut removals Alternative Elements and Options for and thereby further reduces the proportion abundance changes: The control rule and amount of halibut available for harvest Abundance-Based Halibut PSC Limits could result in halibut PSC limits that in directed halibut fisheries. Conversely, if NMFS, in coordination with the change proportionally with changes in halibut abundance increases, halibut PSC Council, will evaluate a range of the abundance index or PSC limits that limits could be unnecessarily constraining. alternative methods for establishing change in different proportions relative The Council is considering linking PSC abundance-based halibut annual PSC to the abundance index to meet specific limits to halibut abundance to provide a responsive management approach at varying limits for the groundfish fisheries in the objectives. For example, a control rule levels of halibut abundance. The Council is BSAI. NMFS and the Council recognize could limit annual variability in halibut considering abundance-based PSC limits to that implementation of abundance- PSC limits, as determined by halibut control total halibut mortality, provide an based halibut PSC limits could result in abundance, to achieve the objective of
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stability in PSC limits on an inter- proposed action. A principal objective accepted at the address above (see annual basis or to provide flexibility to of the scoping and public involvement ADDRESSES). Please visit the NMFS avoid unnecessarily constraining the process is to identify a range of Alaska Region website at http:// groundfish fishery, particularly when reasonable management alternatives www.alaskafisheries.noaa.gov for more halibut abundance is high. that, with adequate analysis, will information on the EIS to establish • Starting point for PSC limit: The delineate critical issues and provide a abundance-based halibut PSC limits for control rule will have a PSC limit clear basis for distinguishing among the BSAI groundfish fisheries and for starting point to which the abundance those alternatives and selecting a guidance on submitting effective written index will be applied to determine preferred alternative. Through this public comments. halibut PSC limits for the groundfish document, NMFS is notifying the public The public is invited to participate fisheries in any given year. The starting that an EIS and decision-making process and provide input at Council meetings point could be based on the current PSC for this proposed action have been where the latest scientific information limit or halibut PSC use. initiated so that interested or affected • Maximum and/or minimum PSC regarding the BSAI groundfish fisheries people may participate and contribute is reviewed and alternatives for limits: The control rule could establish to the final decision. a maximum and/or minimum value for abundance-based halibut PSC limits are the halibut PSC limit for groundfish NMFS is seeking written public developed and evaluated. Notice of fisheries. Maximum and/or minimum comments on the scope of issues, future Council meetings will be PSC limits would limit the total amount including potential impacts, and published in the Federal Register and of halibut PSC that can be taken at alternatives that should be considered to on the internet at http:// varying levels of halibut abundance and establish abundance-based halibut PSC www.npfmc.org/. Please visit this could promote the objectives to protect limits for the groundfish fisheries in the website for information and guidance on the halibut spawning stock biomass and BSAI. Written comments should be as participating in Council meetings. provide for directed halibut fishing specific as possible to be the most Authority: 16 U.S.C. 1801 et. seq. operations in the Bering Sea. helpful. Written comments received during the scoping process, including Dated: December 7, 2017. Public Involvement the names and addresses of those Emily H. Menashes, Scoping is an early and open process submitting them, will be considered Acting Director, Office of Sustainable for determining the scope of issues to be part of the public record of this proposal Fisheries, National Marine Fisheries Service. addressed in an EIS and for identifying and will be available for public [FR Doc. 2017–26734 Filed 12–11–17; 8:45 am] the significant issues related to the inspection. Written comments will be BILLING CODE 3510–22–P
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Notices Federal Register Vol. 82, No. 237
Tuesday, December 12, 2017
This section of the FEDERAL REGISTER potential persons who are to respond to DEPARTMENT OF COMMERCE contains documents other than rules or the collection of information that such proposed rules that are applicable to the persons are not required to respond to Census Bureau public. Notices of hearings and investigations, the collection of information unless it committee meetings, agency decisions and Proposed Information Collection; displays a currently valid OMB control rulings, delegations of authority, filing of Comment Request; The American number. petitions and applications and agency Community Survey statements of organization and functions are Food Safety and Inspection Service examples of documents appearing in this AGENCY: U.S. Census Bureau, section. Title: Salmonella Initiative Program. Commerce. OMB Control Number: 0583–0154. ACTION: Notice. DEPARTMENT OF AGRICULTURE Summary of Collection: The Food SUMMARY: The Department of Safety and Inspection Service (FSIS) has Submission for OMB Review; Commerce, as part of its continuing been delegated the authority to exercise Comment Request effort to reduce paperwork and the functions of the Secretary as respondent burden, invites the general December 7, 2017. provided in the Federal Meat Inspection public and other Federal agencies to The Department of Agriculture has Act (FMIA) (21 U.S.C. 601 et seq.), the take this opportunity to comment on submitted the following information Poultry Products Inspection Act (PPIA) proposed and/or continuing information collection requirement(s) to OMB for (21 U.S.C. 451 et seq.). These statutes collections, as required by the review and clearance under the mandate that FSIS protect the public by Paperwork Reduction Act of 1995. Paperwork Reduction Act of 1995, ensuring that meat and poultry products DATES: To ensure consideration, written Public Law 104–13. Comments are are safe, wholesome, unadulterated, and requested regarding (1) whether the comments must be submitted on or properly labeled and packaged. The before February 12, 2018. collection of information is necessary Salmonella initiative Program (SIP) for the proper performance of the offers incentives to meat and poultry ADDRESSES: Please direct all written functions of the agency, including slaughter establishments to control comments to Jennifer Jessup, whether the information will have Salmonella in their operations. SIP Departmental Paperwork Clearance practical utility; (2) the accuracy of the Officer, Department of Commerce, Room benefits public health because it agency’s estimate of burden including 6616, 14th and Constitution Avenue encourages establishments to test for the validity of the methodology and NW, Washington, DC 20230 (or via the microbial pathogens, which is a key assumptions used; (3) ways to enhance internet at [email protected]). the quality, utility and clarity of the feature of effective process control. You may also submit comments, information to be collected; and (4) Need and Use of the Information: identified by Docket number USBC– ways to minimize the burden of the Under SIP, establishments will share 2017–0005, to the Federal e-Rulemaking collection of information on those who their data with the Food Safety and Portal: http://www.regulations.gov. All are to respond, including through the Inspection Service (FSIS); this will help comments received are part of the use of appropriate automated, the Agency in formulating its policy. public record. No comments will be electronic, mechanical, or other Establishments that want to enter SIP posted to http://www.regulations.gov for technological collection techniques or must send a protocol to FSIS informing public viewing until after the comment other forms of information technology. the Agency about their plans for period has closed. Comments will Comments regarding this information implementing SIP in their generally be posted without change. All collection received by January 11, 2018 establishment, including data Personally Identifiable Information (for will be considered. Written comments collection, objectives and methods of example, name and address) voluntarily should be addressed to: Desk Officer for evaluating the new technology for submitted by the commenter may be Agriculture, Office of Information and publicly accessible. Do not submit Regulatory Affairs, Office of which they are receiving the regulator waiver. Confidential Business Information or Management and Budget (OMB), New otherwise sensitive or protected Executive Office Building, 725 17th Description of Respondents: Business information. You may submit Street NW, Washington, DC 20502. or other for-profit. attachments to electronic comments in Commenters are encouraged to submit Number of Respondents: 50. Microsoft Word, Excel, WordPerfect, or their comments to OMB via email to: Adobe PDF file formats only. [email protected] or Frequency of Responses: fax (202) 395–5806 and to Departmental Recordkeeping; Reporting: On occasion. FOR FURTHER INFORMATION CONTACT: Clearance Office, USDA, OCIO, Mail Total Burden Hours: 8,256. Requests for additional information or Stop 7602, Washington, DC 20250– copies of the information collection 7602. Copies of the submission(s) may Ruth Brown, instrument(s) and instructions should be obtained by calling (202) 720–8958. Departmental Information Collection be directed to Robin A. Pennington, Rm. An agency may not conduct or Clearance Officer. 2H465, U.S. Census Bureau, Decennial sponsor a collection of information [FR Doc. 2017–26706 Filed 12–11–17; 8:45 am] Census Management Division, Washington, DC 20233 or via email to unless the collection of information BILLING CODE 3410–DM–P displays a currently valid OMB control [email protected]. number and the agency informs SUPPLEMENTARY INFORMATION:
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I. Abstract make the intent of the Telephone Weeks Worked Since the founding of the nation, the Service question easier to understand by The changes to the question on the U.S. Census has mediated between the respondents and interviewers, the number of weeks worked were made to demands of a growing country for question was made a stand-alone allow the Census Bureau to provide information about its economy and question and additional instructions are high-quality, continuous measures for people, and the people’s privacy and provided on the types of telephones and the number of weeks worked, such as respondent burden. Beginning with the equipment respondents should include means, medians, and aggregates. In 1810 Census, Congress added questions when answering the question. addition, the changes enable additional to support a range of public concerns Currently, telephone service is asked as specificity for weeks worked, and uses, and over the course of a part of a broader question on housing particularly with hours worked, income, century questions were added about characteristics. and occupation. Part A of the question agriculture, industry, and commerce, as Health Insurance regarding the time period of interest was well as occupation, ancestry, marital rephrased from working ‘‘50 or more status, disabilities, and other topics. In A question on health insurance weeks’’ to ‘‘EVERY week’’ and 1940, the U.S. Census Bureau premiums and subsidies will be additional information is provided in introduced the long form and, since introduced to the ACS immediately the second sentence. The original then, the more detailed questions were following the current question on health instruction of ‘‘Count paid time off as only asked of a sample of the public. insurance coverage. The question on work’’ was changed to ‘‘Count paid The American Community Survey premiums and subsidies asks if a person vacation, paid sick leave, and military (ACS), launched in 2005, is the current pays a health insurance premium, and service as work.’’ For part B of the embodiment of the long form of the if so, if he or she received a subsidy to question, the response option was census and is asked each year of a help pay the premium. This question changed to a write-in response, the sample of the U.S. population in order will provide more accurate information reference period (‘‘the PAST 12 to provide current data needed more about coverage categories than available MONTHS’’) is repeated, and new often than once every ten years. from the existing ACS question on guidance clarifies what to count as The content of the proposed 2019 current coverage alone. These data will work. ACS questionnaire and data collection enhance the ability of HHS and the Class of Worker instruments for both Housing Unit and states to administer Medicaid, CHIP, Group Quarters operations reflects and the exchanges, and monitor private Changes to the Class of Worker changes to content and instructions that insurance coverage. question improve overall question were proposed as a result of the 2016 Journey to Work clarity, refine the definition of unpaid ACS Content Test. The Census Bureau family workers, explicitly define a periodically conducts tests of new and Changes to the Commute Mode category for Active Duty military, improved survey content to ensure the question were motivated by changes in improve question wording and ACS is meeting the data needs of its public transportation infrastructure categories, and improve the layout of stakeholders. The primary objective of across the United States, particularly the the question. Response categories were content tests is to test whether changes increased prevalence of light rail grouped under three general headings. to question wording, response systems and the need to update and ‘‘Active Duty’’ was added as one of the categories, and definitions of underlying clarify the terminology used to refer to response categories in the government constructs improve the quality of data commute modes that appear as section, and the ‘‘Active Duty’’ collected. categories on the ACS. To improve the checkbox was dropped from the The ACS is one of the Department of Commute Mode question, some of the Employer Name question. Question and Commerce’s most valuable data public transportation modes were response category wording were revised products, used extensively by modified. The category ‘‘Streetcar or for clarity. To signal that all six businesses, non-governmental trolley car’’ was changed to ‘‘Light rail, employment characteristics questions organizations (NGOs), local street car, or trolley,’’ ‘‘Subway or refer to the same job (including industry governments, and many federal elevated’’ was changed to ‘‘Subway or and occupation), the series was agencies. In conducting this survey, the Elevated Rail,’’ and ‘‘Railroad’’ was renumbered from separate questions to Census Bureau’s top priority is changed to ‘‘Long-distance train or a single series with sub-questions. respecting the time and privacy of the commuter rail.’’ These three rail-related Lastly, the instructional text and people providing information while categories were also slightly reordered heading for the series immediately preserving the survey’s value to the so that ‘‘Subway or elevated rail,’’ the preceding the Class of Worker question public. The 2019 survey content most prevalent rail mode, is listed first. was simplified. changes cover several topics: The phrase ‘‘trolley bus’’ was dropped and the phrase ‘‘work at home’’ was Industry and Occupation Telephone Service changed to ‘‘work from home.’’ The Ongoing research of the Industry and The rise of cellphone and smartphone subheading of instructions was Occupation question write-in responses usage, and other complex and varied simplified to read ‘‘Mark ONE box for has demonstrated that the questions telephone services and equipment, has the method of transportation used for were unclear and confusing to changed how people view and use most of the distance.’’ The Time of respondents, who were unable to telephones in a household. Research Departure question has historically answer at all or answer with sufficient also suggests that some respondents, or raised concerns about privacy because clarity to provide useful data. To in some cases interviewers, may not of the reference to the time a person increase clarity and improve fully understand the current wording of leaves home. To phrase the question in occupational specificity, these questions the survey question on Telephone a less intrusive way, the question was were revised to include new and Service, the additional instructions that changed to ask what time the person’s consistent examples, in terms of content accompany the question, or what the trip to work began and to remove the and length, and include modified question is intending to capture. To word ‘‘home.’’ question wording. The number of
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characters for write-in responses about two unmarried partner categories were approval to the OMB and the Census ‘‘Job Duties’’ was expanded from 60 to moved from near the end of the list of Bureau. For the 2016 ACS Content Test, 100 characters. response options to near the beginning, initial versions of the new and revised immediately after the ‘‘Husband/wife/ questions were proposed by federal Retirement Income spouse’’ options. An automated agencies participating in the OMB Over the last 40 years, defined relationship/sex consistency check will Interagency Committee for the ACS. The contribution retirement plans have be included in electronic instruments to initial proposals contained a become increasingly common while provide respondents an opportunity to justification for each change and defined benefit plans (such as pensions) change their sex or relationship described any previous testing of the have become less so. Federal surveys responses when there is an question wording, the expected impact have lagged in addressing these newer inconsistency in the reported sex of an of revisions to the time series and the forms of retirement income and individual and whether their single-year as well as five-year subsequently underreport retirement relationship was reported as ‘‘Opposite- estimates, and the estimated net impact income. The Retirement, Survivor, and sex’’ or ‘‘Same-sex’’ husband/wife/ on respondent burden for the proposed Disability Income question was changed spouse or unmarried partner. This check revision. For proposed new questions, to improve income reporting, increase reduces the inconsistency in responses the justification also described the need item response rates, reduce reporting for a given household and improves the for the new data, whether federal law or errors, and update questions on quality of the relationship data. The regulation required the data for small retirement income and the income category ‘‘Roomer or boarder’’ has been areas or small population groups, if generated from retirement accounts and dropped from the Relationship question. other data sources were currently all other assets in order to better available to provide the information Race and Hispanic Origin measure retirement income data. The (and why any alternate sources were question was expanded to ask about The 2016 ACS Content Test served as insufficient), how policy needs or ‘‘retirement income, pensions, survivor an operational test of the race and emerging data needs would be or disability income.’’ In addition, the ethnicity questions that were previously addressed through the new question, an instructions that accompany the tested on the 2015 National Content explanation of why the data were question were expanded to note that Test (NCT). While recommendations needed with the geographic precision income from ‘‘a previous employer or about the race and ethnicity questions and frequency provided by the ACS, union, or any regular withdrawals or adopted for the 2020 Census and and whether other testing or production distributions from IRA, Roth IRA, production ACS will be based on the surveys had evaluated the use of the 401(k), 403(b) or other accounts results of the census tests and decisions proposed questions. specifically designed for retirement’’ made in consultation with the Office of The Census Bureau and the OMB, as should be included. Management and Budget (OMB), the well as the ICSP Subcommittee, 2016 ACS Content Test provided an Relationship reviewed these proposals for the ACS. opportunity to test data collection The OMB determined which proposals For several years, the Census Bureau modes and examine other data not moved forward into cognitive testing. has been testing revised Relationship available in the 2015 NCT. The 2016 After OMB approval of the proposals, questions to improve the estimates of ACS Content Test evaluated topical subcommittees were formed coupled households. The 1990 Census interviewer-administered collection from the OMB Interagency Committee first introduced ‘‘Unmarried Partner’’ as modes, assessed the race and ethnicity on the ACS, which included all a response category to the Relationship questions against demographic and interested federal agencies that use the to Householder question. The 2000 and socioeconomic data, and separately data from the proposed questions. These 2010 Censuses built upon this work, compared the race and ethnicity results subcommittees further refined the changing the processing of responses to to data from the ancestry question. In specific proposed wording in the Relationship question to more 2020 or later, the ACS will adopt the preparation for cognitive testing. accurately represent same-sex couples. final version of the race and Hispanic The Census Bureau contracted with The Census Bureau discovered a origin questions that are implemented Westat, an internationally recognized statistical error in the 2010 Census data for the 2020 Census. organization with expertise in statistical that resulted from opposite-sex couples research and survey methods, to II. Method of Collection mismarking their sex. This error has the conduct three rounds of cognitive potential to inflate the estimates of In August 2012, the OMB in testing. The results of the first two same-sex, married-couple households conjunction with the Census Bureau rounds of cognitive testing informed from the 2010 Census. The Census established a Subcommittee of the decisions on specific revisions to the Bureau released a set of modified state- Interagency Council on Statistical Policy proposed content for the stateside 2016 level, same-sex household estimates (ICSP) to address ACS matters. The ICSP ACS Content Test. The proposed from the 2010 Census because of this Subcommittee on the ACS exists to changes, identified through cognitive error, and also began new research advise the Chief Statistician at OMB and testing for each question topic, were efforts to improve the Relationship the Director of the Census Bureau on reviewed by the Census Bureau, the question. how the ACS can best fulfill its role in corresponding topical subcommittee, The Relationship question has been the portfolio of Federal household and the ICSP Subcommittee for the revised to improve measurement of surveys and provide the most useful ACS. The OMB then provided final same-sex couples. The existing information with the least amount of overall approval of the proposed ‘‘Husband or wife’’ and ‘‘Unmarried burden. It may also advise Census wording for field testing. partner’’ response categories were each Bureau technical staff on issues they The public is invited to comment on split into two versions: ‘‘Opposite-sex request the subcommittee to examine or all questions on the ACS; however, the husband/wife/spouse,’’ ‘‘Opposite-sex that otherwise arise in discussions. The Census Bureau is particularly interested unmarried partner,’’ ‘‘Same-sex ICSP Subcommittee on the ACS in comments on the wording changes to husband/wife/spouse,’’ and ‘‘Same-sex reviewed the proposed 2019 ACS the nine ACS questions listed above, unmarried partner.’’ Additionally, the content changes and recommended their which are proposed to be changed based
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on the results of the 2016 ACS Content DEPARTMENT OF DEFENSE www.regulations.gov. Follow the Test. Concurrently, Federal agencies instructions for submitting comments. that are the principal sponsors of these Defense Acquisition Regulations Instructions: All submissions received nine questions are invited to respond System must include the agency name, docket either directly to the Census Bureau or [Docket Number DARS–2016–0024; OMB number, and title for the Federal through this notice. Control Number 0704–0332] Register document. The general policy for comments and other public III. Data Submission for OMB Review; submissions from members of the public is to make these submissions available OMB Control Number: 0607–0810. Comment Request for public viewing on the internet at Form Number(s): ACS–1(2019). ACTION: Notice. http://www.regulations.gov as they are Type of Review: Regular submission. received without change, including any SUMMARY: The Department of Defense Affected Public: Federal and personal identifiers or contact has submitted to OMB, for clearance, information provided. To confirm legislative agencies, individuals, the following proposal for collection of receipt of your comment(s), please households, and businesses. information under the provisions of the check http://www.regulations.gov Estimated Time per Response: 40 Paperwork Reduction Act. approximately two to three days after minutes for the average household DATES: Consideration will be given to all submission to verify posting (except questionnaire. comments received by January 11, 2018. allow 30 days for posting of comments Estimated Total Annual Burden SUPPLEMENTARY INFORMATION: submitted by mail). Hours: The Census Bureau plans to Title, Associated Form, and OMB DoD Clearance Officer: Mr. Frederick contact the following number of Number: Defense Federal Acquisition C. Licari. Written requests for copies of respondents each year: 3,540,000 Regulation Supplement (DFARS) the information collection proposal households; 200,000 persons in group Appendix I, DoD Pilot Mentor-Protege should be sent to Mr. Licari at: Program; OMB Control Number 0704– quarters; 20,000 contacts in group Information Collections Program, WHS/ 0332. quarters; 43,000 households for ESD Office of Information Management, Type of Request: Reinstatement with reinterview; and 1,500 group quarters 4800 Mark Center Drive, 3rd Floor, East change. contacts for reinterview. The estimate is Tower, Suite 03F09, Alexandria, VA Number of Respondents: 122. 22350–3100. an annual average of 2,337,900 burden Responses per Respondent: hours. Approximately 2. Jennifer L. Hawes, Estimated Total Annual Cost to Annual Responses: 240. Editor, Defense Acquisition Regulations Public: $0. Average Burden per Response: 1 hour. System. Annual Response Burden Hours: 240. [FR Doc. 2017–26715 Filed 12–11–17; 8:45 am] Respondent’s Obligation: Mandatory. Reporting Frequency: Two times per BILLING CODE 5001–06–P Legal Authority: Title 13 U.S.C. Sections year for mentor firms; one time per year 141 and 193. for protege firms. Needs and Uses: DoD needs this DEPARTMENT OF DEFENSE IV. Request for Comments information to ensure that participants Department of the Army; Corps of Comments are invited on: (a) Whether in the Mentor-Protege Program (‘‘the Engineers the proposed collection of information Program’’) are fulfilling their obligations under the mentor-protege agreements is necessary for the proper performance Availability of Elizabeth River and and that the Government is receiving of the functions of the agency, including Southern Branch Navigation value for the benefits it provides whether the information shall have Improvements Draft General through the Program. DoD uses the practical utility; (b) the accuracy of the Reevaluation Report/Environmental information as source data for reports to agency’s estimate of the burden Assessment (including hours and cost) of the Congress required by section 811(d) of proposed collection of information; (c) the National Defense Authorization Act AGENCY: Department of the Army, U.S. ways to enhance the quality, utility, and for Fiscal Year 2000 (Pub. L. 106–65). Army Corps of Engineers, DoD. clarity of the information to be Participation in the Program is ACTION: Notice of availability. collected; and (d) ways to minimize the voluntary. Affected Public: Businesses and other SUMMARY: The U.S. Army Corps of burden of the collection of information for-profit entities and not-for-profit Engineers (USACE) in association with on respondents, including through the institutions. the nonfederal sponsor, the Virginia use of automated collection techniques Respondent’s Obligation: Required to Port Authority, an agent of the or other forms of information obtain or retain benefits. Commonwealth of Virginia, announces technology. OMB Desk Officer: Ms. Jasmeet the availability of the Elizabeth River Comments submitted in response to Seehra. and Southern Branch Navigation this notice will be summarized and/or Written comments and Improvements Draft General included in the request for OMB recommendations on the proposed Reevaluation Report/Environmental approval of this information collection; information collection should be sent to Assessment (GRR/EA) for public review they also will become a matter of public Ms. Seehra at the Office of Management and comment. The purpose of this Draft record. and Budget, Desk Officer for DoD, Room GRR/EA is to evaluate alternatives that 10236, New Executive Office Building, have the potential to improve the Sheleen Dumas, Washington, DC 20503. current and future operational efficiency Departmental PRA Lead, Office of the Chief You may also submit comments, of commercial vessels currently using Information Officer. identified by docket number and title, the Norfolk Harbor federal channel in [FR Doc. 2017–26726 Filed 12–11–17; 8:45 am] by the following method: Federal the Elizabeth River. Channel deepening BILLING CODE 3510–07–P eRulemaking Portal: http:// alternatives were evaluated as well as
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the No Action/Future without Project Chesapeake Extension to a required DEPARTMENT OF EDUCATION Alternative. Pursuant to the National depth of 35 feet (Segment 3). [Docket No.: ED–2017–ICCD–0083] Environmental Policy Act (NEPA) of Implementation of the Preferred 1969, as amended, the USACE Agency Information Collection developed the draft GRR/EA to examine Alternative would have the potential to impact water quality, benthic resources, Activities; Submission to the Office of and assess the impacts of the project Management and Budget for Review alternatives and determined that cultural resources, floodplains, federally listed threatened and endangered and Approval; Comment Request; implementation of the Proposed Action Evaluation of the ESEA Title VI Indian species, marine mammals, and other would not result in significant impacts. Education LEA Grants Program DATES: The Draft GRR/EA is available natural resources. The Proposed Action for a 30-day review period. Written must be located in a floodplain in order AGENCY: Office of Planning, Evaluation comments, pursuant to the NEPA, will to use the Craney Island Dredged and Policy Development (OPEPD), be accepted until the close of public Material Management Area (CIDMMA) Department of Education (ED). review at the close of business on as a dredged material placement site. ACTION: Notice. January 15, 2018. The Proposed Action will adhere to the SUMMARY: In accordance with the ADDRESSES: Written comments or 8-step process as outlined under Executive Order 11988, Floodplain Paperwork Reduction Act of 1995, ED is questions from the public may be proposing a new information collection. submitted to the U.S. Army Corps of Management. DATES: Interested persons are invited to Engineers, Norfolk District, ATTN: Mr. Alternatives. The Draft GRR/EA submit comments on or before January David Schulte, Planning Branch, considers a reasonable range deepening 11, 2018. Environmental Analysis Section alternatives in the project channels to (CENAO–WR–PE), 803 Front Street, ADDRESSES: To access and review all the meet the proposed action’s purpose and documents related to the information Norfolk, VA 23510 or via email to need. It also incorporates measures to [email protected]. collection listed in this notice, please avoid and minimize impacts to use http://www.regulations.gov by FOR FURTHER INFORMATION CONTACT: Mr. threatened and endangered species, fish searching the Docket ID number ED– David Schulte, 757–201–7007. and wildlife species, estuarine and 2017–ICCD–0083. Comments submitted SUPPLEMENTARY INFORMATION: The marine habitat, and other resources. In in response to this notice should be document is available at the following response to problems and opportunities, submitted electronically through the locations: (1) Elizabeth River and a range of alternatives was evaluated Federal eRulemaking Portal at http:// Southern Branch Navigation through an iterative screening and www.regulations.gov by selecting the Improvements website: http://www.nao. formulation process, resulting in Docket ID number or via postal mail, usace.army.mil/About/Projects/ identification of a Preferred Alternative. commercial delivery, or hand delivery. ElizabethRiverSouthernBranch Public Involvement. On September 22, Please note that comments submitted by Nav.aspx, (2) Slover Public Library, 235 fax or email and those submitted after East Plume Street, Norfolk, VA 23510. 2015, a Notice of Intent to publish an EA was published, along with the comment period will not be (3) Copies may also be requested in accepted. Written requests for information on a NEPA public scoping writing at (see ADDRESSES). information or comments submitted by Proposed Action. The Study Area is meeting on September 24, 2015. A postal mail or delivery should be located in Hampton Roads, a 25 square- Federal Register Notice was also addressed to the Director of the mile natural harbor serving port published to announce the initiation of Information Collection Clearance facilities in the cities of Norfolk, the feasibility study and also the public Division, U.S. Department of Education, Newport News, Portsmouth, NEPA scoping meeting. As part of the 400 Maryland Avenue SW, LBJ, Room Chesapeake, and Hampton in public involvement process, all affected 216–34, Washington, DC 20202–4537. southeastern Virginia. The study area federal, Commonwealth of Virginia, and consists of a of a federally improved FOR FURTHER INFORMATION CONTACT: For local agencies, private organizations, specific questions related to collection channel extending from Lamberts Bend and the public were invited to the (on the main stem of the Elizabeth activities, please contact Joanne Bogart, Public Scoping Meeting on September 202–205–7855. River) to the Chesapeake Extension in 24, 2015 in Norfolk, Virginia. the southern branch of the Elizabeth SUPPLEMENTARY INFORMATION: The River. This study is authorized under Department of Education (ED), in The Action Alternative consists of Section 216 of the Flood Control Act of accordance with the Paperwork constructing and maintaining the 1970 (Pub. L. 91–611), which authorizes Reduction Act of 1995 (PRA) (44 U.S.C. following features: the review of completed projects in the 3506(c)(2)(A)), provides the general • Deepening the channel from interest of navigation and related public and Federal agencies with an Lamberts Bend to Perdue Farms purposes to determine the feasibility of opportunity to comment on proposed, (Segment 1a) from a required depth of further port deepening. revised, and continuing collections of 40 feet to 45 feet deep in Segment 1a, information. This helps the Department and deepening the channel from Perdue Brenda S. Bowen, assess the impact of its information Farms to the Norfolk Southern Lift Army Federal Register Liaison Officer. collection requirements and minimize Bridge (Segment 1b) from a required [FR Doc. 2017–26724 Filed 12–11–17; 8:45 am] the public’s reporting burden. It also depth of 40 feet to 42 feet. BILLING CODE 3720–58–P helps the public understand the • Deepening the channel from the Department’s information collection Norfolk Southern Lift Bridge to the requirements and provide the requested Gilmerton Bridge (Segment 2), from a data in the desired format. ED is required depth of 35 feet to 39 feet deep; soliciting comments on the proposed and information collection request (ICR) that • Continuing to maintain the channel is described below. The Department of from the Gilmerton Bridge to the Education is especially interested in
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public comment addressing the ACTION: Notice of availability—FY 2016 Register. Free internet access to the following issues: (1) Is this collection service contract inventory. official edition of the Federal Register necessary to the proper functions of the and the Code of Federal Regulations is Department; (2) will this information be SUMMARY: Through this notice, the available via the Federal Digital System processed and used in a timely manner; Secretary announces the availability of at: www.gpo.gov/fdsys. At this site you (3) is the estimate of burden accurate; the Department of Education’s service can view this document, as well as all (4) how might the Department enhance contract inventory on its website, at other documents of this Department the quality, utility, and clarity of the https://www2.ed.gov/fund/data/report/ published in the Federal Register, in information to be collected; and (5) how contracts/ text or Portable Document Format might the Department minimize the servicecontractinventoryappendix/ (PDF). To use PDF you must have burden of this collection on the servicecontractinventory.html. A service Adobe Acrobat Reader, which is contract inventory is a tool for assisting respondents, including through the use available free at the site. an agency in better understanding how of information technology. Please note You may also access documents of the contracted services are being used to that written comments received in Department published in the Federal support mission and operations and response to this notice will be Register by using the article search whether the contractors’ skills are being considered public records. feature at: www.federalregister.gov. utilized in an appropriate manner. Title of Collection: Evaluation of the Specifically, through the advanced ESEA Title VI Indian Education LEA FOR FURTHER INFORMATION CONTACT: search feature at this site, you can limit Grants Program. Camille Manuel, U.S. Department of your search to documents published by OMB Control Number: 1875—NEW. Education, 400 Maryland Avenue SW, the Department. Type of Review: A new information Washington, DC 20202. Telephone: Program Authority: Section 743 of collection. 202–245–6658 or by email: Division C of the Consolidated Respondents/Affected Public: State, [email protected]. Appropriations Act of 2010, Public Law If you use a telecommunications Local, and Tribal Governments. 111–117. Total Estimated Number of Annual device for the deaf or a text telephone, Responses: 434. call the Federal Relay Service, toll free, Dated: December 6, 2017. Total Estimated Number of Annual at 1–800–877–8339. Timothy Soltis, Burden Hours: 295. SUPPLEMENTARY INFORMATION: Section Acting Chief Financial Officer. Abstract: This data collection request 743 of Division C of the Consolidated [FR Doc. 2017–26775 Filed 12–11–17; 8:45 am] supports a national evaluation of the Appropriations Act of 2010, Public Law BILLING CODE 4000–01–P Title VI Grants Program that will 111–117, requires civilian agencies, describe how grantees identify eligible other than the Department of Defense, children, and plan and implement that are required to submit an inventory DEPARTMENT OF ENERGY program priorities with parent, in accordance with the Federal community and tribal involvement; help Activities Inventory Reform Act of 1998 Hydrogen and Fuel Cell Technical AI/AN students meet state standards; (Pub. L. 105–270, 31 U.S.C. 501 note) to Advisory Committee (HTAC) align and leverage program funded submit their inventories to the Office of services with other resources; and assess Federal Procurement Policy in the AGENCY: Office of Energy Efficiency and student outcomes. This information will Office of Management and Budget by Renewable Energy, Department of inform the U.S. Department of December 31, 2016. In addition, section Energy. Education’s Office of Indian Education 743 requires these agencies, which ACTION: Notice of open meeting. (OIE), other federal policy, budget and include the Department of Education, to SUMMARY: This notice announces an program staff, and grantees about the (1) make the inventory available to the open meeting of the Hydrogen and Fuel implementation of current practices. To public, and (2) publish in the Federal Cell Technical Advisory Committee gather consistent information that Register a notice announcing that the (HTAC). The Federal Advisory addresses questions about how Title VI inventory is available to the public Committee Act requires notice of the grantees are identifying eligible children along with the name, telephone number, meeting be announced in the Federal and planning and implementing and email address of an agency point of Register. services for them, it is necessary to contact. collect additional information beyond Through this notice, the Department DATES: Tuesday, February 13, 2018, 8:30 current federal data collections (e.g., announces the availability of its a.m.–5:45 p.m. Annual Performance Reports and EASIE inventory on the following website: Wednesday, February 14, 2018, 8:00 Budget Reports provided by the OIE). http://www2.ed.gov/fund/data/report/ a.m.–12:00 p.m. contracts/ Dated: December 7, 2017. ADDRESSES: National Renewable Energy servicecontractinventoryappendix/ Kate Mullan, Laboratory, 901 D Street SW, Suite 930, servicecontractinventory.html. The Washington, DC 20024. Acting Director, Information Collection point of contact for the inventory is Clearance Division, Office of the Chief Privacy FOR FURTHER INFORMATION CONTACT: provided under FOR FURTHER Officer, Office of Management. Email: [email protected] or at the mailing INFORMATION CONTACT. address: Shawna McQueen, Designated [FR Doc. 2017–26723 Filed 12–11–17; 8:45 am] Accessible Format: Individuals with Federal Officer, U.S. Department of BILLING CODE 4000–01–P disabilities can obtain this document in Energy, Office of Energy Efficiency and an accessible format (e.g., Braille, large Renewable Energy, 1000 Independence print, audiotape, or compact disc) on DEPARTMENT OF EDUCATION Avenue SW, EE–3F, Washington, DC request to the program contact person 20585. Service Contract Inventory for Fiscal listed under FOR FURTHER INFORMATION Year (FY) 2016 CONTACT. SUPPLEMENTARY INFORMATION: Electronic Access to This Document: Purpose of the Committee: The AGENCY: Office of the Chief Financial The official version of this document is Hydrogen and Fuel Cell Technical Officer, Department of Education. the document published in the Federal Advisory Committee (HTAC) was
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established under section 807 of the DEPARTMENT OF ENERGY available for viewing on the FERC Energy Policy Act of 2005 (EPACT), website (www.ferc.gov). Federal Energy Regulatory Public Law 109–58; 119 Stat. 849, to Public Participation provide advice and recommendations to Commission the Secretary of Energy on the program [Docket No. CP18–10–000] For your convenience, there are three authorized by Title VIII of EPACT. methods you can use to submit your Notice of Intent To Prepare an comments to the Commission. The Tentative Agenda: (updates will be Environmental Assessment for the Commission encourages electronic filing posted on the web at): http:// of comments and has expert staff _ Proposed TX-LA Markets Project and hydrogen.energy.gov/advisory Request for Comments on available to assist you at (202) 502–8258 htac.html). Environmental Issues; Enbridge— or [email protected]. Please • HTAC Business (including public Texas Eastern Transmission, L.P. carefully follow these instructions so that your comments are properly comment period) The staff of the Federal Energy • recorded. DOE Leadership Updates Regulatory Commission (FERC or (1) You can file your comments • Program and Budget Updates Commission) will prepare an electronically using the eComment environmental assessment (EA) that will • Updates from Federal/State feature on the Commission’s website discuss the environmental impacts of (www.ferc.gov) under the link to Governments and Industry the TX-LA Markets Project involving • Documents and Filings. This is an easy HTAC Subcommittee Updates construction and operation of facilities method for submitting brief, text-only • Open Discussion Period by Enbridge—Texas Eastern comments on a project; Transmission, L.P. (Texas Eastern) in Public Participation: The meeting is (2) You can file your comments Beauregard Parish, Louisiana. The electronically by using the eFiling open to the public. Individuals who Commission will use this EA in its would like to attend and/or to make oral feature on the Commission’s website decision-making process to determine (www.ferc.gov) under the link to statements during the public comment whether the project is in the public Documents and Filings. With eFiling, period must register no later than 5:00 convenience and necessity. you can provide comments in a variety p.m. on Monday, February 5, 2018, by This notice announces the opening of of formats by attaching them as a file email at [email protected]. Entry to the the scoping process the Commission with your submission. New eFiling will use to gather input from the public meeting room will be restricted to those users must first create an account by and interested agencies on the project. who have confirmed their attendance in clicking on ‘‘eRegister.’’ If you are filing You can make a difference by providing advance. Please provide your name, a comment on a particular project, us with your specific comments or organization, citizenship, and contact please select ‘‘Comment on a Filing’’ as concerns about the project. Your information. Anyone attending the the filing type; or comments should focus on the potential meeting will be required to present (3) You can file a paper copy of your environmental effects, reasonable government-issued identification. Those comments by mailing them to the alternatives, and measures to avoid or wishing to make a public comment are following address. Be sure to reference lessen environmental impacts. Your required to register. The public the project docket number (CP18–10– input will help the Commission staff comment period will take place between 000) with your submission: Kimberly D. determine what issues they need to 8:30 a.m. and 8:45 a.m. on February 13, Bose, Secretary, Federal Energy evaluate in the EA. To ensure that your 2018. Time allotted per speaker will Regulatory Commission, 888 First Street comments are timely and properly NE, Room 1A, Washington, DC 20426. depend on the number who wish to recorded, please send your comments so speak but will not exceed five minutes. that the Commission receives them in Summary of the Proposed Project Those not able to attend the meeting or Washington, DC on or before January 5, have insufficient time to address the Texas Eastern proposes to modify its 2018. existing Gillis Compressor Station in committee are invited to send a written If you sent comments on this project Beauregard Parish, Louisiana. The TX- statement to [email protected]. to the Commission before the opening of LA Markets Project would provide about this docket on October 19, 2017, you Minutes: The minutes of the meeting 157,500 dekatherms of natural gas per will need to file those comments in will be available for public review at day to Entergy Louisiana, LLC and _ Docket No. CP18–10–000 to ensure they http://hydrogen.energy.gov/advisory Natgasoline LLC. are considered as part of this htac.html. The TX-LA Markets Project would proceeding. This notice is being sent to consist of the following modifications at Issued in Washington, DC, on December 7, the Commission’s current the existing Gills Compressor Station: 2017. environmental mailing list for this • Installation of two gas cooling bays; LaTanya R. Butler, project. State and local government and Deputy Committee Management Officer. representatives should notify their • installation of two new impellers 1 constituents of this proposed project [FR Doc. 2017–26747 Filed 12–11–17; 8:45 am] for existing compressor units. and encourage them to comment on BILLING CODE 6450–01–P The general location of the project their areas of concern. 2 Texas Eastern provided landowners facilities is shown in appendix 1. with a fact sheet prepared by the FERC 1 An impeller is a rotor used to increase gas entitled ‘‘An Interstate Natural Gas pressure. Facility On My Land? What Do I Need 2 The appendices referenced in this notice will To Know?’’ This fact sheet addresses a not appear in the Federal Register. Copies of number of typically asked questions, appendices were sent to all those receiving this notice in the mail and are available at www.ferc.gov including the use of eminent domain using the link called ‘‘eLibrary’’ or from the and how to participate in the Commission’s Public Reference Room, 888 First Commission’s proceedings. It is also Street NE, Washington, DC 20426, or call (202) 502–
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Land Requirements for Construction With this notice, we are asking send the information related to this Construction of the proposed facilities agencies with jurisdiction by law and/ environmental review to all individuals, would disturb about 39 acres of land for or special expertise with respect to the organizations, and government entities the aboveground facilities. All areas environmental issues of this project to interested in and/or potentially affected affected are owned by Texas Eastern. formally cooperate with us in the by the proposed project. 4 Texas Eastern would not require any preparation of the EA. Agencies that If we publish and distribute the EA, additional acres for permanent would like to request cooperating copies of the EA will be sent to the operation of the project’s facilities. agency status should follow the environmental mailing list for public instructions for filing comments review and comment. If you would The EA Process provided under the Public Participation prefer to receive a paper copy of the The National Environmental Policy section of this notice. document instead of the CD version or Act (NEPA) requires the Commission to would like to remove your name from Consultations Under Section 106 of the the mailing list, please return the take into account the environmental National Historic Preservation Act impacts that could result from an action attached Information Request (appendix whenever it considers the issuance of a In accordance with the Advisory 2). Council on Historic Preservation’s Certificate of Public Convenience and Becoming an Intervenor Necessity. NEPA also requires us 3 to implementing regulations for section discover and address concerns the 106 of the National Historic In addition to involvement in the EA public may have about proposals. This Preservation Act, we are using this scoping process, you may want to process is referred to as ‘‘scoping.’’ The notice to initiate consultation with the become an ‘‘intervenor’’ which is an main goal of the scoping process is to applicable State Historic Preservation official party to the Commission’s focus the analysis in the EA on the Office (SHPO), and to solicit their views proceeding. Intervenors play a more important environmental issues. By this and those of other government agencies, formal role in the process and are able notice, the Commission requests public interested Indian tribes, and the public to file briefs, appear at hearings, and be comments on the scope of the issues to on the project’s potential effects on heard by the courts if they choose to 5 address in the EA. We will consider all historic properties. We will define the appeal the Commission’s final ruling. filed comments during the preparation project-specific Area of Potential Effects An intervenor formally participates in of the EA. (APE) in consultation with the SHPO as the proceeding by filing a request to In the EA we will discuss impacts that the project develops. On natural gas intervene. Instructions for becoming an could occur as a result of the facility projects, the APE at a minimum intervenor are in the ‘‘Document-less construction and operation of the encompasses all areas subject to ground Intervention Guide’’ under the ‘‘e-filing’’ proposed project under these general disturbance (examples include link on the Commission’s website. headings: construction right-of-way, contractor/ Motions to intervene are more fully • Geology and soils; pipe storage yards, compressor stations, described at http://www.ferc.gov/ • land use; and access roads). Our EA for this resources/guides/how-to/intervene.asp. • project will document our findings on water resources, fisheries, and Additional Information wetlands; the impacts on historic properties and • cultural resources; summarize the status of consultations Additional information about the • vegetation and wildlife; under section 106. project is available from the • air quality and noise; Commission’s Office of External Affairs, • endangered and threatened species; Environmental Mailing List at (866) 208–FERC, or on the FERC • public safety; and The environmental mailing list website at www.ferc.gov using the • cumulative impacts. includes federal, state, and local ‘‘eLibrary’’ link. Click on the eLibrary We will also evaluate reasonable government representatives and link, click on ‘‘General Search’’ and alternatives to the proposed project or agencies; elected officials; enter the docket number, excluding the portions of the project, and make environmental and public interest last three digits in the Docket Number recommendations on how to lessen or groups; Native American Tribes; other field (i.e., CP18–10). Be sure you have avoid impacts on the various resource interested parties; and local libraries selected an appropriate date range. For areas. and newspapers. This list also includes assistance, please contact FERC Online The EA will present our independent all affected landowners (as defined in Support at [email protected] analysis of the issues. The EA will be the Commission’s regulations) who are or toll free at (866) 208–3676, or for available in the public record through potential right-of-way grantors, whose TTY, contact (202) 502–8659. The eLibrary. Depending on the comments property may be used temporarily for eLibrary link also provides access to the received during the scoping process, we project purposes, or who own homes texts of formal documents issued by the may also publish and distribute the EA within certain distances of aboveground Commission, such as orders, notices, to the public for an allotted comment facilities, and anyone who submits and rulemakings. period. We will consider all comments comments on the project. We will In addition, the Commission offers a on the EA before making our update the environmental mailing list as free service called eSubscription which recommendations to the Commission. the analysis proceeds to ensure that we allows you to keep track of all formal To ensure we have the opportunity to issuances and submittals in specific consider and address your comments, 4 The Council on Environmental Quality dockets. This can reduce the amount of please carefully follow the instructions regulations addressing cooperating agency time you spend researching proceedings responsibilities are at Title 40, Code of Federal in the Public Participation section, by automatically providing you with beginning on page 2. Regulations, Part 1501.6. 5 The Advisory Council on Historic Preservation’s notification of these filings, document regulations are at Title 36, Code of Federal summaries, and direct links to the 8371. For instructions on connecting to eLibrary, Regulations, Part 800. Those regulations define documents. Go to www.ferc.gov/docs- refer to the last page of this notice. historic properties as any prehistoric or historic 3 ‘‘We,’’ ‘‘us,’’ and ‘‘our’’ refer to the district, site, building, structure, or object included filing/esubscription.asp. environmental staff of the Commission’s Office of in or eligible for inclusion in the National Register Finally, public sessions or site visits Energy Projects. of Historic Places. will be posted on the Commission’s
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calendar located at www.ferc.gov/ Comments Due: 5 p.m. ET 12/27/17. Take notice that the Commission EventCalendar/EventsList.aspx along Docket Numbers: ER18–399–000. received the following electric securities with other related information. Applicants: PJM Interconnection, filings: Dated: December 6, 2017. L.L.C. Docket Numbers: ES18–13–000. Nathaniel J. Davis, Sr., Description: § 205(d) Rate Filing: Applicants: International Deputy Secretary. Amendment to Service Agreement No. Transmission Company. 3322, Queue No. X2–011 to be effective [FR Doc. 2017–26744 Filed 12–11–17; 8:45 am] Description: Application under 5/1/2012. Section 204 of the Federal Power Act of BILLING CODE 6717–01–P Filed Date: 12/6/17. International Transmission Company for Accession Number: 20171206–5110. authorization to issue debt securities. DEPARTMENT OF ENERGY Comments Due: 5 p.m. ET 12/27/17. Filed Date: 12/5/17. The filings are accessible in the Accession Number: 20171205–5143. Federal Energy Regulatory Commission’s eLibrary system by Comments Due: 5 p.m. ET 12/26/17. Commission clicking on the links or querying the Docket Numbers: ES18–14–000. docket number. Applicants: Westar Energy, Inc. Combined Notice of Filings #2 Any person desiring to intervene or Description: Application under Take notice that the Commission protest in any of the above proceedings Section 204 of the Federal Power Act of received the following electric rate must file in accordance with Rules 211 Westar Energy, Inc. filings: and 214 of the Commission’s Filed Date: 12/5/17. Regulations (18 CFR 385.211 and Docket Numbers: ER18–394–000. Accession Number: 20171205–5144. 385.214) on or before 5:00 p.m. Eastern Comments Due: 5 p.m. ET 12/26/17. Applicants: Midcontinent time on the specified comment date. Docket Numbers: ES18–15–000. Independent System Operator, Inc. Protests may be considered, but Description: § 205(d) Rate Filing: intervention is necessary to become a Applicants: Kansas Gas and Electric 2017–12–06_Attachment P party to the proceeding. Company. Grandfathered Agreements Clean-up eFiling is encouraged. More detailed Description: Application under Filing to be effective information relating to filing Section 204 of the Federal Power Act of 2/5/2018. requirements, interventions, protests, Kansas Gas and Electric Company. Filed Date: 12/6/17. service, and qualifying facilities filings Filed Date: 12/5/17. Accession Number: 20171206–5084. can be found at: http://www.ferc.gov/ Accession Number: 20171205–5148. Comments Due: 5 p.m. ET 12/27/17. docs-filing/efiling/filing-req.pdf. For Comments Due: 5 p.m. ET 12/26/17. Docket Numbers: ER18–395–000. other information, call (866) 208–3676 Docket Numbers: ES18–16–000. Applicants: American Falls Solar, (toll free). For TTY, call (202) 502–8659. Applicants: Kansas Gas and Electric LLC. Dated: December 6, 2017. Company. Description: § 205(d) Rate Filing: Description: Application under Nathaniel J. Davis, Sr., Notice of Change in Status and MBR Section 204 of the Federal Power Act of Tariff Amendments to be effective Deputy Secretary. Kansas Gas and Electric Company. 2/5/2018. [FR Doc. 2017–26742 Filed 12–11–17; 8:45 am] Filed Date: 12/5/17. Filed Date: 12/6/17. BILLING CODE 6717–01–P Accession Number: 20171205–5150. Accession Number: 20171206–5095. Comments Due: 5 p.m. ET 12/26/17. Comments Due: 5 p.m. ET 12/27/17. DEPARTMENT OF ENERGY The filings are accessible in the Docket Numbers: ER18–396–000. Commission’s eLibrary system by Applicants: American Falls Solar II, Federal Energy Regulatory clicking on the links or querying the LLC. docket number. Description: § 205(d) Rate Filing: Commission Any person desiring to intervene or Notice of Change in Status and MBR Combined Notice of Filings #1 protest in any of the above proceedings Tariff Amendments to be effective must file in accordance with Rules 211 2/5/2018. Take notice that the Commission and 214 of the Commission’s Filed Date: 12/6/17. received the following electric rate Regulations (18 CFR 385.211 and Accession Number: 20171206–5096. filings: 385.214) on or before 5:00 p.m. Eastern Comments Due: 5 p.m. ET 12/27/17. Docket Numbers: ER18–391–000. time on the specified comment date. Applicants: EnPowered. Docket Numbers: ER18–397–000. Protests may be considered, but Description: Baseline eTariff Filing: Applicants: SunE Beacon Site 2 LLC. intervention is necessary to become a Market Based Rate Tariff to be effective Description: § 205(d) Rate Filing: party to the proceeding. 12/7/2017. Notice of Change in Status and MBR eFiling is encouraged. More detailed Filed Date: 12/5/17. Tariff Amendments to be effective information relating to filing Accession Number: 20171205–5121. 2/5/2018. requirements, interventions, protests, Comments Due: 5 p.m. ET 12/26/17. Filed Date: 12/6/17. service, and qualifying facilities filings Accession Number: 20171206–5097. Docket Numbers: ER18–392–000. can be found at: http://www.ferc.gov/ Comments Due: 5 p.m. ET 12/27/17. Applicants: Pacific Gas and Electric docs-filing/efiling/filing-req.pdf. For Docket Numbers: ER18–398–000. Company. other information, call (866) 208–3676 Applicants: SunE Beacon Site 5 LLC. Description: § 205(d) Rate Filing: (toll free). For TTY, call (202) 502–8659. Description: § 205(d) Rate Filing: WAPA Work Performance Agreement Notice of Change in Status and MBR for Cottonwood Airport 230 kV (RS 228) Dated: December 6, 2017. Tariff Amendments to be effective to be effective 12/6/2017. Nathaniel J. Davis, Sr., 2/5/2018. Filed Date: 12/5/17. Deputy Secretary. Filed Date: 12/6/17. Accession Number: 20171205–5128. [FR Doc. 2017–26741 Filed 12–11–17; 8:45 am] Accession Number: 20171206–5098. Comments Due: 5 p.m. ET 12/26/17. BILLING CODE 6717–01–P
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DEPARTMENT OF ENERGY renewed automatically without further project has not filed an application for order or notice by the Commission, a subsequent license, then it may be Federal Energy Regulatory unless the Commission orders required, pursuant to 18 CFR 16.21(b), Commission otherwise. to continue project operations until the [Project No. 10253–000] If the project is not subject to section Commission issues someone else a 15 of the FPA, notice is hereby given license for the project or otherwise Notice of Authorization for Continued that the licensee(s), Pelzer Hydro orders disposition of the project. Project Operation; Pelzer Hydro Company, LLC and Consolidated Hydro If the project is subject to section 15 Company, LLC, Consolidated Hydro Southeast, LLC, are authorized to of the FPA, notice is hereby given that Southeast, LLC continue operation of the Lower Pelzer an annual license for Project No. 10254 Hydroelectric Project, until such time as is issued to the licensee(s) for a period On November 30, 2015 Pelzer Hydro the Commission acts on its application effective December 1, 2017 through Company, LLC and Consolidated Hydro for a subsequent license. Southeast, LLC, licensee(s) for the November 30, 2018 or until the issuance Lower Pelzer Hydroelectric Project, filed Dated: December 6, 2017. of a new license for the project or other an Application for a New License Nathaniel J. Davis, Sr., disposition under the FPA, whichever pursuant to the Federal Power Act Deputy Secretary. comes first. If issuance of a new license (or other disposition) does not take (FPA) and the Commission’s regulations [FR Doc. 2017–26745 Filed 12–11–17; 8:45 am] place on or before November 30, 2018, thereunder. The Lower Pelzer BILLING CODE 6717–01–P Hydroelectric project facilities are notice is hereby given that, pursuant to located on the Saluda River in Anderson 18 CFR 16.18(c), an annual license and Greenville Counties, South DEPARTMENT OF ENERGY under section 15(a)(1) of the FPA is Carolina. renewed automatically without further The license for Project No. 10253 was Federal Energy Regulatory order or notice by the Commission, issued for a period ending November 30, Commission unless the Commission orders otherwise. 2017. Section 15(a)(1) of the FPA, 16 [Project No. 10254–000] U.S.C. 808(a)(1), requires the If the project is not subject to section Commission, at the expiration of a Notice of Authorization for Continued 15 of the FPA, notice is hereby given license term, to issue from year-to-year Project Operation; Pelzer Hydro that the licensee(s), Pelzer Hydro an annual license to the then licensee Company, LLC, Consolidated Hydro Company, LLC and Consolidated Hydro under the terms and conditions of the Southeast, LLC Southeast, LLC, are authorized to prior license until a new license is continue operation of the Upper Pelzer issued, or the project is otherwise On November 30, 2015 Pelzer Hydro Hydroelectric Project, until such time as disposed of as provided in section 15 or Company, LLC and Consolidated Hydro the Commission acts on its application any other applicable section of the FPA. Southeast, LLC, licensee(s) for the for a subsequent license. If the project’s prior license waived the Upper Pelzer Hydroelectric Project, filed Dated: December 6, 2017. an Application for a New License applicability of section 15 of the FPA, Nathaniel J. Davis, Sr., then, based on section 9(b) of the pursuant to the Federal Power Act Deputy Secretary. Administrative Procedure Act, 5 U.S.C. (FPA) and the Commission’s regulations 558(c), and as set forth at 18 CFR thereunder. The Upper Pelzer [FR Doc. 2017–26746 Filed 12–11–17; 8:45 am] 16.21(a), if the licensee of such project Hydroelectric project facilities are BILLING CODE 6717–01–P has filed an application for a subsequent located on the Saluda River in Anderson license, the licensee may continue to and Greenville Counties, South DEPARTMENT OF ENERGY operate the project in accordance with Carolina. the terms and conditions of the license The license for Project No. 10254 was Federal Energy Regulatory after the minor or minor part license issued for a period ending November 30, Commission expires, until the Commission acts on 2017. Section 15(a) (1) of the FPA, 16 its application. If the licensee of such a U.S.C. 808(a)(1), requires the Combined Notice of Filings project has not filed an application for Commission, at the expiration of a a subsequent license, then it may be license term, to issue from year-to-year Take notice that the Commission has required, pursuant to 18 CFR 16.21(b), an annual license to the then licensee received the following Natural Gas to continue project operations until the under the terms and conditions of the Pipeline Rate and Refund Report filings: Commission issues someone else a prior license until a new license is Filings Instituting Proceedings license for the project or otherwise issued, or the project is otherwise orders disposition of the project. disposed of as provided in section 15 or Docket Numbers: CP16–22–002. If the project is subject to section 15 any other applicable section of the FPA. Applicants: NEXUS Gas of the FPA, notice is hereby given that If the project’s prior license waived the Transmission, LLC. an annual license for Project No. 10253 applicability of section 15 of the FPA, Description: Abbreviated Application is issued to the licensee(s) for a period then, based on section 9(b) of the for an Amendment to the Certificate of effective December 1, 2017 through Administrative Procedure Act, 5 U.S.C. Public Convenience and Necessity November 30, 2018 or until the issuance 558(c), and as set forth at 18 CFR issued to NEXUS Gas Transmission, of a new license for the project or other 16.21(a), if the licensee of such project LLC. disposition under the FPA, whichever has filed an application for a subsequent Filed Date: 12/4/17. comes first. If issuance of a new license license, the licensee may continue to Accession Number: 20171204–5151. (or other disposition) does not take operate the project in accordance with place on or before November 30, 2018, the terms and conditions of the license Comments Due: 5 p.m. ET 12/26/17. notice is hereby given that, pursuant to after the minor or minor part license Docket Numbers: RP17–972–001. 18 CFR 16.18(c), an annual license expires, until the Commission acts on Applicants: Wyoming Interstate under section 15(a)(1) of the FPA is its application. If the licensee of such a Company, L.L.C.
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Description: Compliance filing clicking on the links or querying the The FCC may not conduct or sponsor Settlement Compliance Filing in Docket docket number. a collection of information unless it No. RP17–972 to be effective 11/1/2017. Any person desiring to intervene or displays a currently valid Office of Filed Date: 12/1/17. protest in any of the above proceedings Management and Budget (OMB) control Accession Number: 20171201–5312. must file in accordance with Rules 211 number. No person shall be subject to Comments Due: 5 p.m. ET 12/13/17. and 214 of the Commission’s any penalty for failing to comply with Docket Numbers: RP18–235–000. Regulations (18 CFR 385.211 and a collection of information subject to the Applicants: Wyoming Interstate 385.214) on or before 5:00 p.m. Eastern PRA that does not display a valid OMB Company, L.L.C. time on the specified comment date. control number. Description: § 4(d) Rate Filing: Non- Protests may be considered, but DATES: Written comments should be Conforming Agreement Filing (CLFP) to intervention is necessary to become a submitted on or before February 12, be effective 1/4/2018. party to the proceeding. 2018. If you anticipate that you will be Filed Date: 12/5/17. eFiling is encouraged. More detailed submitting comments, but find it Accession Number: 20171205–5001. information relating to filing difficult to do so within the period of Comments Due: 5 p.m. ET 12/18/17. requirements, interventions, protests, time allowed by this notice, you should Docket Numbers: RP18–236–000. service, and qualifying facilities filings advise the contacts below as soon as Applicants: Guardian Pipeline, L.L.C. can be found at: http://www.ferc.gov/ possible. Description: § 4(d) Rate Filing: Update docs-filing/efiling/filing-req.pdf. For ADDRESSES: Direct all PRA comments to Contact Information on Title Sheet to be other information, call (866) 208–3676 (toll free). For TTY, call (202) 502–8659. Cathy Williams, FCC, via email: PRA@ effective 1/5/2018. fcc.gov and to [email protected]. Filed Date: 12/5/17. Dated: December 6, 2017. FOR FURTHER INFORMATION CONTACT: For Accession Number: 20171205–5022. Nathaniel J. Davis, Sr., Comments Due: 5 p.m. ET 12/18/17. additional information about the Deputy Secretary. information collection, contact Cathy Docket Numbers: RP18–237–000. [FR Doc. 2017–26743 Filed 12–11–17; 8:45 am] Williams at (202) 418–2918. Applicants: Guardian Pipeline, L.L.C. Description: § 4(d) Rate Filing: Update BILLING CODE 6717–01–P SUPPLEMENTARY INFORMATION: As part of Contact Information on Tariff’s Title its continuing effort to reduce sheet to be effective 1/5/2018. paperwork burdens, and as required by Filed Date: 12/5/17. FEDERAL COMMUNICATIONS the PRA, 44 U.S.C. 3501–3520, the FCC Accession Number: 20171205–5025. COMMISSION invites the general public and other Comments Due: 5 p.m. ET 12/18/17. [OMB 3060–1054] Federal agencies to take this Docket Numbers: RP18–238–000. opportunity to comment on the Applicants: Midwestern Gas Information Collection Being Reviewed following information collections. Transmission Company. by the Federal Communications Comments are requested concerning: Description: § 4(d) Rate Filing: Update Commission Under Delegated Whether the proposed collection of contact information on Title Page to be Authority information is necessary for the proper effective 1/5/2018. performance of the functions of the AGENCY: Federal Communications Commission, including whether the Filed Date: 12/5/17. Commission. Accession Number: 20171205–5026. information shall have practical utility; ACTION: Comments Due: 5 p.m. ET 12/18/17. Notice and request for the accuracy of the Commission’s comments. Docket Numbers: RP18–239–000. burden estimate; ways to enhance the quality, utility, and clarity of the Applicants: OkTex Pipeline SUMMARY: As part of its continuing effort information collected; ways to minimize Company, L.L.C. to reduce paperwork burdens, and as the burden of the collection of Description: § 4(d) Rate Filing: Update required by the Paperwork Reduction information on the respondents, Josh Franks Information on Title Page to Act of 1995 (PRA), the Federal including the use of automated be effective 1/5/2018. Communications Commission (FCC or collection techniques or other forms of Filed Date: 12/5/17. Commission) invites the general public information technology; and ways to Accession Number: 20171205–5027. and other Federal agencies to take this further reduce the information Comments Due: 5 p.m. ET 12/18/17. opportunity to comment on the collection burden on small business Docket Numbers: RP18–240–000. following information collections. concerns with fewer than 25 employees. Applicants: Viking Gas Transmission Comments are requested concerning: OMB Control No.: 3060–1054. Company. Whether the proposed collection of Title: Application for Renewal of an Description: § 4(d) Rate Filing: Update information is necessary for the proper International Broadcast Station License. Contact Information on Tariff’s Title performance of the functions of the Form No.: FCC Form 422–IB. Sheet to be effective 1/5/2018. Commission, including whether the Type of Review: Extension of a Filed Date: 12/5/17. information shall have practical utility; currently approved information Accession Number: 20171205–5046. the accuracy of the Commission’s collection. Comments Due: 5 p.m. ET 12/18/17. burden estimate; ways to enhance the Respondents: Business or other for- Docket Numbers: RP18–241–000. quality, utility, and clarity of the profit entities. Applicants: Northwest Pipeline LLC. information collected; ways to minimize Number of Respondents: 10 Description: § 4(d) Rate Filing: the burden of the collection of respondents; 50 responses. Acquiring Available Capacity Revisions information on the respondents, Estimated Time per Response: 1–8 Filing to be effective 2/1/2018. including the use of automated hours per response. Filed Date: 12/5/17. collection techniques or other forms of Frequency of Response: On occasion Accession Number: 20171205–5129. information technology; and ways to reporting requirement; Recordkeeping Comments Due: 5 p.m. ET 12/18/17. further reduce the information requirement. The filings are accessible in the collection burden on small business Obligation To Respond: Required to Commission’s eLibrary system by concerns with fewer than 25 employees. obtain or retain benefits. The statutory
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authority for this collection is contained Federal Communications Commission. fcc.gov and to [email protected]. in 47 U.S.C. 154, 303, 334, 336 and 339. Marlene H. Dortch, Include in the comments the OMB Total Annual Burden: 160 hours. Secretary, Office of the Secretary. control number as shown in the SUPPLEMENTARY INFORMATION Annual Cost Burden: $36,000. [FR Doc. 2017–26730 Filed 12–11–17; 8:45 am] below. FOR FURTHER INFORMATION CONTACT: Privacy Act Impact Assessment: No BILLING CODE 6712–01–P For impact(s). additional information or copies of the information collection, contact Nicole Nature and Extent of Confidentiality: Ongele at (202) 418–2991. To view a In general, there is no need for FEDERAL COMMUNICATIONS copy of this information collection confidentiality with this collection of COMMISSION request (ICR) submitted to OMB: (1) Go information. [OMB 3060–0329, 3060–1116] to the web page
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Estimated Time per Response: 18 (v) Identify the EUT and support (b) This respondent ‘‘public’’ hours (average). equipment by trade name and model generally remains the same, although Frequency of Response: One-time and number and, if appropriate, by FCC the types of equipment devices that they on occasion reporting requirements, Identifier and serial number; manufacture may change in response to recordkeeping requirement; and third- (vi) Indicate the types and lengths of changing technologies and to new party disclosure requirements. connecting cables used and how they spectrum allocations made by the Obligation to Respond: Required to were arranged or moved during testing; Commission. obtain or retain benefits. Statutory (vii) Contain at least two drawings or (c) In addition, the Commission may authority for this information collection photographs showing the test set-up for establish new technical operating is contained in 47 U.S.C. Sections 4(i), the highest line conducted emission and standards in response to these changing 302, 303(g), and 303(r) of the showing the test set-up for the highest technologies and in allocation spectrum, Communications Act of 1934, as radiated emission. These drawings or which these RF equipment amended; 47 U.S.C. 154(i), 302 and photographs must show enough detail manufacturers must meet to receive 303(r). to confirm other information contained their equipment authorization from the Total Annual Burden: 144,000 hours. in the test report. Any photographs used FCC. Total Annual Cost: $1,600,000. must be focused originals without glare (d) However, the process that RF Privacy Impact Assessment: No or dark spots and must clearly show the equipment manufacturers must follow impact(s). test configuration used; to verify their compliance, as mandated Nature and Extent of Confidentiality: (viii) List all modifications, if any, by 47 CFR 2.955 of FCC Rules, will not Commission rules require equipment made to the EUT by the testing company change despite new technical standards testing to determine performance and or individual to achieve compliance established for specific equipment. compliance with FCC standards. This with the regulations in this chapter; This information collection, therefore, testing is typically done by either the (ix) Include all of the data required to applies to a variety of equipment, which manufacturer’s testing laboratory or an show compliance with the appropriate is currently manufactured in the future, independent testing laboratory. regulations in this chapter; and and that operates under varying Needs and Uses: This collection will (x) Contain, on the test report, the technical standards. be submitted as an extension after this signature of the individual responsible OMB Control Number: 3060–1116. 60-day comment period to the Office of for testing the product along with the Title: Submarine Cable Reporting. Management and Budget (OMB) in order name and signature of an official of the Form Number: N/A. to obtain the full three-year clearance. responsible party, as designated in Type of Review: Extension of a Section 2.955 describes for each § 2.909. equipment device subject to (4) For equipment subject to the currently approved collection. verification, the responsible party, as provisions in part 15 of this chapter, the Respondents: Business or other for- shown in 47 CFR 2.909 shall maintain records shall indicate if the equipment profit, not-for-profit institutions. the records listed as follows: was verified pursuant to the transition Number of Respondents and (1) A record of the original design provisions contained in § 15.37 of this Responses: 63 respondents; 63 drawings and specifications and all chapter. responses. changes that have been made that may (b) The records listed in paragraph (a) Estimated Time per Response: 190 affect compliance with the requirements of this section shall be retained for two hours. of § 2.953. years after the manufacture of said Frequency of Response: On occasion (2) A record of the procedures used equipment item has been permanently and annual reporting requirements. for production inspection and testing (if discontinued, or until the conclusion of Obligation to Respond: Voluntary. tests were performed) to insure the an investigation or a proceeding if the Statutory authority for this information conformance required by § 2.953. manufacturer or importer is officially collection is contained in 47 U.S.C. 151, (Statistical production line emission notified that an investigation or any 154(i), 303(r) and 403. testing is not required.) other administrative proceeding Total Annual Burden: 11,970 hours. (3) A record of the measurements involving his equipment has been Total Annual Cost: No Cost. made on an appropriate test site that instituted. Privacy Act Impact Assessment: No demonstrates compliance with the The Commission needs and requires impact(s). applicable regulations in this chapter. the information under FCC Rules at 47 Nature and Extent of Confidentiality: The record shall: CFR parts 15 and 18, that RF equipment Information provided pursuant to this (i) Indicate the actual date all testing manufacturers (respondents) ‘self- request will be viewed as presumptively was performed; determine’’ their responsibility for confidential upon submission because (ii) State the name of the test adherence to these rules, as guided by the information would reflect reports on laboratory, company, or individual the following criteria: weaknesses in or damage to national performing the verification testing. The (a) Whether the RF equipment device communications infrastructure, and the Commission may request additional that is being marketed complies with release of this sensitive information to information regarding the test site, the the applicable Commission Rules; and the public could potentially facilitate test equipment or the qualifications of (b) If the operation of the equipment terrorist targeting of critical the company or individual performing is consistent with the initially infrastructure and key resources. The the verification tests; documented test results, as reported to submissions also may contain internal (iii) Contain a description of how the the Commission. confidential information that constitutes device was actually tested, identifying The information collection is essential trade secrets and commercial/financial the measurement procedure and test to controlling potential interference to information that the respondent does equipment that was used; radio communications. not routinely make public and public (iv) Contain a description of the (a) Companies that manufacture RF release of the submitted information equipment under test (EUT) and support equipment are the anticipated could cause competitive harm by equipment connected to, or installed respondents to this information revealing information about the types within, the EUT; collection. and deployment of cable equipment and
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the traffic that flows across the system. FEDERAL COMMUNICATIONS the PRA, 44 U.S.C. 3501–3520, the FCC For these reasons, the information COMMISSION invites the general public and other Federal agencies to take this requested in (b) (Terrestrial Route Map) [OMB 3060–0414] and (c) (Undersea Location Spreadsheet) opportunity to comment on the above is presumptively exempt from Information Collection Being Reviewed following information collections. public disclosure under Freedom of by the Federal Communications Comments are requested concerning: Information Act (FOIA) Exemption 3, 5 Commission Under Delegated Whether the proposed collection of U.S.C. 552(b)(3), and section 4(j) of the Authority information is necessary for the proper Communications Act of 1934, as performance of the functions of the AGENCY: Federal Communications amended, 47 U.S.C. 154(j), as Commission, including whether the Commission. implemented in 47 CFR 0.457(c)(1)(i) information shall have practical utility; ACTION: Notice and request for (exempting disclosure of ‘‘maps the accuracy of the Commission’s comments. burden estimate; ways to enhance the showing the exact location of submarine quality, utility, and clarity of the cables’’). The information requested in SUMMARY: As part of its continuing effort information collected; ways to minimize (a) (System Status and Restoration to reduce paperwork burdens, and as the burden of the collection of Messages) and (d) (Restoration required by the Paperwork Reduction information on the respondents, Capability) described above will be Act of 1995 (PRA), the Federal including the use of automated considered exempt under Exemption 4 Communications Commission (FCC or collection techniques or other forms of of the Freedom of Information Act Commission) invites the general public information technology; and ways to (FOIA), 5 U.S.C. 552(b)(4). If a FOIA and other Federal agencies to take this further reduce the information request is filed for information opportunity to comment on the collection burden on small business submitted in response to this request, following information collections. concerns with fewer than 25 employees. the respondent whose records are the Comments are requested concerning: OMB Number: 3060–0414. subject of the request will be notified of Whether the proposed collection of Title: Terrain Shielding Policy. the FOIA request and given the information is necessary for the proper Form Number: N/A. opportunity to oppose release of the performance of the functions of the Type of Review: Extension of a Commission, including whether the records. See 47 CFR 0.461(d)(3). We currently approved collection. information shall have practical utility; note that the information provided in Respondents: Business or other for- the accuracy of the Commission’s response to this request will be shared profit entities, not-for-profit institutions, burden estimate; ways to enhance the State, Local or Tribal Government. with the Department of Homeland quality, utility, and clarity of the Number of Respondents and Security’s National Communications information collected; ways to minimize Responses: 25 respondents; 25 System (NCS) and relevant Executive the burden of the collection of responses. Branch agencies on a confidential basis. information on the respondents, Estimated Time per Response: 1 hour. See 44 U.S.C. 3510. including the use of automated Frequency of Response: On occasion Needs and Uses: This information is collection techniques or other forms of reporting requirement; Third party needed in order to support Federal information technology; and ways to disclosure requirement. government national security and further reduce the information Obligation to Respond: Required to emergency preparedness collection burden on small business obtain or retain benefits. Statutory communications programs, for the concerns with fewer than 25 employees. authority for this information collection purposes of providing situational The FCC may not conduct or sponsor is contained in 47 Sections 154(i) and awareness of submarine cable system a collection of information unless it 303 of the Communications Act of 1934, as amended. performance as well as a greater displays a currently valid Office of Management and Budget (OMB) control Total Annual Burden: 25 hours. understanding of potential physical number. No person shall be subject to Total Annual Cost: $56,250. threats to the submarine cable systems. any penalty for failing to comply with Privacy Impact Assessment(s): No This information will provide a collection of information subject to the impact(s). situational awareness regarding the PRA that does not display a valid OMB Nature and Extent of Confidentiality: operational status of submarine cable control number. There is no need for confidentiality and systems to the Federal government, and DATES: Written comments should be respondents are not being asked to allow the Executive Branch to assess submitted on or before February 12, submit confidential information to the potential risks and threats to these 2018. If you anticipate that you will be Commission. critical communications systems in the submitting comments, but find it Needs and Uses: The terrain shielding context of other available information. difficult to do so within the period of policy requires respondents to submit either a detailed terrain study, or to Federal Communications Commission. time allowed by this notice, you should submit letters of assent from all Marlene H. Dortch, advise the contacts below as soon as possible. potentially affected parties and graphic Secretary, Office of the Secretary. depiction of the terrain when [FR Doc. 2017–26681 Filed 12–11–17; 8:45 am] ADDRESSES: Direct all PRA comments to intervening terrain prevents a low BILLING CODE 6712–01–P Cathy Williams, FCC, via email: PRA@ power television applicant from fcc.gov and to [email protected]. interfering with other low power FOR FURTHER INFORMATION CONTACT: For television or full-power television additional information about the stations. FCC staff uses the data to information collection, contact Cathy determine if terrain shielding can Williams at (202) 418–2918. provide adequate interference SUPPLEMENTARY INFORMATION: As part of protection and if a waiver of 47 CFR its continuing effort to reduce 74.705 and 74.707 of the rules is paperwork burdens, and as required by warranted.
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Federal Communications Commission. fcc.gov and to [email protected]. Frequency of Response: On occasion, Marlene H. Dortch, Include in the comments the OMB quarterly reporting requirements, Secretary, Office of the Secretary. control number as shown in the annual reporting requirements, one-time [FR Doc. 2017–26680 Filed 12–11–17; 8:45 am] SUPPLEMENTARY INFORMATION below. reporting requirement and BILLING CODE 6712–01–P FOR FURTHER INFORMATION CONTACT: For recordkeeping requirement. additional information or copies of the Obligation To Respond: Required to information collection, contact Nicole obtain or retain benefits. Statutory FEDERAL COMMUNICATIONS Ongele at (202) 418–2991. To view a authority for this information collection COMMISSION copy of this information collection is contained in 47 U.S.C. 151–154, 155, request (ICR) submitted to OMB: (1) Go 201–206, 214, 218–220, 251, 252, 254, [OMB 3060–1228] to the web page
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accordance with the framework adopted Communications Commission (FCC or control number of this ICR and then in the order. New York winning bidders the Commission) invites the general click on the ICR Reference Number. A that are ultimately authorized to receive public and other Federal agencies to copy of the FCC submission to OMB Connect America Phase II support will take this opportunity to comment on the will be displayed. be subject to the same location following information collection. SUPPLEMENTARY INFORMATION: As part of reporting, build-out milestone Comments are requested concerning: its continuing effort to reduce certifications, and non-compliance Whether the proposed collection of paperwork burdens, and as required by measures as Connect America Phase II information is necessary for the proper the Paperwork Reduction Act (PRA) of auction recipients. performance of the functions of the 1995 (44 U.S.C. 3501–3520), the Federal This information collection addresses Commission, including whether the Communications Commission (FCC or the requirement that certain carriers information shall have practical utility; the Commission) invites the general with high cost reporting obligations the accuracy of the Commission’s public and other Federal agencies to must file information about their burden estimate; ways to enhance the take this opportunity to comment on the locations which meet their broadband quality, utility, and clarity of the following information collection. deployment public interest obligations information collected; ways to minimize Comments are requested concerning: via an electronic portal (‘‘portal’’). The the burden of the collection of Whether the proposed collection of Rate-of-Return Order required that the information on the respondents, information is necessary for the proper Universal Service Administrative including the use of automated performance of the functions of the Company (USAC) establish the portal so collection techniques or other forms of Commission, including whether the that carriers could file their location information technology; and ways to information shall have practical utility; data with the portal starting in 2017. further reduce the information the accuracy of the Commission’s The Rate-of-Return Order required all collection burden on small business burden estimate; ways to enhance the recipients of Phase II model-based concerns with fewer than 25 employees. quality, utility, and clarity of the support and rate-of-return carriers to The Commission may not conduct or information collected; ways to minimize submit geocoded location data and sponsor a collection of information the burden of the collection of related certifications to the portal. unless it displays a currently valid information on the respondents, Recipients of Phase II model-based Office of Management and Budget including the use of automated support had been required to file such (OMB) control number. No person shall collection techniques or other forms of information in their annual reports due be subject to any penalty for failing to information technology; and ways to by July 1. The Phase II Auction Order comply with a collection of information further reduce the information requires auction winners to build-out subject to the PRA that does not display collection burden on small business networks capable of meeting their a valid OMB control number. concerns with fewer than 25 employees. public interest obligations and report, to DATES: Written comments should be OMB Control Number: 3060–XXXX. an online portal, locations to which submitted on or before January 11, 2018. Title: Mobility Fund Phase II auction winners had deployed such If you anticipate that you will be Challenge Process. networks. This information collection submitting comments, but find it Form Number: N/A. also addresses the new portal reporting difficult to do so within the period of Type of Review: New information requirements for carriers receiving time allowed by this notice, you should collection. Alaska Plan support, including their advise the contacts listed below as soon Respondents: Business or other for- submission of fiber/microwave middle- as possible. profit entities, not-for-profit institutions, mile network maps, and recipients of ADDRESSES: Direct all PRA comments to and state, local or tribal governments. Phase II support that is awarded in Nicholas A. Fraser, OMB, via email Estimated Number of Respondents partnership with New York’s New NY [email protected]; and and Responses: 500 respondents and Broadband Program. to Cathy Williams, FCC, via email PRA@ 500 responses. Federal Communications Commission. fcc.gov and to [email protected]. Estimated Time per Response: 204 Marlene H. Dortch, Include in the comments the OMB hours for challengers; 71 hours for Secretary, Office of the Secretary. control number as shown in the challenged parties. SUPPLEMENTARY INFORMATION below. [FR Doc. 2017–26679 Filed 12–11–17; 8:45 am] Frequency of Response: One-time FOR FURTHER INFORMATION CONTACT: For reporting requirement. BILLING CODE 6712–01–P additional information or copies of the Obligation To Respond: Required to information collection, contact Cathy obtain or retain benefits. Statutory FEDERAL COMMUNICATIONS Williams at (202) 418–2918. To view a authority for the currently approved COMMISSION copy of this information collection information collection is contained in request (ICR) submitted to OMB: (1) Go sections 154, 254, and 303(r) of the [OMB 3060–XXXX] to the web page http://www.reginfo.gov/ Communications Act, as amended, 47 public/do/PRAMain, (2) look for the U.S.C. 4, 254, 303(r). Information Collection Being section of the web page called Estimated Total Annual Burden: Submitted for Review and Approval to ‘‘Currently Under Review,’’ (3) click on 78,725 hours. the Office of Management and Budget the downward-pointing arrow in the Total Annual Costs: None. AGENCY: Federal Communications ‘‘Select Agency’’ box below the Nature and Extent of Confidentiality: Commission. ‘‘Currently Under Review’’ heading, (4) To the extent the information submitted ACTION: Notice and request for select ‘‘Federal Communications pursuant to this information collection comments. Commission’’ from the list of agencies is determined to be confidential, it will presented in the ‘‘Select Agency’’ box, be protected by the Commission. If a SUMMARY: As part of its continuing effort (5) click the ‘‘Submit’’ button to the respondent seeks to have information to reduce paperwork burdens, and as right of the ‘‘Select Agency’’ box, (6) collected pursuant to this information required by the Paperwork Reduction when the list of FCC ICRs currently collection withheld from public Act (PRA) of 1995, the Federal under review appears, look for the OMB inspection, the respondent may request
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confidential treatment pursuant to efficiently resolve disputes about areas enable the Commission to efficiently section 0.459 of the Commission’s rules deemed presumptively ineligible for resolve disputes concerning the for such information. See 47 CFR 0.459. MF–II support. The map of areas eligibility or ineligibility of an area Privacy Act Impact Assessment: No presumptively eligible for MF–II initially deemed ineligible for MF–II impact(s). support will serve as the starting point support and establish the final map of Needs and Uses: A request for for the challenge process pursuant to areas eligible for such support, thereby approval of this new information which an interested party (challenger) furthering the Commission’s goal of collection is being submitted to the may initiate a challenge with respect to targeting MF–II support to areas that Office of Management and Budget one or more areas initially deemed lack adequate mobile voice and (OMB) to obtain the full three-year ineligible for MF–II support (i.e., areas broadband coverage absent subsidies clearance from OMB. In its November not listed on the Commission’s map of through a transparent process. 2011 USF/ICC Transformation Order areas presumptively eligible for MF–II Federal Communications Commission. (FCC 11–161), the Commission support and challenged parties can established the Mobility Fund, which respond to challenges. A challenger Marlene H. Dortch, consists of two phases. Mobility Fund seeking to initiate a challenge of one or Secretary, Office of the Secretary. Phase I (MF–I) provided one-time more areas initially deemed ineligible in [FR Doc. 2017–26731 Filed 12–11–17; 8:45 am] universal service support payments to the Commission’s map of areas BILLING CODE 6712–01–P immediately accelerate deployment of presumptively eligible for MF–II mobile broadband services. MF–II will support may do so via the online use a reverse auction to provide ongoing challenge portal developed by USAC for FEDERAL COMMUNICATIONS universal service support payments to this purpose (the USAC portal). For COMMISSION continue to advance deployment of such each state, a challenger must (1) identify services. The Commission adopted the the area(s) it seeks to challenge, (2) [OMB 3060–0686] rules and framework for MF–I in the submit detailed proof of a lack of USF/ICC Transformation Order, and unsubsidized, qualified 4G LTE Information Collection Being Reviewed sought comment in an accompanying coverage in each challenged area in the by the Federal Communications further notice of proposed rulemaking form of actual outdoor speed test data Commission on the proposed framework for MF–II. collected using the standardized AGENCY: In its February 2017 Mobility Fund II parameters specified by the Commission Federal Communications Report and Order and Further Notice of in the Challenge Process Order and any Commission. Proposed Rulemaking (MF–II Report other parameters the Commission or the ACTION: Notice and request for and Order and/or FNPRM) (FCC 17–11), Wireless Telecommunications Bureau comments. the FCC adopted the rules and and Wireline Competition Bureau (the SUMMARY: As part of its continuing effort framework for moving forward Bureaus) may implement, and (3) certify to reduce paperwork burdens, and as expeditiously with the MF–II auction. its challenge. Among other things, the Commission After the challenge window closes, required by the Paperwork Reduction stated in the MF–II Report and Order the USAC system will use an automated Act of 1995 (PRA), the Federal that, prior to the auction, it would challenge validation process developed Communications Commission (FCC or establish a map of areas presumptively by USAC to validate a challenger’s Commission) invites the general public eligible for MF–II support based on the evidence and will determine which and other Federal agencies to take this most recently available FCC Form 477 challenged areas pass validation and opportunity to comment on the mobile wireless coverage data, and which fail. Once all valid challenges following information collections. provide a limited timeframe for parties have been identified, a challenged party Comments are requested concerning: to challenge those initial determinations that chooses to respond to any valid Whether the proposed collection of during the pre-auction process. The challenge(s) will have a response information is necessary for the proper Commission sought comment in the window within which to submit performance of the functions of the accompanying Mobility Fund II FNPRM additional data via the online USAC Commission, including whether the on how to best design a robust, targeted portal. A challenged party may submit information shall have practical utility; MF–II challenge process that efficiently technical information that is probative the accuracy of the Commission’s resolves disputes about the areas regarding the validity of a challenger’s burden estimate; ways to enhance the eligible for MF–II support. In August speed tests (i.e., information quality, utility, and clarity of the 2017, the Commission released an Order demonstrating that the challenger’s information collected; ways to minimize on Reconsideration and Second Report speed tests are invalid or do not the burden of the collection of and Order (Challenge Process Order) accurately reflect network performance), information on the respondents, (FCC 17–102) in which it (1) including speed test data and other including the use of automated reconsidered its earlier decision to use device-specific data collected from collection techniques or other forms of FCC Form 477 data to compile the map transmitter monitoring software or, information technology; and ways to of areas presumptively eligible for MF– alternatively, may submit its own speed further reduce the information II support and decided it would instead test data that conforms to the same collection burden on small business conduct a new, one-time data collection standards and requirements specified by concerns with fewer than 25 employees. with specified data parameters tailored the Commission and the Bureaus for The FCC may not conduct or sponsor to MF–II to determine the areas in challengers. a collection of information unless it which there is deployment of qualified In conjunction with the qualified 4G displays a currently valid Office of LTE that will be used (together with LTE data separately collected pursuant Management and Budget (OMB) control high-cost disbursement data available to OMB 3060–1242 that will be used to number. No person shall be subject to from the Universal Service create the map of areas presumptively any penalty for failing to comply with Administrative Company (USAC)) for eligible for MF–II support, the a collection of information subject to the this purpose, and (2) adopted a information collected under this new PRA that does not display a valid OMB streamlined challenge process that will MF–II challenge process collection will control number.
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DATES: Written comments should be requirement and third party disclosure The information will be used by the submitted on or before February 12, requirement. Commission staff in carrying out its 2018. If you anticipate that you will be Obligation to Respond: Required to duties under the Communications Act. submitting comments, but find it obtain or retain benefits. The The information collections pertaining difficult to do so within the period of Commission’s statutory authority for to Part 63 are necessary largely to time allowed by this notice, you should this information collection under determine the qualifications of advise the contacts below as soon as sections 1, 4(i), 4(j), 10, 11, 201–205, applicants to provide common carrier possible. 208, 211, 214, 218, 219, 220, 303(r), 309, international telecommunications 310, 403 and 571 of the ADDRESSES: Direct all PRA comments to service under section 214 of the Communications Act of 1934, as Communications Act, 47 U.S.C. 214, Cathy Williams, FCC, via email: PRA@ amended, 47 U.S.C. 151, 154(i), 154(j), including applicants that are, or are fcc.gov and to [email protected]. 154(j), 160, 161, 201–205, 208, 211, 214, affiliated with, foreign carriers, and to FOR FURTHER INFORMATION CONTACT: For 218, 219, 220, 303(r), 309, 310, 403 and determine whether and under what additional information about the 571. information collection, contact Cathy Total Annual Burden: 3,152 hours. conditions the authorizations are in the Williams at (202) 418–2918. Annual Cost Burden: $752,400. public interest, convenience, and necessity. The information collections SUPPLEMENTARY INFORMATION: As part of Privacy Act Impact Assessment: No are also necessary to maintain effective its continuing effort to reduce impact(s). Nature and Extent of Confidentiality: paperwork burdens, and as required by oversight of U.S. international carriers The Commission has not granted the PRA, 44 U.S.C. 3501–3520, the FCC generally. assurances of confidentiality to those invites the general public and other The frequency of filing applications parties submitting the information, Federal agencies to take this pursuant to Sections 214 will be except for the list or routes required opportunity to comment on the determined largely by the applicant under 47 CFR 63.22(h) which the following information collections. seeking to provide U.S international Commission will treat as not routinely Comments are requested concerning: available for public inspection. In all the common carrier service under section Whether the proposed collection of other cases where a respondent believes 214 of the Communications Act, 47 information is necessary for the proper information requires confidentiality, the U.S.C. 214. Carriers will also determine performance of the functions of the respondent can request confidential largely the frequency of filing under the Commission, including whether the treatment under Section 0.459 of the other rules included in this collection, information shall have practical utility; Commission’s rules, 47 CFR 0.459. with the exception of the quarterly the accuracy of the Commission’s Needs and Uses: The Federal reports required of certain carriers burden estimate; ways to enhance the Communications Commission under 47 CFR 63.10(c) and the list of quality, utility, and clarity of the (‘‘Commission’’) is requesting that the routes for which a facilities-based information collected; ways to minimize Office of Management and Budget international service provider must the burden of the collection of (OMB) approve a revision of OMB make a one-time filing and update as information on the respondents, Control No. 3060–0686 titled, necessary under 47 CFR 63.22(h). If the including the use of automated ‘‘International Section 214 collections are not conducted or are collection techniques or other forms of Authorization Process and Tariff conducted less frequently, applicants information technology; and ways to Requirements—47 CFR Sections 63.10, will not obtain the authorizations further reduce the information 63.11, 63.13, 63.18, 63.19, 63.21, 63.24, necessary to provide collection burden on small business 63.25 and 1.1311.’’ The purpose of this telecommunications services, and the concerns with fewer than 25 employees. revision is to obtain OMB approval for Commission will be unable to carry out OMB Control No.: 3060–0686. the reporting requirements under newly its mandate under the Communications Title: International Section 214 adopted 47 CFR 63.22(h), which Act of 1934. In addition, without the Process and Tariff Requirements—47 requires facilities-based international CFR sections 63.10, 63.11, 63.13, 63.18, information collections, the United service providers electronically to States would jeopardize its ability to 63.19, 63.21, 63.22, 63.24, 63.25 and submit, and maintain, a list of routes on 1.1311. fulfill the U.S. obligations as negotiated which they have direct termination under the World Telecommunications Form No.: International Section 214— arrangements with a foreign carrier. In New Authorization; International Organization (WTO) Basic Telecom addition, this list maybe used to initiate Agreement because these collections are Section 214 Authorization—Transfer of targeted data collections regarding those imperative to detecting and deterring Control/Assignment; International routes. Finally, we remove from this anticompetitive conduct. They are also Section 214—Special Temporary collection the requirements related to 47 necessary to preserve the Executive Authority and International Section U.S.C. 310(b) which are now included Branch agencies’ and the Commission’s 214—Foreign Carrier Affiliation in the collection under OMB Control Notification. No. 3060–1163. ability to review foreign investments for Type of Review: Revision of a The current title of OMB Control No. national security, law enforcement, currently approved information 3060–0686 is ‘‘International Section 214 foreign policy, and trade concerns. collection. Process and Tariff Requirements—47 Regarding 47 CFR 63.11, carriers Respondents: Business or other for- CFR Sections 63.10, 63.11, 63.13, 63.18, determine largely when to notify the profit. 63.19, 63.21, 63.24, 63.25 and 1.1311’’. Commission of planned investments by Number of Respondents: 528 The Commission would like to change or in foreign carriers. If the information respondents; 792 responses. the title to ‘‘International Section 214 is not collected by the Commission, we Estimated Time per Response: 1–20 Process and Tariff Requirements—47 will not be able to prevent carriers that hours. CFR Sections 63.10, 63.11, 63.13, 63.18, control bottleneck facilities in foreign Frequency of Response: On occasion 63.19, 63.21, 63.22, 63.24, 63.25 and countries from using those bottlenecks reporting requirement, Quarterly 1.1311’’ to reflect the addition of 47 CFR to discriminate against unaffiliated U.S. reporting requirement, Recordkeeping 63.22(h) to the information collection. carriers.
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Federal Communications Commission. the FCC’s Commission Meeting Room requirements conducted or sponsored Marlene H. Dortch, for any date within one month of by the Board. Board-approved Secretary, Office of the Secretary. December 12, 2017. As the December collections of information are [FR Doc. 2017–26729 Filed 12–11–17; 8:45 am] 2017 meeting date was announced at the incorporated into the official OMB BILLING CODE 6712–01–P October 2017 public meeting of the inventory of currently approved Council, the meeting has now been collections of information. Copies of the broadly announced to the public more Paperwork Reduction Act Submission, FEDERAL COMMUNICATIONS than once. supporting statements and approved COMMISSION The December 5, 2017, Federal collection of information instrument(s) Register notice is available at 82 FR are placed into OMB’s public docket Federal Advisory Committee Act; 57444 (December 5, 2017) and https:// files. The Federal Reserve may not Communications Security, Reliability, www.federalregister.gov/documents/ conduct or sponsor, and the respondent and Interoperability Council 2017/12/05/2017-26159/federal- is not required to respond to, an advisory-committee-act- AGENCY: Federal Communications information collection that has been communications-security-reliability- Commission. extended, revised, or implemented on or and-interoperability-council. after October 1, 1995, unless it displays ACTION: Notice. Additional information regarding the a currently valid OMB control number. SUMMARY: In accordance with the CSRIC can be found at: https:// Final approval under OMB delegated Federal Advisory Committee Act, this www.fcc.gov/about-fcc/advisory- authority of the extension for three document advises interested persons committees/communications-security- years, without revision, of the following that the Federal Communications reliability-and-interoperability-council. report: Commission’s (FCC or Commission) Federal Communications Commission. Report title: Quarterly Savings and Communications Security, Reliability, Marlene H. Dortch, Loan Holding Company Report. and Interoperability Council (CSRIC) VI Secretary. Agency form number: FR 2320. will hold its third meeting. [FR Doc. 2017–26732 Filed 12–11–17; 8:45 am] OMB control number: 7100–0345. Frequency: Quarterly. DATES: December 12, 2017. BILLING CODE 6712–01–P ADDRESSES: Federal Communications Respondents: Savings and loan Commission, Room TW–C305 holding companies (SLHCs) that are currently exempt from filing other (Commission Meeting Room), 445 12th FEDERAL RESERVE SYSTEM Street SW, Washington, DC 20554. Federal Reserve regulatory reports. Estimated number of respondents: 15. FOR FURTHER INFORMATION CONTACT: Agency Information Collection Jeffery Goldthorp, Designated Federal Activities: Announcement of Board Estimated average hours per response: Officer, (202) 418–1096 (voice) or Approval Under Delegated Authority 2.5 hours. [email protected] (email); or and Submission to OMB Estimated annual burden hours: 150 Suzon Cameron, Deputy Designated hours. AGENCY: Board of Governors of the General Description of Report: The FR Federal Officer, (202) 418–1916 (voice) Federal Reserve System. or [email protected] (email). 2320 collects select parent only and SUMMARY: The Board of Governors of the consolidated balance sheet and income SUPPLEMENTARY INFORMATION: The notice Federal Reserve System (Board) is statement financial data and of this meeting was first published in adopting a proposal to extend for three organizational structure data from the Federal Register on December 5, years, without revision, the Quarterly SLHCs that are currently exempt from 2017, only 7 days in advance of the Savings and Loan Holding Company filing other Federal Reserve regulatory meeting. While the publication did not Report. reports (exempt SLHCs).1 The FR 2320 meet the 15-day requirement for is used by the Board to analyze the advance publication, exceptional FOR FURTHER INFORMATION CONTACT: overall financial condition of exempt circumstances warrant proceeding with Federal Reserve Board Clearance the December 12, 2017 CSRIC meeting. Officer—Nuha Elmaghrabi—Office of SLHCs to ensure safe and sound CSRIC members and the public were the Chief Data Officer, Board of operations. These data assist the Board informed of the December 12 meeting at Governors of the Federal Reserve in the evaluation of a diversified the October 26, 2017 public meeting of System, Washington, DC 20551, (202) holding company and in determining the Council, and CSRIC members have 452–3829. Telecommunications Device whether an institution is in compliance been advised informally of the for the Deaf (TDD) users may contact with applicable laws and regulations. December meeting date on more than (202) 263–4869, Board of Governors of Legal authorization and one occasion since then. In addition, the the Federal Reserve System, confidentiality: The Board has date of the December meeting has been Washington, DC 20551. determined that the Home Owners’ available on the FCC’s CSRIC website OMB Desk Officer—Shagufta Loan Act authorizes the Board to require for at two months. A significant number Ahmed—Office of Information and SLHCs to file ‘‘such reports as may be of Council members have made business Regulatory Affairs, Office of required by the Board’’ and instructs and travel plans in accordance with this Management and Budget, New that such reports ‘‘shall contain such schedule, and there is no date within Executive Office Building, Room 10235, information concerning the operations one month of the planned date that will 725 17th Street NW, Washington, DC of such savings and loan holding 20503 or by fax to (202) 395–6974. accommodate Council members’ 1 SUPPLEMENTARY INFORMATION: To be exempt, an SLHC must meet one of the schedules. Delaying the meeting will On June following criteria: (1) The SLHC was formed under cause undue financial burdens on many 15, 1984, the Office of Management and section 10(c)(9)(C) of the Home Owners’ Loan Act of the members and any members of the Budget (OMB) delegated to the Board (HOLA) and the consolidated assets of its saving public who have made travel authority under the Paperwork association subsidiaries make up less than 5 percent of the total consolidated assets of the SLHC; or (2) arrangements. Reduction Act (PRA) to approve of and its top-tier holding company is an insurance In addition, it is not possible at this assign OMB control numbers to company that only prepares financial statements time to schedule a half-day meeting in collection of information requests and using statutory accounting principles.
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company and its subsidiaries as the FEDERAL RESERVE SYSTEM transactions in which a Federal Reserve Board may require.’’ (12 U.S.C. Bank is a counterparty.2 1467a(b)(2)). The obligation to respond [Docket Number OP–1573] Rate 2: Broad General Collateral Rate is mandatory for exempt SLHCs. In (BGCR) some cases, lower-tier SLHCs may Production of Rates Based on Data for voluntarily file the FR 2320. In other Repurchase Agreements The Request for Information indicated that this rate would provide a broad cases lower-tier SLHCs may be required AGENCY: Board of Governors of the measure of rates on overnight Treasury to file (in addition to the top-tier SLHC) Federal Reserve System. GC repo transactions. The rate would be for safety and soundness purposes at the ACTION: Notice. calculated based on the same discretion of the appropriate Federal transaction-level tri-party repo data Reserve Bank. SUMMARY: The Board of Governors of the collected from BNYM as in the TGCR The Board also has determined that Federal Reserve System (Board) is plus GCF Repo data obtained from data items C572, C573, and C574 (line announcing the production and DTCC Solutions LLC (DTCC Solutions), items 24, 25, and 26) may be protected publication of three rates by the Federal an affiliate of the Depository Trust & from disclosure under exemption 4 of Reserve Bank of New York (FRBNY), in Clearing Corporation (DTCC). the Freedom of Information Act (FOIA). coordination with the U.S. Office of Financial Research (OFR), based on data Rate 3: Secured Overnight Financing Commercial or financial information Rate (SOFR) may be protected from disclosure under for overnight repurchase agreement The Request for Information indicated exemption 4 if disclosure of such transactions on Treasury securities. DATES: FRBNY intends to begin that this rate would provide a broad information is likely to cause substantial measure of the general cost of financing competitive harm to the provider of the publishing the three rates during the second quarter of 2018. Treasury securities overnight. The rate information. (5 U.S.C. 552(b)(4)). The would be calculated based on the tri- FOR FURTHER INFORMATION CONTACT: data items listed above pertain to new party data from BNYM and GCF Repo or changed pledges, or capital stock of David Bowman, Associate Director, data from DTCC Solutions used to any subsidiary savings association that (202–452–2334), Division of calculate the BGCR, plus bilateral secures short-term or long-term debt or International Finance; or Christopher W. Treasury repo transactions cleared other borrowings of the SLHC; changes Clubb, Special Counsel (202–452–3904), through FICC’s Delivery-versus-Payment to any class of securities of the SLHC or Evan Winerman, Counsel (202–872– (DVP) service, filtered to remove some any of its subsidiaries that would 7578), Legal Division; for users of (but not all) transactions considered negatively impact investors; and Telecommunications Device for the Deaf ‘‘specials.’’ 3 This rate would not be a (TDD) only, contact (202–263–4869). defaults of the SLHC or any of its pure GC repo rate, but would offer the subsidiaries during the quarter. SUPPLEMENTARY INFORMATION: broadest measure of dealers’ cost of Disclosure of this type of information is I. Background financing Treasury securities overnight. likely to cause substantial competitive On August 30, 2017, the Board B. Proposed Calculation of and harm to the SLHC providing the published a notice and request for Publication of the Rates information and thus this information public comment (Request for The Request for Information stated may be protected from disclosure under Information) on the proposal that that FRBNY would use a volume- FOIA exemption 4. FRBNY, in coordination with OFR, weighted median as the central With regard to the remaining data produce and publish three rates based tendency measure for each of the three items on the FR 2320, the Board has on overnight repurchase agreement Treasury repo rates described above. determined that institutions may (repo) transactions on U.S. Treasury FRBNY would publish summary request confidential treatment for any securities (Treasury repo).1 The three statistics to accompany the daily FR 2320 data item or for all FR 2320 rates (collectively, the ‘‘Treasury repo publication of the rate, which would data items, and that confidential rates’’) would be based on transaction- consist of the 1st, 25th, 75th and 99th treatment will be reviewed on a case-by- level data from various segments of the volume-weighted percentile rates, as case basis. repo market. well as volumes. The Request for Information included Current actions: On August 23, 2017, A. Summary of Proposed Rates a target publication time of 8:30 a.m. ET. the Federal Reserve published a notice Rate 1: Tri-Party General Collateral Rate The Request for Information stated that in the Federal Register (82 FR 40000) (TGCR) the rates would be revised only on a requesting public comment for 60 days same-day basis, and only if the revision on the extension, without revision, of The Request for Information indicated would result in a shift in the volume- the Quarterly Savings and Loan Holding that this rate would be a measure of weighted median by more than one Company Report. The comment period rates on overnight, specific-counterparty tri-party Treasury general collateral (GC) for this notice expired on October 23, 2 A Federal Reserve Bank may enter into bilateral repo. This rate would be calculated 2017. The Board did not receive any and tri-party Treasury repos in order to implement based on transaction-level tri-party repo monetary policy. Because all three proposed rates comments. data collected from the Bank of New were intended to reflect rates on trades between Board of Governors of the Federal Reserve market participants, it was proposed that all would York Mellon (BNYM) under the Board’s exclude Federal Reserve repos. System, December 7, 2017. supervisory authority. The rate would 3 ‘‘Specials’’ are repos for specific-issue collateral, Ann E. Misback, exclude General Collateral Finance which can take place at much lower rates than GC ® Secretary of the Board. (GCF) Repo cleared by the Fixed trades because cash providers may be willing to Income Clearing Corporation (FICC) and accept a lesser return on their cash, or even at times [FR Doc. 2017–26710 Filed 12–11–17; 8:45 am] accept a negative return, in order to secure a BILLING CODE 6210–01–P particular security. The Request for Information 1 82 FR 41259 (Aug. 30, 2017). The Request for noted that FRBNY could filter out specials by Information included a detailed overview of the simply excluding the lowest quartile of bilateral Treasury repo market. transaction volume.
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basis point. Such revisions would be contracts. For example, a number of additional Treasury repo activity in the effected that same day at or around 2:30 commenters believed that U.S. dollar future. As noted in the Request for p.m. ET and would result in a LIBOR should be replaced with term Information, each of the Treasury repo republication of updated summary reference rates or rates that reflect bank rates could be modified in the future in statistics. If relevant data sources were credit risk in ways that are similar to response to market evolution or to unavailable, the Request for Information U.S. dollar LIBOR. Some commenters incorporate additional market segments stated that the rates would be calculated also noted difficulties in amending if data become available. The Federal based upon back-up repo market survey certain existing contracts (e.g., Reserve and OFR will monitor trading data collected from FRBNY’s primary syndicated loan and corporate bond activity in new market segments and dealer counterparties. In such contracts) to replace U.S. dollar LIBOR. will consult with the public in deciding circumstances, the Request for Based on public comments, the Board whether to include new data sources in Information indicated that FRBNY believes that market participants could the Treasury repo rates or make other might revise the summary statistics or use the proposed Treasury repo rates in compositional or methodological publish additional summary statistics a variety of ways. The Board recognizes changes to the rates. The Board also on a lagged basis. that the proposed rates could be used as notes that (1) FRBNY cannot currently For each rate, the Request for reference rates in financial contracts, include data regarding uncleared Information stated that FRBNY would and that the Alternative Reference Rates bilateral repos in the Treasury repo rates exclude trades between affiliated Committee (ARRC) has selected SOFR because there is no available data source entities when relevant and when the as its recommended alternative to U.S. for such information and (2) SOFR will data to make such exclusions is Dollar LIBOR.4 The Board notes, include data from FICC’s Sponsored available. To the extent possible, however, that the proposal to publish DVP Repo Service. ‘‘open’’ trades for which pricing resets these rates was not contingent upon the A commenter asked the Board to daily (making such transactions ARRC’s selection of SOFR or the provide more information regarding economically similar to overnight possible use of SOFR (or either of the FRBNY’s contract to acquire data from transactions) would be included in the other proposed rates) as a reference rate DTCC Solutions, stating that additional calculation of the rates. in financial contracts. As noted in the information would help market Finally, the Request for Information Request for Information, the publication participants evaluate potential risks stated that each of the rates could be of the Treasury repo rates is intended to related to loss of access to data. The modified in the future in response to improve transparency into the repo Federal Reserve and OFR are confident market evolution or to incorporate market by increasing the amount and that the combination of the relevant additional market segments if data quality of information available about provisions of the contract with DTCC become available. the market for overnight Treasury repo Solutions and the data collection authorities of the OFR and Federal II. Public Comments activity. This information could be useful to market participants in a variety Reserve will ensure that they will be The Board received twelve comments of ways. To the extent that market able to continue to produce robust rates on the Request for Information from participants choose to use SOFR or under a variety of circumstances. In this financial institutions and industry another of the Treasury repo rates as a regard, the Board notes that OFR associations. Certain commenters reference rate, details regarding the informed the Financial Stability focused on possible uses of the transition from U.S. Dollar LIBOR to Oversight Council on November 16, proposed rates, including the possibility that rate in particular markets are 2017, that it intends to propose an that the proposed rates (particularly outside the scope of the Request for information collection in the first half of SOFR) could serve as reference rates for Information and this final Federal 2018 to collect data regarding cleared financial contracts. Other commenters 5 Register notice. repo transactions. focused on the calculation, publication, Finally, a commenter suggested that and governance of the proposed rates. B. Calculation, Publication, and the Board should use its supervisory Governance of the Proposed Rates authority to ensure that BNYM conducts A. Uses of the Proposed Rates The Board received a number of its tri-party operations properly, Commenters suggested that the comments on the calculation, including appropriate business proposed rates would be useful because publication, and governance of the continuity and other risk contingency they would provide a comprehensive proposed rates. Commenters discussed planning. BNYM is a State member bank view of pricing in the Treasury repo the types of data that FRBNY will and is subject to comprehensive market, would provide a good proxy for 6 include in the rates, FRBNY’s supervision by the Federal Reserve. In a risk-free rate, would provide useful particular, the Federal Reserve calculation methodology, and various information regarding overnight supervises BYNM’s tri-party issues related to publication and demand and supply for funding, and operations.7 governance of the rates. could facilitate the creation of futures 2. Calculation Methodology contracts that would allow market 1. Data Sources Two commenters supported the participants to hedge Treasury repos Three commenters suggested that the proposal to calculate the Treasury repo and spot-market Treasury purchases. Federal Reserve and OFR should Most commenters who expressed a view consider including additional Treasury on the potential uses of the proposed 5 See https://www.financialresearch.gov/from-the- repo activity in the proposed rates (e.g., management-team/2017/11/22/ofr-update-on- rates suggested that SOFR would be uncleared bilateral repos, FICC’s bilateral-repo-collection/. more useful than the other rates because Sponsored DVP Repo Service, and 6 See, inter alia, section 9 of the Federal Reserve SOFR would provide a broader measure FICC’s new CCITTM Service) and should Act (12 U.S.C. 321 et seq.) and the Board’s Regulation H (12 CFR part 208). of pricing in the Treasury repo market. adopt a clear mechanism for including Other commenters raised concerns 7 The Board notes that the Federal Reserve has taken a variety of steps in recent years that have regarding the possible use of SOFR as a 4 See https://www.newyorkfed.org/medialibrary/ made tri-party repo infrastructure more resilient. replacement for the London Interbank microsites/arrc/files/2017/ARRC-press-release-Jun- See https://www.newyorkfed.org/banking/tpr_infr_ Offered Rate (LIBOR) in financial 22-2017.pdf. reform.html.
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rates using a volume-weighted median various volume-weighted percentile comprehensive view of pricing in the approach. One commenter suggested, thresholds revealed that excluding all Treasury repo market. however, that a volume-weighted activity trading below the 25th 3. Publication Issues average might be more appropriate percentile rate struck an appropriate because SOFR could have a bimodal balance between removing the largest One commenter stated that the distribution, with one peak representing number of specials transactions and proposed 8:30 a.m. ET publication time relatively low tri-party rates and a maintaining robust volume to use in was appropriate. Another commenter second peak reflecting higher rates for calculating a rate.9 This approach asked the Federal Reserve to consider GCF repos and repos cleared through effectively removes transactions with carefully whether publishing the rates at FICC’s DVP service. This commenter rates that are notably lower than other 8:30 a.m. would impact efficient market believed that, if SOFR has a bimodal transactions in the FICC-cleared functioning. Three commenters believed distribution, small changes in the bilateral data set, which indicates that that the proposed rates should be relative volumes of the two peaks could the removed transactions are specials. published earlier, explaining that 8:30 result in significant shifts in the median A commenter requested more a.m. publication would be too late for rate. FRBNY will use a volume- information about how FRBNY will some foreign financial markets and on weighted median approach because, include ‘‘open’’ trades in the proposed certain days would coincide with some compared to a volume-weighted mean rates. Open transactions are transactions U.S. economic data releases. FRBNY approach, it is more robust to erroneous with no specific maturity date for which will shift the publication time at least as data and outliers and more frequently the interest rate is periodically reset early as 8:00 a.m. ET to avoid coincident reflects a transacted rate. Although the upon agreement by both borrower and release with key U.S. economic data. aggregation of heterogeneous market lender. Although there are many forms The Board and FRBNY will consider segments increases the risk of a of open transactions with different reset whether FRBNY can publish Treasury multimodal distribution, FRBNY’s periods, those with daily rate resets are repo rates even earlier, but operational historical analysis indicates that use of economically very similar to overnight constraints—for example, constraints on a volume-weighted median did not transactions. On January 24, 2017, the the ability of FRBNY’s data providers to materially increase the volatility of the Treasury Market Practices Group produce and deliver data overnight and rate and that small shifts in the data did recommended a new best practice in the the time required for FRBNY to perform not cause significant shifts in the recording of daily-resetting open trades, data validation and quality assurance median rate. The Federal Reserve and which is expected to make daily- processes—may prevent earlier OFR will review the composition and resetting trades easier to differentiate publication. methodology of the rates over time and, from open trades with different reset A commenter asked for an as noted above, will consult with the periods.10 explanation of how FRBNY would public in deciding whether to make any Two commenters noted that SOFR publish the proposed rates. FRBNY will compositional or methodological tends to spike at quarter-ends and publish the Treasury repo rates on its changes. suggested that FRBNY apply a public website, similar to the manner in Multiple commenters asked the Board ‘‘smoothing’’ mechanism to minimize which FRBNY currently publishes the to clarify how FRBNY will trim specials volatility of the proposed rates. The effective federal funds rate (EFFR) and from the proposed rates. One Board recognizes that rates in some the overnight bank funding rate commenter supported exclusion of all segments of the Treasury repo market (OBFR).11 bilateral transactions below the 25th currently tend to increase at quarter- Four commenters supported the volume-weighted percentile rate, while ends, but FRBNY will not apply a proposal to publish summary statistics. two commenters stated that they would smoothing mechanism to the Treasury One of these commenters suggested, need more data to evaluate whether this repo rates because doing so would however, that publishing statistics from approach is sensible. Another provide an inaccurate view of that day’s the 1st and 99th percentiles would not commenter suggested other possible pricing in the Treasury repo market. be informative, and that FRBNY should techniques for excluding outlier Finally, one commenter suggested instead publish summary statistics for transactions. Federal Reserve and OFR that, even though the proposed rates percentiles between the 1st and 25th/ staff considered several techniques for would exclude transactions in which a 75th and 99th percentiles (e.g., the 5th trimming specials activity, including Federal Reserve Bank is a counterparty, and 95th percentiles). Initially, FRBNY removing all transactions collateralized Federal Reserve activity in repo markets will publish summary statistics as by on-the-run and first-off-the-run might distort rates in Treasury repos described in the Request for 8 securities. The Board confirms that that do not involve a Federal Reserve Information, and may publish FRBNY will trim specials by excluding Bank. The Federal Reserve implements additional percentiles on a lagged basis. from the FICC-cleared bilateral data all monetary policy through multiple types After FRBNY begins publishing the transactions with rates below the 25th of financial transactions, including Treasury repo rates, FRBNY will volume-weighted percentile. Analysis of repos. These open market operations reassess whether market participants affect all money market rates. The Board would benefit from additional summary 8 See Kathryn Bayeux, Alyssa Cambron, Marco Cipriani, Adam Copeland, Scott Sherman, and Brett nevertheless believes that the Treasury statistics. Solimine, ‘‘Introducing the Revised Broad repo rates will provide market Three commenters requested that Treasuries Financing Rate,’’ Federal Reserve Bank participants with a transparent and FRBNY publish historical data for of New York Liberty Street Economics SOFR. Commenters believed that (blog), June 19, 2017, http:// 9 libertystreeteconomics.newyorkfed.org/2017/06/ For a fuller explanation of this approach, see historical data would serve a number of introducing-the-revised-broad-treasuries-financing- ‘‘Introducing the Revised Broad Treasuries purposes—for example, commenters rate.html; Bowman, David, Joshua Louria, Matthew Financing Rate,’’ http:// suggested that historical data would libertystreeteconomics.newyorkfed.org/2017/06/ McCormick, and Mary-Frances Styczynski (2017). help market participants determine ‘‘The Cleared Bilateral Repo Market and Proposed introducing-the-revised-broad-treasuries-financing- Repo Benchmark Rates,’’ FEDS Notes. Washington: rate.html. Board of Governors of the Federal Reserve System, 10 See https://www.newyorkfed.org/medialibrary/ 11 See https://apps.newyorkfed.org/markets/ February 27, 2017, https://doi.org/10.17016/2380- microsites/tmpg/files/best-practices-tripartyrepo- autorates/fed%20funds and https:// 7172.1940. 170124.pdf. apps.newyorkfed.org/markets/autorates/obfr.
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margin requirements for derivatives that Treasury repo transactions in the GCF The Regulatory Flexibility Act (5 reference SOFR and would help market market, and FICC-cleared bilateral U.S.C. 601 et seq.) (RFA) generally participants compare SOFR to existing Treasury repo transactions. For each of requires an agency to perform an initial benchmarks. The Board recognizes that these market segments, each dealer will and a final regulatory flexibility analysis market participants might benefit from report its aggregate borrowing activity on the impact a rule is expected to have historical data. While longer histories of (excluding, to the extent possible, on small entities. The RFA imposes comparable commercially produced transactions between affiliated entities these requirements in situations where repo rates are publicly available, the and transactions in which the Federal an agency is required by law to publish Board believes that a significantly Reserve is a counterparty), along with a general notice of proposed rulemaking longer history of the Treasury repo rates the weighted-average rate of its for any proposed rule. The production may not be possible due to limitations borrowing. If FRBNY publishes of the rates does not create any on the availability of data. The Board Treasury repo rates that use survey data obligations or rights for any private and FRBNY will work with BNYM and and subsequently receives updated data, parties, including any small entities, DTCC to determine whether FRBNY can FRBNY would issue same-day revisions and so the Board was not required to publish additional historical data for the at or around 2:30 p.m. ET if the use of publish a notice of proposed Treasury repo rates. updated data would result in the rulemaking. Accordingly, the RFA does Two commenters suggested that the published rate changing by more than not apply and an initial and final proposed threshold of ‘‘greater than one one basis point. regulatory flexibility analysis is not basis point’’ for revising the proposed Finally, two commenters asked that required. rates was too sensitive. Another FRBNY begin publishing the Treasury The Board did not receive any commenter explained that its members repo rates as soon as possible. FRBNY comments regarding the Paperwork had not achieved consensus on the intends to begin publishing the Treasury Reduction Act or the RFA. threshold at which FRBNY should repo rates in the second quarter of 2018. By order of the Board of Governors of the revise errors, but the commenter Federal Reserve System, December 7, 2017. emphasized that FRBNY should 4. Governance Ann E. Misback, articulate a clear rationale for its A commenter suggested that revision policy. The Board notes that, Secretary of the Board. governance arrangements for the because FRBNY will round the Treasury [FR Doc. 2017–26761 Filed 12–11–17; 8:45 am] Treasury repo rates should align with repo rates to the nearest whole basis BILLING CODE 6210–01–P point, the threshold is effectively two the Principles for Financial Benchmarks basis points. The Board also notes that published by the International Organization of Securities Commissions DEPARTMENT OF HEALTH AND this is the same threshold employed for 12 EFFR and OBFR, for which revisions are (IOSCO) in July 2013. FRBNY plans to HUMAN SERVICES very rare. The Federal Reserve will publish an IOSCO statement of periodically review the revision compliance covering the Treasury repo Centers for Medicare & Medicaid threshold to ensure that revisions are rates in the first half of 2018. Services very rare and do not impose undue III. Conclusion [CMS–6063–N3] operational costs on users of the Treasury repo rates. After considering public comments, Medicare Program; Extension of Prior A commenter asked whether FRBNY the Board concludes that the public Authorization for Repetitive Scheduled would publish the proposed rates if would benefit if FRBNY publishes the Non-Emergent Ambulance Transports relevant data sources were unavailable three Treasury repo rates as proposed, AGENCY: and, if so, whether FRBNY would with certain modifications described Centers for Medicare & correct such rates retroactively when above. Medicaid Services (CMS), HHS. ACTION: Notice. data becomes available. Another IV. Administrative Law commenter suggested that FRBNY SUMMARY: This notice announces a 1- In accordance with the Paperwork should provide more information year extension of the Medicare Prior Reduction Act of 1995 (44 U.S.C. 3506; regarding the back-up repo market Authorization Model for Repetitive 5 CFR part 1320, Appendix A.1), the survey it would conduct if standard data Scheduled Non-Emergent Ambulance Board reviewed the Request for sources are unavailable. As noted in the Transport. The extension of this model Information and this final notice under Request for Information, in the event is applicable to the following states and the authority delegated to the Board by that data sources are unavailable, the the District of Columbia: Delaware, the Office of Management and Budget. Treasury repo rates would be calculated Maryland, New Jersey, North Carolina, For purposes of calculating burden based upon back-up repo market survey Pennsylvania, South Carolina, Virginia, under the Paperwork Reduction Act, a data collected from FRBNY’s primary and West Virginia. dealer counterparties. FRBNY currently ‘‘collection of information’’ involves 10 DATES: collects repo data from primary dealers or more respondents. As noted above, This extension began on each morning. Going forward, FRBNY the data to be used to produce the rates December 5, 2017 and ends on will also collect data each afternoon. will be obtained solely from (1) BNYM December 1, 2018. However, prior The afternoon survey will capture that with respect to tri-party GC repo data authorization is available upon day’s activity by primary dealers and and (2) DTCC Solutions with respect to provider, supplier, or beneficiary will be available as a contingency data GCF repo data and DVP bilateral repo request for dates of service between source for the following morning’s data. Therefore, producing the rates will December 2, 2017 and December 4, publication of the Treasury repo rates. not involve a collection of information 2017. The survey will request aggregated pursuant to the Paperwork Reduction FOR FURTHER INFORMATION CONTACT: primary dealer activity in each of the Act. Angela Gaston, (410) 786–7409. market segments captured in the Questions regarding the Medicare Prior Treasury repo rates: Overnight tri-party 12 See https://www.iosco.org/library/pubdocs/pdf/ Authorization Model Extension for Treasury repo transactions, overnight IOSCOPD415.pdf. Repetitive Scheduled Non-Emergent
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Ambulance Transport should be sent to Benefit Policy Manual (Pub. L. 100–02), model must comply with all applicable [email protected]. Chapter 10, at http://www.cms.gov/ fraud and abuse laws. SUPPLEMENTARY INFORMATION: Regulations-and-Guidance/Guidance/ In the November 14, 2014 Federal Manuals/downloads/bp102c10.pdf. Register (79 FR 68271), we published a I. Background According to a study published by the notice entitled ‘‘Medicare Program; Medicare may cover ambulance Government Accountability Office in Prior Authorization of Repetitive services, including air ambulance October 2012, entitled ‘‘Costs and Scheduled Non-emergent Ambulance (fixed-wing and rotary-wing) services, if Medicare Margins Varied Widely; Transports,’’ which announced the the ambulance service is furnished to a Transports of Beneficiaries Have implementation of a 3-year Medicare beneficiary whose medical condition is Increased,’’ 4 the number of basic life Prior Authorization model that such that other means of transportation support (BLS) non-emergent transports established a process for requesting are contraindicated. The beneficiary’s for Medicare Fee-For-Service prior authorization for repetitive, condition must require both the beneficiaries increased by 59 percent scheduled non-emergent ambulance ambulance transportation itself and the from 2004 to 2010. A similar finding transport rendered by ambulance level of service provided in order for the published by the Department of Health providers/suppliers garaged in 3 states billed service to be considered and Human Services’ Office of Inspector (New Jersey, Pennsylvania, and South medically necessary. General in a 2006 study, entitled Carolina). These states were selected as Non-emergent transportation by ‘‘Medicare Payments for Ambulance the initial states for the model because ambulance is appropriate if either the— Transports,’’ 5 indicated a 20 percent of their high utilization and improper (1) beneficiary is bed-confined and it is nationwide improper payment rate for payment rates for these services. The documented that the beneficiary’s non-emergent ambulance transport. model began on December 1, 2014, and condition is such that other methods of Likewise, in June 2013, the Medicare was originally scheduled to end in all 3 transportation are contraindicated; or (2) Payment Advisory Commission states on December 1, 2017. In the October 23, 2015 Federal beneficiary’s medical condition, published a report 6 that included an Register (80 FR 64418), we published a regardless of bed confinement, is such analysis of non-emergent ambulance notice titled ‘‘Medicare Program; that transportation by ambulance is transports to dialysis facilities and Expansion of Prior Authorization of medically required. Thus, bed found that, during the 5-year period Repetitive Scheduled Non-emergent confinement is not the sole criterion in between 2007 and 2011, the volume of Ambulance Transports,’’ which determining the medical necessity of transports to and from a dialysis facility announced the inclusion of 6 additional non-emergent ambulance transportation; increased 20 percent, more than twice states (Delaware, the District of the rate of all other ambulance rather, it is one factor that is considered Columbia, Maryland, North Carolina, 1 transports combined. in medical necessity determinations. West Virginia, and Virginia) in the A repetitive ambulance service is Section 1115A of the Social Security Repetitive Scheduled Non-Emergent defined as medically necessary Act (the Act) authorizes the Secretary to Ambulance Transport Prior ambulance transportation that is test innovative payment and service Authorization model in accordance with furnished in 3 or more round trips delivery models to reduce program section 515(a) of the Medicare Access during a 10-day period, or at least 1 expenditures, while preserving or and CHIP Reauthorization Act of 2015 round trip per week for at least 3 enhancing the quality of care furnished (MACRA) (Pub. L. 114–10). These 6 2 weeks. Repetitive ambulance services to Medicare, Medicaid, and Children’s states began participation on January 1, are often needed by beneficiaries Health Insurance Program beneficiaries. 2016, and the model was originally receiving dialysis or cancer treatment. Section 1115A(d)(1) of the Act scheduled to end in all nine model Medicare may cover repetitive, authorizes the Secretary to waive such states on December 1, 2017. scheduled non-emergent transportation requirements of Titles XI and XVIII, as by ambulance if the—(1) medical well as sections 1902(a)(1), 1902(a)(13), II. Provisions of the Notice necessity requirements described 1903(m)(2)(A)(iii), and 1934 (other than This notice announces that the previously are met; and (2) ambulance subsections (b)(1)(A) and (c)(5)) of the Medicare Prior Authorization Model for provider/supplier, before furnishing the Act as may be necessary solely for Repetitive Scheduled Non-Emergent service to the beneficiary, obtains a purposes of carrying out section 1115A Ambulance Transport is being extended written order from the beneficiary’s of the Act with respect to testing models in the current model states of Delaware, attending physician certifying that the described in section 1115A(b) of the the District of Columbia, Maryland, New medical necessity requirements are met Act. Consistent with this standard, we Jersey, North Carolina, Pennsylvania, (see 42 CFR 410.40(d)(1) and (2)).3 will continue to waive the same South Carolina, Virginia, and West In addition to the medical necessity provisions for the extension of this Virginia, effective December 5, 2017, for requirements, the service must meet all model as have been waived for the an additional year to allow for other Medicare coverage and payment initial three years of the model. additional evaluation of the model. requirements, including requirements Additionally, we have determined that Repetitive, scheduled non-emergent relating to the origin and destination of the implementation of this model does ambulance transport claims with dates the transportation, vehicle and staff, and not require the waiver of any fraud and of service of December 2, 2017 through billing and reporting. Additional abuse law, including sections 1128A, December 4, 2017 will not be stopped information about Medicare coverage of 1128B, and 1877 of the Act. Thus for prepayment review if prior ambulance services can be found in 42 providers and suppliers affected by this authorization is not requested before the CFR 410.40, 410.41, and in the Medicare fourth round trip in a 30-day period; 4 Government Accountability Office Cost and however, providers, suppliers, and 1 42 CFR 410.40(d)(1). Medicare Margins Varied Widely; Transports of beneficiaries may request prior 2 Program Memorandum Intermediaries/Carriers, Beneficiaries Have Increased (October 2012). authorization for these dates of service. Transmittal AB–03–106. 5 Office of Inspector General Medicare Payment 3 Per 42 CFR 410.40(d)(2), the physician’s order for Ambulance Transport (January 2006). The model will now end in all states on must be dated no earlier than 60 days before the 6 Medicare Payment Advisory Commission, June December 1, 2018. Prior authorization date the service is furnished. 2013, pages 167–193. will not be available for repetitive
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scheduled non-emergent ambulance However, an ambulance provider/ period. A provisional affirmative transportation services furnished after supplier or beneficiary is encouraged to decision can be for all or part of the that date. submit to the MAC a request for prior requested number of trips. Transports We will continue to test whether prior authorization along with all relevant exceeding 40 round trips (or 80 one-way authorization helps reduce documentation to support Medicare trips) in a 60-day period require an expenditures, while maintaining or coverage of a repetitive, scheduled non- additional prior authorization request. improving quality of care, using the emergent ambulance transport. If prior The following describes examples of established prior authorization process authorization has not been requested by various prior authorization scenarios: for repetitive, scheduled non-emergent the fourth round trip in a 30-day period, • Scenario 1: When an ambulance ambulance transport to reduce the subsequent claims will be stopped provider/supplier or beneficiary submits utilization of services that do not for prepayment review. a prior authorization request to the MAC comply with Medicare policy. In order for a prior authorization with appropriate documentation and all We will continue to use this prior request to be provisionally affirmed, the relevant Medicare coverage and authorization process to help ensure request for prior authorization must documentation requirements are met for that all relevant clinical or medical meet all applicable rules and policies, the ambulance transport, the MAC will documentation requirements are met including any local coverage send a provisional affirmative prior before services are furnished to determination (LCD) requirements for authorization decision to the ambulance beneficiaries and before claims are ambulance transport claims. A provider/supplier and the beneficiary. submitted for payment. This prior provisional affirmation is a preliminary When the subsequent claim is submitted authorization process further helps to finding that a future claim submitted to to the MAC by the ambulance provider/ ensure that payment complies with Medicare for the service likely meets supplier, it is linked to the prior Medicare documentation, coverage, Medicare’s coverage, coding, and authorization decision via the claims payment, and coding rules. payment requirements. After receipt of processing system, and the claim will be The use of prior authorization does all relevant documentation, the MACs paid so long as all Medicare coding, not create new clinical documentation will make every effort to conduct a billing, and coverage requirements are requirements. Instead, it requires the review and postmark the notification of met. However, the claim could be same information that is already their decision on a prior authorization denied for technical reasons, such as the required to support Medicare payment, request within 10 business days for an claim was a duplicate claim or the claim just earlier in the process. Prior initial submission. Notification will be was for a deceased beneficiary. In authorization allows providers and provided to the ambulance provider/ addition, a claim denial could occur suppliers to address coverage issues supplier and to the beneficiary. If a because certain documentation, such as prior to furnishing services. subsequent prior authorization request the trip record, needed in support of the The prior authorization process under is submitted after a non-affirmative claim cannot be submitted with a prior this model will continue to apply in the decision on an initial prior authorization request because it is not nine states listed previously for the authorization request, the MACs will available until after the service is following codes for Medicare payment: make every effort to conduct a review provided. • A0426 Ambulance service, and postmark the notification of their • Scenario 2: When an ambulance advanced life support, non-emergency decision on the resubmitted request provider/supplier or beneficiary submits transport, Level 1 (ALS1). within 20 business days. a prior authorization request, but all • A0428 Ambulance service, BLS, An ambulance provider/supplier or relevant Medicare coverage non-emergency transport. beneficiary may request an expedited requirements are not met, the MAC will While prior authorization is not review when the standard timeframe for send a non-affirmative prior needed for the mileage code, A0425, a making a prior authorization decision authorization decision to the ambulance prior authorization decision for an could jeopardize the life or health of the provider/supplier and to the beneficiary A0426 or A0428 code will automatically beneficiary. If the MAC agrees that the advising them that Medicare will not include the associated mileage code. standard review timeframe would put pay for the service. The provider/ We have conducted and will continue the beneficiary at risk, the MAC will supplier or beneficiary may then to conduct outreach and education to make reasonable efforts to communicate resubmit the request with additional ambulance providers/suppliers, as well a decision within 2 business days of documentation showing that Medicare as beneficiaries, through such methods receipt of all applicable Medicare- requirements have been met. as updating the operational guide, required documentation. As this model Alternatively, an ambulance provider/ frequently asked questions (FAQs) on is for non-emergent services only, we supplier could furnish the service and our website, a physician letter expect requests for expedited reviews to submit a claim with a non-affirmative explaining the ambulance providers/ be extremely rare. prior authorization tracking number, at suppliers’ need for the proper A provisional affirmative prior which point the MAC would deny the documentation, and educational events authorization decision may affirm a claim. The ambulance provider/supplier and materials issued by the Medicare specified number of trips within a and the beneficiary would then have the Administrative Contractors (MACs). We specific amount of time. The prior Medicare denial for secondary are also working to implement a new authorization decision, justified by the insurance purposes and would have the process that will help identify alternate beneficiary’s condition, may affirm up opportunity to submit an appeal of the transportation resources for to 40 round trips (which equates to 80 claim denial if they think Medicare beneficiaries who receive non- one-way trips) per prior authorization coverage was denied inappropriately. affirmative decisions. Additional request in a 60-day period. • Scenario 3: When an ambulance information about the implementation Alternatively, a provisional affirmative provider/supplier or beneficiary submits of the prior authorization model is decision may affirm less than 40 round a prior authorization request with available on the CMS website at http:// trips in a 60-day period, or may affirm incomplete documentation, a detailed go.cms.gov/PAAmbulance. a request that seeks to provide a decision letter will be sent to the Under this model, submitting a prior specified number of transports (40 ambulance provider/supplier and to the authorization request is voluntary. round trips or less) in less than a 60-day beneficiary, with an explanation of what
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information is missing. The ambulance percent prepayment medical review of comments be faxed to the Office of provider/supplier or beneficiary can those claims. Information and Regulatory Affairs, rectify the error(s) and resubmit the Additional information is available on OMB, Attn: FDA Desk Officer, Fax: prior authorization request with the CMS website at http://go.cms.gov/ 202–395–7285, or emailed to oira_ appropriate documentation. PAAmbulance. [email protected]. All • Scenario 4: If an ambulance comments should be identified with the III. Collection of Information provider or supplier renders a service to OMB control number 0910–0001. Also Requirements a beneficiary and does not request prior include the FDA docket number found authorization by the fourth round trip in Section 1115A(d)(3) of the Act states in brackets in the heading of this a 30-day period, and the claim is that chapter 35 of title 44, United States document. submitted to the MAC for payment, then Code (the Paperwork Reduction Act of FOR FURTHER INFORMATION CONTACT: the claim will be stopped for 1995), shall not apply to the testing and prepayment review and documentation evaluation of models or expansion of Domini Bean, Office of Operations, will be requested. such models under this section. Food and Drug Administration, Three ++ If the claim is determined to be for Consequently, this document need not White Flint North, 10A–12M, 11601 services that were not medically be reviewed by the Office of Landsdown St., North Bethesda, MD necessary or for which there was Management and Budget under the 20852, 301–796–5733, PRAStaff@ insufficient documentation, the claim authority of the Paperwork Reduction fda.hhs.gov. will be denied, and all current policies Act of 1995. SUPPLEMENTARY INFORMATION: In and procedures regarding liability for compliance with 44 U.S.C. 3507, FDA IV. Regulatory Impact Statement payment will apply. The ambulance has submitted the following proposed provider/supplier or the beneficiary, or This document announces a 1-year collection of information to OMB for both, can appeal the claim denial if they extension of the Medicare Prior review and clearance. believe the denial was inappropriate. Authorization Model for Repetitive ++ If the claim is determined to be Scheduled Non-Emergent Ambulance Application for FDA Approval To payable, it will be paid. Transport. Therefore, there are no Market a New Drug Under the model, we will work to regulatory impact implications OMB Control Number 0910–0001— limit any adverse impact on associated with this notice. Extension beneficiaries and to educate beneficiaries about the process. If a prior Authority: Section 1115A of the Social Under section 505(a) of the Federal Security Act. authorization request is non-affirmed, Food, Drug, and Cosmetic Act (the and the claim is still submitted by the Dated: November 16, 2017. FD&C Act) (21 U.S.C. 355(a)), a new ambulance provider/supplier, the claim Seema Verma, drug may not be commercially marketed will be denied, but beneficiaries will Administrator, Centers for Medicare & in the United States, imported, or continue to have all applicable Medicaid Services. exported from the United States, unless administrative appeal rights. We will [FR Doc. 2017–26759 Filed 12–8–17; 4:15 pm] an approval of an application filed with also work to implement a process that BILLING CODE 4120–01–P FDA under section 505(b) or (j) of the will help identify alternate FD&C Act is effective with respect to transportation resources for such drug. The Agency has codified beneficiaries who receive non- DEPARTMENT OF HEALTH AND regulations regarding applications for affirmative decisions. HUMAN SERVICES FDA approval to market a new drug Only one prior authorization request under 21 CFR part 314. This collection per beneficiary per designated time Food and Drug Administration of information supports the regulatory period can be provisionally affirmed. If [Docket No. FDA–2013–N–0523] requirements found in those regulations. the initial ambulance provider/supplier The collection of information is cannot complete the total number of Agency Information Collection necessary for FDA to make a scientific prior authorized transports (for Activities: Submission for Office of and technical determination whether example, the initial ambulance Management and Budget Review; the product is safe and effective for use, company closes or no longer services Comment Request; Applications for and is summarized as follows: that area), the initial request is Food and Drug Administration Section 314.50(a) requires that an cancelled. In this situation, a Approval To Market a New Drug application form (Form FDA 356h) be subsequent prior authorization request submitted that includes information may be submitted for the same AGENCY: Food and Drug Administration, about the applicant, the submission, and beneficiary and must include the HHS. a checklist of enclosures. required documentation in the ACTION: Notice. Section 314.50(b) requires that an submission. If multiple ambulance index be submitted with the archival providers/suppliers are providing SUMMARY: The Food and Drug copy of the application and that it transports to the beneficiary during the Administration (FDA) is announcing reference certain sections of the same or overlapping time period, the that a proposed collection of application. prior authorization decision will only information has been submitted to the Section 314.50(c) requires that a cover the ambulance provider/supplier Office of Management and Budget summary of the application be indicated in the provisionally affirmed (OMB) for review and clearance under submitted that presents a good general prior authorization request. Any the Paperwork Reduction Act of 1995. synopsis of all the technical sections ambulance provider/supplier submitting DATES: Fax written comments on the and other information in the claims for repetitive, scheduled non- collection of information by January 11, application. emergent ambulance transports for 2018. Section 314.50(d) requires that the which no prior authorization request is ADDRESSES: To ensure that comments on new drug application (NDA) contain the submitted by the fourth round trip in a the information collection are received, following technical sections about the 30-day period will be subject to 100 OMB recommends that written new drug: Chemistry, manufacturing,
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and controls; nonclinical pharmacology applicant also is required to amend the Section 314.81(b)(3)(i) requires that and toxicology; human application to document receipt of the drug advertisements and promotional pharmacokinetics and bioavailability; required notice. Burden hours for these labeling be submitted to FDA (Form microbiology; clinical data; statistical; provisions are included in OMB control FDA 2253). and pediatric use sections. number 0910–0786. Section 314.81(b)(3)(iii) sets forth Section 314.50(e) requires the Section 314.53 sets forth the patent reporting requirements for sponsors applicant to submit samples of the drug information requirements for applicants who withdraw an approved drug if requested by FDA. In addition, the who submit applications or product from sale. The burden hours for archival copy of the application must amendments to the application filed § 314.81(b)(3)(iii) are approved under include copies of the label and all under section 505(b)(2) of the FD&C Act OMB control number 0910–0045 labeling for the drug. or supplements to the approved (Registration of Producers of Drugs and Section 314.50(f) requires that case 505(b)(2) application. Burden hours for Listing of Drugs in Commercial report forms and tabulations be these collections are approved in OMB Distribution), and therefore are not submitted with the archival copy. control number 0910–0786. included in table 1. Section 314.50(h) requires that patent Section 314.54 sets forth the content Section 314.90 sets forth requirements information, as described under requirements for applications filed for sponsors who request waivers from § 314.53, be submitted with the under section 505(b)(2) of the FD&C Act. FDA for compliance with §§ 314.50 application. However, burden hours for The burden estimate for 505(b)(2) through 314.81. The information § 314.50(h) are approved under OMB applications is included in table 1 under collection burden estimate for NDA control numbers 0910–0513 (Patent the estimates for § 314.50(a) through (g) waiver requests is included in table 1 Certification Forms FDA 3542 and FDA and (i) through (l). under the estimates for each section that 3542a) and 0910–0786 (Abbreviated Section 314.55 sets forth the is in part 314, subpart B. New Drug Applications (ANDAs) and assessment requirements for each Section 314.93 sets forth requirements 505(b)(2) Applications), and are application. The burden estimate for for submitting a suitability petition to therefore not included among the 505(b)(2) applications is included in request a change from a listed drug in estimates found in table 1. table 1 under the estimates for accordance with § 10.20 (21 CFR 10.20) Section 314.50(i) requires that patent § 314.50(a) through (g) and (i) through and § 10.30. The burden hours for certification information be submitted (l). § 314.93 are approved under OMB in section 505(b)(2) applications for Section 314.60 sets forth reporting control number 0910–0191 patents claiming the drug substance, requirements and patent certification (Administrative Practices and drug product, or method of use. requirements for sponsors who amend Procedures; Formal Evidentiary Public Sections 314.50(i)(1)(i)(C) and 314.54(i) an unapproved 505(b)(2) application. Hearing) and are not included in and (j) require that patent certification Burden hours for the § 314.60(f) table 1. information be submitted for each collections are approved under OMB Section 314.94(a) through (d) require patent listed in the ‘‘Approved Drug control number 0910–0786. that an ANDA contain the following Products with Therapeutic Equivalence Section 314.65 states that the sponsor information: Application form; table of Evaluations’’ (the Orange Book) for a must notify FDA when withdrawing an contents; basis for ANDA submission; drug product approved in an NDA that unapproved application. conditions of use; active ingredients; is pharmaceutically equivalent to the Sections 314.70 and 314.71 require route of administration, dosage form, proposed drug product in the original that supplements be submitted to FDA and strength; bioequivalence; labeling; 505(b)(2) application and was submitted for certain changes to an approved chemistry, manufacturing, and controls; and was approved before the original application. samples; and patent certification. 505(b)(2) application was submitted. Section 314.72 requires sponsors to Section 314.95 requires that any Burden for these provisions is included report to FDA any transfer of ownership notice of certification of invalidity or under OMB control number 0910–0786. of an application. non-infringement of a patent to each Section 314.50(j) requires that Section 314.80(c)(1) and (2) set forth patent owner and the NDA holder be applicants who request a period of requirements for expedited adverse drug sent by ANDA applicants. marketing exclusivity submit certain experience postmarketing reports and Section 314.96 sets forth requirements information with the application. followup reports, as well as for periodic for amendments to an unapproved Section 314.50(k) requires that the adverse drug experience postmarketing ANDA. application contain a financial reports (Form FDA 3500A). Section 314.97 sets forth requirements certification or disclosure statement or Section 314.80(i) establishes for submitting supplements to an both. recordkeeping requirements for reports approved ANDA for certain changes to Section 314.50(l) requires that an of postmarketing adverse drug the application. Approval of burden archival, review, and field copy of the experiences. The burden hours for hours for information collections for application be submitted, including the § 314.80(i) are approved under OMB §§ 314.95 through 314.97 are covered content of labeling and all labeling and control numbers 0910–0230 (Adverse under OMB control number 0910–0786. labels. Drug Experience Reporting) and 0910– Section 314.98(a) sets forth Section 314.52 requires that any 0291 (MedWatch: FDA’s Medical postmarketing adverse drug experience notice of certification of invalidity, Reporting Program), and therefore reporting and recordkeeping unenforceability, or non-infringement of burden estimates are not included in requirements for ANDAs. The burden a patent to each patent owner and the table 1. hours for § 314.98(a) are approved under NDA holder be sent by a section Section 314.81(b)(1) requires that OMB control numbers 0910–0230 and 505(b)(2) applicant that relies on a listed NDA and ANDA field alert reports be 0910–0291 and are not included in table drug. A 505(b)(2) applicant is required submitted to FDA (Forms FDA 3331 and 1 of this document. to amend the application at the time Form FDA 3331a). Section 314.98(b) requires other notice is provided to include a Section 314.81(b)(2) requires that postmarketing reports for ANDAs: Field statement certifying that the required annual reports be submitted to FDA alert reports (Form FDA 3331a), annual notice has been provided. A 505(b)(2) (Form FDA 2252). reports (Form FDA 2252), and
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advertisements and promotional approved application holder who is an Section 314.126(c) sets forth labeling (Form FDA 2253). (The exclusive patent licensee waives its requirements for a petition to waive information collection burden estimate opportunity to file a legal action for criteria for adequate and well-controlled for field alert reports is included in table patent infringement within the 45-day studies. The burden hours for 1 of this document under § 314.81(b)(1); period, the patent owner or approved § 314.126(c) are approved under OMB the estimate for annual reports is application holder may submit to FDA control number 0910–0191 and included under § 314.81(b)(2); the a waiver in the specified format. The therefore are not included in table 1. estimate for advertisements and burden estimate for § 314.107(f) is Sections 314.150(a) and (b) and promotional labeling is included under included in table 1 under the estimates 314.151(a) and (b) set forth requirements § 314.81(b)(3)(i).) for § 314.50 (a) through (g) and (i) for the withdrawal of approval of an Section 314.99(a) requires that through (l) and is approved under OMB NDA or ANDA and the applicant’s sponsors comply with certain reporting control number 0910–0786. opportunity for a hearing and requirements for withdrawing an Section 314.110(b)(3) states that, after submission of comments. The burden unapproved ANDA and for a change in receipt of an FDA complete response hours for § 314.151(a) and (b) are ownership of an ANDA. letter, an applicant must either: (1) included under parts 10 through 16 Section 314.99(b) sets forth Resubmit the application addressing all hearing regulations, in accordance with requirements for sponsors who request the deficiencies identified in the § 314.201, and approved under OMB waivers from FDA for compliance with complete response letter; (2) withdraw control number 0910–0191 and §§ 314.92 through 314.99. (The the application; or (3) request an therefore are not included in table 1. information collection burden estimate opportunity for a hearing on the Section 314.151(c) sets forth the for ANDA waiver requests is included question of whether there are grounds requirements for withdrawal of approval in table 1 of this document under the for denying approval of the application. of an ANDA and the applicant’s estimates for each section that is in part The burden hours for § 314.110(b)(3) are opportunity to submit written objections 314, subpart C.) included under parts 10 through 16 (21 and participate in a limited oral hearing. Section 314.101(a) states that if FDA CFR parts 10 through 16, OMB control The burden hours for § 314.151(c) are refuses to file an application, the number 0910–0191) hearing regulations, included under parts 10 through 16 hearing regulations, in accordance with applicant may request an informal in accordance with § 314.201, and are § 314.201, approved under OMB control conference with FDA and request that not included in table 1. the application be filed over protest. number 0910–0191, and therefore are Section 314.122(a) requires that an Section 314.102 covers not included in table 1. communications between FDA and ANDA or a suitability petition that Section 314.153(b) sets forth the applicants, including requests for relies on a listed drug that has been requirements for suspension of an meetings. voluntarily withdrawn from sale must ANDA when the listed drug is Section 314.103 covers specified be accompanied by a petition seeking a voluntarily withdrawn for safety and dispute resolution. To assist determination whether the drug was effectiveness reasons, and the respondents with certain aspects of this withdrawn for safety or effectiveness applicant’s opportunity to present requirement, we have issued draft reasons. The burden hours for comments and participate in a limited guidance entitled ‘‘Requests for § 314.122(a) are approved under OMB oral hearing. The burden hours for Reconsideration at the Division Level control number 0910–0191 and § 314.152(b) are included under parts 10 Under GDUFA [the Generic Drug User therefore are not included in table 1. through 16 hearing regulations, in Fee Act]; Guidance for Industry.’’ Section 314.122(d) sets forth accordance with § 314.201, approved Section 314.107(c) requires notice to requirements for relisting petitions for under OMB control number 0910–0191, FDA by the first applicant to submit a unlisted discontinued products. The and therefore are not included in substantially complete ANDA burden hours for § 314.122(d) are table 1. containing a certification that a relevant approved under OMB control number Section 314.161(b) and (e) sets forth patent is invalid, unenforceable, or will 0910–0191 and therefore are not the requirements for submitting a not be infringed of the date of first included in table 1. petition to determine whether a listed commercial marketing. The burden Sections 314.125 and 314.127 state drug was voluntarily withdrawn from estimate for § 314.107(c) is included in that FDA may refuse to approve an NDA sale for safety or effectiveness reasons. table 1 under the estimates for or an ANDA and will provide the The burden hours for § 314.161(b) and § 314.50(a) through (g) and (i) through applicant written notice of an (e) are approved under OMB control (l). opportunity for a hearing under number 0910–0191 and therefore are not Section 314.107(e) requires that an § 314.200 along with the reason for included in table 1. applicant submit a copy of the entry of refusal to approve the application, Section 314.200(c), (d), and (e) the order or judgment to FDA within 10 including lack of a patent certification requires that applicants or others subject working days of a final judgment. The or statement with respect to each listed to a notice of opportunity for a hearing burden estimate for § 314.107(e) patent for an approved drug product who wish to participate in a hearing file applications is included in table 1 under that is pharmaceutically equivalent to a written notice of participation and the estimates for § 314.50(a) through (g) the drug product for which the original request for a hearing as well as the and (i) through (l) and is approved 505(b)(2) application is submitted and studies, data, and so forth, relied on. under OMB control number 0910–0786. was approved before the original Other interested persons may also Section 314.107(f) requires that 505(b)(2) was submitted. The burden submit comments on the notice. This ANDA or section 505(b)(2) applicants hours for §§ 314.125 and 314.127 (refuse section also sets forth the content and notify FDA immediately of the filing of to approve an ANDA) are included format requirements for the applicants’ any legal action filed within 45 days of under parts 10 through 16 hearing submission in response to notice of receipt of the notice of certification. A regulations (in accordance with opportunity for hearing. The burden patent owner must also notify FDA of § 314.201) and approved under OMB hours for § 314.200(c), (d), and (e) are the filing of any legal action for patent control number 0910–0191, and included under parts 10 through 16 infringement. If the patent owner or therefore are not included in table 1. hearing regulations, in accordance with
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§ 314.201, are approved under OMB control number 0910–0191, and Section 314.610(b)(3) requires that control number 0910–0191, and therefore are not included in table 1. applicants propose labeling to be therefore are not included in table 1. Section 314.530(c) and (e) states that provided to patient recipients in Section 314.200(f) states that if FDA withdraws approval of a drug applications for approval of new drugs participants in a hearing may make a approved under the accelerated when human efficacy studies are not motion to the presiding officer for the approval procedures, the applicant has ethical or feasible. The burden estimate inclusion of certain issues in the the opportunity to request a hearing and for § 314.610(b)(3) is included in table 1 hearing. The burden hours for submit data and information. The under the estimates for § 314.50(e). § 314.200(f) are included under parts 10 burden hours for § 314.530(c) and (e) are Section 314.630 requires that through 16 hearing regulations, in included under parts 10 through 16 applicants provide postmarketing safety accordance with § 314.201, are hearing regulations, in accordance with reporting for applications for approval approved under OMB control number § 314.201, are approved under OMB of new drugs when human efficacy 0910–0191, and therefore are not control number 0910–0191, and studies are not ethical or feasible. The included in table 1. therefore are not included in table 1. burden hours for § 314.630 are approved Section 314.200(g) states that a person Section 314.530(f) requires that an under OMB control numbers 0910–0230 who responds to a proposed order from applicant first submit a petition for stay and 0910–0291, and therefore not FDA denying a request for a hearing of action before requesting an order included in table 1. provide sufficient data, information, and from a court for a stay of action pending Section 314.640 requires that analysis to demonstrate that there is a review. The burden hours for applicants provide promotional genuine and substantial issue of fact, § 314.530(f) are approved under OMB materials for applications for approval which justifies a hearing. The burden control number 0910–0191, and of new drugs when human efficacy hours for § 314.200(g) are included therefore are not included in table 1. studies are not ethical or feasible. The under parts 10 through 16 hearing burden estimate for § 314.640 is regulations, in accordance with Section 314.550 requires an applicant § 314.201, are approved under OMB with a new drug product being included in table 1 under the estimates control number 0910–0191, and considered for accelerated approval to for § 314.81(b)(3)(i)). therefore are not included in table 1. submit copies of all promotional In the Federal Register of May 26, Section 314.420 states that an materials to FDA during the preapproval 2017 (82 FR 24351), we published a 60- applicant may submit to FDA a drug and post-approval periods. day notice requesting public comment master file in support of an application, Section 314.610(b)(1) requires that on the proposed extension of this in accordance with certain content and applicants include a plan or approach to collection of information. No comments format requirements. postmarketing study commitments in were received in response to the four Section 314.430 states that data and applications for approval of new drugs information collection topics solicited information in an application are when human efficacy studies are not in the notice. However, one comment disclosable under certain conditions, ethical or feasible, and provide status was received regarding NDA submission unless the applicant shows that reports of postmarketing study criteria, and we have directed the extraordinary circumstances exist. The commitments. The burden estimate for comment to the appropriate Agency burden hours for § 314.430 are included § 314.610(b)(1) is included in table 1 component for consideration. under parts 10 through 16 hearing under the estimates for §§ 314.50(a) Accordingly, we estimate the burden regulations, in accordance with through (f), (k), and (l); and for this collection of information as § 314.201, are approved under OMB 314.81(b)(2)). follows:
TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 12
Number of Average 21 CFR section/[FDA form No.] Number of responses per Total annual burden per Total hours respondents respondent responses response
314.50 (a)–(g), (i)–(l)—Content and format of a 505(b)(1) 378 1.33 503 1,921...... 966,263 or 505(b)(2) application. 314.52—Non-infringement of patents (NDAs) ...... 7 3 21 16 ...... 336 314.95—Non-infringement of patents (ANDAs) ...... 209 3 627 16 ...... 10,032 314.60—Amendments ...... 564 9.96 5,618 80...... 449,440 314.65—Withdrawal of unapproved applications ...... 27 71.63 1,934 2 ...... 3,868 314.70 and 314.71—Supplements and submissions ...... 838 7.04 5,897 150 ...... 884,550 314.72—Change of ownership ...... 142 2.04 289 2 ...... 578 314.81—Other postmarketing reports and 314.81(b)(1) 342 19.98 6,834 8...... 54,672 [3331 and 3331a] field alert reports. 314.81(b)(2) [2252]—Annual reports ...... 913 5.07 4,632 40 ...... 185,280 314.81(b)(3)(i) [2253]—Promotional labeling ...... 529 81.66 43,198 2 ...... 86,396 314.94(a) and (d)—ANDA content ...... 180.5 3.75 676.5 480 ...... 324,720 314.96(a)(1)—Amendments to unapproved ANDAs ...... 514 26.66 13,647 80 ...... 1,091,760 314.97—Supplements to ANDAs ...... 343 17.57 6,027 80 ...... 482,160 314.99(a)—Responsibilities of ANDA Applicants ...... 265 7.04 1,867 2 ...... 3,734 314.101(a)—ANDA filing ...... 1 1 1 0.50 ...... 0.50 (30 minutes) ... 314.103—Dispute resolution ...... 75 2 150 5 ...... 750 314.420—Drug Master Files ...... 500 2.06 1,028 61 ...... 62,708 314.550—Promotional material and subpart H applications 29 7.76 225 120 ...... 27,000
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TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 12—Continued
Number of Average 21 CFR section/[FDA form No.] Number of responses per Total annual burden per Total hours respondents respondent responses response
Total ...... 4,634,247.5 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 For most elements, ‘‘Total Hours’’ reflects estimated average burden as calculated by multiplying the number of respondents by the fre- quency of response and time necessary for the corresponding activity. In other instances, ‘‘Total Hours’’ is the average burden we attribute to all respondents, where individual respondent and time-frequency values have been estimated. All figures have been rounded to the nearest whole number.
We retain the currently approved ADDRESSES: You may submit comments • For written/paper comments burden estimate for the information as follows. Please note that late, submitted to the Dockets Management collection associated with the untimely filed comments will not be Staff, FDA will post your comment, as provisions identified above. At the same considered. Electronic comments must well as any attachments, except for time, we have added burden estimate be submitted on or before February 12, information submitted, marked and associated with § 314.103, although in 2018. The https://www.regulations.gov identified, as confidential, if submitted an effort to reduce burden, we have electronic filing system will accept as detailed in ‘‘Instructions.’’ issued associated guidance to assist comments until midnight Eastern Time Instructions: All submissions received respondents with the relevant at the end of February 12, 2018. must include the Docket No. FDA– information collection. Comments received by mail/hand 2014–N–1030 for ‘‘Agency Information Collection Activities; Proposed Dated: December 6, 2017. delivery/courier (for written/paper Collection; Comment Request; Food Leslie Kux, submissions) will be considered timely if they are postmarked or the delivery Allergen Labeling and Reporting.’’ Associate Commissioner for Policy. service acceptance receipt is on or Received comments, those filed in a [FR Doc. 2017–26670 Filed 12–11–17; 8:45 am] before that date. timely manner (see ADDRESSES), will be BILLING CODE 4164–01–P placed in the docket and, except for Electronic Submissions those submitted as ‘‘Confidential Submit electronic comments in the Submissions,’’ publicly viewable at DEPARTMENT OF HEALTH AND following way: https://www.regulations.gov or at the HUMAN SERVICES • Federal eRulemaking Portal: Dockets Management Staff between 9 https://www.regulations.gov. Follow the a.m. and 4 p.m., Monday through Food and Drug Administration instructions for submitting comments. Friday. Comments submitted electronically, • Confidential Submissions—To [Docket No. FDA–2014–N–1030] including attachments, to https:// submit a comment with confidential www.regulations.gov will be posted to information that you do not wish to be Agency Information Collection the docket unchanged. Because your made publicly available, submit your Activities; Proposed Collection; comment will be made public, you are comments only as a written/paper Comment Request; Food Allergen solely responsible for ensuring that your submission. You should submit two Labeling and Reporting comment does not include any copies total. One copy will include the information you claim to be confidential AGENCY: Food and Drug Administration, confidential information that you or a with a heading or cover note that states HHS. third party may not wish to be posted, such as medical information, your or ‘‘THIS DOCUMENT CONTAINS ACTION: Notice. anyone else’s Social Security number, or CONFIDENTIAL INFORMATION.’’ The confidential business information, such Agency will review this copy, including SUMMARY: The Food and Drug as a manufacturing process. Please note the claimed confidential information, in Administration (FDA, the Agency, or its consideration of comments. The we) is announcing an opportunity for that if you include your name, contact information, or other information that second copy, which will have the public comment on the proposed claimed confidential information collection of certain information by the identifies you in the body of your comments, that information will be redacted/blacked out, will be available Agency. Under the Paperwork for public viewing and posted on Reduction Act of 1995 (PRA), Federal posted on https://www.regulations.gov. • If you want to submit a comment https://www.regulations.gov. Submit Agencies are required to publish notice with confidential information that you both copies to the Dockets Management in the Federal Register concerning each do not wish to be made available to the Staff. If you do not wish your name and proposed collection of information, public, submit the comment as a contact information to be made publicly including each proposed extension of an written/paper submission and in the available, you can provide this existing collection of information, and manner detailed (see ‘‘Written/Paper information on the cover sheet and not to allow 60 days for public comment in Submissions’’ and ‘‘Instructions’’). in the body of your comments and you response to the notice. This notice must identify this information as solicits comments on the information Written/Paper Submissions ‘‘confidential.’’ Any information marked collection requirements for declaring Submit written/paper submissions as as ‘‘confidential’’ will not be disclosed major food allergens under the Federal follows: except in accordance with 21 CFR 10.20 Food, Drug, and Cosmetic Act (the • Mail/Hand delivery/Courier (for and other applicable disclosure law. For FD&C Act). written/paper submissions): Dockets more information about FDA’s posting DATES: Submit either electronic or Management Staff (HFA–305), Food and of comments to public dockets, see 80 written comments on the collection of Drug Administration, 5630 Fishers FR 56469, September 18, 2015, or access information by February 12, 2018. Lane, Rm. 1061, Rockville, MD 20852. the information at: https://www.gpo.gov/
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fdsys/pkg/FR-2015-09-18/pdf/2015- collection of information on two mechanisms through which such 23389.pdf. respondents, including through the use ingredients may become exempt from Docket: For access to the docket to of automated collection techniques, the labeling requirement of section read background documents or the when appropriate, and other forms of 403(w)(1) of the FD&C Act. An electronic and written/paper information technology. ingredient may obtain an exemption comments received, go to https:// Food Allergen Labeling and Reporting through submission and approval of a www.regulations.gov and insert the petition containing scientific evidence docket number, found in brackets in the OMB Control Number 0910–0792— that demonstrates that the ingredient heading of this document, into the Extension ‘‘does not cause an allergic response ‘‘Search’’ box and follow the prompts This information collection supports that poses a risk to human health’’ and/or go to the Dockets Management the reporting associated with the (section 403(w)(6) of the FD&C Act). Staff, 5630 Fishers Lane, Rm. 1061, submission of petitions and Alternately, an ingredient may become Rockville, MD 20852. notifications seeking exemptions from exempt through submission of a FOR FURTHER INFORMATION CONTACT: the labeling requirements for notification containing scientific Domini Bean, Office of Operations, ingredients derived from major food evidence showing that the ingredient Food and Drug Administration, Three allergens, and the Agency’s associated ‘‘does not contain allergenic protein’’ or White Flint North, 10A–12M, 11601 guidance document. that there has been a previous Landsdown St., North Bethesda, MD determination through a premarket I. Background 20852, 301–796–5733, PRAStaff@ approval process under section 409 of fda.hhs.gov. The Food Allergen Labeling and the FD&C Act (21 U.S.C. 348) that the SUPPLEMENTARY INFORMATION: Under the Consumer Protection Act of 2004 ingredient ‘‘does not cause an allergic PRA (44 U.S.C. 3501–3520), Federal (FALCPA) (Title II, Pub. L. 108–282) response that poses a risk to human Agencies must obtain approval from the amended the FD&C Act by defining the health’’ (section 403(w)(7) of the FD&C Office of Management and Budget term ‘‘major food allergen’’ and stating Act). (OMB) for each collection of that foods regulated under the FD&C Act information they conduct or sponsor. are misbranded unless they declare the A. Third-Party Disclosure presence of each major food allergen on ‘‘Collection of information’’ is defined The labeling requirements of section in 44 U.S.C. 3502(3) and 5 CFR the product label using the name of the food source from which the major food 403(w)(1) of the FD&C Act apply to all 1320.3(c) and includes Agency requests packaged foods sold in the United States or requirements that members of the allergen is derived. Section 403(w)(1) of the FD&C Act (21 U.S.C. 343(w)(1)) sets that are regulated under the FD&C Act, public submit reports, keep records, or including both domestically provide information to a third party. forth the requirements for declaring the presence of each major food allergen on manufactured and imported foods. As Section 3506(c)(2)(A) of the PRA (44 noted, section 403(w)(1) of the FD&C U.S.C. 3506(c)(2)(A)) requires Federal the product label. Section 201(qq) of the FD&C Act (21 U.S.C. 321(qq)) defines a Act requires that the label of a food Agencies to provide a 60-day notice in product declare the presence of each the Federal Register concerning each major food allergen as ‘‘[m]ilk, egg, fish (e.g., bass, flounder, or cod), Crustacean major food allergen. We estimate the proposed collection of information, information collection burden of the including each proposed extension of an shellfish (e.g., crab, lobster, or shrimp), tree nuts (e.g., almonds, pecans, or third-party disclosure associated with existing collection of information, food allergen labeling under section before submitting the collection to OMB walnuts), wheat, peanuts, and soybeans’’ and also as a food ingredient 403(w)(1) of the FD&C Act as the time for approval. To comply with this needed for a manufacturer to review the requirement, FDA is publishing notice that contains protein derived from such labels of new or reformulated products of the proposed collection of foods. The definition excludes any for compliance with the requirements of information set forth in this document. highly refined oil derived from a major With respect to the following food allergen and any ingredient section 403(w)(1) of the FD&C Act and collection of information, FDA invites derived from such highly refined oil. the time needed to make any needed comments on these topics: (1) Whether In some cases, the production of an modifications to the labels of those the proposed collection of information ingredient derived from a major food products. The allergen information is necessary for the proper performance allergen may alter or eliminate the disclosed on the label or labeling of a of FDA’s functions, including whether allergenic proteins in that derived food product benefits consumers who the information will have practical ingredient to such an extent that it does purchases that food product. Because utility; (2) the accuracy of FDA’s not contain allergenic protein. In even small exposure to a food allergen estimate of the burden of the proposed addition, a major food allergen may be can potentially cause an adverse collection of information, including the used as an ingredient or as a component reaction, consumers use food labeling validity of the methodology and of an ingredient such that the level of information to help determine their assumptions used; (3) ways to enhance allergenic protein in finished food product choices. the quality, utility, and clarity of the products does not cause an allergic FDA estimates the third-party information to be collected; and (4) response that poses a risk to human disclosure burden of the collection of ways to minimize the burden of the health. Therefore, FALCPA provides information as follows:
TABLE 1—ESTIMATED ANNUAL THIRD-PARTY DISCLOSURE BURDEN 1
Number of Number of disclosures Total annual Average FD&C Act section/activity respondents per disclosures burden per Total hours respondent disclosure
403(w)(1); review labels for compliance with food allergen labeling requirements ...... 77,500 1 77,500 1 77,500
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TABLE 1—ESTIMATED ANNUAL THIRD-PARTY DISCLOSURE BURDEN 1—Continued
Number of Number of disclosures Total annual Average FD&C Act section/activity respondents per disclosures burden per Total hours respondent disclosure
403(w)(1); redesign labels to comply with food allergen la- beling requirements ...... 3,875 1 3,875 16 62,000
Total ...... 139,500 1 There are no operating and maintenance costs associated with this collection of information.
We have retained the currently association of one respondent to each of The guidance document entitled, approved burden estimate associated the 3,875 redesigned labels and ‘‘Food Allergen Labeling Exemption with the information collection. Based averaging 16 hours to complete the label Petitions and Notifications: Guidance on our experience with the information redesign, we estimate a total of 62,000 for Industry,’’ sets forth our collection since it was established 3 hours annually for this activity, as recommendations with regard to the years ago, we estimate that there are reflected in table 1, row 2. information that respondents should approximately 690,000 Universal submit in such a petition or notification. B. Reporting Product Codes (UPCs) of FDA-regulated The guidance states that to evaluate foods and approximately 85,000 UPCs Under sections 403(w)(6) and (7) of these petitions and notifications, we of FDA-regulated dietary supplements the FD&C Act, respondents may request will consider scientific evidence that for a total of 775,000 UPCs (Ref. 1). from us a determination that an describes: (1) The identity or Using the labeling cost model, we ingredient is exempt from the labeling composition of the ingredient; (2) the estimate the entry rate of new UPCs to requirement of section 403(w)(1) of the methods used to produce the ingredient; be 8 percent per year. Based on the FD&C Act. An ingredient may obtain an (3) the methods used to characterize the entry rate of new UPCs, we estimate the exemption through submission and ingredient; (4) the intended use of the rate of new or reformulated UPCs to be approval of a petition containing ingredient in food; and (5) either (a) for approximately 10 percent per year, or scientific evidence that demonstrates a petition—data and information, 77,500 products (775,000 × 10 percent). that the ingredient ‘‘does not cause an including the expected level of Thus, we estimate that, annually, 77,500 allergic response that poses a risk to consumer exposure to the ingredient, new or reformulated products are sold human health’’ (section 403(w)(6) of the that demonstrate that the ingredient, in the United States. Assuming an FD&C Act). This section also states that when manufactured and used as association of one respondent to each of ‘‘the burden shall be on the petitioner to described, does not cause an allergic the 77,500 new or reformulated provide scientific evidence (including response that poses a risk to human products, we estimate that 77,500 the analytical method used to produce health; or (b) for a notification, data and respondents will each review the label the evidence) that demonstrates that information that demonstrate that the of one of the 77,500 new or such food ingredient, as derived by the ingredient, when manufactured as reformulated products. We estimate an method specified in the petition, does described, does not contain allergenic average of 1 hour for the review of labels not cause an allergic response that poses protein, or documentation of a previous for compliance with the food allergen a risk to human health.’’ Alternately, an determination under a process under labeling requirements under section ingredient may become exempt through section 409 of the FD&C Act that the 403(w)(1) of the FD&C Act, for a total of submission of a notification containing ingredient does not cause an allergic 77,500 hours annually, as reflected in scientific evidence showing that the response that poses a risk to human table 1, row 1. ingredient ‘‘does not contain allergenic health. We use the information We have no data on how many label protein’’ or that there has been a submitted in the petition or notification reviews would identify the need to previous determination through a to determine whether the ingredient redesign the label. For purposes of this premarket approval process under satisfies the criteria of section 403(w)(6) analysis, therefore, we estimate 5 section 409 of the FD&C Act that the and (7) of the FD&C Act for granting the percent, or 3,875 labels (77,500 × 5 ingredient ‘‘does not cause an allergic exemption. percent) will be redesigned to comply response that poses a risk to human We estimate the reporting burden with the requirements of section health’’ (section 403(w)(7) of the FD&C associated with the collection of 403(w)(1) of the FD&C Act. Assuming an Act). information as follows:
TABLE 2—ESTIMATED ANNUAL REPORTING BURDEN 1
Number of Average FD&C Act Section/Activity Number of responses per Total annual burden per Total hours respondents respondent responses response
403(w)(6); petition for exemption ...... 5 1 5 100 500 403(w)(7); notification ...... 5 1 5 68 340
Total ...... 840 1 There are no capital or operating and maintenance costs associated with the information collection.
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Based on our experience with the for viewing by interested persons Electronic Submissions collection thus far, we retain the between 9 a.m. and 4 p.m., Monday Submit electronic comments in the currently approved burden estimate. through Friday; they are also available following way: Accordingly, we estimate that we will electronically at https:// • Federal eRulemaking Portal: receive an average of five petitions and www.regulations.gov. FDA has verified https://www.regulations.gov. Follow the five notifications annually over the next the website addresses, as of the date this instructions for submitting comments. 3 years. Assuming an association of one document publishes in the Federal Comments submitted electronically, respondent to each petition or Register, but websites are subject to including attachments, to https:// notification, we estimate that five change over time. www.regulations.gov will be posted to respondents will each submit one 1. RTI International, ‘‘Model to Estimate the docket unchanged. Because your petition and five respondents will each Costs of Using Labeling as a Risk comment will be made public, you are submit one notification. We estimate a Reduction Strategy for Consumer solely responsible for ensuring that your petition takes, on average, 100 hours to Products Regulated by the Food and comment does not include any develop and submit (Ref. 2). Therefore, Drug Administration, Final Report.’’ confidential information that you or a we estimate the total burden associated Prepared for Andrew Stivers, FDA/ third party may not wish to be posted, with petitions will be 500 hours CFSAN. Prepared by Muth, M., M. Ball, such as medical information, your or annually (5 petitions × 100 hours per M. Coglaiti, and S. Karns. RTI Project anyone else’s Social Security number, or petition). Number 0211460.005. March 2011. The burden of a notification involves 2. Gendel, S.M., ‘‘Food Allergen Petitions confidential business information, such collecting documentation that a food and Notifications.’’ Memorandum to as a manufacturing process. Please note File. August 8, 2011. ingredient does not pose an allergen that if you include your name, contact risk. Either we can make a Dated: December 6, 2017. information, or other information that determination that the ingredient does Leslie Kux, identifies you in the body of your not cause an allergic response that poses Associate Commissioner for Policy. comments, that information will be posted on https://www.regulations.gov. a risk to human health under a [FR Doc. 2017–26690 Filed 12–11–17; 8:45 am] • If you want to submit a comment premarket approval or notification BILLING CODE 4164–01–P program under section 409 of the FD&C with confidential information that you Act, or the respondent submits scientific do not wish to be made available to the evidence demonstrating that the DEPARTMENT OF HEALTH AND public, submit the comment as a ingredient when manufactured as HUMAN SERVICES written/paper submission and in the described does not contain allergenic manner detailed (see ‘‘Written/Paper protein. We estimate it takes a Food and Drug Administration Submissions’’ and ‘‘Instructions’’). respondent 20 hours to prepare and Written/Paper Submissions submit a notification based on our [Docket No. FDA–2017–D–6528] determination under a process under Submit written/paper submissions as Refusal of Inspection by a Foreign follows: section 409 of the FD&C Act that the • ingredient does not cause an allergic Food Establishment or Foreign Mail/Hand delivery/Courier (for response. We estimate respondents may Government; Draft Guidance for written/paper submissions): Dockets spend 100 hours to prepare a Industry; Availability Management Staff (HFA–305), Food and notification submitting scientific Drug Administration, 5630 Fishers evidence (including the analytical AGENCY: Food and Drug Administration, Lane, Rm. 1061, Rockville, MD 20852. • method used) that demonstrates that the HHS. For written/paper comments submitted to the Dockets Management food ingredient (as derived by the ACTION: Notice of availability. method specified in the notification, Staff, FDA will post your comment, as where applicable) does not contain SUMMARY: The Food and Drug well as any attachments, except for allergenic protein. We have no data on Administration (FDA or we) is information submitted, marked and how many notifications would be based announcing the availability of a draft identified, as confidential, if submitted on our determination that the ingredient guidance for industry entitled ‘‘Refusal as detailed in ‘‘Instructions.’’ does not cause an allergic response or of Inspection by a Foreign Food Instructions: All submissions received based on scientific evidence that Establishment or Foreign Government.’’ must include the Docket No. FDA– demonstrates that the food ingredient This draft guidance, when finalized, 2017–D–6528 for ‘‘Refusal of Inspection does not contain allergenic protein. will provide information for foreign by a Foreign Food Establishment or Therefore, we estimate that three of the food establishments subject to our Foreign Government.’’ Received five notifications would be based on inspection, as well as foreign comments will be placed in the docket scientific evidence, and two of the five governments, on when we may consider and, except for those submitted as notifications would be based on our that a foreign food establishment or a ‘‘Confidential Submissions,’’ publicly determination. The average time per government of a foreign country has viewable at https://www.regulations.gov notification is then estimated to be 68 refused to permit an inspection by us as or at the Dockets Management Staff hours (2 × 20 hours + 3 × 100 hours)/ provided in the Federal Food, Drug, and between 9 a.m. and 4 p.m., Monday 5). Therefore, we estimate that the Cosmetic Act (FD&C Act). through Friday. burden associated with notifications • Confidential Submissions—To DATES: Submit either electronic or will be 340 hours annually (5 submit a comment with confidential written comments on the draft guidance notifications × 68 hours per information that you do not wish to be by February 26, 2018 to ensure that the notification), as reflected in table 2. made publicly available, submit your Agency considers your comment on the comments only as a written/paper II. References draft guidance before it begins work on submission. You should submit two The following references are on the final version of the guidance. copies total. One copy will include the display in the Dockets Management ADDRESSES: You may submit comments information you claim to be confidential Staff (see ADDRESSES) and are available on any guidance at any time as follows: with a heading or cover note that states
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‘‘THIS DOCUMENT CONTAINS I. Background sentence to find the most current CONFIDENTIAL INFORMATION.’’ The We are announcing the availability of version of the guidance. Agency will review this copy, including a draft guidance for industry entitled Dated: December 6, 2017. the claimed confidential information, in ‘‘Refusal of Inspection by a Foreign Leslie Kux, its consideration of comments. The Food Establishment or Foreign Associate Commissioner for Policy. second copy, which will have the Government.’’ We are issuing the draft claimed confidential information [FR Doc. 2017–26692 Filed 12–11–17; 8:45 am] guidance consistent with our good BILLING CODE 4164–01–P redacted/blacked out, will be available guidance practices regulation (21 CFR for public viewing and posted on 10.115). The draft guidance, when https://www.regulations.gov. Submit finalized, will represent the current DEPARTMENT OF HEALTH AND both copies to the Dockets Management thinking of the FDA on this topic. It HUMAN SERVICES Staff. If you do not wish your name and does not establish any rights for any contact information to be made publicly person and is not binding on FDA or the Food and Drug Administration available, you can provide this public. You can use an alternate information on the cover sheet and not approach if it satisfies the requirements [Docket No. FDA–2016–N–4487] in the body of your comments and you of the applicable statutes and must identify this information as regulations. The guidance is not subject Agency Information Collection ‘‘confidential.’’ Any information marked to Executive Order 12866. Activities; Submission for Office of as ‘‘confidential’’ will not be disclosed The FDA Food Safety Modernization Management and Budget Review; except in accordance with 21 CFR 10.20 Act (FSMA) (Pub. L. 111–353), enacted Comment Request; Consumer and and other applicable disclosure law. For on January 4, 2011, amended the FD&C Healthcare Professional Identification more information about FDA’s posting Act to expand and enhance our ability of and Responses to Deceptive of comments to public dockets, see 80 to ensure that imported food products Prescription Drug Promotion FR 56469, September 18, 2015, or access meet U.S. standards and are safe for the information at: https://www.gpo.gov/ consumers. Among the FSMA changes AGENCY: Food and Drug Administration, fdsys/pkg/FR-2015-09-18/pdf/2015- to the FD&C Act, we now must refuse HHS. 23389.pdf. admission of a food into the United ACTION: Notice. Docket: For access to the docket to States if it is from a foreign factory, read background documents or the warehouse, or other establishment of SUMMARY: The Food and Drug electronic and written/paper comments which the owner, operator, or agent in Administration (FDA) is announcing received, go to https:// charge, or the government of the foreign that a proposed collection of www.regulations.gov and insert the country, refuses to permit entry of information has been submitted to the docket number, found in brackets in the United States inspectors or other Office of Management and Budget heading of this document, into the individuals duly designated by the (OMB) for review and clearance under ‘‘Search’’ box and follow the prompts Secretary of Health and Human the Paperwork Reduction Act of 1995 and/or go to the Dockets Management Services, upon request, to inspect such (PRA). Staff, 5630 Fishers Lane, Rm. 1061, factory, warehouse, or other DATES: Fax written comments on the Rockville, MD 20852. establishment (section 807(b) of the collection of information by January 11, You may submit comments on any FD&C Act (21 U.S.C. 384c(b))). In 2018. guidance at any time (see 21 CFR addition, the FD&C Act, at section 10.115(g)(5)). ADDRESSES: To ensure that comments on Submit written requests for single 807(b), states that an owner, operator, or the information collection are received, copies of the draft guidance to the agent in charge is considered to have OMB recommends that written Compliance Policy Staff/Office of refused an inspection if the owner, comments be faxed to the Office of Compliance, Center for Food Safety and operator, or agent in charge does not Information and Regulatory Affairs, Applied Nutrition (HFS–605), Food and permit an inspection of a factory, OMB, Attn: FDA Desk Officer, Fax: 202– Drug Administration, 5001 Campus Dr., warehouse, or other establishment 395–7285, or emailed to oira_ College Park, MD 20740. Send two self- during the 24-hour period after we [email protected]. All addressed adhesive labels to assist that submit an inspection request, or after comments should be identified with the office in processing your request. See such other time period, as agreed upon OMB control number 0910—New and by FDA and the foreign factory, the SUPPLEMENTARY INFORMATION section title ‘‘Consumer and Healthcare for electronic access to the draft warehouse, or other establishment. Professional Identification of and guidance. This draft guidance, when finalized, Responses to Deceptive Prescription will provide information for foreign Drug Promotion.’’ Also include the FDA FOR FURTHER INFORMATION CONTACT: food establishments subject to our docket number found in brackets in the Mischelle B. Ledet, Center for Food inspection, as well as foreign heading of this document. Safety and Applied Nutrition (HFS– governments, on when we may consider FOR FURTHER INFORMATION CONTACT: Ila 605), Food and Drug Administration, that a foreign food establishment or a S. Mizrachi, Office of Operations, Food 5001 Campus Dr., College Park, MD government of a foreign country has and Drug Administration, Three White 20740, 240–701–5986, or Eric Nelson, refused to permit an inspection by us as Flint North, 10A–12M, 11601 Center for Veterinary Medicine (HFV– provided in section 807(b) of the FD&C Landsdown St., North Bethesda, MD 230), Food and Drug Administration, Act. 7519 Standish Pl., Rockville, MD 20855, 20852, 301–796–7726, PRAStaff@ 240–402–5642, or Tyler Scandalios, II. Electronic Access fda.hhs.gov. Office of Regulatory Affairs, Food and Persons with access to the internet SUPPLEMENTARY INFORMATION: In Drug Administration, 12420 Parklawn may obtain the draft guidance at either compliance with 44 U.S.C. 3507, FDA Dr., Element Bldg., Rockville, MD https://www.fda.gov/FoodGuidances or has submitted the following proposed 20857, 240–402–4552. https://www.regulations.gov. Use the collection of information to OMB for SUPPLEMENTARY INFORMATION: FDA website listed in the previous review and clearance.
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Consumer and Healthcare Professional not otherwise prescribe. On the other targeted pharmaceutical websites. The Identification of and Responses to hand, if consumers and HCPs are able goal will be to keep the HCP and Deceptive Prescription Drug Promotion to identify deceptive promotion, they consumer-targeted websites as similar as may appropriately discount or disregard possible, but to include content that is OMB Control Number 0910—NEW such information in their medication appropriate for the target audience. For I. Background decisions, and perhaps even report example, HCP websites may contain Section 1701(a)(4) of the Public deceptive promotion to appropriate medical terminology, whereas the Health Service Act (42 U.S.C. government regulators who can take consumer websites would utilize 300u(a)(4)) authorizes FDA to conduct corrective action. consumer friendly language. A research relating to health information. Reports of deceptive promotion are professional firm will create all mock Section 1003(d)(2)(C) of the Federal useful to FDA because they allow websites such that they are generally Food, Drug, and Cosmetic Act (the investigators to focus their efforts in an indistinguishable from currently FD&C Act) (21 U.S.C. 393(d)(2)(C)) era where the amount of promotion far available prescription drug websites. exceeds the resources available to authorizes FDA to conduct research II. Study 1 and 2 relating to drugs and other FDA review everything. The FDA Bad Ad regulated products in carrying out the program, for example, encourages HCPs Study 1 and 2 sample. Study 1 will provisions of the FD&C Act. Under the to report deceptive prescription drug sample consumers who self-report FD&C Act and implementing promotion (Ref. 5), a goal which chronic pain that has lasted at least 3 regulations, promotional labeling and requires that HCPs successfully identify months and HCPs whose primary advertising about prescription drugs are such promotion when it appears in the medical specialty is either primary care generally required to be truthful, non- course of their duties. Likewise, similar or internal medicine and whose misleading, and to reveal facts material programs could be implemented for responsibilities involve direct patient to the presentations made about the consumers to report deceptive care at least 50 percent of the time. product being promoted (see FD&C Act prescription drug promotion to FDA. Chronic pain has an incidence rate of sections 201(n) and 502(a) and (n) (21 The mission of the Office of roughly 11 percent (Ref. 6) in the U.S.C. 321(n) and 352(a) and (n)); see Prescription Drug Promotion (OPDP) population. Study 2 will sample also 21 CFR 202.1). within FDA is to protect the public consumers who self-report obesity, Prescription drug promotion health by helping to ensure that defined as body mass index greater than sometimes includes false or misleading prescription drug promotion is truthful, or equal to 30 (35 percent incidence; (collectively, deceptive 1) claims, balanced, and accurately Ref. 7) and include the same types of images, or other presentations; for communicated, and to guard against HCPs as study 1. For both consumers instance, representations that a drug is deceptive promotion through and HCPs, pretest participants will not more effective or less risky than is comprehensive surveillance, be eligible for the main study. demonstrated by appropriate evidence. enforcement, and educational programs. Pretesting. Pretesting will take place A number of empirical studies have As part of this mission, it is critical that before the main studies to evaluate the examined the occurrence and influence OPDP adequately understand the procedures and measures used in the of deceptive promotion, both in regard capacity of consumers and HCPs to main studies. Each of the two pretests to prescription drugs (Refs. 1 and 2) and detect false and misleading claims as will have the same design as its other products (Refs. 3 and 4). No well as these populations’ processing of respective main study (pretest 1 for research to our knowledge, however, such claims. This understanding will Study 1 and pretest 2 for Study 2). The has investigated the ability of help OPDP to identify best practices for purpose of both pretests will be to: (1) consumers and healthcare professionals addressing false and misleading claims Ensure that the mock websites are (HCPs) to independently identify in prescription drug promotion. The understandable, viewable, and deceptive prescription drug promotion. research described here will provide delivering intended messages; (2) The ability of consumers and HCPs to evidence to inform consideration of the identify and eliminate any challenges to identify deceptive prescription drug approaches best suited to fulfill OPDP’s embedding the mock websites within promotion has important public health mission to protect the public from the online survey; (3) ensure that survey implications. If unable to identify deceptive promotion. questions are appropriate and meet the deceptive promotion, consumers may The proposed project involves two analytical goals of the research; and (4) ask their HCPs to prescribe specific studies examining volunteer pilot test the methods, including drugs that they would not otherwise participants’ ability to detect and report examining response rates and timing of request. Likewise, HCPs who are unable deceptive presentations in prescription survey. The two pretests will be to identify deceptive promotion may drug promotion. The studies will be conducted simultaneously. Based on prescribe specific drugs that they would conducted concurrently and will focus pretest findings, we will refine the mock on different health conditions. Each websites, survey questions, and data 1 Our use of the term deceptive is not meant to study will be administered to two collection process, as necessary, to imply equivalence (or lack thereof) with use of the separate populations (i.e., HCPs and optimize the full-scale study conditions. same term by the U.S. Federal Trade Commission. consumers affected by the condition). Main studies. The proposed design for As used in this document, this term refers to the main studies, including sample presentations that are considered false or HCPs will view mock pharmaceutical misleading within the context of prescription drug websites targeted toward physicians and sizes, is summarized below and promotion. consumers will view mock consumer- described next.
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STUDY 1—DEGREE OF DECEPTION BASED ON THE NUMBER OF DECEPTIVE CLAIMS
Experimental condition Population None Fewer More (control) violations violations Total
HCPs ...... 125 125 125 375 Consumers w/chronic pain ...... 125 125 125 375
STUDY 2—TYPE OF DECEPTION BASED ON IMPLICIT AND EXPLICIT CLAIMS
Experimental condition Population None (control) Implicit Explicit Total
HCPs ...... 125 125 125 375 Obese consumers ...... 125 125 125 375
The purpose of Study 1 is to assess attitudes and intentions toward the identify deceptive promotion vary consumer and HCP response to product)? depending on whether deceptive claims promotional websites with varying Whereas Study 1 focuses on the level in a promotional piece are explicit levels of false or misleading of deception (based solely on the versus implicit? presentations. In Study 1, degree of number of false or misleading claims), • Does the type of deception affect deception will be manipulated over Study 2 focuses on the type of deception consumers’ and HCPs’ attitudes and three levels by altering the number of (implicit versus explicit). Many behavioral intentions toward the deceptive claims (none, fewer, more). It deceptive promotional claims are promoted drug, including intended is possible that consumers and HCPs are implicit rather than being explicitly reporting to regulatory authorities? only able to identify ads as deceptive false (Refs. 1 and 4). An implicit claim • Is the effect of deceptive when they include a greater number of suggests or implies an unstated piece of promotional pieces mediated by a violations, whereas ads with few information. An explicit claim fully and person’s ability to identify a violations may not be identified as clearly expresses information and leaves promotional piece as deceptive (that is, deceptive. The experimental stimuli nothing to be implied. Study 2 will do people who recognize a piece as will be in the form of a web page for a compare perceptions and beliefs that deceptive discount the information in fictitious drug targeted toward consumers and HCPs hold about a drug the piece, thereby adjusting their consumers who have chronic pain or following exposure to one of three attitudes and intentions toward the toward HCPs. The deceptive websites versions of a prescription drug website: product)? will contain various types of violations. (1) An explicitly false website, (2) a Measurement. Identifying how to The website with fewer violations will factually true but implicitly misleading measure consumers’ and HCPs’ ability contain a subset of the deceptive claims, website, or (3) a website with no to identify deceptive promotion as well imagery, or other presentations included deceptive claims (the control group). as their reaction to such promotion is in the website with more violations. For As with Study 1, we envision a pair fundamental to achieving the research example, if the fewer-violations website of one-way factorial experiments, one goals. A literature review revealed the includes two violations, then the more- conducted with a sample of consumers importance of using a variety of violations website will include the same and the other with HCPs. Similar to measures to capture detection of two violations plus two or three Study 1, Study 2 will investigate how deception. For direct measures, we will additional violations (in the form of misleading implicit claims and incorporate questions that ask claims and/or graphics). explicitly false claims in prescription participants to indicate whether there Study 1 will help FDA address several drug promotional pieces influence a was any deception in the promotional key questions: person’s ability to detect and respond piece and to rate the promotional piece • What proportion of consumers and appropriately to deception. The in terms of how deceptive, credible, or HCPs correctly identify a promotional experimental stimuli will be in the form trustworthy it was. Additionally, we piece as deceptive? Does the ability to of a mockup of a pharmaceutical will include claim-specific direct identify deceptive promotion vary website targeted toward the relevant measures that allow people to click on depending on the number of deceptive experimental population, obese any part of the website that they deem claims in a promotional piece? consumers or HCPs who treat obese deceptive. Using responses to this • Does the degree of deception affect patients. As with study 1, the drug variable, we can assess whether consumers’ and HCPs’ attitudes and profile, including indication, risks, and participants think there is any deception behavioral intentions toward the logo branding will be fictitious. For the in a promotional piece; in instances promoted drug, including intended implicit misleading claim where they do think there is deception, reporting to regulatory authorities? manipulations, we are interested in we can assess what aspects of the • Is the effect of deceptive whether people infer false beliefs from website contributed to that belief. We promotional pieces mediated by a the implicit communications. will also include indirect measures that person’s ability to identify a Study 2 will help FDA address several identify whether participants believed promotional piece as deceptive (that is, key questions: the website expressed particular claims do people who recognize a piece as • What proportion of consumers and (e.g., claim recognition) as well as deceptive discount the information in HCPs correctly identify a promotional participants’ beliefs about the veracity the piece, thereby adjusting their piece as deceptive? Does the ability to of any deceptive claims (e.g., claim
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truth, agreement, or acceptance). (Response) We thank the commenter participants make at least a weak Moreover, we will assess whether for their support and for this suggestion. commitment in either a positive or participants believe the messages merit While certainly a viable research idea, negative direction. Of concern is that reporting to regulatory authorities (that cost implications of creating and testing offering a neutral midpoint could is, FDA). To examine differences additional stimuli for this purpose bar potentially encourage ‘‘satisficing’’— between experimental conditions, we us from pursuing it. We encourage cuing participants to choose a neutral will conduct inferential statistical tests researchers to pursue this idea in future response because it is offered (Ref. 8). such as analysis of variance. A copy of research. Additionally, providing a midpoint the draft questionnaire is available upon (Comment 2) regulations.gov tracking leads to the loss of information request. number 1k1–8v15–11b6 (some regarding the direction in which people In the Federal Register of January 4, comments summarized for brevity; lean (Ref. 9). Research has found that 2017 (82 FR 855), FDA published a 60- others provided verbatim): neither format (either with or without a day notice requesting public comment a. Given the stated purpose of the neutral point) is necessarily better or on the proposed collection of pretests, sample size can be produces more valid or reliable results information. Comments received along substantially reduced, and revised to a (Ref. 10). Instead, it should be left to the with our responses to the comments are qualitative approach. researcher to determine the goals of the provided below. Comments that are not (Response) In addition to the study. During cognitive testing, a PRA-relevant or do not relate to the quantitative pretest, we have already majority of participants were satisfied proposed study are not included. For conducted a qualitative test of stimuli with the response options and all brevity, some public comments are and questionnaire materials via participants felt comfortable choosing a paraphrased and therefore may not cognitive interviews. Changes based on response in the absence of a midpoint. reflect the exact language used by the cognitive interviews are reflected in our Use of a midpoint is an issue we have commenter. We assure commenters that updated survey materials. In regard to examined in previous studies and we the entirety of their comments was sample size, the number of pretest determined that we achieve valid and considered even if not fully captured by participants per experimental condition reliable responses without a midpoint. our paraphrasing. Question numbering (n = 50) was chosen based on a power To increase consistency with measures here (e.g., Q30) reflects numbering from analysis, and is considered to be the used in previous studies, and in support the original draft questionnaire, shared minimum effective size to allow for of the arguments presented above, we by request at the time of the 60-day assessment of the quantitative outcomes are opting to exclude a midpoint. notice. The following acronyms are used specified in the 60-day FRN. Examples Finally, if a participant does not feel here: FRN = Federal Register Notice; of quantitative outcomes include that they can choose a response because DTC = direct-to-consumer; HCP = assessment of response rates and timing of a lack of a neutral option, they will healthcare professional; FDA and ‘‘The of the survey. be able to skip the question. Agency’’ = Food and Drug b. To reduce bias, add a screening d. In Study 1, remove Q21 and Q30 Administration; OPDP = FDA’s Office of question to exclude respondents who due to potentially leading nature of Prescription Drug Promotion. are opposed to taking prescription items. (Comment 1) regulations.gov tracking medicines. (Response) To avoid redundancy, we number 1k1–8ubr–t0de (verbatim with (Response) The survey length does header and footer language removed): dropped Q21. In Q30, we ask not allow for a full exploration of participants to click on anything they We are supportive of the study, but attitudes toward prescription drug use. have the following recommendations. think is misleading, and we note that if However, to assess opposition to they do not think anything is We propose that additional study prescription drug use more generally, arms be included that explore various misleading, they can click ‘‘none.’’ we added one item to the survey that Consequently, we are not strongly scenarios/websites which test both the has been used successfully in previous number of deceptive claims in presupposing there are misleading FDA surveys. This item will be used in claims. To address some of the wording conjunction with the degree of the pretest survey as a potential deception. Currently, the study is concerns for this item, we changed the covariate and may or may not be question to ask about inaccurate structured to measure the impact of the retained in the main study survey number of deceptions in a promotional information instead of misleading depending on its performance. information and we moved the ‘‘None’’ website (Study 1) separately from the The item reads: ‘‘In what situations response to be more prominent above degree of the deception (explicit vs would you consider taking prescription the image. implicit, in Study 2). However, it would drugs?’’ also be beneficial to measure other • I would never take them. (Comment 3) regulations.gov tracking combinations to see which factor or • I would take them only for serious number 1k1–8v3z–nzst (summarized for combination of factors had the greatest health conditions. brevity): impact on HCPs and Consumers’ overall • I would take them for moderate and The commenter expresses concern perception of the website. For example, serious health conditions. about the practical utility of the a single explicit lie may be more • I would take them for most health research, reasons for which are covered impactful than 15 implied deceptions. conditions, including minor problems. by comments 3a through 3e. In the case The current study will not be able to c. Consider revising item scales to that FDA continues with the research, draw any conclusions regarding that include a mid-point to allow the commenter makes several scenario. Testing additional respondents to express neutral views recommendations which are covered by combinations of the number of (unless objective is to force a selection). comments 3f through 3cc. Comments 3f deceptions in a website along with (Response) Given the focus of the through 3h concern the study stimuli, deceptive claims of varying severity questions, we believe that offering a comment 3i pertains to subject would enable a better comparison and neutral response option is not necessary recruitment, and comments 3j through understanding of what ultimately drives to measure opinions and attitudes 3cc concern the study questionnaires. HCPs and Consumers’ perception of accurately. Consequently, our objective a. The identification of deceptive deceptive prescription promotion. is to force a selection and have promotion is FDA’s assigned
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responsibility, not the duty of HCPs and research investigates both consumer and whether such needs involve consumers. HCP ability to identify and discount reevaluation of past programs such as (Response) As discussed above, the deceptive prescription drug promotion. EthicAd, or extensions of existing mission of OPDP within FDA is to d. The proposed studies are programs such as the Bad Ad program protect the public health by helping to duplicative of recent FDA research or other actions. ensure that prescription drug promotion concerning HCP willingness to report f. Validating Stimuli. It is not clear is truthful, balanced, and accurately deceptive promotion. how the Agency will determine that a communicated, and to guard against The commenter suggests that if FDA study stimulus is deceptive. FDA notes false and misleading promotion through wishes to investigate consumer in the PRA Notice that the ‘‘term comprehensive surveillance, reporting, the Agency should create two deceptive is not meant to imply enforcement, and educational programs. separate studies. The first should gauge equivalence (or lack thereof) with use of As part of this mission, it is critical that consumer aptitude in identifying false the same term by the U.S. Federal Trade OPDP adequately understand the or misleading prescription drug Commission.’’ It seems unrealistic for capacity of consumers and HCPs to promotion. Depending on the results of FDA to conduct research with primary detect false and misleading claims as the first study, the Agency could care physicians (PCPs) and consumers well as these populations’ processing of potentially undertake a second study, who do not understand the Agency’s such claims. This understanding will surveying subject willingness to report standards or have access to the training help FDA/OPDP to identify best false or misleading drug promotion. and resources of an FDA reviewer. practices for addressing deceptive This approach would avoid potential Further, except for literal falsity, claims in prescription drug promotion. error associated with influence of earlier whether a particular communication is Moreover, we note that sponsors are not questions regarding deception on later false or misleading must be based on generally required to submit questions regarding reporting. empirical evidence. Promotional pieces promotional pieces to FDA prior to (Response) FDA conducted a survey do not exist in a vacuum. These dissemination, and limited resources of HCPs in 2013 in which respondents communications interact with the prevent OPDP from reviewing all were asked about their familiarity with overall health information ecosystem, promotional materials in the the Bad Ad program and willingness to including the internet. FDA needs to marketplace. Voluntary HCP and report misleading advertising (Ref. 5). first validate that the study stimuli are consumer reporting of false and The current study is quite different in indeed deceptive before including the misleading promotional pieces scope from the previous research. The stimuli in either proposed study with contribute to the accomplishment of current study consists of an the presumption that they are deceptive. FDA/OPDP’s mission. experimental design that will enable us (Response) Our reference to the b. Deceptive drug promotion is not a to determine whether HCPs can detect Federal Trade Commission’s (FTC) prevalent issue that requires further misleading advertising, not just whether definition of the term ‘‘deceptive’’ was studying. they are willing to report it. We do offered as a point of clarification for our (Response) Numerous studies have include questions at the end of the use of the same term as shorthand examined the prevalence of false or survey asking similar questions as those within the FRN for the longer phrase misleading claims and presentations in in the 2013 survey, but the purpose here ‘‘false or misleading.’’ In other words, DTC advertising, and FDA frequently is in connection to HCP ability to detect by using ‘‘deceptive’’ as a term of art in issues compliance letters addressing misleading advertising. Moreover, our this narrow context, we are not evoking false and misleading claims and use of similar questions here reflects a the specific meaning and interpretation presentations (Refs. 1 and 2). well-established technique in scientific of the same term used by the FTC. Consequently, FDA disagrees with this research, used to determine whether We disagree with the suggestion that assertion. previous findings can be replicated or participants need to have access to the c. FDA’s proposed studies fail to not. training and resources of an FDA acknowledge the role of the HCP as the In response to the second comment reviewer before FDA can evaluate their ‘‘learned intermediary.’’ recommending division of this project ability to identify deceptive promotion. (Response) The present research takes into two separate studies, we believe As further explained below, FDA is not into consideration both consumer and that proposal to be an inefficient use of asking participants to determine HCP responses to false or misleading resources. Regarding concerns about the whether nuanced text meets the promotion. Consumers often wish to order of questions affecting subsequent regulatory standards for deceptive participate in shared decision making responses, we chose to distribute promotion; instead, we are presenting with HCPs when selecting prescription deception-related items throughout the material that meets both the regulatory drugs and may request specific survey, rather than ask all deception standard for a deceptive promotion and prescription drugs from their HCPs items first and then other outcome could be identified as such by based on promotions they have seen in measures second. Also, we include consumers or healthcare providers with the marketplace. Because information ‘‘masking’’ items on the same screen as no prior experience with the consumers receive through DTC deception-related items to mask the regulations. prescription drug promotion can impact intent of the questions. The results from We agree with the second point about these requests, it is important to cognitive interviews confirm that this the need to validate that the study investigate consumers’ ability to assess approach was successful. Consequently, stimuli are deceptive, and we are doing prescription drug product efficacy and we have no evidence to suggest that this in several ways for this study. For risks as conveyed in promotional pieces. earlier questions related to deception example, some of the specific claims And although HCPs have medical will influence subsequent questions used in our experimental manipulations training and clinical expertise, we are related to reporting. are established as being factually not aware of research that investigates e. FDA already has created and incorrect because the promoted drug is whether such training and expertise implemented consumer programs to a member of a class of drugs for which translates into an ability to detect false report deceptive promotion. the claim could not be true (e.g., or misleading promotion in the (Response) The proposed research can describing a serotonin-norepinephrine marketplace. Consequently, the present inform program needs at present, reuptake inhibitor (SNRI), which is
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required to have a black box safety is the fastest growing category of DTC (none, fewer, more).’’ FDA states that warning for suicide risk, as lacking in drug marketing, and branded websites the deceptive claims will include significant safety concerns). Other account for the largest share of this ‘‘various types of violations.’’ Under the claims or presentations in the stimuli category (Ref. 11). Second, almost all potential design, the most egregious are based on similar claims cited as print and television ads for prescription deceptive claim(s) might only be violative in past warning letters or that drugs encourage viewers to visit contained in the ‘‘more’’ level. This unambiguously fail to follow the law branded websites for more information, could potentially skew study results, as (e.g., minimizing presentation of making these sites an important subjects would be more likely to important safety information, such as a extension of promotion in other formats identify such egregious claims. FDA black box warning, by setting it in small, (Ref. 12). Third, FDA has issued should develop a scale that is used to low contrast type). For one manipulated multiple warning and notice of violation determine the egregiousness of the claim, we provided participants with letters for branded drug websites that deception. The scale should include access to the background information incorrectly communicate information to specific examples of egregiousness by needed to identify the presentation as visitors, suggesting that there may be a category. deceptive in the form of a footnote. In problem with a proportion of such sites (Response) Although some claims do the case of Study 2, where a crucial presenting misleading information. not overlap between the ‘‘fewer aspect of the experimental design is to Fourth, websites serve as a fairly newer violations’’ and ‘‘more violations’’ test an implicitly misleading claim in format for promotion relative to conditions, we strategically relation to an explicitly false claim and television and print promotion, and by manipulated the stimuli so that one of against a nonviolative control, we tested consequence warrant further study. the more ‘‘egregiously’’ deceptive claims candidate claims in cognitive interviews There has been significantly less (which appears in a callout bubble) is to verify that the audience tended to research on consumer and provider present in both conditions. There is also interpret the implicit claims as interpretation of branded drug websites overlap in those two conditions for intended. than other promotional formats (Ref. another manipulated element, where we Further, it is important to note that we 13), and the extant research suggests minimized the prominence of the included a control condition in both that some websites still do not present Important Safety Information. studies, which will enable us to a fair balance of risk and benefit Additionally, we included an item compare responses to a website that has information (Ref. 14). (Q30) that would provide participants no violations. The control conditions Based on these considerations, we the opportunity to click on anything serve as a baseline for perceived believe that focusing this study on they think may be inaccurate. Using this deception, which will also allow us to branded drug websites will be the most question, we would expect that the examine how consumers and providers effective use of FDA’s limited resources. more egregious claims will be chosen perceive websites with no violations. The fictitious websites included in this more often. In this way, this item would g. Media. The Agency proposes using study were modeled on real products serve as a proxy measure of websites as the only stimuli. FDA (including the package insert) to ensure egregiousness. Further, our various should consider testing additional non- realism and relevance. electronic media, including DTC and In response to the request to share questions that ask about perceived HCP print promotional materials. The stimuli, we generally do not share deceptiveness of the websites will Agency should also base the stimuli before the study has been provide an initial assessment of the promotional stimuli on realistic ‘‘mock’’ conducted to avoid possible inadvertent degree of deception—with higher scores package insert (PI) documents. The publication and therefore contamination representing greater perceived commenter requests that FDA make of the subject pool, which would deception. Because of space constraints available for public comment these compromise the research. on the survey, we are unable to ask materials. h. Disease States. The Agency’s two participants to rate the egregiousness of (Response) Previous research on DTC studies propose testing stimuli the violative claims. Although we and HCP-directed prescription drug concerning chronic pain or obesity. The appreciate the value that developing a promotional materials has, to varying commenter suggests that FDA instead scale to determine the egregiousness of extents, included all available media consider testing stimuli featuring a each of the deceptive claims would add, formats, and assessment of outcomes fictitious product for a disease state adopting this suggestion in the present using these formats has proven useful. which involves more complex safety research would be outside of the scope We agree that investigating recognition information. Such stimuli would be of this study and would have an impact of misleading prescription drug more reflective of the current healthcare on overall cost considerations. information in multiple formats— environment, where product labeling is j. FDA proposes that the HCP samples including print, television, web, and increasingly complex. for both studies will only include other modes—would be valuable. (Response) The fictitious websites physician subjects. The commenter However, we also recognize that no used in this research do include believes the samples should include single study can effectively examine all complex safety information, which other types of HCPs, including nurse promotional formats or presentations, reflect the risks for real chronic pain practitioners, physician assistants, and and we chose to focus on branded drug and obesity products in the pharmacists. As the Agency’s recent websites for several reasons. First, marketplace. For example, one of the research showed, ‘‘Nurse practitioners websites, while not necessarily more or fictitious products includes a black box and physician assistants tended to see less useful than any other format, are warning, and the other includes severe the [Bad Ad] program as more useful arguably quite prevalent and important and complex safety information, such as than [PCPs] and specialists. They also in today’s technological age where a potential drug interactions and reported a greater likelihood of large segment of the consumer contraindications. reporting false or misleading advertising population is connected to the internet i. Study 1 Stimuli. In Study 1, the in the future.’’ Given these findings, it and known to seek information ‘‘degree of deception will be would be helpful also to investigate the regarding prescription drugs using the manipulated over three levels by ability of other HCPs independently to internet. For example, online promotion altering the number of deceptive claims identify false or misleading promotion.
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Additionally, during the recruiting misleading. Recall is likely influenced capture whether they thought the process, FDA should ensure enrollment by the presentation of the content (e.g., website was misleading. Consequently, of a diversity of subjects across size, visual display), not by the content we successfully masked the true intent demographic categories. Previous itself. This research, however, is not of this item by including other bipolar research indicates that certain material to the stated purpose of the response options unrelated to demographic groups respond to drug studies. The recall questions should be misleadingness. promotion in different manners. Uneven omitted from the questionnaires. We dropped Q21 to reduce representation within certain categories (Response) Q1–Q2 of Study 1 measure redundancy across items. could potentially skew study results. risk recall and risk recognition. These n. Definitions and Terms. The (Response) FDA acknowledges and are important outcome measures for our questionnaires do not define certain key agrees with the assertion that including study because we vary how the risks are terms (e.g., effectiveness, risk, other types of HCPs in this research presented in the different experimental misleading). Subjects, especially would provide value. Yet, sampling conditions, minimizing them (in terms consumers, may interpret these terms from these additional groups requires of size and format) in the violative based on different standards. FDA might funding that may not be justified in this conditions. Including these risk recall consider providing user-friendly initial investigation of the topic area. and recognition measures allow us to definitions for the consumer subjects. Nonetheless, we do intend to strive for test whether minimizing the risks The Agency should also utilize patient- diversity in both our HCP and consumer influences participants’ ability to friendly medical terms, rather than samples. HCPs and consumers will vary remember them. Further, because complex terminology (e.g., glaucoma, in terms of age, race, and ethnicity, and minimization of risk is a misleading hepatic failure, SNRI). consumers will additionally vary in violation in its own right, reduced risk (Response) Sophisticated medical terms of their education level. recall or recognition among participants terminology will only be used in the k. Leading Questions. The overall in the violative conditions would HCP survey. To use the example of format of the questionnaires is quite provide relevant context for interpreting ‘‘hepatic failure,’’ consumers will leading. As previously mentioned, more direct measures of deception. Q4 instead see ‘‘decreased liver function.’’ questions asking whether sample of Study 2 will enable us to determine We have verified in cognitive interviews advertisements are ‘‘deceptive,’’ if participants can recall seeing the that preceded this study (and in our ‘‘misleading,’’ ‘‘bad,’’ and ‘‘not disclosure statements in the websites. previous scale development efforts) that believable’’ could easily pollute data This is relevant to the question of the terminology used is generally well from later questions inquiring whether a whether participants identify false or understood by our participant sample. subject would potentially report such misleading content because the o. Sliding Scale Format. FDA should promotion to FDA. The Agency should disclosure statement provides consider replacing the sliding scale state all questions in an objective information that would help format with a ‘‘Yes-No-I Don’t Know’’ manner. participants assess the truth of the scheme. The sliding-scale format is at (Response) Leading questions are headline claim. None of these items are times confusing in form and could those that ‘‘suggest a possible answer or intended to be direct measures of potentially introduce error. make some responses seem more whether the stimuli are misleading; Alternatively, the Agency should acceptable than others’’ (Ref. 15). In instead, they are outcomes that may be consider changing the sliding scale to an keeping with standard practice for affected by misleading content. odd number system to permit a balancing the valence of attitudinal m. Repetitive Questions. The ‘‘neutral’’ response and/or use a questions, we have included a mix of questionnaires are repetitive in nature. variation of the Likert scale. positive and negative statements in the For example, in Q4–Q11 of Study 1, (Response) Use of a sliding scale questionnaire. In fact, there are subjects are asked a series of eight allows for greater precision and presently more positively framed items questions to measure ‘‘Perceived variation in response, as opposed to a than negatively framed items. Moreover, Website Deception.’’ The questions are ‘‘Yes-No-Don’t Know’’ format. Research the slider questions referenced by the redundant (e.g., Believable/Not suggests that scales with five to seven commenter are semantic differentials, believable, Truthful/Deceptive, Factual/ points are more valid and reliable than which show both a negatively framed Distorted, Accurate/Misleading). This those with only two to three categories word and its positive counterpart on duplication may cause the subject to (Ref. 16). Additionally, we tested the opposite ends of the response scale (e.g., believe the promotional material is sliding-scale format in previous ‘‘deceptive/truthful,’’ ‘‘misleading/ actually false or misleading. cognitive interviews and found that it accurate,’’ ‘‘not believable/believable’’). (Response) The use of multiple items worked well; participants had little We do not see how these items could be to tap into a singular construct is difficulty understanding this format. construed as leading because both the considered a best practice in social Further, as noted in the response to positive and negative frames are science research, particularly when Comment 2c, we want to avoid leading presented. Finally, as stated in our assessing complex psychological participants to choose a ‘‘Don’t know’’ response to Comment 3d, we have constructs like those in this survey. Our response; providing this option may cue evidence to suggest that we successfully intent is to combine responses to these participants to select this response and masked the true focus of the items into a single composite score. Our avoid deeper thinking on the topic. questionnaire, so the deception-focused cognitive interviewing of these items Regarding the use of an even numbered items should not bias subsequent suggests that they have slightly different scale rather than odd numbered scale, responses. meanings for many participants and please see our response to Comment 2c. l. Recall Questions. Certain questions thus are not viewed as completely p. An ‘‘FDA employee’’ category (e.g., Q1–Q3 of Study 1, Q4 of Study 2) redundant. Further, there is no evidence should be added to Question S2 ask test subjects to recall specific risks to suggest that the use of multiple items [Consumer] of Study 1. These and side effects of the featured drug to assess this construct led participants individuals should also be terminated products. Such questions are not valid to believe that the promotional material from the study. instruments to assess whether a subject was actually false or misleading or that (Response) Consistent with previous perceives a stimulus to be false or this series of questions was designed to surveys, we added a category to exclude
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employees of the Department of Health any potential deception in promotional more broadly with one question, rather and Human Services, which includes materials. than attempting to list all possible employees of FDA. (Response) We appreciate how these options. q. Question S3 [Consumer] of Study 1 additional questions could provide w. Questions Q19 and Q21 of Study should be rewritten as follows: ‘‘Have valuable context and propose adding 1 should be removed. These questions you ever been diagnosed with chronic or new items to our pretest survey (see require participants to guess whether long-lasting pain (more than aches and below). We have found, in past work, the material would mislead people or pains that go away quickly or are that HCPs often have difficulty recalling ‘‘takes advantage of less experienced’’ minor)?’’ (emphasis added). This change precise information about their practice. consumers/providers. FDA should only aligns the question with the description Consequently, our approach is to assess ask participants about individual of the study in the PRA Notice: ‘‘Study this information more generally. perception. Additionally, it is unclear 1 will sample consumers with However, to include some additional what the Agency means by ‘‘takes diagnosed chronic pain that has lasted context, we included two additional advantage of less experienced’’ at least 3 months.’’ items: consumers/providers. (Response) We did not restrict people • Rate your current knowledge about (Response) To avoid redundancy, we to be diagnosed with chronic pain prescription drugs for [weight loss/ dropped Q21. We retained Q19 to because the prevalence was too small, chronic pain] on a scale of 0 to 10, ensure assessment of a critical which would increase the costs of the where 0 means knowing nothing and 10 construct. Because deception is a study. Using our current screening means knowing everything you could complicated construct to measure, we questions, we achieve an 11 percent possibly know about the topic. included a variety of items to capture prevalence rate (Ref. 6). The objective of • [If ‘‘chronic pain’’] Approximately the various dimensions of this our sampling plan is to target people what proportion of your current patients construct. Based on a review of the that would be in the audience for the do you treat for chronic pain? (None or literature, we recommend using a ads; being diagnosed is not a criterion. very few have chronic pain; a small variety of relatively sensitive measures r. Question S5 [Consumer] of Study 1 proportion have chronic pain; about of ability to detect misleading should be eliminated. Whether a subject one-half have chronic pain; a large advertisements to ensure we capture still has chronic pain has no bearing on proportion have chronic pain; almost all potentially meaningful variance. The the study’s purpose. Also, consider have chronic pain). inclusion of Q19 and Q21 were based on eliminating Question Q12 of Study 1. t. Question Q2 of Study 1 should have findings from the literature review that This question would only apply to those a third answer choice: ‘‘Don’t included measures that tapped into consumers currently being treated for remember.’’ third-person perception (Ref. 17)— chronic pain, not those who previously (Response) In cognitive interviews, which is among the most widely had the condition. very few people chose this response replicated phenomena across media (Response) Assessing whether option. Moreover, in previous research, contents (Ref. 18), such as DTC participants currently experience because so few people chose this prescription drug advertising (Ref. 19). chronic pain helps to ensure a response option, we often end up By including an item that taps into motivated sample for which the collapsing this response option with the third-person effects, we will be able to fictitious medication would potentially response indicating that the referent was explore if consumers are more likely to be of interest. Originally, we included not mentioned in the website. think that others will be misled, even if participants that reported suffering from u. Questions Q5 and Q7 of Study 1 they do not think they are susceptible to chronic pain in the past, but we did not should be deleted. Whether a subject being misled by the website. require that they are currently suffering considers the website to be ‘‘Bad/Good’’ x. Question Q24 of Study 1 should be from chronic pain (although we had an or ‘‘Boring/Interesting’’ has no relevance one of the first questions of the survey. item that asked ‘‘Do you still have this to FDA’s study goals. A subject will likely answer this chronic or long-lasting pain?’’). After (Response) These items help to mask question most accurately immediately further consideration, we opted to revise the overall intent of the other items in after reviewing the website and before the screener so that participants remain this series (e.g., to assess whether the answering other questions that could eligible if (a) they say ‘‘Yes’’ I still have website is misleading). Also, they influence this answer. chronic pain, or (b) they say ‘‘No’’ (or provide useful information about (Response) To avoid bias, the most remain silent) about still having chronic personal relevance and attitude toward critical questions should appear as up pain and they are currently taking a the website, which we can use as front as possible in the surveys. prescription drug for chronic pain. This potential covariates. Although current question ordering may would also make the inclusion criteria v. The commenter recommends bias responses to the attention item, this for Study 1 consistent with the revising Question Q17 of Study 1: ‘‘How outcome is less consequential and we inclusion criteria for Study 2, which likely are you to ask your doctor about chose instead to prioritize the key requires that a person currently suffers [Drug]?’’ dependent variables (putting those from the medical condition of interest. (Response) The intent of this item is measures that rely on memory at the Consequently, Q12 of Study 1 will be to assess information-seeking more start of the survey). Consequently, we relevant for all consumers completing broadly, which can include, but is not intend to retain the current order of the questionnaire. limited to, asking one’s doctor about a questions in the survey. s. Consider revising Question S5 drug. While assessing how consumers y. The box for Question Q30 of Study [PCP] of Study 1 to inquire: (1) What access information from various sources 1 prompts the subject to respond, even percentage of the PCP’s patients has (doctor, family members, etc.) is of if the individual did not select anything each condition, and (2) how long the interest, our survey does not have room in the website as false or misleading. PCP has treated patients with each to ask about each source individually. FDA should consider using a tiered condition. A PCP’s familiarity and Given that there are multiple sources of response: experience with the treatment of the information a consumer might consult Q30a: Did you notice anything on the particular condition provides context for more information on a drug, we website that is false or misleading? and serves as a reference for detecting decided to address information-seeking 1. Yes (go to question 30b).
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2. No (go to question 31). a. The commenter expressed concern (Response) We consider diversity Q30b: What information was false or about the practical utility of the within this illness population to be an misleading? [open box comment] consumer-oriented arms of the research. asset. Also, random assignment will (Response) A programming note was Namely, if consumers are unfamiliar help to control extraneous influences missing in the original survey draft. The with the prescribing information for the because it will create groups that, on current survey programming reflects the product, it is unclear on which basis average, are probabilistically similar to approach suggested by the commenter. they can determine a claim to be each other. Because randomization z. The commenter recommends deceptive. eliminates most other sources of revising Question Q32 of Study 1 to: ‘‘If (Response) Please see our response to systematic variation, researchers can be there was a way to report misleading Comment 3f, which addresses a similar reasonably confident that any effect that prescription drug websites or ads to the theme and may provide useful context. is found is the result of the intervention Food and Drug Administration (FDA) by The concern addressed by the and not some preexisting differences sending an email or calling a toll-free commenter is framed as a limitation of between the groups (Ref. 20). phone number, how likely would you the study and appears to question the Consequently, the varied causes of report misleading material?’’ relevance of examining consumers’ obesity should not impact the results. (Response) We have adopted this ability to detect deception in The primary intention of the research is recommendation in the revised survey. prescription drug promotion. We to empirically examine consumer and aa. As previously stated in footnote believe the opposite is correct: The HCP ability to detect and report 21, Questions Q34, Q41, and Q42 of merit of conducting the study is deceptive prescription drug promotion, Study 1 should be deleted. reinforced by the observation that it is but we have to choose stimuli (and by Footnote 21 reads: For example, FDA unclear how consumers can determine a extension, an illness population) in completed a HCP study incorporating claim to be deceptive if they lack order to empirically test our research information asked at Q34, Q41, and Q42 relevant background information or questions. By choosing illness of Study 1. It is not clear why the knowledge about an advertised drug. conditions with diverse patient Agency is undertaking another study While prescription drug promotions are populations, we can better grasp how focusing on such questions. These required to present truthful and non- consumers and HCPs from all walks of questions should be eliminated. misleading information, some life react to deceptive prescription drug (Response) Please see our response to prescription drug promotion promotion. Also see response to Comment 3d. nevertheless includes false or comment 3j. (Comment 5) regulations.gov tracking bb. Question S1 of Study 2 should be misleading claims, images, or number 1k1–8v3v–v60p (verbatim with presentations. DTC prescription drug rewritten as follows: ‘‘Have you ever header and footer language, promotion can help provide consumers been diagnosed with obesity, defined as introductory language, and supporting with truthful information about drugs. body mass index greater than or equal references removed): to 30?’’ This change aligns the question When it does so, it can help consumers We strongly support FDA’s proposed with the description of the study in the to make well-informed decisions when project as part of the Agency’s broader PRA Notice: ‘‘Study 2 will sample determining whether to explore research efforts to better understand the consumers diagnosed with treatment options and when making impact of prescription drug promotion obesity. . . .’’ ultimate treatment choices, and it can and direct-to-consumer advertising (Response) For this study, our intent provide useful and actionable (DTC). Research regarding deceptive was to target people that would be in information about a product’s efficacy advertising is becoming increasingly the audience for these ads, and being and risks to consumers already on important as DTC continues to grow at diagnosed is not a requirement for treatment, among other outcomes. Yet, unprecedented rates. One analysis personal relevance. The target audience because the information in prescription estimated DTC spending in 2015 at $5.2 is consumers with a body mass index drug promotion is not always truthful, billion—a growth of over 60 percent in greater than or equal to 30. consumers must make judgments about just 4 years. Five drugs—HUMIRA, cc. The ‘‘Debriefing’’ does not whether it is true, misleading, or false. LYRICA, ELIQUIS, CIALIS, and accurately portray the purpose of the And the same background knowledge XELJANZ—accounted for one-quarter of studies. The purpose of the studies is that a consumer might rely on to this $5.2 billion. Importantly, these not ‘‘to learn about how people feel identify a claim as deceptive would also figures are an underestimate, as they do about information provided in be used to decide that a claim is true. not account for spending on digital ads prescription drug websites aimed at As the commenter points out, this and social media. consumers/providers and how people background information may be The risks and benefits of DTC have use this information to understand how incomplete or inadequate for the task, been well noted and debated. DTC may well prescription drugs work.’’ The and yet some presume that consumers promote patient dialogue with commenter recommends that the (and, for that matter, healthcare healthcare providers and remove the ‘‘Debriefing’’ read: ‘‘The purpose of this providers) are typically able to stigma associated with certain diseases. study is to investigate the ability of distinguish between true claims and However, there are also significant consumers/providers to identify false or those that are false or misleading. concerns that DTC may be misleading, misleading prescription drug promotion Concerns like the one voiced here and overemphasize a drug’s benefits as and how likely consumers/providers are the empirical literature on the topic compared to risks, and lead to to report false or misleading suggest there is reason to doubt this inappropriate prescribing and prescription drug promotion to presumption, thus warranting the overutilization. regulatory authorities.’’ proposed study. Again, we applaud the FDA’s efforts (Response) We have adopted this b. The commenter expressed concern in this important area. The need to recommendation. that the varied causes of obesity will better understand the ability of (Comment 4) regulations.gov tracking result in a heterogeneous population consumers and healthcare professionals number 1k1–8v3r–jacf (summarized for which could potentially confound the to detect and report misleading DTC is brevity): results of the study. critical as the use of DTC continues to
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grow. Thank you for the opportunity to (Response) FDA appreciates this FDA estimates the burden of this provide these comments. support. collection of information as follows:
TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1
Number of Activity Number of respondents responses per Total annual Average burden Total hours respondent responses per response
Pilot study screener completes 4,286 (chronic pain) ...... 1 5,612 0.03 (2 minutes) ...... 187 714 (obesity) 612 (HCP)
5,612 total
Main study screener com- 10,714 (chronic pain) ...... 1 14,031 0.03 (2 minutes) ...... 468 pletes. 1,786 (obesity) 1,531 (HCP)
14,031 total
Pilot study completes ...... 150 (chronic pain) ...... 1 600 0.33 (20 minutes) ...... 200 150 (obesity) 300 (HCP)
600 total
Main study completes ...... 375 (chronic pain) ...... 1 1,500 0.33 (20 minutes) ...... 500 375 (obesity) 750 (HCP)
1,500 total
Total ...... 1,355 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
III. References Misleading Advertising and Labeling and Applications (Vol. 26). Thousand Claims.’’ Journal of Public Policy & Oaks, CA: SAGE Publications, 2016. The following references are on Marketing, 30(2): 157–167, 2011. 11. Sullivan, H.W., K.J. Aikin, E. Chung- display in the Dockets Management 5. O’Donoghue, A.C., V. Boudewyns, K.J. Davies, and M. Wade. ‘‘Prescription Drug Staff (HFA–305), Food and Drug Aikin, E. Geisen, et al. ‘‘Awareness of the Promotion from 2001–2014: Data from Administration, 5630 Fishers Lane, Rm. FDA’s Bad Ad Program and Education the U.S. Food and Drug Administration.’’ 1061, Rockville, MD 20852, and are Regarding Pharmaceutical Advertising: A PLoS ONE, http://dx.doi.org/10.1371/ available for viewing by interested National Survey of Prescribers in journal.pone.0155035, 2016. Ambulatory Care Settings.’’ Journal of 12. Liang, B.A. and T.K. Mackey. ‘‘Prevalence persons between 9 a.m. and 4 p.m., Health Communication, 20: 1330–1336, and Global Health Implications of Social Monday through Friday; they are also 2015. Media in Direct-to-Consumer Drug available electronically at https:// 6. Nahin, R.L. ‘‘Estimates of Pain Prevalence Advertising.’’ Journal of Medical Internet www.regulations.gov. FDA has verified and Severity in Adults: United States, Research, 13(3), e64, 2011. the website addresses, as of the date this 2012.’’ Journal of Pain, 16(8): 769–780, 13. Southwell, B.G. and D.J. Rupert. ‘‘Future document publishes in the Federal 2015. Challenges and Opportunities in Online Register, but websites are subject to 7. U.S. Department of Health and Human Prescription Drug Promotion Research.’’ change over time. Services, Centers for Disease Control and International Journal of Health Policy Prevention, National Center for Health and Management, 5(3), 211–213, 2016. 1. Faerber, A.E. and D.H. Kreling. ‘‘Content Statistics. ‘‘Healthy Weight, Overweight, 14. Davis, J.J., E. Cross, and J. Crowley. Analysis of False and Misleading Claims and Obesity Among Adults Aged 20 and ‘‘Pharmaceutical Web Sites and the in Television Advertising for Over, by Selected Characteristics: United Communication of Risk Information.’’ Prescription and Nonprescription States, Selected Years 1988–1994 Journal of Health Communication, 12, Drugs.’’ Journal of General Internal Through 2009–2012 [Table].’’ In Health, 29–39, 2007. Medicine, 29(1): 110–118, 2014. United States, 2014 with special feature 15. Singleton, Jr., R.A., B.C. Straits, and M.M. 2. Symonds, T., C. Hackford, and L. on adults aged 55–64 (pp. 214220; DHHS Straits. Approaches to Social Research. Abraham. ‘‘A Review of FDA Warning Publication No. 2015–1232). Retrieved Oxford, United Kingdom: Oxford Letters and Notices of Violation Issued from http://www.cdc.gov/nchs/data/hus/ University Press, 1993. for Patient-Reported Outcomes hus14.pdf. 16. Aday, L.A. and L.J. Cornelius. Designing Promotional Claims Between 2006 and 8. Krosnick, J.A. and S. Presser. ‘‘Question and Conducting Health Surveys: A 2012.’’ Value in Health, 17: 433–437, and Questionnaire Design.’’ In: Comprehensive Guide. Hoboken, NJ: 2014. Handbook of Survey Research (pp. 263– John Wiley & Sons, 2006. 3. Mitra, A., M.A. Raymond, and C.D. 314). Bingley, United Kingdom: Emerald 17. Xie, G.X. ‘‘Deceptive Advertising and Hopkins. ‘‘Can Consumers Recognize Group Publishing Limited, 2010. Third-Person Perception: The Interplay Misleading Advertising Content in a 9. Converse, J.M. and, S. Presser. Survey of Generalized and Specific Suspicion.’’ Media Rich Online Environment?’’ Questions: Handcrafting the Journal of Marketing Communications, Psychology & Marketing, 25(7): 655–674, Standardized Questionnaire (No. 63). 22(5), 494–512. doi:10.1080/ 2008. Thousand Oaks, CA: SAGE Publications, 13527266.2014.918051, 2014. 4. Hastak, M. and M.B. Mazis. ‘‘Deception by 1986. 18. Sun, Y., Z. Pan, and L. Shen. Implication: A Typology of Truthful but 10. DeVellis, R.F. Scale Development: Theory ‘‘Understanding the Third-Person
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Perception: Evidence from a Meta- gain approval of a new drug application petitioner has identified no data or other Analysis.’’ Journal of Communication, (NDA). information suggesting that NOROXIN 58(2), 280–300, 2008. The 1984 amendments include what (norfloxacin) tablets, 400 mg, was 19. DeLorme, D.E., J. Huh, and L.N. Reid. is now section 505(j)(7) of the Federal withdrawn for reasons of safety or ‘‘Perceived Effects of Direct-To- Food, Drug, and Cosmetic Act (21 U.S.C. Consumer (DTC) Prescription Drug effectiveness. We have carefully Advertising on Self and Others.’’ Journal 355(j)(7)), which requires FDA to reviewed our files for records of Advertising, 35(3), 47–65, 2006. publish a list of all approved drugs. concerning the withdrawal of NOROXIN 20. Fisher, R.A. The Design of Experiments. FDA publishes this list as part of the (norfloxacin) tablets, 400 mg, from sale. Edinburgh, United Kingdom: Oliver and ‘‘Approved Drug Products With We have also independently evaluated Boyd, 1937. Therapeutic Equivalence Evaluations,’’ relevant literature and data for possible Dated: December 6, 2017. which is known generally as the postmarketing adverse events. We have ‘‘Orange Book.’’ Under FDA regulations, Leslie Kux, reviewed the available evidence and drugs are removed from the list if the Associate Commissioner for Policy. determined that this drug product was Agency withdraws or suspends not withdrawn from sale for reasons of [FR Doc. 2017–26704 Filed 12–11–17; 8:45 am] approval of the drug’s NDA or ANDA safety or effectiveness. BILLING CODE 4164–01–P for reasons of safety or effectiveness or Accordingly, the Agency will if FDA determines that the listed drug continue to list NOROXIN (norfloxacin) was withdrawn from sale for reasons of tablets, 400 mg, in the ‘‘Discontinued DEPARTMENT OF HEALTH AND safety or effectiveness (21 CFR 314.162). HUMAN SERVICES Drug Product List’’ section of the Orange A person may petition the Agency to Book. The ‘‘Discontinued Drug Product determine, or the Agency may Food and Drug Administration List’’ delineates, among other items, determine on its own initiative, whether drug products that have been a listed drug was withdrawn from sale discontinued from marketing for reasons [Docket No. FDA–2017–P–2659] for reasons of safety or effectiveness. other than safety or effectiveness. This determination may be made at any ANDAs that refer to NOROXIN Determination That NOROXIN time after the drug has been withdrawn (Norfloxacin) Tablets, 400 Milligrams, (norfloxacin) tablets, 400 mg, may be from sale, but must be made prior to approved by the Agency as long as they Was Not Withdrawn From Sale for approving an ANDA that refers to the Reasons of Safety or Effectiveness meet all other legal and regulatory listed drug (§ 314.161 (21 CFR 314.161)). requirements for the approval of AGENCY: Food and Drug Administration, FDA may not approve an ANDA that ANDAs. If FDA determines that labeling HHS. does not refer to a listed drug. for this drug product should be revised, NOROXIN (norfloxacin) tablets, 400 the Agency will advise ANDA ACTION: Notice. mg, is the subject of NDA 019384, held applicants to submit such labeling. SUMMARY: The Food and Drug by Merck & Company, Inc. (Merck), and Dated: December 6, 2017. Administration (FDA or Agency) has initially approved on October 31, 1986. determined that NOROXIN (norfloxacin) NOROXIN is indicated for the treatment Leslie Kux, tablets, 400 milligrams (mg), was not of adults with the following infections Associate Commissioner for Policy. withdrawn from sale for reasons of caused by susceptible strains of certain [FR Doc. 2017–26693 Filed 12–11–17; 8:45 am] safety or effectiveness. This designated microorganisms: BILLING CODE 4164–01–P determination will allow FDA to Uncomplicated urinary tract infections approve abbreviated new drug (including cystitis), uncomplicated applications (ANDAs) for norfloxacin urethral and cervical gonorrhea, and DEPARTMENT OF HEALTH AND tablets, 400 mg, if all other legal and prostatitis. HUMAN SERVICES regulatory requirements are met. In a letter dated October 13, 2015, Merck notified FDA that NOROXIN Food and Drug Administration FOR FURTHER INFORMATION CONTACT: (norfloxacin) tablets, 400 mg, was being [Docket No. FDA–1999–D–4079] Darren Eicken, Center for Drug discontinued, and FDA moved the drug Evaluation and Research, Food and product to the ‘‘Discontinued Drug Drug Administration, 10903 New Product Name Placement, Size, and Product List’’ section of the Orange Prominence in Promotional Labeling Hampshire Ave., Bldg. 51, Rm. 6206, Book. In the Federal Register of October Silver Spring, MD 20993–0002, 240– and Advertisements; Guidance for 4, 2016 (81 FR 68427), FDA announced Industry; Availability 402–0978. that it was withdrawing approval of SUPPLEMENTARY INFORMATION: In 1984, NDA 019384, effective November 3, AGENCY: Food and Drug Administration, Congress enacted the Drug Price 2016. HHS. Competition and Patent Term Jubilant Generics Ltd. submitted a ACTION: Notice of availability. Restoration Act of 1984 (Pub. L. 98–417) citizen petition dated April 27, 2017 (the 1984 amendments), which (Docket No. FDA–2017–P–2659), under SUMMARY: The Food and Drug authorized the approval of duplicate 21 CFR 10.30, requesting that the Administration (FDA or Agency) is versions of drug products under an Agency determine whether NOROXIN announcing the availability of a ANDA procedure. ANDA applicants (norfloxacin) tablets, 400 mg, was guidance for industry entitled ‘‘Product must, with certain exceptions, show that withdrawn from sale for reasons of Name Placement, Size, and Prominence the drug for which they are seeking safety or effectiveness. in Promotional Labeling and approval contains the same active After considering the citizen petition Advertisements.’’ The guidance clarifies ingredient in the same strength and and reviewing Agency records and the requirements for product name dosage form as the ‘‘listed drug,’’ which based on the information we have at this placement, size, prominence, and is a version of the drug that was time, FDA has determined under frequency in promotional labeling and previously approved. ANDA applicants § 314.161 that NOROXIN (norfloxacin) advertisements for human prescription do not have to repeat the extensive tablets, 400 mg, was not withdrawn for drugs, including prescription biological clinical testing otherwise necessary to reasons of safety or effectiveness. The products, and for animal prescription
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drugs. This guidance finalizes the Written/Paper Submissions received, go to https:// revised draft guidance issued on Submit written/paper submissions as www.regulations.gov and insert the November 20, 2013 (‘‘Product Name follows: docket number, found in brackets in the Placement, Size, and Prominence in • Mail/Hand delivery/Courier (for heading of this document, into the Advertising and Promotional written/paper submissions): Dockets ‘‘Search’’ box and follow the prompts Labeling’’). Management Staff (HFA–305), Food and and/or go to the Dockets Management FDA is also announcing that a Drug Administration, 5630 Fishers Staff, 5630 Fishers Lane, Rm. 1061, proposed collection of information has Lane, Rm. 1061, Rockville, MD 20852. Rockville, MD 20852. been submitted to the Office of • For written/paper comments You may submit comments on any Management and Budget (OMB) for submitted to the Dockets Management guidance at any time (see 21 CFR review and clearance under the Staff, FDA will post your comment, as 10.115(g)(5)). Paperwork Reduction Act of 1995 (the well as any attachments, except for Submit written requests for single PRA). information submitted, marked and copies of the guidance to the Division of Drug Information, Center for Drug DATES: The announcement of the identified, as confidential, if submitted as detailed in ‘‘Instructions.’’ Evaluation and Research, Food and guidance is published in the Federal Drug Administration, 10001 New Register on December 12, 2017. Instructions: All submissions received must include the Docket No. FDA– Hampshire Ave., Hillandale Building, ADDRESSES: To ensure that comments on 1999–D–4079 for ‘‘Product Name 4th Floor, Silver Spring, MD 20993– the information collection are received, Placement, Size, and Prominence in 0002; or the Office of Communication, OMB recommends that written Promotional Labeling and Outreach and Development, Center for comments be faxed to the Office of Advertisements; Guidance for Industry; Biologics Evaluation and Research, Information and Regulatory Affairs, Availability.’’ Received comments will Food and Drug Administration, 10903 OMB, Attn: FDA Desk Officer, FAX: New Hampshire Ave., Bldg. 71, Rm. _ be placed in the docket and, except for 202–395–7285, or emailed to oira those submitted as ‘‘Confidential 3128, Silver Spring, MD 20993–0002; or [email protected]. All Submissions,’’ publicly viewable at the Policy and Regulations Staff comments should be identified with the https://www.regulations.gov or at the (HFV–6), Center for Veterinary OMB control number 0910—New and Dockets Management Staff between 9 Medicine, Food and Drug title ‘‘Product Name Placement, Size, a.m. and 4 p.m., Monday through Administration, 7519 Standish Pl., and Prominence in Promotional Friday. Rockville, MD 20855. Send one self- Labeling and Advertisements.’’ Also, • Confidential Submissions—To addressed adhesive label to assist that include the FDA docket number found submit a comment with confidential office in processing your requests. See in brackets in the heading of this information that you do not wish to be the SUPPLEMENTARY INFORMATION section document. made publicly available, submit your for electronic access to the guidance You may submit either electronic or comments only as a written/paper document. written comments on Agency guidances submission. You should submit two FOR FURTHER INFORMATION CONTACT: at any time as follows: copies total. One copy will include the Regarding human prescription drugs: Electronic Submissions information you claim to be confidential Sheila Ryan, Center for Drug Evaluation with a heading or cover note that states and Research, Food and Drug Submit electronic comments in the ‘‘THIS DOCUMENT CONTAINS Administration, 10903 New Hampshire following way: CONFIDENTIAL INFORMATION.’’ The Ave., Bldg. 51, Rm. 3320, Silver Spring, • Federal eRulemaking Portal: Agency will review this copy, including MD 20993–0002, 301–796–1200. https://www.regulations.gov. Follow the the claimed confidential information, in Regarding human prescription instructions for submitting comments. its consideration of comments. The biological products: Stephen Ripley, Comments submitted electronically, second copy, which will have the Center for Biologics Evaluation and including attachments, to https:// claimed confidential information Research, Food and Drug www.regulations.gov will be posted to redacted/blacked out, will be available Administration, 10903 New Hampshire the docket unchanged. Because your for public viewing and posted on Ave., Bldg. 71, Rm. 7301, Silver Spring, comment will be made public, you are https://www.regulations.gov. Submit MD 20993–0002, 240–402–7911. solely responsible for ensuring that your both copies to the Dockets Management Regarding animal prescription drugs: comment does not include any Staff. If you do not wish your name and Thomas Moskal, Center for Veterinary confidential information that you or a contact information to be made publicly Medicine (HFV–216), Food and Drug third party may not wish to be posted, available, you can provide this Administration, 7519 Standish Pl., such as medical information, your or information on the cover sheet and not Rockville, MD 20855, 240–402–6251. anyone else’s Social Security number, or in the body of your comments and you SUPPLEMENTARY INFORMATION: confidential business information, such must identify this information as as a manufacturing process. Please note ‘‘confidential.’’ Any information marked I. Background that if you include your name, contact as ‘‘confidential’’ will not be disclosed FDA is announcing the availability of information, or other information that except in accordance with 21 CFR 10.20 a guidance for industry entitled identifies you in the body of your and other applicable disclosure law. For ‘‘Product Name Placement, Size, and comments, that information will be more information about FDA’s posting Prominence in Promotional Labeling posted on https://www.regulations.gov. of comments to public dockets, see 80 and Advertisements.’’ This guidance • If you want to submit a comment FR 56469, September 18, 2015, or access clarifies the requirements for product with confidential information that you the information at: https://www.gpo.gov/ name placement, size, prominence, and do not wish to be made available to the fdsys/pkg/FR-2015-09-18/pdf/2015- frequency in promotional labeling and public, submit the comment as a 23389.pdf. advertisements for human prescription written/paper submission and in the Docket: For access to the docket to drugs, including prescription biological manner detailed (see ‘‘Written/Paper read background documents or the products, and for animal prescription Submissions’’ and ‘‘Instructions’’). electronic and written/paper comments drugs. The disclosure of the product
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name in promotional labeling and discussed in the revised draft guidance • For superimposed text that is advertisements for all human and to provide examples illustrating equivalent to a headline or tagline, the prescription drugs, including prominence issues. established name should be presented prescription biological products, and This guidance is being issued alongside the most prominent animal prescription drugs is important consistent with FDA’s good guidance presentation of the proprietary name in for the proper identification of such practices regulation (21 CFR 10.115). audiovisual promotional materials products to ensure their safe and The guidance represents the current (promotional labeling and broadcast effective use. thinking of FDA on ‘‘Product Name advertisements). The placement, size, prominence, and Placement, Size, and Prominence in • For electronic and computer-based frequency of the proprietary and Promotional Labeling and promotion, the established name should established names for human Advertisements.’’ It does not establish accompany the proprietary name at least prescription drugs, including any rights for any person and is not once per Web page, and this should prescription biological products, and for binding on FDA or the public. You can generally be where the proprietary name prescription animal drugs are specified use an alternative approach if it satisfies most prominently appears on the Web in labeling and advertising regulations the requirements of the applicable page. (21 CFR 201.10(g) and (h) and 202.1(b), statutes and regulations. This guidance Thus, the guidance recommends that (c), and (d)). is not subject to Executive Order 12866. firms disclose certain information to The recommendations in this others to fulfill the product name II. Paperwork Reduction Act of 1995 guidance pertain to product names in placement requirements found in FDA’s traditional print promotional labeling In compliance with 44 U.S.C. 3507, regulations. This ‘‘third-party and advertisements (e.g., journal ads, FDA has submitted the following disclosure’’ constitutes a ‘‘collection of detail aids, brochures), audiovisual proposed collection of information to information’’ under the PRA. promotional labeling (e.g., videos shown OMB for review and clearance. The Disclosures in advertising pursuant to in a health care provider’s office), information collection requests in 21 CFR 202.1 are covered by an existing broadcast advertisements (e.g., support of the guidance are discussed information collection (OMB control television advertisements, radio below. Specifically, the guidance number 0910–0686), so this information advertisements), and electronic and discusses the requirement in FDA’s collection request covers only computer-based promotions (e.g., regulations for prescription drug disclosures in labeling in accordance internet, social media, emails, CD– promotional labeling and with 21 CFR 201.10(g) and (h). ROMs, DVDs). advertisements to include the In the Federal Register of November In the Federal Register of November established name in conjunction with 20, 2013, FDA published a 60-day 20, 2013 (78 FR 69691), FDA announced the proprietary name, and explains FDA notice requesting public comment on the availability of the revised draft recommendations that: the proposed collection of information guidance entitled ‘‘Product Name • Firms should include the and the estimated annual burden for Placement, Size, and Prominence in established name at least once per page third party disclosure. FDA received no Advertising and Promotional Labeling.’’ or spread where the proprietary name comments in response to the four FDA received one comment on the most prominently appears. information collection topics solicited revised draft guidance, which requested • The established name should be in the notice. FDA has received more additional clarification on the placed either directly beside or below up-to-date submission data since the 60- individual recommendations in the the proprietary name without any day notice published, therefore, we have guidance, and FDA considered this intervening matter. adjusted our estimates of respondents comment as the guidance was finalized. • The size of the established name and disclosures accordingly. The In addition to a title change and should be at least half the size of the estimated amount of time per disclosure editorial changes made primarily for presentation of the proprietary name has not changed. We therefore estimate clarification, the guidance has been wherever the established name is the burden associated with the revised to clarify certain concepts required. information collection as follows:
TABLE 1—ESTIMATED ANNUAL THIRD-PARTY DISCLOSURE BURDEN 1
Number of Average Number of disclosures Total annual burden per Guidance recommendations respondents per disclosures disclosure Total hours respondent (in hours)
Disclosures Related to Product Name Placement, Size, and Prominence ...... 407 256.4 104,358 3 313,074 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
As reflected in table 1, we provide an in labeling and advertising regulations associated with the regulatory estimate of the annual third-party (21 CFR 201.10(g) and (h); 202.1(b), (c) requirements would be approximately 3 disclosure burden associated with this and (d); and 610.62). Using calendar hours per disclosure. collection of information. The year 2015 data, FDA estimates that, for FDA is issuing this final guidance placement, size, prominence, and prescription human and animal drugs subject to OMB approval of the frequency of the proprietary and and biological products, approximately information collection. Before established names for human 407 firms disseminate approximately implementing the information prescription drugs, including 104,358 advertisements and collection provisions of the guidance, prescription biological products, and promotional pieces each year. We FDA will publish a notice in the Federal animal prescription drugs are specified further estimate that the burden hours Register announcing OMB’s decision to
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approve, modify, or disapprove the Information and Regulatory Affairs, providing such recommendations, FDA collections of information, including OMB, Attn: FDA Desk Officer, Fax: 202– may require results of studies to be OMB control number(s) for newly 395–7285, or emailed to oira_ submitted for review. Section 316.14 approved collections. [email protected]. All contains provisions permitting FDA to This guidance also refers to comments should be identified with the refuse to provide written previously approved collections of OMB control number 0910–0167. Also recommendations under certain information found in FDA regulations. include the FDA docket number found circumstances. Within 90 days of any The collections of information in brackets in the heading of this refusal, a sponsor may submit associated with 21 CFR 202.1 have been document. additional information specified by approved under OMB control number FDA. Based on past experience, FDA FOR FURTHER INFORMATION CONTACT: estimates that there will be one 0910–0686. Amber Sanford, Office of Operations, respondent to §§ 316.10, 316.12, and Food and Drug Administration, Three III. Electronic Access 316.14 requiring 50 hours of human White Flint North, 10A–12M, 11601 Persons with access to the internet resources annually. may obtain the guidance at https:// Landsdown St., North Bethesda, MD Section 316.20 specifies the content www.fda.gov/Drugs/Guidance 20852, 301–796–8867, PRAStaff@ and format of an orphan drug ComplianceRegulatoryInformation/ fda.hhs.gov. application which includes Guidances/default.htm, https://www. SUPPLEMENTARY INFORMATION: In requirements that an applicant fda.gov/BiologicsBloodVaccines/ compliance with 44 U.S.C. 3507, FDA document that the disease is rare (affects GuidanceComplianceRegulatory has submitted the following proposed fewer than 200,000 persons in the Information/default.htm, https:// collection of information to OMB for United States annually) or that the www.fda.gov/AnimalVeterinary/ review and clearance. sponsor of the drug has no reasonable GuidanceComplianceEnforcement/ expectation of recovering costs of Orphan Products Development; Food GuidanceforIndustry/default.htm, or research and development of the drug. and Drug Administration Orphan Drug https://www.regulations.gov. Section 316.21 specifies content of a Designation Request Form and The request for orphan drug designation Dated: December 7, 2017. Common European Medicines Agency/ required for verification of orphan-drug Leslie Kux, Food and Drug Administration Form status. Section 316.26 allows an Associate Commissioner for Policy. for Orphan Medicinal Product applicant to amend the applications [FR Doc. 2017–26725 Filed 12–11–17; 8:45 am] Designation (Formerly Orphan Drugs; under certain circumstances. Based on BILLING CODE 4164–01–P Common European Medicines Agency/ past experience, FDA estimates 496 FDA Application Form for Orphan respondents to §§ 316.20, 316.21, and Medicinal Product Designation (Form 316.26, requiring 83,700 hours of DEPARTMENT OF HEALTH AND FDA 3671))—21 CFR Part 316 human resources annually. HUMAN SERVICES OMB Control Number 0910–0167— The Common EMEA/FDA Extension Application for Orphan Medicinal Food and Drug Administration Product Designation form for orphan [Docket No. FDA–2011–N–0015] Sections 525 through 528 of the designation of drugs intended for rare Federal Food, Drug, and Cosmetic Act diseases or conditions (Form FDA 3671) Agency Information Collection (the FD&C Act) (21 U.S.C. 360aa–360dd) is intended to benefit sponsors who Activities; Submission for Office of give FDA statutory authority to do the desire to seek orphan designation of Management and Budget Review; following: (1) Provide recommendations drugs intended for rare diseases or Comment Request; Orphan Products on investigations required for approval conditions from both the European Development; Food and Drug of marketing applications for orphan Commission and FDA by reducing the Administration Orphan Drug drugs, (2) designate eligible drugs as burden of preparing separate Designation Request Form and The orphan drugs, (3) set forth conditions applications to meet the regulatory Common European Medicines Agency/ under which a sponsor of an approved requirements in each jurisdiction. It Food and Drug Administration Form orphan drug obtains exclusive approval, highlights the regulatory cooperation for Orphan Medicinal Product and (4) encourage sponsors to make between the United States and the Designation orphan drugs available for treatment on European Union mandated by the an ‘‘open protocol’’ basis before the drug Transatlantic Economic Council. The AGENCY: Food and Drug Administration, has been approved for general FDA Orphan Drug Designation Request HHS. marketing. The implementing Form (Form FDA 4035) is intended to ACTION: Notice. regulations for these statutory benefit sponsors who desire to seek requirements have been codified under orphan designation of drugs intended SUMMARY: The Food and Drug part 316 (21 CFR part 316) and specify for rare diseases or conditions from only Administration (FDA) is announcing procedures that sponsors of orphan FDA. The form is a simplified method that a proposed collection of drugs use in availing themselves of the for sponsors to provide only information information has been submitted to the incentives provided for orphan drugs in required by 21 CFR 316.20 for FDA to Office of Management and Budget the FD&C Act and sets forth procedures make a decision. Based on past (OMB) for review and clearance under FDA will use in administering the FD&C experience, FDA estimates there will be the Paperwork Reduction Act of 1995. Act with regard to orphan drugs. 496 respondents using the form DATES: Fax written comments on the Section 316.10 specifies the content requiring 19,840 hours of human collection of information by January 11, and format of a request for written resources annually. 2018. recommendations concerning the Section 316.22 specifies requirement ADDRESSES: To ensure that comments on nonclinical laboratory studies and of a permanent resident agent for foreign the information collection are received, clinical investigations necessary for sponsors. Based on past experience, OMB recommends that written approval of marketing applications. FDA estimates 70 respondents requiring comments be faxed to the Office of Section 316.12 provides that, before 140 hours of human resources annually.
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Section 316.24(a) specifies a reports on studies, a description of the disease or condition and satisfies the requirement that sponsors respond to investigational plan, and a discussion of requirements for obtaining orphan drug deficiency letters from FDA on changes that may affect orphan status. status. Secondly, the information will designation requests within 1 year of Based on number of orphan-drug describe the medical and regulatory issuance of the deficiency letter, unless designations, the number of respondents history of the drug. The respondents to within that time frame, the sponsor is estimated as 744 requiring 2,232 this collection of information are requests an extension of time to hours of human resources annually. biotechnology firms, drug companies, respond. Based on past experience, FDA Finally, § 316.36 describes information and academic clinical researchers. estimates 20 respondents requiring 40 required of sponsor when there is In the Federal Register of June 19, hours of human resources annually. insufficient quantity of approved 2017 (82 FR 27836), FDA published a Section 316.27 specifies content of a orphan drug. Based on past experience, change in ownership of orphan-drug FDA estimates two respondents 60-day notice requesting public designation. Based on past experience, requiring 90 hours of human resources comment on the proposed collection of FDA estimates 63 respondents requiring annually. information. No comments were 315 hours of human resources annually. The information requested will received. Section 316.30 requires submission of provide the basis for an FDA FDA estimates the burden of this annual reports, including progress determination that the drug is for a rare collection of information as follows:
TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1
Annual 21 CFR section/Form FDA Number of frequency Total annual Hours per Total respondents per response responses response hours
Content and format when seeking written recommenda- tions; results of studies; and amendments (§§ 316.10, 316.12, and 316.14) ...... 1 1 1 50 50 Content and format of a request for designation; request for verification of status; amendment to designation ...... 496 1.25 620 135 83,700 Form FDA 3671 or 4035 FDA Orphan Drug Designation Request Form (§§ 316.20, 316.21, and 316.26) ...... 1.25 620 32 19,840 Notifications of changes in agents (§ 316.22) ...... 70 1 70 2 140 Deficiency letters and granting orphan-drug designation (§ 316.24(a)) ...... 20 1 20 2 40 Submissions to change ownership of orphan-drug des- ignation (§ 316.27) ...... 63 1 63 5 315 Annual reports (§ 316.30) ...... 744 1 744 3 2,232 Assurance of the availability of sufficient quantities of the orphan drug; holder’s consent for the approval of other marketing applications for the same drug (§ 316.36) ...... 2 3 6 15 90
Total ...... 106,407 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
FDA has experienced increases in: (1) DEPARTMENT OF HEALTH AND including each proposed extension of an The number of submissions to change HUMAN SERVICES existing collection of information, and ownership of orphan-drug designation to allow 60 days for public comment in (§ 316.27), (2) the number of annual Food and Drug Administration response to the notice. This notice solicits comments on information reports (§ 316.30), and (3) assurances of [Docket No. FDA–2017–N–6397] the availability of sufficient quantities of collection provisions for calorie labeling the orphan drug and the holder’s Agency Information Collection of articles of food in vending machines. consent for the approval of other Activities; Proposed Collection; DATES: Submit either electronic or marketing applications for the same Comment Request; Food Labeling; written comments on the collection of drug (§ 316.36). Calorie Labeling of Articles of Food in information by February 12, 2018. Vending Machines Dated: December 6, 2017. ADDRESSES: You may submit comments Leslie Kux, AGENCY: Food and Drug Administration, as follows. Please note that late, Associate Commissioner for Policy. HHS. untimely filed comments will not be [FR Doc. 2017–26669 Filed 12–11–17; 8:45 am] ACTION: Notice. considered. Electronic comments must be submitted on or before February 12, BILLING CODE 4164–01–P SUMMARY: The Food and Drug 2018. The https://www.regulations.gov Administration (FDA or Agency) is electronic filing system will accept announcing an opportunity for public comments until midnight Eastern Time comment on the proposed collection of at the end of February 12, 2018. certain information by the Agency. Comments received by mail/hand Under the Paperwork Reduction Act of delivery/courier (for written/paper 1995 (PRA), Federal Agencies are submissions) will be considered timely required to publish notice in the if they are postmarked or the delivery Federal Register concerning each service acceptance receipt is on or proposed collection of information, before that date.
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Electronic Submissions submission. You should submit two before submitting the collection to OMB Submit electronic comments in the copies total. One copy will include the for approval. To comply with this following way: information you claim to be confidential requirement, FDA is publishing notice • Federal eRulemaking Portal: with a heading or cover note that states of the proposed collection of https://www.regulations.gov. Follow the ‘‘THIS DOCUMENT CONTAINS information set forth in this document. instructions for submitting comments. CONFIDENTIAL INFORMATION.’’ The With respect to the following Comments submitted electronically, Agency will review this copy, including collection of information, FDA invites including attachments, to https:// the claimed confidential information, in comments on these topics: (1) Whether www.regulations.gov will be posted to its consideration of comments. The the proposed collection of information second copy, which will have the the docket unchanged. Because your is necessary for the proper performance claimed confidential information comment will be made public, you are of FDA’s functions, including whether redacted/blacked out, will be available solely responsible for ensuring that your the information will have practical for public viewing and posted on comment does not include any utility; (2) the accuracy of FDA’s https://www.regulations.gov. Submit confidential information that you or a estimate of the burden of the proposed both copies to the Dockets Management third party may not wish to be posted, collection of information, including the Staff. If you do not wish your name and such as medical information, your or validity of the methodology and contact information to be made publicly anyone else’s Social Security number, or assumptions used; (3) ways to enhance available, you can provide this confidential business information, such the quality, utility, and clarity of the information on the cover sheet and not as a manufacturing process. Please note information to be collected; and (4) in the body of your comments and you that if you include your name, contact ways to minimize the burden of the must identify this information as information, or other information that collection of information on ‘‘confidential.’’ Any information marked identifies you in the body of your respondents, including through the use as ‘‘confidential’’ will not be disclosed comments, that information will be of automated collection techniques, except in accordance with 21 CFR 10.20 posted on https://www.regulations.gov. when appropriate, and other forms of and other applicable disclosure law. For • If you want to submit a comment information technology. more information about FDA’s posting with confidential information that you of comments to public dockets, see 80 Food Labeling; Calorie Labeling of do not wish to be made available to the FR 56469, September 18, 2015, or access Articles of Food in Vending Machines public, submit the comment as a the information at: https://www.gpo.gov/ written/paper submission and in the fdsys/pkg/FR-2015-09-18/pdf/2015- OMB Control Number 0910–0782— manner detailed (see ‘‘Written/Paper 23389.pdf. Extension Submissions’’ and ‘‘Instructions’’). Docket: For access to the docket to This information collection supports Written/Paper Submissions read background documents or the FDA regulations under § 101.8 (21 CFR electronic and written/paper comments Submit written/paper submissions as 101.8) and Form FDA 3757. Under received, go to https:// follows: § 101.8(d) vending machine operators www.regulations.gov and insert the • Mail/Hand delivery/Courier (for not subject to the requirements of docket number, found in brackets in the written/paper submissions): Dockets section 403(q)(5)(H)(viii) (21 U.S.C. heading of this document, into the Management Staff (HFA–305), Food and 343(q)(5)(H)(viii)) of the Federal Food, ‘‘Search’’ box and follow the prompts Drug Administration, 5630 Fishers Drug, and Cosmetic Act (FD&C Act) and/or go to the Dockets Management Lane, Rm. 1061, Rockville, MD 20852. may, through an authorized official, Staff, 5630 Fishers Lane, Rm. 1061, • For written/paper comments voluntarily register with FDA to be Rockville, MD 20852. submitted to the Dockets Management subject to those requirements. Those Staff, FDA will post your comment, as FOR FURTHER INFORMATION CONTACT: who do voluntarily register must well as any attachments, except for Domini Bean, Office of Operations, provide FDA with contact information, information submitted, marked and Food and Drug Administration, Three the address of the location of each identified, as confidential, if submitted White Flint North, 10A–12M, 11601 vending machine owned or operated by as detailed in ‘‘Instructions.’’ Landsdown St., North Bethesda, MD the vending machine operator that is Instructions: All submissions received 20852, 301–796–5733, PRAStaff@ being registered, the preferred mailing must include the Docket No. FDA– fda.hhs.gov. address (if different from the vending 2017–N–6397 for ‘‘Agency Information SUPPLEMENTARY INFORMATION: Under the machine operator address) for purposes Collection Activities; Proposed PRA (44 U.S.C. 3501–3520), Federal of receiving correspondence, and Collection; Comment Request; Food Agencies must obtain approval from the certification that the information Labeling; Calorie Labeling of Articles of Office of Management and Budget submitted is true and accurate, that the Food in Vending Machines.’’ Received (OMB) for each collection of person or firm submitting the comments, those filed in a timely information they conduct or sponsor. information is authorized to do so, and manner (see ADDRESSES), will be placed ‘‘Collection of information’’ is defined that each registered vending machine in the docket and, except for those in 44 U.S.C. 3502(3) and 5 CFR will be subject to the requirements of submitted as ‘‘Confidential 1320.3(c) and includes Agency requests § 101.8(c)(2). We have developed Form Submissions,’’ publicly viewable at or requirements that members of the FDA 3757 entitled, ‘‘DHHS/FDA Menu https://www.regulations.gov or at the public submit reports, keep records, or and Vending Machine Labeling Dockets Management Staff between 9 provide information to a third party. Voluntary Registration,’’ to assist a.m. and 4 p.m., Monday through Section 3506(c)(2)(A) of the PRA (44 respondents in this regard. To keep the Friday. U.S.C. 3506(c)(2)(A)) requires Federal establishment’s registration active, the • Confidential Submissions—To Agencies to provide a 60-day notice in authorized official of the vending submit a comment with confidential the Federal Register concerning each machine operator must register every information that you do not wish to be proposed collection of information, other year within 60 days prior to the made publicly available, submit your including each proposed extension of an expiration of the vending machine comments only as a written/paper existing collection of information, operator’s current registration with
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FDA. Registration will automatically calorie declarations for articles of food point of purchase as provided in expire if not renewed. sold from a vending machine that § 101.8(b)(2). It should be noted that an article of permits the prospective purchaser to FDA estimates the burden of the food sold from a vending machine examine the Nutrition Facts label before collection of information as follows: whose operator has voluntarily purchasing the article as provided in registered with FDA under the § 101.8(b)(1), or otherwise provides Reporting Burden regulations is not required to provide visible nutrition information at the
TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1
Number of Average burden 21 CFR part 101.8/activity Number of responses per Total annual per response Total hours respondents respondent responses (in hours)
§ 101.8(d); initial registration (Form FDA 3757) ...... 13 1 13 2 ...... 26 § 101.8(d); registration renewal (Form FDA 3757) .. 19 1 19 0.5 (30 minutes) ...... 9.5
Total ...... 35.5 ...... 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
As reflected in table 1, we retain the subject to the final requirements, or 38 registration would impose a burden of currently approved reporting burden operators. We estimate a burden of 19 hours (38 operators × 0.5 hours) estimate for the information collection. approximately 2 hours per initial every 2 years, or 9.5 hours every year At this time, we lack comprehensive registration, which yields a total burden (19 operators every year × 0.5 hours). data on the number of vending machine of 76 hours (38 total operators × 2 hours Recordkeeping Requirements operators with fewer than 20 machines per response). Annualizing this number that might voluntarily register to comply over 3 years yields a rounded 13 We have omitted providing a burden with the regulations and, as indicated in respondents per year (5 percent × 757 estimate associated with generating, our final rule of December 1, 2014 (79 operators/3 years). With an annualized providing, or maintaining records FR 71259) establishing the information estimate of 13 vending machine associated with calorie analysis and collection, no vending machine operators and one registration per recording because the regulations do not operators have voluntarily registered vending machine operator at 2 hours per require vending machine operators to with FDA. Therefore, while we expect registration, we estimate the initial maintain such records. However, we relatively few submissions, we have hourly burden for these operators is 26 have considered the ‘‘time, effort, or provided a conservative estimate of the hours. financial resources’’ expended by covered vending machine operators to burden respondents may encounter. We expect that renewal registrations declare calories for covered vending We estimate there are approximately after the first year will require machine food and have included the 757 vending machine operators with substantially less time because operators burden in table 2 as part of the third- fewer than 20 machines; this number is are expected to be able to affirm or party disclosure burden. We are based on the mean estimate of the low update the existing information in an particularly interested in hearing from and high counts of firms with less than online account in a way similar to other respondents to the information $50,000 in annual revenue. We estimate FDA firm registration systems. collection regarding calorie declaration that 5 percent of vending machine Therefore, we estimate that re- signage. operators with fewer than 20 machines registration will take 0.5 hours for each may voluntarily register to become registrant. This indicates that biennial Third-Party Disclosure Requirements
TABLE 2—ESTIMATED ANNUAL THIRD-PARTY DISCLOSURE BURDEN 1
Number of Number of disclosures Total annual Average burden 21 CFR Part 101 respondents per disclosures per disclosure Total hours respondent (in hours)
§ 101.8(c)(2)(i); calorie analysis ...... 282 11 3,102 1 ...... 3,102 § 101.8(c)(2)(ii); calorie declaration signage ...... 3,279 2,122 6,958,346 0.21 (12.5 minutes) ... 1,494,403 § 101.8(e)(1); vending operator contact information 3,279 125 409,875 .025 (1.5 minutes) ..... 10,248
Total ...... 1,507,753 1 There are no capital costs or operating and maintenance costs associated with the information collection.
As reflected in table 2, we have necessary for vending machine calorie content for covered vending retained the currently approved third- operators to determine the calorie machine food. Most foods sold from party burden estimate for the content of covered vending machine vending machines provide the nutrition information collection. food for the required calorie labeling required by section 403(q) of Under the regulations, we calculate declarations as described in the FD&C Act and 21 CFR 101.9, three types of third party disclosure § 101.8(c)(2)(i). We refer to this as a including calorie content information, burden. The first burden estimate ‘‘calorie analysis.’’ A calorie analysis which means that calorie content for reflects the time and effort we believe entails the burden of determining many covered vending machine foods is
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already available on the Nutrition Facts operators that voluntarily register to expend a total 1,494,403 hours to fulfill labels for such foods. In that case, become subject to the Federal the requirements under § 101.8(c)(2)(ii) vending machine operators will not requirements must disclose calorie regarding signage for calorie need to determine the calorie content of information by providing calorie declarations. This is reflected in table 2 such foods because they can simply declaration signs in, on, or adjacent to row 2. We note that while we previously declare the calorie information they find their vending machines to a third party provided burden estimates for on the Nutrition Facts label. who will most often be the prospective individual disclosure activities found Nevertheless, some operators may need purchaser or consumer. under § 101.8(c)(2)(ii) in our final rule of to determine calorie information for We estimate there is an average of December 1, 2014 (79 FR 71259 at those vending machine foods that may 9,838 (9,800 covered non-bulk + 38 71286), we have consolidated them here not bear Nutrition Facts labels or voluntary) vending machine operators into one entry. Because this is the first otherwise provide visible nutrition subject to the regulations (9,838/3 = extension request for this information information at the point of purchase in 3,279 annualized). Our estimate for the collection and we have limited available average number of non-bulk vending accordance with section data, we are specifically interested in machines that will require declaration 403(q)(5)(H)(viii)(I)(aa) of the FD&C Act respondents’ experience with the third- signage is based upon data relied upon and § 101.8(b). An operator may obtain party burden associated with the the necessary calorie information from in our final rule (see references 1, 6 to requirements under § 101.8(c)(2)(ii). nutrient databases, cookbooks, or 8 under Docket No. FDA–2011–F–0171). laboratory analyses. Calorie analysis We estimate there is an average of 5.61 Finally, we have provided a burden will most likely only be needed for million non-bulk vending machines. estimate associated with § 101.8(e)(1) vended food items such as refrigerated, Digital signage is an emerging requiring a vending machine operator frozen, can/bowl, or other shelf-stable technology, and according to available subject to section 403(q)(5)(H)(viii) of main meal items, hot cup beverages, and sources, approximately 0.1 percent of all the FD&C Act or a vending machine cold cup beverages. vending machines in operation operator that voluntarily registers to We estimate the mean number of currently have electronic video displays provide contact information. We assume vending machine operators that need capable of providing calorie that venders that do not already have a calorie analysis to be 847. Annualizing information, or approximately 4,014 to sign or label with their contact this estimate over 3 years yields 282 5,670 vending machines. Subtracting information will add their contact operators. We also estimate the range of the number of vending machines with information into the initial sign design. products available in a typical machine the electronic video from the total We estimate the time it takes to include for each of the three most commonly machine count yields an average of 5.61 contact information is 1.5 minutes sold product categories that are likely to million vending machines that will (0.025 hours) for each sign. We estimate require a calorie analysis, or 3 percent need signage. We expect the number of the total initial burden for including of food items, 5 percent of hot vending machines that will require contact information on the predesigned beverages, and 1 percent of cold cup signage to decline over time as templates to be 30,744 hours (9,838 beverages. We estimate that food manufacturers continue to add the operators × 125 sign formats × 0.025 machines typically offer between 10 and required calorie information to the hours per sign). Annualized over 3 25 different items, and both hot principal display panel of the package years, this burden becomes 10,248 hours beverage and cold cup beverage as part of ‘‘front of package labeling,’’ (9,838 operators/3 years × 125 signs × machines typically offer between 5 and and because we anticipate greater use of 0.025 hours per sign). (Some States have 10 items. From this, we estimate each electronic video displays on vending licensing requirements for vending vending machine operator will require a machines. In addition, to the extent that machine operators, and some of these calorie analysis for 11 items, on average. covered vending machines sell foods licensing requirements already require These estimates are based upon that permit prospective purchasers to the vending machine operator’s license conversations with vending machine examine the Nutrition Facts label before or contact information to be displayed operators and our survey of various purchase or otherwise provide visible on the vending machine.) If the contact vending machine models that vend nutrition information at the point of these types of food and beverage, as purchase in accordance with section information displayed on a vending discussed in our final rule. Based on 403(q)(5)(H)(viii)(I)(aa) of the FD&C Act machine due to State or local available data, we estimate the time and § 101.8(b), this analysis may requirements includes some but not all needed to determine the calorie content overestimate the burden estimate for of the contact information required of each covered vending machine food calorie declaration signs. under § 101.8(e)(1), the vending to be approximately 1 hour. Our Vending machine operators can create machine operator is required to display estimate for the burden hours required one sign that contains all of the the remaining contact information for new calorie analysis is then 9,317 information for the products offered in required under § 101.8(e)(1) in a manner hours (847 operators × 11 products the vending machine, and do not have specified under § 101.8(e)(1). We do not needing analysis × 1 hour per analysis). to create individual signs for each item. have an estimate of the number of Annualizing this value over 3 years The number of templates a given firm machines already in compliance; to the yields 3,102 hours (847 operators/3 would need to design to produce signs extent that some operators are already in years × 11 products needing analysis × that comply with the regulations may compliance, we overestimate the 4 hours per analysis). (847 operators/3 vary based upon the number of different associated burden for third-party years = 282 operators per year.) This is types of products the firm purveys. In disclosure.) This is reflected in table 2, reflected in table 2, row 1. our estimate, we have considered the row 3. The second burden estimate reflects time it takes for template design, sign Dated: December 5, 2017. burden associated with calorie creation, sign installation, updates, declaration signage as described in replacement, and bulk machine signage. Leslie Kux, § 101.8(c)(2)(ii). Covered vending Cumulatively we estimate that those Associate Commissioner for Policy. machine operators with 20 or more 3,279 (annualized) vending machine [FR Doc. 2017–26672 Filed 12–11–17; 8:45 am] vending machines and vending machine operators subject to the regulations will BILLING CODE 4164–01–P
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DEPARTMENT OF HEALTH AND written/paper submission and in the Docket: For access to the docket to HUMAN SERVICES manner detailed (see ‘‘Written/Paper read background documents or the Submissions’’ and ‘‘Instructions’’). electronic and written/paper comments Food and Drug Administration received, go to https:// Written/Paper Submissions [Docket No. FDA–2012–N–1021] www.regulations.gov and insert the Submit written/paper submissions as docket number, found in brackets in the Notice to Public of Website Location of follows: heading of this document, into the Center for Devices and Radiological • Mail/Hand delivery/Courier (for ‘‘Search’’ box and follow the prompts Health Fiscal Year 2018 Proposed written/paper submissions): Dockets and/or go to the Dockets Management Guidance Development Management Staff (HFA–305), Food and Staff, 5630 Fishers Lane, Rm. 1061, Drug Administration, 5630 Fishers Rockville, MD 20852. AGENCY: Food and Drug Administration, Lane, Rm. 1061, Rockville, MD 20852. HHS. FOR FURTHER INFORMATION CONTACT: • For written/paper comments Erica Takai, Center for Devices and ACTION: Notice. submitted to the Dockets Management Radiological Health, Food and Drug SUMMARY: The Food and Drug Staff, FDA will post your comment, as Administration, 10903 New Hampshire Administration (FDA or the Agency) is well as any attachments, except for Ave., Bldg. 66, Rm. 5456, Silver Spring, announcing the website location where information submitted, marked and MD 20993–0002, 301–796–6353. the Agency will post two lists of identified, as confidential, if submitted SUPPLEMENTARY INFORMATION: guidance documents that CDRH (or the as detailed in ‘‘Instructions.’’ I. Background Center) intends to publish in fiscal year Instructions: All submissions received (FY) 2018. In addition, FDA has must include the Docket No. FDA– During negotiations on the Medical established a docket where interested 2012–N–1021 for ‘‘Notice to Public of Device User Fee Amendments of 2012 persons may comment on the priority of Website Location of CDRH Fiscal Year (MDUFA III), Title II, Food and Drug topics for guidance, provide comments 2018 Proposed Guidance Development.’’ Administration Safety and Innovation and/or propose draft language for those Received comments will be placed in Act (Pub. L. 112–114), FDA agreed to topics, suggest topics for new or the docket and, except for those meet a variety of quantitative and different guidance documents, comment submitted as ‘‘Confidential qualitative goals intended to help get on the applicability of guidance Submissions,’’ publicly viewable at safe and effective medical devices to documents that have issued previously, https://www.regulations.gov or at the market more quickly. Among these and provide any other comments that Dockets Management Staff between 9 commitments included: could benefit the CDRH guidance a.m. and 4 p.m., Monday through • Annually posting a list of priority program and its engagement with Friday. medical device guidance documents stakeholders. This feedback is critical to • Confidential Submissions—To that the Agency intends to publish the CDRH guidance program to ensure submit a comment with confidential within 12 months of the date this list is that we meet stakeholder needs. information that you do not wish to be published each fiscal year (the ‘‘A-list’’), DATES: Submit either electronic or made publicly available, submit your and written comments by February 12, 2018. comments only as a written/paper • Annually posting a list of device ADDRESSES: You may submit comments submission. You should submit two guidance documents that the Agency as follows: copies total. One copy will include the intends to publish, as the Agency’s information you claim to be confidential guidance-development resources permit Electronic Submissions with a heading or cover note that states each fiscal year (the ‘‘B-list’’). Submit electronic comments in the ‘‘THIS DOCUMENT CONTAINS The Medical Device User Fee following way: CONFIDENTIAL INFORMATION.’’ The Amendments of 2017 (MDUFA IV), FDA • Federal eRulemaking Portal: Agency will review this copy, including Reauthorization Act of 2017 (Pub. L. https://www.regulations.gov. Follow the the claimed confidential information, in 115–52) maintained these commitments. instructions for submitting comments. its consideration of comments. The FDA welcomes comments on any or Comments submitted electronically, second copy, which will have the all of the guidance documents on the including attachments, to https:// claimed confidential information lists as explained in 21 CFR 10.115(f)(5). www.regulations.gov will be posted to redacted/blacked out, will be available FDA has established Docket No. FDA– the docket unchanged. Because your for public viewing and posted on 2012–N–1021 where comments on the comment will be made public, you are https://www.regulations.gov. Submit FY 2018 lists, draft language for solely responsible for ensuring that your both copies to the Dockets Management guidance documents on those topics, comment does not include any Staff. If you do not wish your name and suggestions for new or different confidential information that you or a contact information to be made publicly guidances, and relative priority of third party may not wish to be posted, available, you can provide this guidance documents may be submitted such as medical information, your or information on the cover sheet and not and shared with the public (see anyone else’s Social Security number, or in the body of your comments and you ADDRESSES). FDA believes this docket is confidential business information, such must identify this information as a valuable tool for receiving information as a manufacturing process. Please note ‘‘confidential.’’ Any information marked from interested persons and will update that if you include your name, contact as ‘‘confidential’’ will not be disclosed these lists after considering public information, or other information that except in accordance with 21 CFR 10.20 comments, where appropriate. FDA identifies you in the body of your and other applicable disclosure law. For anticipates that feedback from interested comments, that information will be more information about FDA’s posting persons will allow CDRH to better posted on https://www.regulations.gov. of comments to public dockets, see 80 prioritize and more efficiently draft • If you want to submit a comment FR 56469, September 18, 2015, or access guidances to meet the needs of the with confidential information that you the information at: https://www.gpo.gov/ Agency and our stakeholders. do not wish to be made available to the fdsys/pkg/FR-2015-09-18/pdf/2015- In addition to posting the lists of public, submit the comment as a 23389.pdf. prioritized device guidance documents,
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FDA has committed to updating its incorporating stakeholder input, CDRH updating guidance documents and will website in a timely manner to reflect the issued a draft guidance in FY17 on revise these as resources permit. Agency’s review of previously utilizing animal studies to evaluate the In FY 2017, CDRH received comments published guidance documents, safety of organ preservation devices, and regarding guidances issued in 2007, including the deletion of guidance is progressing toward issuance of draft 1997, and 1987, and has withdrawn 32 documents that no longer represent the policies reflecting early stakeholder guidance documents in response to Agency’s interpretation of or policy on input as appropriate. comments received and because these a regulatory issue. FDA also welcomes any additional guidance documents were determined Fulfillment of these commitments feedback for improving the guidance to no longer represent the Agency’s will be reflected through the issuance of program and the quality of CDRH current thinking. The revision of several updated guidance on existing topics, guidance documents. guidance documents is also being removal of guidances that no longer considered as resources permit. reflect FDA’s current thinking on a C. Applicability of Previously Issued Consistent with the Good Guidance particular topic, and annual updates to Final Guidance the A-list and B-list announced in this Practices regulation at 21 CFR notice. CDRH has issued over 600 final 10.115(f)(4), CDRH would appreciate guidance documents to provide suggestions that CDRH revise or II. CDRH Guidance Development stakeholders with the Agency’s thinking withdraw an already existing guidance Initiatives on numerous topics. Each guidance document. We request that the A. Finalization of Draft Guidance reflected the Agency’s current position suggestion clearly explain why the Documents at the time that it was issued. However, guidance document should be revised or withdrawn and, if applicable, how it CDRH has identified as a priority, and the guidance program has issued these guidances over a period of 30 years, should be revised. While we are has devoted resources to, finalization of requesting feedback on the list of draft guidance documents. To assure the raising the question of how current previously issued final guidances previously issued final guidances timely completion or re-issuance of located in the annual agenda website, draft guidances, in FY 2015 CDRH remain. CDRH has resolved to address this concern through a staged review of feedback on any guidance is appreciated committed to performance goals for and will be considered. current and future draft guidance previously issued final guidances in documents. For draft guidance collaboration with stakeholders. At the III. Website Location of Guidance Lists documents issued after October 1, 2014, website where CDRH has posted the ‘‘A- This notice announces the website CDRH committed to finalize, withdraw, list’’ and ‘‘B-list’’ for FY 2018, CDRH location of the document that provides re-open the comment period, or issue has also posted a list of final guidance the A and B lists of guidance new draft guidance on the topic for 80 documents that issued in 2008, 1998, 1 documents, which CDRH is intending to percent of the documents within 3 years 1988, and 1978. CDRH is interested in publish during FY 2018. To access these of the close of the comment period and external feedback on whether any of two lists, visit FDA’s website at https:// for the remaining 20 percent, within 5 these final guidances should be revised www.fda.gov/MedicalDevices/ years. As part of MDUFA IV or withdrawn. In addition, for guidances DeviceRegulationandGuidance/ commitments, FDA reaffirmed this that are recommended for revision, GuidanceDocuments/ucm580172.htm. commitment, as resources permit. In information explaining the need for We note that the topics on this and past addition, in FY 2017, CDRH withdrew revision, such as the impact and risk to guidance priority lists may be removed 4 of 8 draft guidances issued prior to public health associated with not or modified based on current priorities, October 1, 2011, and has been revising the guidance, would also be as well as comments received regarding continuing to work towards taking an helpful as the Center considers potential these lists. Furthermore, FDA and CDRH action on the remaining draft guidances. action with respect to these guidances. priorities are subject to change at any Looking forward, in FY 2018, CDRH CDRH intends to provide these lists of time (e.g., newly identified safety will strive to finalize, withdraw, or re- previously issued final guidances issues). The Agency is not required to open the comment period for 50 percent annually through FY 2025 so that by publish every guidance on either list if of existing draft guidances issued prior 2025, FDA and stakeholders will have the resources needed would be to the to October 1, 2012. assessed the applicability of all guidances older than 10 years. For detriment of meeting quantitative B. Earlier Stakeholder Involvement in instance, in the annual notice for FY review timelines and statutory Guidance Development 2019, CDRH expects to provide a list of obligations. In addition, the Agency is CDRH has received feedback that the final guidance documents that not precluded from issuing guidance stakeholders desire earlier involvement issued in 2009, 1999, 1989, and 1979; documents that are not on either list. in the guidance process and has taken the annual notice for FY 2020 is Stakeholder feedback on guidance steps to create a mechanism to address expected to provide a list of the final priorities is important to ensure that the this request. In FY 2016, in anticipation guidance documents that issued in CDRH guidance program meets the of guidance documents expected to be 2010, 2000, 1990, and 1980, and so on. needs of stakeholders. The feedback developed, CDRH sought stakeholder CDRH will consider the comments received on the FY 2017 list was mostly input regarding electromagnetic received from this retrospective review in agreement, and CDRH continued to compatibility of electrically powered when determining priorities for work toward issuing the guidances on medical devices and regarding utilizing this list. In FY 2017, CDRH issued 9 of animal studies to evaluate the safety of 1 The retrospective list of final guidances does not 27 guidances on the FY 2017 list (6 from organ preservation devices and include the following: (1) Documents that are not the A-list, 3 from the B-list). At this solutions. FDA appreciated the feedback guidances but were inadvertently categorized as time, CDRH has decided not to pursue guidance such as scientific publications, advisory several guidances that were on the FY received and considered it in the opinions, and interagency agreements; (2) development of these guidances. guidances actively being revised by CDRH; and (3) 2017 A or B list, due to factors including Demonstrating commitment to special controls documents. feedback from industry.
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Dated: December 7, 2017. Secretary, Department of Health and Advisory Council, in consultation with Leslie Kux, Human Services. the Secretaries of Defense and Associate Commissioner for Policy. ACTION: Notice. Agriculture. Activities of the Advisory [FR Doc. 2017–26721 Filed 12–11–17; 8:45 am] Council are governed by the provisions SUMMARY: As stipulated by the Federal BILLING CODE 4164–01–P of Public Law 92–463, as amended (5 Advisory Committee Act, the U.S.C. App.), which sets forth standards Department of Health and Human for the formation and use of federal DEPARTMENT OF HEALTH AND Services (HHS) is hereby giving notice advisory committees. HUMAN SERVICES that a meeting is scheduled to be held The Advisory Council will provide on January 24, 2018, of the Presidential advice, information, and Meeting of the Chronic Fatigue Advisory Council on Combating recommendations to the Secretary of Syndrome Advisory Committee; Antibiotic-Resistant Bacteria (Advisory HHS regarding programs and policies Amendment Council). The meeting will be open to intended to support and evaluate the the public; a public comment session implementation of Executive Order AGENCY: Office of the Assistant will be held during the meeting. Pre- 13676, including the National Strategy Secretary for Health, Office of the registration is required for members of for Combating Antibiotic-Resistant Secretary, Department of Health and the public who wish to attend the Bacteria and the National Action Plan Human Services. meeting and who wish to participate in for Combating Antibiotic-Resistant ACTION: Notice; amendment. the public comment session. Individuals Bacteria. The Advisory Council shall who wish to attend the meeting and/or function solely for advisory purposes. SUMMARY: A notice was published in the send in their public comment via email In carrying out its mission, the Federal Register on November 27, 2017, should send an email to [email protected]. Advisory Council will provide advice, announcing an in-person meeting of the Registration information is available on information, and recommendations to Chronic Fatigue Syndrome Advisory the website http://www.hhs.gov/ash/ the Secretary regarding programs and Committee (CFSAC) on Wednesday, carb/ and must be completed by January policies intended to preserve the December 13, 2017, from 9:00 a.m. until 15, 2018; all in-person attendees must effectiveness of antibiotics by 3:30 p.m. and Thursday, December 14, pre-register by this date. Additional optimizing their use; advance research 2017, from 9:00 a.m. until 5:00 p.m. The information about registering for the to develop improved methods for meeting will be held at the U.S. meeting and providing public comment combating antibiotic resistance and Department of Health and Human can be obtained at http://www.hhs.gov/ conducting antibiotic stewardship; Services, Hubert H. Humphrey Building, ash/carb/ on the Meetings page. strengthen surveillance of antibiotic- Room 800, 200 Independence Avenue DATES: resistant bacterial infections; prevent SW, Washington, DC 20201. The notice The meeting is scheduled to be held on January 24, 2018, from 9:00 a.m. the transmission of antibiotic-resistant is being amended to provide security bacterial infections; advance the procedures to enter the Hubert H. to 5:00 p.m. ET (times are tentative and subject to change). The confirmed times development of rapid point-of-care and Humphrey Building. Individuals agricultural diagnostics; further research interested in attending the meeting in and agenda items for the meeting will be posted on the website for the Advisory on new treatments for bacterial person need to show a state or federal infections; develop alternatives to government issued I.D. with a Council at http://www.hhs.gov/ash/ carb/ when this information becomes antibiotics for agricultural purposes; photograph. Individuals can also email maximize the dissemination of up-to- the CFSAC inbox ([email protected]) in available. Pre-registration for attending the meeting in person is required to be date information on the appropriate and order to have their names added to a list proper use of antibiotics to the general of attendees. However, it is still completed no later than January 15, 2018; public attendance at the meeting public and human and animal necessary for individuals to present a healthcare providers; and improve is limited to the available space. photo I.D. to gain entrance to Hubert H. international coordination of efforts to Humphrey Building. All participants ADDRESSES: U.S. Department of Health combat antibiotic resistance. will be escorted to the meeting room. and Human Services, Hubert H. The public meeting will be dedicated Space is limited. Humphrey Building, Great Hall, 200 to two main activities. The Advisory Independence Avenue SW, Washington, FOR FURTHER INFORMATION CONTACT: CDR Council will deliberate and vote on a DC 20201. letter drafted by the Immediate Action Gustavo Ceinos, 202–690–7650; Email The meeting can also be accessed address: [email protected]. Subcommittee. The remainder of the through a live webcast on the day of the day will be focused on the topic of Dated: December 6, 2017. meeting. For more information, visit antibiotic stewardship in food and Gustavo Ceinos, http://www.hhs.gov/ash/carb/. companion animals. The meeting CDR, USPHS, Designated Federal Officer, FOR FURTHER INFORMATION CONTACT: agenda will be posted on the Advisory Chronic Fatigue Syndrome Advisory Jomana Musmar, Acting Designated Council website at http://www.hhs.gov/ Committee. Federal Officer, Presidential Advisory ash/carb/ when it has been finalized. [FR Doc. 2017–26739 Filed 12–11–17; 8:45 am] Council on Combating Antibiotic- All agenda items are tentative and BILLING CODE 4150–42–P Resistant Bacteria, Office of the subject to change. Assistant Secretary for Health, U.S. Public attendance at the meeting is Department of Health and Human limited to the available space. DEPARTMENT OF HEALTH AND Services, Hubert H. Humphrey Building, Individuals who plan to attend and HUMAN SERVICES 200 Independence Avenue SW, Room need special assistance, such as sign 715H, Washington, DC 20201. Phone: Meeting of the Presidential Advisory language interpretation or other (202) 690–5566; email: [email protected]. Council on Combating Antibiotic- reasonable accommodations, should Resistant Bacteria SUPPLEMENTARY INFORMATION: Under notify the Advisory Council at the Executive Order 13676, dated address/telephone number listed above AGENCY: Office of the Assistant September 18, 2014, authority was given at least one week prior to the meeting. Secretary for Health, Office of the to the Secretary of HHS to establish the For those unable to attend in person, a
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live webcast will be available. More limitations imposed by the review and functions of the agency, including information on registration and funding schedule. whether the information will have accessing the webcast can be found at (Catalogue of Federal Domestic Assistance practical utility; http://www.hhs.gov/ash/carb/. Program Nos. 93.853, Clinical Research (2) Evaluate the accuracy of the Related to Neurological Disorders; 93.854, Members of the public will have the agencies estimate of the burden of the opportunity to provide comments prior Biological Basis Research in the Neurosciences, National Institutes of Health, proposed collection of information, to the Advisory Council meeting by HHS) including the validity of the emailing [email protected]. Public methodology and assumptions used; comments should be sent in by Dated: December 6, 2017. Sylvia L. Neal, (3) Enhance the quality, utility, and midnight January 15, 2018, and should clarity of the information to be Program Analyst, Office of Federal Advisory be limited to no more than one page. All collected; and public comments received prior to Committee Policy. January 15, 2018, will be provided to [FR Doc. 2017–26703 Filed 12–11–17; 8:45 am] (4) Minimize the burden of the collection of information on those who Advisory Council members; comments BILLING CODE 4140–01–P are limited to two minutes per speaker. are to respond, including through the use of appropriate automated, Dated: December 7, 2017. electronic, mechanical, or other Jomana F. Musmar, DEPARTMENT OF HOMELAND SECURITY technological collection techniques or Acting Designated Federal Officer, other forms of information technology, Presidential Advisory Council on Combating U.S. Immigration and Customs e.g., permitting electronic submission of Antibiotic-Resistant Bacteria, Committee responses. Manager. Enforcement [FR Doc. 2017–26738 Filed 12–11–17; 8:45 am] [OMB Control Number 1653–NEW] Overview of This Information BILLING CODE 4150–44–P Collection Agency Information Collection Activities: 287(g) Needs Assessment; (1) Type of Information Collection: New information collection. DEPARTMENT OF HEALTH AND New Collection HUMAN SERVICES (2) Title of the Form/Collection: 287(g) AGENCY: U.S. Immigration and Customs Needs Assessment. Enforcement, Department of Homeland National Institutes of Health (3) Agency form number, if any, and Security. the applicable component of the National Institute of Neurological ACTION: 30-day notice. Department of Homeland Security Disorders and Stroke; Notice of Closed sponsoring the collection: U.S. Meeting The Department of Homeland Security (DHS), U.S. Immigration and Immigration and Customs Enforcement. Pursuant to section 10(d) of the Customs Enforcement (USICE) is (4) Affected public who will be asked Federal Advisory Committee Act, as submitting the following information or required to respond, as well as a brief amended, notice is hereby given of the collection request to the Office of abstract: Primary: State or Local following meeting. Management and Budget (OMB) for governments. This questionnaire is used The meeting will be closed to the review and clearance in accordance for the purposes of allowing ICE to public in accordance with the with the Paperwork Reduction Act of evaluate a state or local law enforcement provisions set forth in sections 1995. The information collection notice agency that has expressed interest in 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., was previously published in the Federal partnering with ICE under Section as amended. The grant applications and Register on September 18, 2017, Vol. 82 287(g) of the Immigration and the discussions could disclose FR 43566, allowing for a 60-day public Nationality Act so that its officers may confidential trade secrets or commercial comment period. USICE did not receive be delegated the authority to perform property such as patentable material, any comment relating to the 60-day the functions of an immigration officer and personal information concerning notice. The purpose of this notice is to under a signed memorandum of individuals associated with the grant allow an additional 30 days for public agreement. The prospective law applications, the disclosure of which comments. enforcement agency provides this would constitute a clearly unwarranted Written comments and/or suggestions information to ICE as part of ICE’s invasion of personal privacy. regarding the items contained in this process to evaluate the agency’s notice, especially regarding the suitability to partner with ICE. Name of Committee: National Institute of Neurological Disorders and Stroke Special estimated public burden and associated (5) An estimate of the total number of Emphasis Panel; R13 Review. response time, must be directed to the respondents and the amount of time Date: December 14, 2017. OMB Desk Officer for U.S. Immigration estimated for an average respondent to Time: 4:00 p.m. to 5:00 p.m. and Customs Enforcement, Department respond: 50 responses at 60 minutes (1 Agenda: To review and evaluate grant of Homeland Security and sent via hour) per response. applications. electronic mail to dhsdeskofficer@ (6) An estimate of the total public Place: National Institutes of Health, omb.eop.gov. All submissions received burden (in hours) associated with the Neuroscience Center, 6001 Executive must include the agency name and the collection: 50 annual burden hours. Boulevard, Rockville, MD 20852, (Telephone OMB Control Number 1653–NEW. Conference Call). Written comments and suggestions Dated: December 6, 2017. Contact Person: Ernest Lyons, Ph.D., Scientific Review Officer, Scientific Review from the public and affected agencies Scott Elmore, Branch, NINDS/NIH/DHHS, Neuroscience concerning the proposed collection of PRA Clearance Officer, Office of the Chief Center, 6001 Executive Blvd., Suite 3204, information should address one or more Information Officer, U.S. Immigration and MSC 9529, Bethesda, MD 20892–9529, 301– of the following four points: Customs Enforcement, Department of 496–4056, [email protected]. (1) Evaluate whether the proposed Homeland Security. This notice is being published less than 15 collection of information is necessary [FR Doc. 2017–26673 Filed 12–11–17; 8:45 am] days prior to the meeting due to timing for the proper performance of the BILLING CODE 9111–28–P
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DEPARTMENT OF HOMELAND of the agency, including whether the not required to identify themselves on SECURITY information will have practical utility; the evaluation form. (2) Evaluate the accuracy of the TSA is revising this information Transportation Security Administration agency’s estimate of the burden; (3) Enhance the quality, utility, and collection to no longer include the Intent To Request Revision From OMB clarity of the information to be collection of the last four digits of the of One Current Public Collection of collected; and SSN from crew members. TSA is also Information: Flight Crew Self-Defense (4) Minimize the burden of the revising this information collection to Training—Registration and Evaluation collection of information on those who include an electronic Injury Waiver are to respond, including using Form. Each crew member will be asked AGENCY: Transportation Security appropriate automated, electronic, to complete an Injury Waiver Form Administration, DHS. mechanical, or other technological during the registration process, or before ACTION: 60-Day notice. collection techniques or other forms of the training is conducted. The Injury information technology. Waiver Form requests the employee’s SUMMARY: The Transportation Security Consistent with the requirements of airline, airline ID number, signature, Administration (TSA) invites public Executive Order (EO) 13771, Reducing and date, and is intended to limit any comment on one currently approved Regulation and Controlling Regulatory liability to TSA or its facilities should Information Collection Request (ICR), Costs, and EO 13777, Enforcing the a crew member become injured during Office of Management and Budget Regulatory Reform Agenda, TSA is also (OMB) control number 1652–0028, the training. Further, TSA is revising the requesting comments on the extent to information collection to update the abstracted below, that we will submit to which this request for information could attendance roster to add a ‘‘training OMB for revision in compliance with be modified to reduce the burden on complete’’ column. Finally, TSA is the Paperwork Reduction Act (PRA). respondents. The ICR describes the nature of the revising the information collection to information collection and its expected Information Collection Requirement replace the evaluation form with an burden. The collection involves OMB Control Number 1652–0028, electronic feedback tab. At the requesting information from flight and Flight Crew Self-Defense Training— completion of the course, participants cabin crew members of air carriers to Registration and Evaluation. TSA is may assess the quality of the training verify employment status to confirm seeking a revision of the ICR, currently off-site, on their own time, by clicking eligibility to participate in voluntary approved under OMB control number on the electronic feedback link, located advanced self-defense training provided 1652–0028, to continue compliance on the registration site, to provide their by TSA. Each crew member will also be with a statutory mandate. Under 49 anonymous and voluntary comments. required to complete an electronic U.S.C. 44918(b), TSA is required to This revision is necessary so that TSA Injury Waiver Form. Additionally, each develop and provide a voluntary may continue to provide the program to participant is asked to complete an advanced self-defense training program eligible participants as well as assess anonymous course evaluation at the for flight and cabin crew members of air training quality. conclusion of the training. carriers providing scheduled passenger The estimated number of annual air transportation. DATES: Send your comments by respondents is 3,400 and estimated February 12, 2018. TSA must collect specific information in order to provide the program to annual burden is 595 hours. TSA plans ADDRESSES: Comments may be emailed eligible participants as well as assess to graduate at least 1,700 crew members to [email protected] or delivered to training quality. This information during each year of the program, an the TSA PRA Officer, Office of includes limited biographical increase of 700 from the 2015 ICR Information Technology (OIT), TSA–11, information from flight and cabin crew submission. TSA estimates, the online Transportation Security Administration, members to confirm their eligibility to registration requires five (5) minutes 601 South 12th Street, Arlington, VA participate in this training. TSA uses the and the injury waiver and class roster 20598–6011. information to confirm the eligibility of sign-in process requires one (1) minute FOR FURTHER INFORMATION CONTACT: the participant by contacting the per crew member. This amounts to Christina A. Walsh at the above address, participant’s employer. 311.67 hours [(3,400 crew members × 5 or by telephone (571) 227–2062. TSA currently collects the following minutes) + (1,700 crew members × 1 SUPPLEMENTARY INFORMATION: information at the time of registration minute)]. Although utilizing the course online: Name of the crew member, Comments Invited Feedback tab is strictly voluntary, TSA airline affiliation, position, crew estimates ten (10) minutes per crew In accordance with the Paperwork member airline identification (ID) member for those who complete the Reduction Act of 1995 (44 U.S.C. 3501 number, crew member contact evaluation. Assuming everyone et seq.), an agency may not conduct or information (home mailing address, last participates, this amounts to a total of sponsor, and a person is not required to four digits of the crew member’s social 283.33 hours (1,700 crew members × 10 respond to a collection of information security number (SSN), home telephone minutes). TSA estimates the total unless it displays a valid OMB control number and/or email address), and the number. The ICR documentation will be city and state of the TSA Office of Law annual hours for this information made available at http:// Enforcement/Federal Air Marshals collection to be 595 hours (311.67 + www.reginfo.gov upon its submission to Service (OLE/FAMS) field office where 283.33). OMB. Therefore, in preparation for the course will be taken. Upon attending Dated: December 6, 2017. OMB review and approval of the class, crew members are asked to show Christina A. Walsh, following information collection, TSA is ID to verify their identity against TSA Paperwork Reduction Act Officer, Office soliciting comments to— registration records and to sign the class of Information Technology. (1) Evaluate whether the proposed attendance roster. TSA also asks [FR Doc. 2017–26702 Filed 12–11–17; 8:45 am] information requirement is necessary for trainees to complete a voluntary TSA the proper performance of the functions training evaluation form. Trainees are BILLING CODE 9110–05–P
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DEPARTMENT OF HOUSING AND strongly encourages commenters to I. Why has HUD developed the FSS URBAN DEVELOPMENT submit comments electronically. performance measurement system? Electronic submission of comments [Docket No. FR–6046–N–01] In pursuit of advancing HUD’s ability allows the commenter maximum time to to evaluate the effectiveness of the FSS Family Self-Sufficiency Performance prepare and submit a comment, ensures program, per statutory mandate (Section Measurement System (‘‘Composite timely receipt by HUD, and enables 23(i)(2) of the Housing Act of 1937), Score’’) HUD to make them immediately HUD has developed a new FSS available to the public. Comments performance measurement system to AGENCY: Office of Public and Indian submitted electronically through the provide HUD, Congress, and public Housing, HUD. http://www.regulations.gov website can housing agencies (PHAs) with ACTION: Notice of Proposed New be viewed by other commenters and information on the performance of Performance Measurement System interested members of the public. individual FSS programs. The (‘‘Composite Score’’) for the Family Self- Commenters should follow instructions information will help PHAs determine Sufficiency Program. provided on that site to submit the extent to which PHAs are comments electronically. SUMMARY: This Notice describes and administering effective and impactful requests comment on a performance Note: To receive consideration as public FSS programs that help participants to comments, comments must be submitted successfully graduate from the program measurement system that HUD plans to through one of the two methods specified implement for Public Housing Agencies and make progress toward economic above. Again, all submissions must refer to security. The information will also help (PHAs) that receive HUD Family Self- the docket number and title of the notice. Sufficiency (FSS) program coordinator HUD understand the extent to which No Facsimile Comments. Facsimile individual FSS program performance, grants. The Notice also requests (FAX) comments are not acceptable. comment on whether and, if so, how to and the performance of all FSS Public Inspection of Public programs receiving HUD FSS develop a performance measurement Comments. All properly submitted system for FSS programs that do not coordinator funding as a group, comments and communications improves or declines over time. receive HUD FSS coordinator funding. regarding this notice submitted to HUD The desired effect of this notice is to HUD plans to use the performance will be available for public inspection measures to identify high performing notify and solicit comments from public and copying between 8 a.m. and 5 p.m. housing agencies regarding new and troubled FSS programs. In the weekdays at the above address. Due to future, HUD will likely consider the FSS proposed criteria for evaluating FSS security measures at the HUD programs. performance score of an FSS program in Headquarters building, an advance determining FSS funding awards. HUD DATES: Comment Due Date: January 26, appointment to review the public may also use the rating system to 2018. comments must be scheduled by calling identify PHAs that could benefit from ADDRESSES: HUD invites interested the Regulations Division at 202–708– technical assistance to improve their persons to submit comments regarding 3055 (this is not a toll-free number). programs. At this time, HUD does not the proposed FSS Performance Individuals with speech or hearing envision using this performance Measurement System to the Regulations impairments may access this number measurement system for tribes/TDHEs, Division, Office of General Counsel, through TTY by calling the Federal who do not report into Public and Department of Housing and Urban Relay Service at 800–877–8339. Copies Indian Housing Information Center Development, 451 Seventh Street SW, of all comments submitted are available (PIC), or for PHAs with a Moving to Room 10276, Washington, DC 20410– for inspection and downloading at Work (MTW) designation, as they report 0001. Communications must refer to the http://www.regulations.gov. differently into PIC, using Form HUD– above docket number and title and FOR FURTHER INFORMATION CONTACT: 50058–MTW. However, HUD is should contain the information Questions on this notice may be presently exploring a change to the specified in the ‘‘Request for addressed to [email protected] or by reporting processes for MTW agencies Comments’’ section. There are two contacting Anice Chenault at 502–618– in order to include them in the FSS methods for submitting public 8163 (email strongly preferred) performance scoring process. comments. Electronic Data Availability. This 1. Submission of Comments by Mail. Federal Register notice and a II. What measures will HUD use to Comments may be submitted by mail to spreadsheet containing scores using the evaluate the performance of FSS the Regulations Division, Office of proposed methodology for FSS programs receiving FSS funding? General Counsel, Department of programs funded in any of the last three HUD developed the approach Housing and Urban Development, 451 years will be available electronically described in this Notice based in part on 7th Street SW, Room 10276, from the HUD FSS Web page https:// feedback received on an earlier Washington, DC 20410–0500. Due to www.hud.gov/program_offices/public_ performance measurement approach security measures at all federal agencies, indian_housing/programs/hcv/fss. proposed in the FY 2014 FSS Notice of however, submission of comments by Federal Register notices also are Funding Availability (NOFA). In the FY mail often results in delayed delivery. available electronically at https:// 2014 NOFA, HUD proposed evaluating To ensure timely receipt of comments, www.federalregister.gov/, the U.S. FSS programs based on the share of FSS HUD recommends that comments Government Printing Office website. participants that experience an increase submitted by mail be submitted at least SUPPLEMENTARY INFORMATION: This in earned income (also known as two weeks in advance of the public Notice sets forth a new performance ‘‘earnings growth’’) over a specified time comment deadline. measurement system for evaluating the period. Among other feedback, 2. Electronic Submission of efficacy of FSS programs, requests commentators expressed concern that Comments. Interested persons may comment on that performance this approach did not adequately submit comments electronically through measurement system, and asks account for differences in local the Federal eRulemaking Portal at additional questions regarding these economic conditions and differences in http://www.regulations.gov. HUD proposed changes. the approach of local FSS programs.
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While some FSS programs encourage households than required, which is a compared to PHAs that serve smaller participants to increase their earnings desired output, provided the PHAs are shares of such households. immediately, others encourage FSS serving those households effectively. Controlling for FSS Program Model participants to build skills and Because the Earnings Performance and Earnings Fluctuations: To calculate credentials first and then seek higher Measure is weighted more heavily than an Earnings Performance Measure for a paying jobs. The new FSS performance the Participation Rate, however, PHAs PHA, HUD first measures the growth in measurement system addresses these should be careful not to execute more annual household earnings of each issues, as well as many others, allowing Contracts of Participation than they can household enrolled in FSS at the PHA for a more nuanced evaluation of the serve effectively, because doing so in two ways and selects the higher of performance of local FSS programs. would likely reduce their scores on the the two measures for each household: Under the planned performance Earnings Performance Measure. 1. Earnings Growth Since Enrollment: measurement system, at least once per Together, the Earnings Performance The difference between (i) annual year, HUD will analyze data collected Measure, Graduation Rate, and earnings upon enrollment in FSS and through the PIC to calculate FSS Participation Rate provide a balanced (ii) the most recent earnings estimate performance scores for each FSS measurement of the performance of an available in PIC for that household from program for which sufficient data are individual FSS program. The three an annual reexamination. available to calculate the score. A PHA’s measures are calculated as follows: 2. Average Annual Earnings While in FSS performance score will be FSS: The difference between (i) earnings A. Earnings Performance Measure upon enrollment in FSS and (ii) the calculated based on three measures, Calculation weighted as follows: household’s average annual earnings The Earnings Performance Measure during the time period between A. Earnings Performance Measure (50 gauges the extent to which the enrollment in FSS and the most recent percent) earnings 1 of FSS participants increase annual reexamination of income B. Graduation Rate (30 percent) available in PIC. C. Participation Rate (20 percent) over time after joining the FSS program. In developing the methodology for this Controlling for FSS Program Model HUD has selected these measures measure, HUD has been sensitive to the and Earnings Fluctuations: HUD selects because they are important indicators of fact that some FSS programs encourage the higher of the two measures for each program performance and are verifiable FSS participants to immediately household in order to accommodate using the data HUD collects through the increase their earnings while others different approaches to implementing PIC data system. No outside or encourage FSS participants to first build FSS while also correcting for variations additional reporting will be required, human capital through education and in year-to-year earnings, which can be ensuring the system does not increase training in order to qualify for higher volatile for low-income households. the reporting burden of PHAs. No new paying jobs. The methodology is also Some PHAs encourage FSS participants Paperwork Reduction Act (PRA) sensitive to the fact that the earnings of to focus immediately on increasing their Information Collection will be required low-income workers are often volatile, earnings, while others encourage FSS for the scoring, as proposed. and that the economic conditions in participants to focus on obtaining As described below, the Earnings which different FSS programs are education and building skills first and Performance Measure represents the operating vary from community to then seek a higher paying job once they difference between the earnings growth community. have stronger credentials. Other of FSS participants and the earnings To accommodate these different agencies use both approaches, tailoring growth of other similar households factors and control for variations among the approach to each individual. within the PHA within a specified time FSS programs, HUD calculates the Measure 1, Earnings Growth Since frame. This approach helps to control Earnings Performance Measure for each Enrollment, accommodates programs for variations in local economic FSS program using the process outlined that encourage participants to focus first conditions. Earnings growth is one of below. HUD applies this process to the on education and training, while both the primary outcomes desired from FSS; population of FSS participants who measures work acceptably for programs the FSS performance score therefore enrolled in the FSS program 3.5 to 7.5 that encourage individuals to increase assigns the Earnings Performance years prior to the end of the most recent their earnings immediately. Measure 2, Measure a high weight. HUD has quarter of data available through PIC to Average Annual Earnings While in FSS, assigned the next highest weight to the calculate the latest FSS performance focuses on the difference between Graduation Rate indicator—which scores. starting and average annual earnings, represents the rate of FSS participants Controlling for Variations in the which ensures that an FSS participant who successfully ‘‘graduate’’ from the Composition of Local FSS Programs: who has made good progress in program—to encourage PHAs to work While households with elderly heads or increasing earnings while in FSS, but closely with individual FSS participants heads who are a person with disabilities who nevertheless has experienced a to increase graduation rates. (To may participate in FSS, such temporary setback of job loss as of the graduate from FSS, a participant must households are not included in the most recent annual reexamination, be employed, be independent of welfare calculation of a PHA’s earnings nevertheless has his or her progress assistance for at least one year, and performance measure. This ensures that recognized. For each household, the achieve the other goals set forth in the PHAs that serve larger shares of such Earnings Performance Measure focuses participant’s contract of participation.) households are not disadvantaged in the on the higher of the two measures, Finally, the FSS performance score performance measurement process as maximizing HUD’s ability to recognize looks at Participation Rate, which households’ progress toward increased reflects the extent to which a PHA 1 For the purposes of the FSS program and these earnings while participating in FSS. exceeds the minimum number of FSS measures, earnings are defined as annual Controlling for Local Economic households that HUD requires the PHA earnings from all wage sources, as recorded on the Conditions: Because economic HUD–50058 form. These include the following form to serve as a condition of receiving an 50058 income codes: B—Own Business, F—Federal conditions vary from one community to FSS grant. PHAs with higher Wages, HA—PHA Wage, M—Military Wage or W— the next, HUD has built in a mechanism Participation Rates are serving more Other Wage. to control for these differences. HUD
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adjusts for local economic conditions by time to have passed for FSS participants fewer than the required number will comparing the average earnings growth to have benefitted from the program. At have a ratio below 1.0. of FSS participants at a PHA to the the same time, the methodology does To calculate the Participation Rate, average earnings growth for not focus only on an older sample of HUD first calculates the minimum nonparticipants with similar FSS participants to ensure that the number of FSS participants that HUD characteristics at the same PHA. The results reflect recent FSS program expects each PHA to serve for each of difference in performance between the performance to the maximum extent the most recent three (3) fiscal years for two groups represents the Earnings practicable. which both funding award and number Performance Measure for that PHA. Technical note: In measuring earnings served data are available. HUD Since the earnings of non-FSS growth, the methodology focuses solely calculates this number based on the participants would be expected to grow on earnings determined through annual guidelines in the NOFA and the number faster at PHAs located in stronger job reexaminations, disregarding the results of coordinators funded in each agency markets than in PHAs located in weaker of any interim reexaminations. The during each year. HUD then sums the job markets, this comparison helps to reason for doing this is that not all PHAs number of FSS participants actually account for differences in local require interim reexaminations of served in each of the three years based economic conditions, which facilitates a income when earnings rise in between on PIC data. Finally, HUD divides the meaningful comparison of earnings annual reexaminations. To ensure an total number of FSS participants served growth across FSS programs. apples-to-apples comparison of earnings in each PHA by the total minimum Specifically, to calculate an Earnings growth across PHAs, HUD focuses only number expected for the PHA’s HUD- Performance Measure for each PHA, on annual reexaminations. An annual funded coordinator positions to HUD: determine the participation rate. If • progress report is required for every FSS Selects three comparison participant regardless of the spacing of funding is only awarded to the PHA in households for each FSS household rental re-examinations, so PHAs one or two of the three years, the based on the extent to which the involved in rent reform demonstrations measure only uses data for the years for comparison households are similar to would be included in this scoring. which funding was awarded. Note that the FSS household on the following this metric, while similar, is different characteristics: Earnings as of the time B. Graduation Rate Calculation from the ‘‘number of participants of the FSS household’s entry into FSS, This measure examines the share of served,’’ which has been used in NOFA competitions and assesses only the most age of head of household, length of time FSS participants at each PHA who have in the voucher or public housing recent period of performance. ‘‘graduated’’ from the FSS program. It is program, number of adults in the Controlling for Annual Variation and calculated based on the graduation rate household and number of children PIC Reporting: HUD also separately of FSS participants who entered each under age 5. calculates the Participation Rate for the • Calculates the earnings growth for PHA’s FSS program 5 to 8 years before most recent year and then grades a all of the comparison households using the end of the most recent quarter of PHA’s Participation Rate based on the the same approach used to calculate the available PIC data. The methodology higher of: (a) The PHA’s three-year earnings growth for FSS households, focuses on these households to allow average and (b) the most recent year. with the FSS household’s enrollment sufficient time for most of the FSS Looking at the higher of the these two date being applied to its comparison participants who will graduate to have values allows HUD to use the most households for purposes of calculating done so. HUD considered focusing on recent available data for PHAs that have the comparison households’ initial an older cohort to capture 100 percent made progress in increasing the number earnings. of the FSS participants who will served while avoiding penalizing PHAs • Calculates the difference between graduate, but HUD determined that it for the results of an atypical year. It also the average earnings growth for all FSS was more advantageous for the period ensures that PHAs that have improved participants and the average earnings analyzed to include more recent the quality of their PIC reporting on FSS growth for all comparison households at performance by the PHA. participation can be judged based on the each PHA. The difference between the Controlling for Turnover Rates: FSS participant counts derived from two represents the PHA’s earnings Turnover rates at PHAs can vary recent PIC reports, rather than from performance measure. significantly for reasons unrelated to reports submitted in earlier years. Given HUD applies this measure to all FSS FSS. To avoid penalizing programs with the new guidance that HUD issued on participants with a head of household higher turnover, HUD excludes non- PIC reporting for FSS on May 16, 2016 who is neither elderly nor a person with graduating FSS participants who exited (PIH Notice 2016–08), HUD expects the disabilities who joined FSS between 3.5 the Housing Choice Voucher (HCV) or quality of FSS reporting to PIC to be and 7.5 years prior to the end of the Public Housing programs before the end improved going forward and reminds quarter of the PIC extract used to of the analysis period from both the PHAs of the importance of ensuring calculate the score. For example, if the numerator and the denominator in accurate and timely submissions of FSS most recent PIC data extract ended in calculating the Graduation Rate. Addendums to PIC. March 31, 2017, HUD’s calculation of As calculated using the procedures C. Participation Rate Calculation earnings performance measures would described above, the participation rate is focus on FSS participants who joined The Participation Rate is the ratio of higher if the PHA has served more the FSS program between October 1, the number of FSS participants being participants relative to its funding level. 2009 and September 30, 2013. This served to the minimum number The ratio required in the NOFA is 25 for methodology aggregates information for expected to be served under the one full-time coordinator and 50 for four years of FSS entrants in order to standards used for awarding funding each additional full-time coordinator. generate a large enough sample to under the FSS NOFA. Agencies that For example, a PHA with 1 funded full- analyze. The methodology does not exactly meet the standard will have a time coordinator is expected to serve at examine data for participants that have ratio of 1.0. Agencies that serve more least 25 participants during the year, entered the FSS program more recently than the required number will have a while a PHA with 3 funded full-time than 3.5 years ago to allow sufficient ratio above 1.0. Agencies that serve coordinators is expected to serve at least
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125 participants. If the PHA with 1 difference between: (a) The average • 7.5 points: Participation rate coordinator serves 40 FSS participants earnings growth for FSS participants between 1.7 and 2.09. (much more than the minimum and (b) the average earnings growth for • 0 points: Participation rate of 0.95 required) and the PHA with 3 comparison households at the same or lower. coordinators serves 130 participants PHA. A PHA’s earnings performance • 5 points: All PHAs that do not (only slightly more than the minimum measure is not simply a measure of the qualify for a 10, 7.5, or a 0. expected), the PHA with the smaller extent to which FSS participants Under this approach, a higher number of coordinators and participants increased their earnings. Instead, a participation rate results in a higher will have a higher participation rate (40/ PHA’s earnings performance measure score. 25 = 1.60 versus 130/125 = 1.04). reflects the relative growth of FSS Step Two: Developing the Final FSS PHAs that receive funding jointly participants relative to a matched set of Performance Score and Grade with other PHAs are evaluated together non-participants at that PHA. HUD in calculating the participation rate. assigns a higher score to FSS programs After computing individual scores for HUD sums the number of FSS that achieve a higher earnings each of the three measures, HUD participants served by each of the performance score. aggregates each PHA’s scores using the jointly-funded agencies and the In addition to focusing on the size of weights noted above to develop a final minimum number of participants the the earnings performance measure, the FSS Performance Score from 0 to 10. agencies are jointly expected to serve scoring for this measure applies a one- Based on this score, HUD assigns the and provides the same participation tailed test of statistical significance, following ranking to the PHA’s score for each of the PHAs. designed to protect FSS programs from performance: • Excellent: FSS Performance score of III. How will HUD convert the being scored ‘‘low performer’’ due to random variation and low sample size. 7.25 or higher. measures into an FSS Performance • Standard: FSS Performance score Score? For example, without this protection, an individual FSS program may include between 4.0 and 7.24. • Low: FSS Performance score After making the calculations several anomalous participants or between 3.00 and 3.99. described above, HUD will develop an control households that skew research • Troubled: FSS Performance score of FSS Performance Score for each PHA results. The statistical test measures the less than 3.00. using a two-step process. likelihood that a PHA’s earnings A. Step One: Assigning Scores to Each performance measure is significantly IV. How were these thresholds selected? of the Three Measures lower than the median measure. The The thresholds for converting the lower the p-value, the less likely it is In Step One, HUD will assign a score three performance measures into scores that a PHA received a below-median in step one are fixed and will now apply of 0 to 10 to each PHA’s FSS program earnings performance measure due to for each of the three measures. Scores to all future years until HUD revises the random variation. To receive 0 points, a methodology. These thresholds were will be assigned using the procedures PHA must not only have an earnings described below. The ranges for selected by applying the FSS performance measure below $1,500 but Performance Score methodology to PIC awarding points between two values also a p-value on this test of less than include those values as well as all data from the quarter ending December .10, which means there is at least a 90 31, 2016. The thresholds were selected intermediary values. percent probability that the earnings For each of the three measures, HUD as follows: performance measure is truly below the has selected criteria for evaluating PHA median value of $3,418. 1. Earnings Performance Measure (50 performance. For each measure, the While a similar statistical test could Percent of Final Score) highest performers are assigned a score theoretically be applied to help identify • of 10, the next-highest performers are The threshold for awarding a score high performing programs, such a test assigned a score of 7.5, and low of 10 points (an earnings performance would make it harder for small FSS performers are assigned a score of 0. measure of $6,400) represents programs to qualify. To avoid HUD will award a score of 5 to PHAs approximately the 80th percentile of the disadvantaging smaller FSS programs, whose performance does not satisfy the distribution of results of the earnings p-values are not considered in criteria for highest, next-highest, or low performance measure for PHAs whose determining whether to award 10 or 7.5 performance for that measure. measures have a p value >.10 on a points. statistical test measuring the likelihood 1. Earnings Performance Measure (50 2. Graduation Rate (30 Percent of Final that the earnings performance measure Percent of Final Score) Score) is different from $0. HUD calculated the • distribution using agencies that receive 10 points: Earnings performance • measure of $6,400 or higher. 10 points: Graduation rate of 38 a p value below .10 on this test to • 7.5 points: Earnings performance percent or higher. reduce the likelihood that the results • measure between $4,750 and $6,399. 7.5 points: Graduation rate between would be affected by random variation. • 0 points: Earnings performance 27 percent and 37.99 percent. • The threshold for awarding a score measure below $1,500 and a p-value of • 0 points: Graduation rate of 8 of 7.5 points ($4,750) represents .10 on a statistical test measuring the percent or lower. approximately the 60th percentile of the likelihood that a PHA’s earnings • 5 points: All PHAs that do not distribution of results of the earnings performance measure is significantly qualify for a 10, 7.5, or a 0. performance measure for PHAs whose lower than the median measure of Under this approach, a higher measures have a p value <.10 on the $3,418 (see below for an explanation of graduation rate results in a higher score. statistical test described above. • The threshold for awarding a score this statistical test). 3. Participation Rate (20 Percent of Final • 5 points: All PHAs that do not of 0 points ($1,500) represents Score) qualify for a 10, 7.5, or a 0. approximately the 20th percentile of the As described above, a PHA’s earnings • 10 points: Participation rate of 2.1 distribution of results of the earnings performance measure represents the or higher. performance measure for all PHAs.
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2. Graduation Rate (30 Percent of Final V. What else do PHAs need to know more subject to random variation due to Score) about the FSS performance score the participation of individuals with methodology? idiosyncratic features. Third, these • The threshold for awarding a score The following is additional program participants tend to receive less of 10 points represents approximately personal attention from FSS the 80th percentile of the distribution of information about how HUD calculates FSS performance scores: coordinators due to the lack of graduation rates. dedicated funding from HUD for FSS. • The threshold for awarding a score 1. For households entering FSS more than one time during the analysis HUD will continue studying options of 7.5 points represents approximately for measuring the performance of such the 60th percentile of the distribution of period, the methodology focuses only on the FSS Contract of Participation that agencies to determine if an approach graduation rates. can be developed for evaluating the • began 5 to 8 years before the end of the The threshold for awarding a score most recent quarter of available PIC data quality of their FSS programs. To inform of 0 points represents approximately the to calculate the FSS performance score. HUD’s analysis of this issue, HUD 20th percentile of the distribution of This facilitates appropriate evaluation of requests comments on the following graduation rates. each program’s graduation rate, which questions: 1. Should HUD evaluate FSS focuses on the same group of 3. Participation Rate (20 Percent of programs that do not receive funding households. If a participant entered Final Score) from HUD? more than once during that period, the • The threshold for awarding a score 2. Should the performance of an methodology focuses on the older entry. unfunded FSS program be considered of 10 points represents approximately 2. FSS performance scores are the 80th percentile of the distribution of by HUD in determining whether to calculated for any PHA that has award funding? If not, what factors participation rates. sufficient data in PIC to calculate at • The threshold for awarding a score should be used in determining whether least one of the three measures used to to award funding to a currently of 7.5 points represents approximately calculate the score. If there are the 60th percentile of the distribution of unfunded agency? insufficient data to calculate one or two 3. Should the FSS performance score participation rates. of the measures, that PHA will receive of an unfunded PHA be compared solely • The threshold for awarding a score a middle (standard) score of ‘‘5’’ for the with that of other unfunded PHAs or of 0 points is 0.95, which falls below the missing measure(s) before calculating also against the performance of funded minimum standard established by HUD. the FSS performance score. agencies? A PHA serving the minimum number of 3. A PHA for which none of the three 4. How should the procedures for FSS participants required to obtain FSS scores are available will not receive a evaluating the performance of funded funding would normally have a score. FSS programs be adapted for purposes participation rate of 1.0. However, this 4. Because the earnings performance of measuring the performance of FSS methodology uses a score of 0.95 to give measure and the graduation rate are programs that do not receive funding? PHAs the benefit of the doubt and calculated using data that spans a range 5. Should HUD calculate a account for any temporary vacancies in of years, it will take time for a PHA to participation rate for unfunded FSS the FSS program. improve its FSS Performance Score programs in evaluating their through improvements in earnings and performance and if so, how should it be 4. Composite FSS Performance Scores graduation outcomes. However, and Grades calculated? improvements in these areas will 6. In addition to, or instead of a • The threshold for awarding a eventually become apparent in a PHA’s participation rate, should HUD limit the ranking of Excellent represents FSS Performance Score. It is important evaluation of non-funded agencies to approximately the 80th percentile of the for PHAs with low scores to begin FSS programs over a certain size, such distribution of FSS Performance Scores. implementing improvements as quickly as 15 or 25 participants? Focusing only • The range for awarding a ranking of as possible. PHAs with participation on FSS programs of a certain minimum Low represents approximately the 10th rates below 0.95 can quickly improve size should help to improve the through the 20th percentiles in the their FSS Performance Scores by reliability of the evaluation results distribution of FSS Performance Scores. increasing participation rates to meet while also focusing the evaluation (and HUD’s minimum requirements. • Programs falling below any corresponding preference for approximately the 10th percentile in the VI. How will HUD assess the funding) on PHAs that demonstrate a distribution of FSS Performance Scores performance of FSS programs that do threshold level of commitment to the are classified as Troubled. not receive funding? FSS program. • All other FSS programs are HUD is interested in evaluating the VII. Other Questions classified as ‘‘Standard’’ performers. performance of all FSS programs In addition to the questions noted The range for awarding a ranking of administered by PHAs, including above, HUD requests feedback on the Standard represents approximately the programs that do not receive funding following questions: 20th through the 80th percentiles of the from HUD. However, there are several 1. Has HUD assigned the appropriate distribution of FSS Performance Scores. concerns with applying the weight to each of the three measures? As noted above, all thresholds are methodology described above to the The proposed system uses the following now fixed and will not be recalculated evaluation of the performance of non- weights: Earnings performance measure each year. This will facilitate tracking funded agencies. First, the participation (50 percent); Graduation rate (30 individual PHA progress as well as that rate cannot be calculated using the percent); and Participation rate (20 of all FSS programs over time. Further, methodology described in this notice percent). this framework does not limit how because there are no set expectations for 2. In evaluating earnings growth, HUD many programs can receive any program size. Second, such programs focuses on the average of the earnings particular ranking. The thresholds are tend to be smaller than NOFA-funded growth of individual households at a absolute, not relative. programs, which means their results are PHA, rather than median growth. HUD
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takes this approach to recognize the 6. HUD currently permits, and funds, for a period of 30 days. At the expiration potential life-changing impacts of FSS programs at MTW agencies. of the 30-day period, HUD will review helping individuals move from However, MTW agencies are only the comments and consider if any unemployment to high-paying jobs. required to report select FSS data fields further changes to the Suspension are Such impacts are captured in looking at into the PIC system. HUD requests necessary. average earnings growth, but might be suggestions on how to best capture DATES: Comment Due Date: January 11, missed in looking only at the median information on MTW FSS participants 2018. growth. It is appropriate in this context to determine a score. ADDRESSES: Interested persons are to use averages, or should HUD switch 7. How should HUD evaluate FSS invited to submit comments regarding to medians instead? programs offered by HUD-assisted this notice, and HUD’s temporary 3. Has HUD adequately accounted for multifamily properties with Section 8 suspension of the use of Small Area variations in local economic conditions? contracts? These programs are very new FMRs, to the Regulations Division, If not, what further adjustments should and currently submit quarterly Office of General Counsel, Department be made? The earnings performance spreadsheets rather than an FSS of Housing and Urban Development, measure accounts for local economic addendum integrated into a HUD data 451 7th Street SW, Room 10276, conditions by comparing the earnings reporting system. Washington, DC 20410–0500. growth for FSS participants at a PHA to VIII. Environmental Impact Communications must refer to the above the earnings growth for non-FSS docket number and title. There are two participants at the same PHA with This notice does not direct, provide methods for submitting public similar characteristics. The assumption for assistance or loan and mortgage comments. All submissions must refer underlying this approach is that insurance for, or otherwise govern or to the above docket number and title. earnings growth for non-FSS regulate, real property acquisition, Submission of Comments by Mail. participants will be higher in areas with disposition, leasing, rehabilitation, Comments may be submitted by mail to stronger job markets than in areas with alteration, demolition, or new the Regulations Division, Office of weaker job markets. To attain the same construction, or establish, revise or General Counsel, Department of earnings performance measure, a PHA provide for standards for construction or Housing and Urban Development, 451 in an area with a strong job market construction materials, manufactured 7th Street SW, Room 10276, would thus need to demonstrate a housing, or occupancy. Accordingly, Washington, DC 20410–0500. higher level of earnings growth among under 24 CFR 50.19(c)(1), this notice is Electronic Submission of Comments. FSS participants than would a PHA in categorically excluded from Interested persons may submit an area with a weaker job market. After environmental review under the comments electronically through the calculating the difference between National Environmental Policy Act of Federal eRulemaking Portal at earnings growth for FSS and non-FSS 1969 (42 U.S.C. 4321). www.regulations.gov. HUD strongly participants at a PHA, the proposed Dated: December 5, 2017. encourages commenters to submit system makes no further adjustments. Dominique Blom, comments electronically. Electronic Should HUD further adjust its system to General Deputy Assistant Secretary, Office submission of comments allows the account for variations in local economic of Public and Indian Housing. commenter maximum time to prepare conditions, and if so, how should HUD [FR Doc. 2017–26696 Filed 12–11–17; 8:45 am] and submit a comment, ensures timely make this adjustment? For example, BILLING CODE 4210–67–P receipt by HUD, and enables HUD to HUD could divide the earnings make comments immediately available performance measure by the average to the public. Comments submitted starting earnings for a PHA’s FSS DEPARTMENT OF HOUSING AND electronically through the participants and then compare the URBAN DEVELOPMENT www.regulations.gov website can be resulting percentages across PHAs. viewed by other commenters and Further, HUD could adjust the earnings [Docket No. FR–6070–N–01] interested members of the public. performance measures by an index that Commenters should follow the Notice for Suspension of Small Area accounts for local economic conditions. instructions provided on that site to Fair Market Rent (Small Area FMR) 4. HUD currently allows a PHA to submit comments electronically. Designations; Solicitation of Comment count FSS participants living in Note: To receive consideration as public multifamily FSS programs toward the AGENCY: Office of Public and Indian comments, comments must be submitted minimum number of participants Housing, HUD. through one of the two methods specified required to be served in order to qualify ACTION: Notice; solicitation of comment. above. Again, all submissions must refer to for FSS funding. The PIC data system, the docket number and title of the notice. however, does not capture information SUMMARY: On August 10, 2017, pursuant No Facsimile Comments. Facsimile on multifamily FSS participants. HUD to the authority provided in regulation, (fax) comments are not acceptable. requests suggestions on how best to HUD suspended for two years the Public Inspection of Public capture information on multifamily FSS designation for the mandatory use of Comments. All properly submitted participants being served by a PHA’s Small Area Fair Market Rents (Small comments and communications FSS coordinator to determine a PHA’s Area FMRs) for certain metropolitan submitted to HUD will be available for participation rate. areas that had previously been public inspection and copying between 5. HUD currently permits, and funds, designated for Small Area FMR use 8 a.m. and 5 p.m. weekdays at the above FSS programs in Tribes and Tribally (Suspension). After HUD provided address. Due to security measures at the Designated Housing Entities (TDHEs). notice of this suspension, interested HUD Headquarters building, an However, Tribes and TDHEs do not persons requested an opportunity to appointment to review the public report into the PIC data system. HUD review and comment on the comments must be scheduled in requests suggestions on how to best Suspension. While HUD is not required advance by calling the Regulations capture information on tribal FSS to post the Suspension for public Division at 202–708–3055 (this is not a participants to determine a score. comment, this notice solicits comment toll-free number). Individuals with
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speech or hearing impairments may On November 16, 2016, HUD ii. A sudden influx of displaced access this number via TTY by calling published its ‘‘Establishing a More households needing permanent housing; or the Federal Relay Service at 1–800–877– Effective Fair Market Rent System; iii. Other events as determined by the 8339 (this is a toll-free number). Copies Using Small Area Fair Market Rents in Secretary (emphasis added). of all comments submitted are available the Housing Choice Voucher Program Based on the findings in Abt’s Small for inspection and downloading at Instead of the Current 50th Percentile Area Fair Market Rent Demonstration www.regulations.gov. FMR’’ final rule (81 FR 80567). This Evaluation Interim Report, summarized final rule required the use of Small Area above, HUD has concerns that the FOR FURTHER INFORMATION CONTACT: FMRs in certain metropolitan areas mandatory use of Small Area FMRs, Todd M. Richardson, Deputy Assistant instead of the 50th percentile rent without sufficient preparation and Secretary, Office of Policy Development, previously used. On the same day, HUD mitigation of potential unintended Office of Policy Development and published a notice listing areas in which consequences, could put some PHAs at Research, Department of Housing and the use of Small Area FMRs is risk of causing an adverse rental Urban Development, 451 7th Street SW, mandatory beginning on October 1, housing market condition. Accordingly, Room 4130, Washington, DC 20410, 2017 (81 FR 80678). after careful consideration, HUD issued 202–708–1537, ext. 5706 (this is not a On April 26, 2017, HUD received the Suspension of the Small Area FMR toll-free number). Abt’s Small Area Fair Market Rent designation for 23 of the 24 SUPPLEMENTARY INFORMATION: Since Demonstration Evaluation Interim metropolitan areas that had previously October 2011, all Public Housing Report.2 The Interim Report examines been designated for mandatory Small Agencies (PHAs) operating the Housing changes in outcomes from 2010 to 2015 Area FMR use. The Suspension was for Choice Voucher (HCV) program in the and documents several findings that two Federal fiscal years (FYs), becoming Dallas, TX HUD Metro FMR Area have HUD finds concerning. In addition, it effective at the beginning of FY 2020 been using Small Area Fair Market indicates that further research is needed (October 1, 2019) instead of FY 2018. To Rents (Small Area FMRs). The use of to address several critical questions provide notice to affected PHAs, HUD Small Area FMRs was intended to give with respect to the potential harm to sent letters to more than 200 PHAs in HCV families access to areas of high HCV families (both participants and the 23 metropolitan areas noted in the opportunity and lower poverty by applicants) and PHAs in areas Suspension. Additionally, HUD posted providing a subsidy that is adequate to transitioning to Small Area FMRs. an article regarding the Suspension on cover rents in those areas, thereby On August 10, 2017, pursuant to the its website.4 reducing the number of voucher authority provided in regulation, HUD The delayed implementation of families that reside in areas of high suspended the designation for the mandatory Small Area FMR adoption poverty concentration. The PHAs in mandatory use of Small Area FMRs for will provide HUD with reasonable time Dallas began using Small Area FMRs as 23 of the 24 metropolitan areas that to analyze the final findings of the the result of a legal settlement. would become subject to the demonstration and determine what HUD announced the commencement requirement on October 1, 2017 measures are necessary to mitigate of the Small Area FMR demonstration in (Suspension).3 The Suspension was negative effects, if possible. For November 2012. Five PHAs participated made pursuant to 24 CFR 888.113(c)(4), example, the delay may allow HUD to voluntarily in this demonstration, which provides that HUD may suspend develop guidance and technical which sought to assess the effect on the Small Area FMR designation for a assistance that is informed by the families of using FMRs published at the metropolitan area when HUD by notice lessons learned from the demonstration. U.S. Postal Service ZIP code level (i.e., makes a documented determination that Notwithstanding the exercise of this Small Area FMRs) in lieu of FMRs such action is warranted. Specifically, authority, the Small Area FMR Rule published at the metropolitan area § 888.113(c)(4) provides: permits any PHA that voluntarily seeks 1 level. HUD will designate Small Area FMR areas to adopt SAFMRs to do so. The program In 2015, HUD awarded a cooperative at the beginning of a Federal fiscal year, such regulations at 24 CFR 888.113(c)(3) agreement to Abt Associates to evaluate designations will be permanent, and [HUD] provide that a PHA administering an the use of Small Area FMRs by the five will make new area designations thereafter as HCV program in a metropolitan area not PHAs that voluntarily participated in new data becomes available. HUD may subject to the mandatory application of the demonstration, as well as two PHAs suspend a Small Area FMR designation from Small Area FMRs may opt to use Small operating the voucher program in the a metropolitan area, or may temporarily exempt a PHA in a Small Area FMR Area FMRs by seeking approval from Dallas, TX HUD Metro FMR Area. Abt metropolitan area from use of the Small Area HUD’s Office of Public and Indian was charged with examining whether FMRs, when HUD by notice makes a Housing (PIH) through written request and to what extent providing higher documented determination that such action to PIH. In light of the findings of Abt’s subsidies in ZIP code areas where rents is warranted. Actions that may serve as the Small Area Fair Market Rent are higher, and lower subsidies in ZIP basis of a suspension of Small Area FMRs Demonstration Evaluation Interim code areas where rents are lower, helps are: Report referenced above, should HUD i. A Presidentially declared disaster area HCV families to better access areas of receive a request under this provision, opportunity. HUD also requested that that results in the loss of a substantial number of housing units; HUD will consider in its approval the evaluation examine how the determination a PHA’s ability to provide transition from metropolitan-wide to 2 The Small Area Fair Market Rent Demonstration reasonable assurance that adoption of Small Area FMRs affected families and Evaluation Interim Report may be found at https:// Small Area FMRs will not result in an landlords, and the impact of Small Area www.huduser.gov/portal/sites/default/files/pdf/ adverse housing market condition. FMRs on HCV subsidy and SAFMR-Interim-Report.pdf. With this notice, HUD seeks public administrative costs. 3 The Small Area FMR designation remains in effect for the Dallas-Plano-Irving, TX Metro Division comment on the Suspension. While (also referred to as the Dallas, TX HUD Metro FMR 1 Four of the five demonstration PHAs requested Area). All PHAs administering the HCV program in 4 See HUD, Giving Public Housing Agencies More and were permitted by HUD to continue using the Dallas-Plano-Irving, TX Metro Division have Time to Succeed, PD&R Edge, https:// Small Area FMRs in the operation of their HCV been using Small Area FMRs since 2011 as a result www.huduser.gov/portal/pdredge/pdr-edge-frm- programs after the demonstration ended. of a legal settlement. asst-sec-082817.html.
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HUD is not required to post the 1. Submission of Hard Copy Washington, DC 20410–7000, telephone Suspension for public comment, this Comments. Comments may be number 202–402–5132 (this is not a toll- notice solicits comment for a period of submitted by mail or hand delivery. free number). Persons with hearing or 30 days. At the expiration of the 30-day Each commenter submitting hard copy speech impairments may access this period, HUD will review the comments comments, by mail or hand delivery, number through TTY by calling the and consider if any further changes to should submit comments to the address Federal Relay Service at 800–877–8339 the Suspension are necessary. Interested above, addressed to the attention of the (this is a toll-free number). parties can find the Suspension in the Regulations Division. Due to security SUPPLEMENTARY INFORMATION: Supporting Documents section of the measures at all federal agencies, I. Background docket associated with this notice, at submission of comments by mail often www.regulations.gov, and on HUD’s results in delayed delivery. To ensure Under the leadership of President website at https://www.huduser.gov/ timely receipt of comments, HUD Donald J. Trump, the Administration is portal/datasets/fmr/smallarea/ recommends that any comments committed to reforming government index.html. submitted by mail be submitted at least services and expanding opportunities for more Americans to become self- Dated: December 1, 2017. 2 weeks in advance of the public sufficient. The EnVision Center Dominique Blom, comment deadline. All hard copy comments received by mail or hand demonstration focuses on empowering General Deputy Assistant Secretary, Office people to leave HUD-assisted housing of Public and Indian Housing. delivery are a part of the public record and will be posted to http:// through self-sufficiency to become [FR Doc. 2017–26695 Filed 12–11–17; 8:45 am] www.regulations.gov without change. responsible homeowners and renters in BILLING CODE 4210–67–P 2. Electronic Submission of the private market. By doing so, HUD Comments. Interested persons may will be able to make those resources submit comments electronically through available to others and help more DEPARTMENT OF HOUSING AND Americans. URBAN DEVELOPMENT the Federal eRulemaking Portal at http://www.regulations.gov. HUD The EnVision Centers demonstration [Docket No. FR 6069–N–01] strongly encourages commenters to is premised on the notion that financial submit comments electronically. support alone is insufficient to solve the Advanced Notice of EnVision Center Electronic submission of comments problem of poverty. Intentional and Demonstration allows the commenter maximum time to collective efforts across a diverse set of prepare and submit a comment, ensures organizations are needed to implement AGENCY: Office of the Secretary, HUD. a holistic approach to foster long-lasting ACTION: Notice. timely receipt by HUD, and enables HUD to make comments immediately self-sufficiency. EnVision Centers will SUMMARY: Through this notice, HUD available to the public. Comments provide communities with a centralized solicits comment on a demonstration submitted electronically through the hub for support in the following four designed to test the effectiveness of http://www.regulations.gov website can pillars: (1) Economic Empowerment, (2) collaborative efforts by government, be viewed by other commenters and Educational Advancement, (3) Health industry, and nonprofit organizations to interested members of the public. and Wellness, and (4) Character and accelerate economic mobility of low- Commenters should follow instructions Leadership. The Economic income households in communities that provided on that site to submit Empowerment pillar is designed to improve the economic sustainability of include HUD-assisted housing through comments electronically. individuals residing in HUD-assisted EnVision Centers, centralized hubs for No Facsimile Comments. Facsimile housing by empowering them with supportive services focusing on the four (fax) comments are not acceptable. opportunities to improve their economic pillars of Economic Empowerment, Public Inspection of Comments. All outlook. The Education pillar seeks to Educational Advancement, Health and comments submitted to HUD regarding bring educational opportunities directly Wellness, and Character and this notice will be available, without to HUD-assisted housing and includes Leadership. Approximately 10 charge, for public inspection and partnering with public and private communities, selected from across the copying between 8 a.m. and 5 p.m., organizations that approach education country, are anticipated to participate in Eastern Time, weekdays at the above in non-traditional ways on non- the demonstration. The purpose of the address. Due to security measures at the HUD Headquarters building, an advance traditional platforms. The Health and demonstration is to explore the Wellness pillar is designed to improve appointment to review the public potential of a new service-delivery access to health outcomes by comments must be scheduled by calling mechanism to provide HUD-assisted individuals and families living in HUD- the Regulations Division at 202–708– households the ability to benefit from assisted housing. The Character and 3055 (this is not a toll-free number). life-changing opportunities that the Leadership pillar is designed to enable Individuals with speech or hearing advancement of the four pillars affords. all individuals and families residing in impairments may access this number DATES: Comment Due Date: February 12, HUD-assisted housing, especially young through TTY by calling the Federal 2018. people, to reach their full potential as Relay Service at 800–877–8339 (this is ADDRESSES: Interested persons are productive, caring, responsible citizens a toll-free number). Copies of all invited to submit comments responsive by encouraging participation in to this notice to the Office of General comments submitted are available for volunteer and mentoring opportunities. Counsel, Regulations Division, inspection and downloading at http:// Through results-driven partnerships Department of Housing and Urban www.regulations.gov. with federal agencies, state and local Development, 451 7th Street SW, Room FOR FURTHER INFORMATION CONTACT: governments, non-profits, faith-based 10276, Washington, DC 20410–0001. All Ariel Pereira, Associate General Counsel organizations, corporations, public submissions should refer to the above for Legislation and Regulations, Office housing authorities (PHAs), tribal docket number and title. Submission of of General Counsel, Department of designated housing entities (TDHEs) public comments may be carried out by Housing and Urban Development, 451 and housing finance agencies, EnVision hard copy or electronic submission. Seventh Street SW, Room 10282, Centers will leverage public and private
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resources for the benefit of individuals families. HUD seeks the interest of example, the plan could specify and and families living in HUD-assisted communities where local leadership has formalize the participation of housing. HUD anticipates that positive already taken steps to support the goals community stakeholders, describe gaps outcomes for individuals and of the demonstration, as measured by in current service delivery models, households will generate additional both the community’s participation in identify a physical location(s) which positive impacts at the community-wide other complementary Federal initiatives can act as a shared services site to house level. EnVision Centers will also break supporting economic mobility, as well the EnVision Center, and/or outline down the silos of government, and co- as local plans and strategies for specific benchmarks and goals for the locate government services that lead to addressing the four pillars. EnVision center. Communities’ self-sufficiency. Participation in the demonstration by participation plans will be expected to A January 2011 report from the these communities will build upon describe the goals of the community’s Government Accountability Office existing efforts already underway to participation in the demonstration and (GAO) that focused on Temporary expand economic mobility, thereby provide, to the extent possible, objective Assistance for Needy Families, building the comprehensive and goals regarding the number of Employment Services and Workforce coordinated set of resources that will partnerships established with state and Investment Act Adult employment result in the long-term, sustainable local government, non-profits, faith programs funded by the U.S. employment that places individuals and based organizations, and private and Departments of Labor, Education, and families on track to become self- philanthropic organizations. Health and Human Services, found that sufficient. (3) To ensure the presence of local while it would be a challenge, As part of this demonstration, HUD support and leverage HUD efficiencies in offering government will provide technical assistance, infrastructure for implementation of this services could be achieved by co- evaluation and monitoring, access to demonstration, communities should be locating services and consolidating online resources such as the EnVision currently participating in one or more administrative structures.1 EnVision Center mobile application, access to Federal place-based initiatives, such as: Centers will bring together in one place, stakeholder offerings made available to The Promise Zones program; PHAs federal, state and local government participating communities and a participating in the Moving to Work services, community based organization network of support from HUD’s Demonstration, the Byrne Criminal services, non-profit mission based departments to ensure that all relevant Justice Innovation program; the Strong organization services and faith based HUD knowledge resources are made Cities, Strong Communities program; organization services that lead economic available to participating communities. the JobsPlus program; the Family Self- self-sufficiency and ultimately, greater HUD believes that communities Sufficiency program and the Resident economic mobility. participating in the EnVision Center Opportunities and Self-Sufficiency demonstration will benefit from the II. Demonstration (ROSS) program; the ConnectHome collaboration made possible under this program; existing Neighborhood Every resident living in public or demonstration with: Local, state and Networks sites; existing Family assisted housing should have access to federal government services, community Investment sites; the ROSS for the opportunities economic mobility based organization services, non-profit Education Program; the Energy and can provide. This demonstration is mission based organization services and Economic Development program designed to encourage and create a faith based organization services that (SEED); or the Building Neighborhood platform for communities to collaborate will lead to the development of Capacity program. with community supportive service economic self-sufficiency and (4) Communities should be broadly providers, other businesses, ultimately, greater economic mobility committed to realizing the Office of foundations, nonprofit organizations, for those most in need within these American Innovation 2 vision, educational leaders, job training and communities. especially, developing ‘‘workforce of the HUD will use the following criteria to workforce development organizations, future’’ programs, modernizing assess communities that have expressed and others to advance economic government services and information an interest in participating in the mobility in their communities and to technology, improving services to demonstration: test the effectiveness of a collaborative veterans, creating transformational (1) The mayor or equivalent executive set of actions that address all barriers to infrastructure projects, implementing elected official of the community, and economic sufficiency. The regulatory and process reforms, creating the PHA’s or TDHE’s executive leader, demonstration will build upon existing manufacturing jobs, and addressing the must formally announce a commitment partnerships and continue collaborative drug and opioid epidemic. to enhance economic mobility and in so work to improve the lives of residents (5) As a condition of participation, doing identify skills gaps that exist in housed with HUD assistance by selected entities are required to their community among distinct providing a forum by which cross-sector cooperate in full with HUD staff and/or neighborhoods and demographics, the organizations can come together to any contractors affiliated with HUD, in resolution of which will support long- design and implement local the implementation and evaluation of term, sustainable employment that interventions to advance economic this program. mobility. places individuals and families in HUD- (6) After selection, HUD will finalize assisted housing on track to become 1. Process and Criteria for Participation a set of measurement tools to evaluate self-sufficient. the program’s impact and effectiveness. (2) Communities should commit to HUD’s goal is to identify a sample of Selected respondents will be required to developing and implementing a plan to diverse communities from different keep records to document how the promote and expand economic mobility. geographies and of varying sizes that Demonstration is being implemented, The development of this plan will serve have the capacity to effectively and cooperate with the evaluation, and expediently implement the as a vehicle for bringing various demonstration to serve HUD-assisted stakeholders together and providing 2 https://www.whitehouse.gov/the-press-office/ them with a tangible path for achieving 2017/03/27/president-donald-j-trump-announces- 1 http://www.gao.gov/new.items/d1192.pdf. the goals of the demonstration. As an white-house-office-american.
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cooperate in [any] the formal out to communities that have formally mayor or equivalent executive elected independent evaluation of the declared a commitment to advance official of the community (municipality, Demonstration. economic mobility and otherwise meet county, tribal nation or state), and the These criteria are meant to create the criteria described above to PHA or TDHE executive leader, to optimal conditions to accelerate the participate in those meetings. HUD also advancing economic mobility and adoption and use of the EnVision Center invites interested communities to reach empowering HUD-assisted households model. However, the criteria may be out to HUD to note their interest and to become self-sufficient. This applied with reasonable flexibility to request attendance at a stakeholder commitment, must also respond to the ensure that a diverse set of communities meeting. HUD therefore encourages items outlined in Section II.1. above, as are considered for participation in this interested communities to take the well as identification of the Federal demonstration. Approximately 10 necessary steps to meet the criteria as place-based initiatives in which it is communities are anticipated to initially quickly as possible in order to be best participate in the demonstration. As the positioned to realize the benefits of involved, as requested by Section demonstration proceeds, HUD will these discussions. II.1.(3.) above. In addition, HUD will assess expressions of interest from HUD may partner with an existing require submission of an EnVision communities and the availability of entity that has a national organizational Center plan that outlines specific HUD staffing resources to support presence sufficient to provide a strong benchmarks and goals for the EnVision additional participation. Additionally, coordinating function across Center as outlined in Section II of this as the demonstration proceeds, HUD communities, government, and the notice. Communities seeking to will assess the effectiveness of the private and nonprofit sectors. The entity participate in this demonstration must participation criteria on an ongoing should have significant expertise in submit this information to basis. As a result of these assessments, community services, economic mobility EnVisionCenterDemonstration@ HUD may expand the number of and the four pillars. It should possess hud.gov. participating communities, revise the strong existing relationships with The information collection participation criteria, or both to reflect industry, foundations, universities, and requirements contained for the EnVision nonprofit and non-governmental HUD’s experience in implementing the Center Demonstration will be submitted demonstration. agencies. Finally, it should have to the Office of Management and Budget community project experience, 3. Stakeholder Meetings (OMB) under the Paperwork Reduction including educational and outreach In advance of commencement of the activities in underserved populations. Act of 1995 (44 U.S.C. 3501–3520). In demonstration, HUD will sponsor or co- accordance with the Paperwork sponsor one or more meetings of III. Demonstrating Interest in Reduction Act, an agency may not communities, cross-sector entities, and Participating/Information Collection conduct or sponsor, and a person is not other stakeholders to facilitate the Approval required to respond to, a collection of sharing of information and identify Communities interested in information unless the collection communities interested in participation participating in this demonstration must displays a currently valid OMB control in the demonstration. HUD will reach submit a written commitment by the number.
Annual Hourly Information collection Number of Frequency of Responses Burden hours burden costs per Annual cost respondents responses per year per response hours response
Commitment Letter ...... 1,650 1 1,650 .25 412.5 $28.85 $11,900.63 Action Plan ...... 1,650 1 1,650 2 3,300 28.85 94,050
Totals ...... 1,650 1 1,650 2.25 3,712.5 ...... 105,950.63
In accordance with 5 CFR technology, e.g., permitting electronic strongly encourages commenters to 1320.8(d)(1), HUD is soliciting submission of responses. submit comments electronically. comments from members of the public Interested persons are invited to Electronic submission of comments and affected agencies concerning this submit comments regarding the allows the commenter maximum time to collection of information to: information collection requirements in prepare and submit a comment, ensures (1) Evaluate whether the proposed this notice. Comments must refer to the timely receipt by HUD, and enables collection of information is necessary proposal by name and docket number HUD to make them immediately for the proper performance of the (FR–6069) and must be sent to: available to the public. Comments functions of the agency, including HUD Desk Officer, Office of submitted electronically through the whether the information will have Management and Budget, New http://www.regulations.gov website can practical utility; Executive Office Building, Washington, be viewed by other commenters and DC 20503, Fax: (202) 395–6947, and, (2) Evaluate the accuracy of the interested members of the public. agency’s estimate of the burden of the Office of Legislation and Regulations, Commenters should follow the proposed collection of information; Office of General Counsel, Department instructions provided on that site to (3) Enhance the quality, utility, and of Housing and Urban Development, clarity of the information to be Room 10282, 451 7th Street SW, submit comments electronically. collected; and Washington, DC 20410. IV. Evaluating the Demonstration (4) Minimize the burden of the Interested persons may submit collection of information on those who comments regarding the information HUD will work with entities across are to respond, including through the collection requirements electronically the government and the broader use of appropriate automated collection through the Federal eRulemaking Portal research community to rigorously techniques or other forms of information at http://www.regulations.gov. HUD measure outcomes associated with the
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efforts resulting from this demonstration additional pillars that contribute to self- and comment from the public on this to advance economic mobility. With this sufficiency and economic mobility that draft supplement. research, HUD intends to improve and should be made part of the DATES: Comment submission: Comments build on the demonstration, with the demonstration? on the draft Supplement to the Grizzly goal of extending the demonstration on (5) What incentives and programs Bear Recovery Plan must be received on a nationwide basis. The participating have worked in the past to achieve the or before January 26, 2018. communities and cross-sector entities four pillars? Public meeting: The public workshop are expected to participate in any HUD- (6) What elements and level of detail will be held from 1 p.m. to 4 p.m. and sponsored evaluation and other efforts should HUD require in a community’s 6 p.m. to 8 p.m. on January 3, 2018, at designed to identify and share best participation plan? the Double Tree Hotel, 100 Madison practices from the demonstration with (7) How should HUD define and Street, in Missoula, Montana. other HUD-assisted communities. In measure economic mobility over time ADDRESSES: Document availability: An addition, participating communities and and space? How should HUD measure electronic copy of the draft Supplement entities will be required to quality of life for residents that remain to the Grizzly Bear Recovery Plan is collaboratively develop and in assisted housing? available at http://www.regulations.gov subsequently measure and report (8) What data sources or data linkage in Docket No. FWS–R6–ES–2017–0057, outputs and outcomes. is needed to develop outcome metrics and also at http://www.fws.gov/ V. Solicitation of Public Comment such as, return on investment, mountain-prairie/es/grizzlyBear.php. involvement of local institutions of Hard copies of the draft habitat-based In accordance with section 470 of the higher learning, employment and Housing and Urban-Rural Recovery Act recovery criteria are available by request economic opportunities for Section 3 from the Grizzly Bear Recovery Office, of 1983 (42 U.S.C. 3542), HUD is residents and businesses, and a public seeking comment on the demonstration. U.S. Fish and Wildlife Service, process for reviewing outcomes and University Hall, Room 309, University Section 470 provides that HUD may not lessons learned? begin a demonstration program not of Montana, Missoula, MT 59812; expressly authorized by statute until a Dated: December 5, 2017. telephone 406–243–4903. Comment submission: Submit description of the demonstration Benjamin S. Carson, Sr., comments on the draft Supplement to program is published in the Federal Secretary. the Grizzly Bear Recovery Plan via any Register and a 60-day period expires [FR Doc. 2017–26684 Filed 12–11–17; 8:45 am] one of the following methods: following the date of publication, during BILLING CODE P (1) Federal eRulemaking Portal: which time HUD solicits public www.regulations.gov. In the Search box, comment and considers the comments enter the docket number for this notice, submitted. The public comment period DEPARTMENT OF THE INTERIOR which is FWS–R6–ES–2017–0057. Then provided allows HUD the opportunity to click on the Search button. You may Fish and Wildlife Service consider those comments during the 60- submit a comment by clicking on day period, and be in a position to [Docket No. FWS–R6–ES–2017–0057; ‘‘Comment Now!’’ commence implementation of the FXES11130600000–178–FF06E00000] (2) U.S. mail or hand delivery: Public demonstration following the conclusion Comments Processing, Attn: Docket No. of the 60-day period. Endangered and Threatened Wildlife FWS–R6–ES–2017–0057; U.S. Fish and While HUD welcomes comments on and Plants; Draft Supplement to the Wildlife Service, MS: BPHC; 5257 the entirety of the demonstration, it asks Grizzly Bear Recovery Plan: Habitat- Leesburg Pike; Falls Church, VA 22041– that commenters consider the following Based Recovery Criteria for the 3803. specific questions: Northern Continental Divide Public meeting: The public workshop (1) In administering and evaluating Ecosystem will be held on at the Double Tree the demonstration, how should HUD Hotel, 100 Madison Street, Missoula, define ‘‘economic mobility’’? AGENCY: Fish and Wildlife Service, (2) How can HUD tailor the Economic Interior. Montana 59812. FOR FURTHER INFORMATION CONTACT: Empowerment Pillar of the ACTION: Notice of document availability; Demonstration to identify and focus on request for comments; notice of public Hilary Cooley, Grizzly Bear Recovery families and individuals residing in workshop. Office (see ADDRESSES), 406–243–4903. HUD-assisted housing that are able to SUPPLEMENTARY INFORMATION: We, the work, and not those who are elderly or SUMMARY: We, the U.S. Fish and U.S. Fish and Wildlife Service (Service), include persons with disabilities; Wildlife Service (Service), announce the announce the availability of a draft (3) How can HUD and identified availability of a draft Supplement to the Supplement to the Grizzly Bear partners (state and local entities, private Grizzly Bear Recovery Plan: Habitat- Recovery Plan: Habitat-Based Recovery sector, philanthropic, non-profit and Based Recovery Criteria for the Northern Criteria for the Northern Continental other entities) best maximize existing Continental Divide Ecosystem (NCDE). Divide Ecosystem (NCDE). The draft programs and efforts across agencies in The draft supplement, which will be supplement, which will be appended to a coordinated and holistic approach? appended to the Grizzly Bear Recovery the Grizzly Bear Recovery Plan upon (4) What impediments exist for Plan upon finalization, proposes to finalization, proposes to establish achieving the four pillars, including establish habitat-based recovery criteria habitat-based recovery criteria for the institutional, organizational, legal or for the NCDE grizzly bear population. In NCDE grizzly bear population. In statutory, and behavioral impediments? addition, the Service hereby gives notice addition, the Service hereby gives notice Is it necessary to the success of the that a public workshop will be held to that a public workshop will be held to demonstration that communities link all review the habitat-based recovery review the habitat-based recovery four pillars, and if not, would it be criteria for the grizzly bear in the NCDE. criteria for the grizzly bear in the NCDE. sufficient for a community to identify in The workshop will allow scientists and The workshop will allow scientists and its participation plan the barriers to the public to submit oral and written the public to submit oral and written including a specific pillar? Are there comments. The Service solicits review comments. The Service solicits review
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and comment from the public on this in part by taking into account the oral ADDRESSES) so that oral presentations draft supplement. In the lower 48 States, and written comments received at the can be scheduled in advance. grizzly bears (Ursus arctos horribilis) are habitat-based recovery criteria All information and comments federally listed as threatened under the workshop, which was held on July 7, received at the workshop or during the Endangered Species Act of 1973, as 2016, in Missoula, Montana (81 FR public comment period will be amended (16 U.S.C. 1531 et seq.; ESA), 29295, May 11, 2016), and during the considered in finalizing the habitat- outside of the Greater Yellowstone public comment period that followed Ecosystem. the workshop. The Service has decided based recovery criteria for the NCDE. to hold a second habitat-based recovery Background Request for Public Comments criteria workshop. Restoring an endangered or The ESA requires the Service to The Service solicits public comments threatened animal or plant to the point provide public notice and opportunity on a draft Supplement to the Grizzly where it is again a secure, self- for public review and comment on Bear Recovery Plan. Specifically, this sustaining member of its ecosystem is a recovery plans prior to final approval supplement proposes to append habitat- primary goal of the Service’s (16 U.S.C. 1533(f)(4)). The Service will based recovery criteria for the Northern endangered species program. To help consider all information received during Continental Divide Ecosystem to the guide the recovery effort, the Service a public comment period when Grizzly Bear Recovery Plan. All prepares recovery plans for the federally preparing each new or revised recovery comments received by the date specified listed species native to the United States plan for approval. The Service and other in DATES will be considered prior to where a plan will promote the Federal agencies also will take these approval of the final Supplement to the conservation of the species. Recovery comments into consideration in the Grizzly Bear Recovery Plan. Written plans describe site-specific actions course of implementing approved necessary for the conservation of the recovery plans. It is our policy to comments and materials regarding the species; establish objective, measurable request peer review of recovery plans. plan should be submitted as specified in criteria which, when met, may result in Comments received at the upcoming ADDRESSES. a determination that the species no workshop announced in this Federal Availability of Public Comments longer needs the protection of the ESA; Register notice and during the public and provide estimates of the time and comment period will be used to inform If you submit information via http:// cost for implementing the needed the final habitat-based recovery criteria, www.regulations.gov, your entire recovery measures (16 U.S.C. which will be appended to the 1993 submission—including any personal 1533(f)(1)(B)). Grizzly Bear Recovery Plan for the identifying information—will be posted We approved the first Grizzly Bear NCDE and incorporated into the NCDE on the website. If your submission is Recovery Plan for grizzly bears in the Grizzly Bear Conservation Strategy. The made via a hardcopy that includes lower 48 States on January 29, 1982 Recovery Plan sets out guidance for the personal identifying information, you (U.S. Fish and Wildlife Service 1982). In Service, States, and other partners on may request at the top of your document 1993, we approved a revision to the methods to minimize threats to grizzly Grizzly Bear Recovery Plan (U.S. Fish that we withhold this information from bears and criteria that may be used to public review. However, we cannot and Wildlife Service 1993), which measure if recovery has been achieved guarantee that we will be able to do so. included additional tasks and new while the Conservation Strategy guides We will post all hardcopy submissions information that increased the focus and post-delisting management. effectiveness of recovery efforts. The on http://www.regulations.gov. 1993 Recovery Plan identifies distinct Workshop Comments and materials we receive will Recovery Zones and unique recovery As described above, the Service will be available for public inspection on criteria for six different grizzly bear hold a public workshop seeking input http://www.regulations.gov, or by populations, including the NCDE, with and ideas on objective, measurable appointment, during normal business the intent that these individual habitat-based recovery criteria available hours, at the Grizzly Bear Recovery populations would be delisted as they at https://www.fws.gov/mountain- Office address specified in ADDRESSES. each achieve recovery (U.S. Fish and prairie/es/grizzlyBear.php. We seek Wildlife Service 1993, pp. ii, 33–34). ideas and information about References Cited Supplements to the Recovery Plan were characteristics of habitat necessary to A list of the references cited in this approved in 1997, 1998, 2007, and 2017 support a recovered population of notice may be found at http:// (U.S. Fish and Wildlife Service 1997, grizzly bears and habitat parameters that www.regulations.gov in Docket No. 1998, 2007a, 2007b, 2017). can be measured and directly related to Under the ESA, recovery plans must grizzly bear population health. The FWS–R6–ES–2017–0057. include objective, measurable recovery Service also wants to obtain information Authority criteria, including habitat-based and comments on methods for recovery standards (16 U.S.C. monitoring the habitat-based recovery The authority for this action is section 1533(f)(1)(B)(ii)). A Grizzly Bear criteria. The workshop will be held in 4(f) of the Endangered Species Act, 16 Recovery Plan Task Force also Missoula, Montana, on the date U.S.C. 1533(f). recommended further consideration of specified in DATES at the location Dated: October 5, 2017. this issue, stating that we should work specified in ADDRESSES. Participants are Noreen E. Walsh, to ‘‘establish a threshold of minimal invited to present information in oral habitat values to be maintained within and written form. All comments Regional Director, Mountain-Prairie Region, each Cumulative Effects Analysis Unit presented orally should also be Denver, Colorado. in order to ensure that sufficient habitat submitted in writing to facilitate review [FR Doc. 2017–26257 Filed 12–11–17; 8:45 am] is available to support a viable of these comments. Those wishing to BILLING CODE 4333–15–P population’’ (U.S. Fish and Wildlife present information or comments orally Service 1993, p. 76). The draft habitat- at the workshop are asked to contact the based recovery criteria were developed Grizzly Bear Recovery Office (see
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DEPARTMENT OF THE INTERIOR A Federal Register notice with a 60- Total Estimated Annual Nonhour day public comment period soliciting Burden Cost: $361,500. Office of Surface Mining Reclamation comments on this collection of An agency may not conduct or and Enforcement information was published on August sponsor and a person is not required to [S1D1S SS08011000 SX066A0067F 16, 2017 (82 FR 38933). No comments respond to a collection of information 178S180110; S2D2D SS08011000 SX066A00 were received. unless it displays a currently valid OMB 33F 17XS501520; OMB Control Number We are again soliciting comments on control number. 1029–0063] the proposed ICR that is described The authority for this action is the below. We are especially interested in Paperwork Reduction Act of 1995 (44 Agency Information Collection public comment addressing the U.S.C. 3501 et seq). Activities: Submission to the Office of following issues: (1) Is the collection Dated: October 25, 2017. Management and Budget for Review necessary to the proper functions of and Approval; Fee Collection and Coal John A. Trelease, OSMRE; (2) is the estimate of burden Acting Chief, Division of Regulatory Support. Production Reporting and Form OSM– accurate; (3) how might OSMRE [FR Doc. 2017–26766 Filed 12–11–17; 8:45 am] 1, Coal Reclamation Fee Report enhance the quality, utility, and clarity BILLING CODE 4310–05–P AGENCY: Office of Surface Mining of the information to be collected; and Reclamation and Enforcement, Interior. (4) how might OSMRE minimize the burden of this collection on the ACTION: Notice of information collection; DEPARTMENT OF LABOR request for comment. respondents, including through the use of information technology. Employment and Training SUMMARY: In accordance with the Comments that you submit in Administration Paperwork Reduction Act of 1995, we, response to this notice are a matter of the Office of Surface Mining public record. Before including your Agency Information Collection Reclamation and Enforcement (OSMRE) address, phone number, email address, Activities; Comment Request; DOL- are proposing to renew an information or other personal identifying Only Performance Accountability, collection relating to the Abandoned information in your comment, you Information, and Reporting System Mine Reclamation Fund—Fee should be aware that your entire Collection and Coal Production comment—including your personal AGENCY: Employment and Training Reporting. identifying information—may be made Administration (ETA), Labor. DATES: Interested persons are invited to publicly available at any time. While ACTION: Notice of availability; request submit comments on or before January you can ask us in your comment to for comments. 11, 2018. withhold your personal identifying SUMMARY: The Department of Labor ADDRESSES: information from public review, we Send written comments on (DOL or Department) is soliciting this information collection request (ICR) cannot guarantee that we will be able to do so. comments concerning the measures of to the Office of Management and performance for the Senior Community Budget’s Desk Officer for the Title: 30 CFR part 870—Abandoned Mine Reclamation Fund—Fee Service Employment Program (SCSEP). Department of the Interior by email at The Older Americans Act [email protected]; or via Collection and Coal Production Reauthorization Act of 2016 (OAA– facsimile to (202) 395–5806. Please Reporting. 2016) amended the measures of provide a copy of your comments to OMB Control Number: 1029–0063. performance for SCSEP to align them John Trelease, Office of Surface Mining Summary: The information is used to with the performance measures under Reclamation and Enforcement, 1849 C maintain a record of coal produced for the Workforce Innovation and Street NW, Mail Stop 4559, Washington, sale, transfer, or use nationwide each Opportunity Act (WIOA). The DC 20240; or by email to jtrelease@ calendar quarter, the method of coal Department added performance osmre.gov. Please reference OMB removal and the type of coal, and the information collection requirements for Control Number 1029–0063 in the basis for coal tonnage reporting in SCSEP to the information collection subject line of your comments. compliance with 30 CFR 870 and request (ICR) titled, ‘‘DOL-Only FOR FURTHER INFORMATION CONTACT: section 401 of Public Law 95–87. To Performance Accountability, request additional information about Individual reclamation fee payment liability is based on this information. Information, and Reporting System.’’ this ICR, contact John Trelease by email This comment request is part of at [email protected], or by telephone Without the collection of this continuing Departmental efforts to at (202) 208–2783. You may also view information, OSMRE could not reduce paperwork and respondent the ICR at http://www.reginfo.gov/ implement its regulatory responsibilities burden in accordance with the public/do/PRAMain. and collect the fee. Bureau Form Number: OSM–1. Paperwork Reduction Act of 1995 SUPPLEMENTARY INFORMATION: In (PRA). accordance with the Paperwork Type of Review: Extension of a Reduction Act of 1995, we provide the currently approved collection. DATES: Submit written comments to the general public and other Federal Respondents/Affected Public: Coal office listed in the addresses section agencies with an opportunity to mine permittees. below on or before February 12, 2018. comment on new, proposed, revised, Total Estimated Number of Annual ADDRESSES: Comments submitted in and continuing collections of Responses: 11,672. response to this notice should be information. This helps us assess the Estimated Completion Time per submitted electronically through the impact of our information collection Response: 2–6 minutes, depending on Federal eRulemaking Portal at http:// requirements and minimize the public’s whether respondent efiles or paper files. www.regulations.gov by selecting reporting burden. It also helps the Total Estimated Number of Annual Docket ID number ETA–2017–0006 or public understand our information Burden Hours: 389 hours. via postal mail, commercial delivery, or collection requirements and provides Respondent’s Obligation: Mandatory. hand delivery. A copy of the ICR with the requested data in the desired format. Frequency of Collection: Quarterly. applicable supporting documentation,
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including a description of the likely provided in the desired format, whether the information will have respondents, proposed frequency of reporting burden (time and financial practical utility; response, and estimated total burden, resources) is minimized, collection • Evaluate the accuracy of the may be obtained free of charge from instruments are clearly understood, and agency’s estimate of the burden of the http://www.regulations.gov or by the impact of collection requirements proposed collection of information, contacting Herman L. Quilloin III by can be properly assessed. including the validity of the telephone at 202–693–3994 (this is not The DOL-Only ICR was developed methodology and assumptions used; a toll-free number) or by email at based on the requirements in WIOA Sec. • Enhance the quality, utility, and [email protected]. Individuals 116. The Department amended the clarity of the information to be with hearing or speech impairments information collection by adding the collected; and may access the telephone number above performance-related reporting • Minimize the burden of the via TTY by calling the toll-free Federal requirements for SCSEP to the collection of information on those who Information Relay Service at 1–877– Participant Individual Record Layout are to respond, including through the 889–5627 (TTY/TDD). Fax: 202–693– (PIRL) (ETA–9172), and (Program) use of appropriate automated, 2766. Performance Report (ETA–9173). electronic, mechanical, or other Mail and hand delivery/courier: Send The Department requires grantees to technological collection techniques or written comments to: Herman L. certify and submit the ETA (Program) other forms of information technology Quilloin III, Office of Policy Performance Report to ETA on a (e.g., permitting electronic submissions Development and Research, Room quarterly basis. ETA will aggregate the of responses). information the grantees submit through N5641, Employment and Training III. Current Actions Administration, U.S. Department of the PIRL to populate the ETA (Program) Labor, 200 Constitution Avenue NW, Performance Report and grantees will DOL-Only Performance Accountability, Washington, DC 20210. Due to security- confirm their accuracy. Information, and Reporting System The OAA–2016 amended the SCSEP related concerns, there may be a Agency: DOL–ETA. significant delay in the receipt of core indicators of performance and Title of Collection: DOL-Only submissions by United States Mail. You requires the amended measures to be Performance Accountability, must take this into consideration when implemented by regulation by December Information, and Reporting System. preparing to meet the deadline for 31, 2017. SCSEP will retain its current Type of Review: Revision. submitting comments. ICR (under OMB Control Number 1205– OMB Control Number: 1205–0521. Comments submitted in response to 0040) for data elements not contained in Affected Public: State, Local, and this comment request will become a the revised DOL-Only Performance Tribal Governments; Individuals or matter of public record and will be Accountability, Information and Households; and Private Sector— summarized and included in the request Reporting System. This ICR incorporates businesses or other for-profits and not- for Office of Management and Budget the SCSEP Interim Final Rule citations, for-profit institutions. (OMB) approval of the information as required by 5 CFR 1320.11(h). Those Obligation to Respond: Required to collection request. In addition, citations are sections 20 CFR parts: Obtain or Retain Benefits. comments, regardless of the delivery 641.700, 641.710, 641.720, 641.730, Estimated Total Annual Respondents: method, will be posted without change 641.740, and 641.750. 17,532,542. on the http://www.regulations.gov The OAA amended the measures of Estimated Total Annual Responses: website; consequently, the Department performance for SCSEP in large part to 35,064,970. recommends commenters not include align SCSEP performance measures with Estimated Total Annual Burden personal information such as a Social the three employment outcome Hours: 8,938,029. Security Number, personal address, indicators mandated for WIOA core programs under WIOA sec. Rosemary Lahasky, telephone number, email address, or Deputy Assistant Secretary for Employment confidential business information that 116(b)(2)(A)(i)(I)–(III). In addition to these three WIOA employment outcome and Training Administration, Labor. they do not want made public. It is the [FR Doc. 2017–26677 Filed 12–11–17; 8:45 am] responsibility of the commenter to indicators of performance, SCSEP has BILLING CODE 4510–FN–P determine what to include in the public three measures related to participation record. in the program: Service level, hours of community service, and service to the FOR FURTHER INFORMATION CONTACT: most-in-need. DEPARTMENT OF LABOR Herman L. Quilloin III by telephone at The Department proposes to amend Bureau of Labor Statistics 202–693–3994 (this is not a toll-free the information collection by adding the number) or by email at regulatory citations from the SCSEP [email protected]. Proposed Collection, Comment Interim Final Rule to comply with the Request SUPPLEMENTARY INFORMATION: PRA. The Department plans to review I. Background and analyze any comments received in ACTION: Notice. response to this Federal Register Notice The DOL, as part of its continuing in order to finalize the substantive SUMMARY: The Department of Labor, as effort to reduce paperwork and information collection requirements to part of its continuing effort to reduce respondent burden, conducts a pre- the extent legally possible. paperwork and respondent burden, clearance consultation process to conducts a pre-clearance consultation provide the general public and Federal II. Review Focus program to provide the general public agencies with an opportunity to The Department is particularly and Federal agencies with an comment on proposed and/or interested in comments that: opportunity to comment on proposed continuing collections of information • Evaluate whether the proposed and/or continuing collections of before submitting them to the OMB for collection of information is necessary information in accordance with the final approval. This process helps for the proper performance of the Paperwork Reduction Act of 1995 ensure that requested data can be functions of the agency, including (PRA95). This program helps to ensure
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that requested data can be provided in requests deal with program deliverables, Signed at Washington, DC, this 5th day of the desired format, reporting burden program enhancements, operations, or December 2017. (time and financial resources) is administrative issues, questions and Kimberley D. Hill, minimized, collection instruments are dialogue are crucial to the successful Chief, Division of Management Systems, clearly understood, and the impact of implementation of these programs. Bureau of Labor Statistics. collection requirements on respondents II. Current Action [FR Doc. 2017–26737 Filed 12–11–17; 8:45 am] can be properly assessed. The Bureau of BILLING CODE 4510–24–P Labor Statistics (BLS) is soliciting Office of Management and Budget comments concerning the proposed clearance is being sought for the General extension of ‘‘General Inquiries to State Inquiries to State Agency Contacts. DEPARTMENT OF LABOR Agency Contacts.’’ A copy of the Information collected under this proposed information collection request clearance is used to support the Occupational Safety and Health (ICR) can be obtained by contacting the administrative and programmatic needs Administration individual listed below in the of jointly conducted BLS/State Labor [Docket No. OSHA–2017–0013] ADDRESSES section of this notice. Market Information and Occupational DATES: Written comments must be Safety and Health Statistics cooperative Safe + Sound Campaign; Office of submitted to the office listed in the statistical programs. Management and Budget’s (OMB) ADDRESSES section of this notice on or III. Desired Focus of Comments Approval of Information Collection (Paperwork) Requirements before February 12, 2018. The Bureau of Labor Statistics is ADDRESSES: Send comments to Erin particularly interested in comments AGENCY: Occupational Safety and Health Good, BLS Clearance Officer, Division that: Administration, Labor. of Management Systems, Bureau of • Evaluate whether the proposed ACTION: Request for public comment. Labor Statistics, Room 4080, 2 collection of information is necessary Massachusetts Avenue NE, Washington, for the proper performance of the SUMMARY: OSHA solicits public DC 20212. Written comments also may functions of the agency, including comments concerning its proposal to the be transmitted by fax to 202–691–5111 whether the information will have Office of Management and Budget’s (this is not a toll free number). practical utility. (OMB) approval of the information FOR FURTHER INFORMATION CONTACT: Erin • Evaluate the accuracy of the collection requirements specified in the Good, BLS Clearance Officer, 202–691– agency’s estimate of the burden of the Safe + Sound Campaign. 7763 (this is not a toll free number). (See proposed collection of information, DATES: Comments must be submitted ADDRESSES section.) including the validity of the (postmarked, sent, or received) by SUPPLEMENTARY INFORMATION: methodology and assumptions used. February 12, 2018. • Enhance the quality, utility, and ADDRESSES: Electronically: You may I. Background clarity of the information to be submit comments and attachments The Bureau of Labor Statistics (BLS) collected. electronically at http:// awards funds to State agencies in the 50 • Minimize the burden of the www.regulations.gov, which is the States, the District of Columbia, Puerto collection of information on those who Federal eRulemaking Portal. Follow the Rico, Guam, and the Virgin Islands, are to respond, including through the instructions online for submitting hereinafter referred to as the ‘‘States’’) in use of appropriate automated, comments. order to jointly conduct BLS/State Labor electronic, mechanical, or other Facsimile: If your comments, Market Information and Occupational technological collection techniques or including attachments, are not longer Safety and Health Statistics cooperative other forms of information technology, than 10 pages, you may fax them to the statistical programs, which themselves e.g., permitting electronic submissions OSHA Docket Office at (202) 693–1648. have been approved by OMB separately, of responses. Mail, hand delivery, express mail, as follows: Type of Review: Extension of a messenger, or courier service: When currently approved collection. Current Employment Statistics 1220–0011 using this method, you must submit a Local Area Unemployment Statistics 1220– Agency: Bureau of Labor Statistics. copy of your comments and attachments 0017 Title: General Inquiries to State to the OSHA Docket Office, Docket No. Occupational Employment Statistics 1220– Agency Contacts. OSHA–2017–0013, Occupational Safety 0042 OMB Number: 1220–0168. and Health Administration, U.S. Quarterly Census of Employment and Wages Affected Public: State, Local, or Tribal Department of Labor, Room N–3653, Report 1220–0012 Government. 200 Constitution Avenue NW, Annual Refiling Survey 1220–0032 Total Respondents: 54. Labor Market Information Cooperative Frequency: As needed. Washington, DC 20210. Deliveries Agreement 1220–0079 Total Responses: 23,890. (hand, express mail, messenger, and Multiple Worksite Report 1220–0134 Average Time per Response: 40 courier services) are accepted during the Annual Survey of Occupational Injuries and minutes. Docket Office’s normal business hours, Illnesses 1220–0045 Estimated Total Burden Hours: 10:00 a.m. to 3:00 p.m., ET. Census of Fatal Occupational Injuries 1220– 15,927. Instructions: All submissions must 0133 Total Burden Cost (capital/startup): include the Agency name and OSHA BLS/OSHS Federal State Cooperative $0. docket number (OSHA–2017–0013) for Agreement 1220–0149 Total Burden Cost (operating/ the Information Collection Request To ensure the timely flow of maintenance): $0. (ICR). All comments, including any information and to be able to evaluate Comments submitted in response to personal information you provide, are and improve the BLS/State cooperative this notice will be summarized and/or placed in the public docket without programs’ management and operations, included in the request for Office of change, and may be made available it is necessary to conduct ongoing Management and Budget approval of the online at http://www.regulations.gov. communications between the BLS and information collection request; they also For further information on submitting its State partners. Whether information will become a matter of public record. comments, see the ‘‘Public
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Participation’’ heading in the section of institutions, and state and federal IV. Public Participation—Submission of this notice titled SUPPLEMENTARY government agencies, collaborate with Comments on This Notice and Internet INFORMATION. the Agency on the Campaign. The Access to Comments and Submissions Docket: To read or download Campaign includes periodic activities comments or other materials in the and events, ranging from regular email You may submit comments in docket, go to http://www.regulations.gov updates to quarterly national webinars response to this document as follows: or the OSHA Docket Office at the to local meetings to an annual national (1) Electronically at http:// address above. All documents in the stand down (i.e., Safe + Sound Week), regulations.gov, which is the Federal docket (including this Federal Register designed to increase overall employer eRulemaking Portal; (2) by facsimile notice) are listed in the http:// and employee awareness and (fax); or (3) by hard copy. All comments, www.regulations.gov index; however, understanding of safety and health attachments, and other materials must some information (e.g., copyrighted programs and promote employer identify the Agency name and the material) is not publicly available to adoption of these programs. OSHA OSHA docket number for the ICR read or download from the website. All believes widespread implementation of (Docket No. OSHA–2017–0013). You submissions, including copyrighted such programs will substantially may supplement electronic submissions material, are available for inspection improve overall workplace safety and by uploading document files and copying at the OSHA Docket Office. health conditions. electronically. If you wish to mail additional materials in reference to an You may also contact Theda Kenney at II. Special Issues for Comment the address below to obtain a copy of electronic or facsimile submission, you the ICR. OSHA has a particular interest in must submit them to the OSHA Docket comments on the following issues: Office (see the section of this notice FOR FURTHER INFORMATION CONTACT: • Whether the proposed information titled ADDRESSES). The additional Theda Kenney or Charles McCormick, collection requirements are necessary materials must clearly identify your Directorate of Standards and Guidance, for the proper performance of the electronic comments by your name, OSHA, U.S. Department of Labor; Agency’s functions, including whether date, and the docket number so the telephone (202) 693–2222. the information is useful; Agency can attach them to your SUPPLEMENTARY INFORMATION: • The accuracy of OSHA’s estimate of comments. I. Background the burden (time and costs) of the Because of security procedures, the information collection requirements, use of regular mail may cause a The Department of Labor, as part of its including the validity of the significant delay in the receipt of continuing effort to reduce paperwork methodology and assumptions used; and respondent (i.e., employer) burden, • The quality, utility, and clarity of comments. For information about conducts a preclearance consultation the information collected; and security procedures concerning the program to provide the public with an • Ways to minimize the burden on delivery of materials by hand, express opportunity to comment on proposed employers who must comply. For delivery, messenger, or courier service, and continuing information collection example, by using automated or other please contact the OSHA Docket Office requirements in accord with the technological information collection at (202) 693–2350, (TTY (877) 889– Paperwork Reduction Act of 1995 (PRA) and transmission techniques. 5627). Comments and submissions are (44 U.S.C. 3506(c)(2)(A)). This program III. Proposed Actions ensures that information is in the posted without change at http:// desired format, reporting burden (time OSHA is requesting that OMB www.regulations.gov. Therefore, OSHA and costs) is minimal, collection approve the information collection cautions comments about submitting instruments are clearly understood, and associated with Safe + Sound Campaign personal information such as social OSHA’s estimate of the information activities. This voluntary information security numbers and date of birth. collection burden is accurate. The collection will include event Although all submissions are listed in Occupational Safety and Health Act of registration and customer feedback the http://www.regulations.gov index, 1970 (the OSH Act) (29 U.S.C. 651 et surveys for activities throughout the some information (e.g., copyrighted seq.) authorizes information collection year (e.g., national webinars, local material) is not publically available to by employers as necessary or events, a national stand down event), read or download through this website. appropriate for enforcement of the OSH outreach phone calls to recruit partners All submissions, including copyrighted Act or for developing information for the Campaign, and in-depth follow- material, are available for inspection regarding the causes and prevention of up and case study interviews of event and copying at the OSHA Docket Office. occupational injuries, illnesses, and participants. OSHA is proposing burden Information on using the http:// accidents (29 U.S.C. 657). The OSH Act hour estimate of seven hundred thirty- www.regulations.gov website to submit also requires that OSHA obtain such nine (739) hours. The Agency will comments and access the docket is information with minimum burden summarize the comments submitted in available at the website’s ‘‘User Tips’’ upon employers, especially those response to this notice and will include link. Contact the OSHA Docket Office operating small businesses, and to this summary in the request to OMB. for information about materials not reduce to the maximum extent feasible Type of Review: New. available through the website, and for Title: Safe + Sound Campaign. unnecessary duplication of efforts in assistance in using the internet to locate OMB Control Number: 1218–0NEW. docket submissions. obtaining information (29 U.S.C. 657). Affected Public: Business or other for- In 2016, OSHA established the Safe + profits. V. Authority and Signature Sound Campaign, a voluntary effort to Number of Respondents: 10,500. support the implementation of safety Frequency of Responses: Annually. Loren Sweatt, Deputy Assistant and health programs in businesses Average Time per Response: Time Secretary of Labor for Occupational throughout the United States. Outside varies per response. Safety and Health, directed the stakeholders, including safety and Estimated Total Burden Hours: 739. preparation of this notice. The authority health professional organizations, trade Estimated Cost (Operation and for this notice is the Paperwork and industry associations, academic Maintenance): $35,857. Reduction Act of 1995 (44 U.S.C. 3506
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et seq.) and Secretary of Labor’s Order The Minnesota State Plan was performance or structure of the plan. No. 1–2012 (77 FR 3912). initially approved under Section 18(b) Federal OSHA also covers Federal Signed at Washington, DC, on December 6, of the OSHA Act. 38 FR 15077 (June 8, Government employers. Additionally, 2017. 1973). The State Plan later received final Federal OSHA covers the United States Loren Sweatt, approval. 50 FR 30832 (July 30, 1985). Postal Service (USPS). 65 FR 36622 The Minnesota State Plan is Deputy Assistant Secretary of Labor for (June 9, 2000). Occupational Safety and Health. administered by the Minnesota Department of Labor and Industry, Authority and Signature [FR Doc. 2017–26719 Filed 12–11–17; 8:45 am] Minnesota Occupational Safety and Loren Sweatt, Deputy Assistant BILLING CODE 4510–26–P Health Administration (MNOSHA). Secretary of Labor for Occupational Under the Plan, MNOSHA covers state Safety and Health, U.S. Department of DEPARTMENT OF LABOR and local government employers and Labor, authorized the preparation of this private-sector employers with certain notice. OSHA is issuing this notice Occupational Safety and Health exceptions. Originally, one of the under the authority specified by section Administration exceptions was employment at the Twin 18 of the Occupational Safety and Cities Army Ammunition Plant, which Health Act of 1970 (29 U.S.C. 667), [Docket No. OSHA–2017–0011] Federal OSHA covered because the Secretary of Labor’s Order No. 1–2012 United States had exclusive federal (77 FR 3912), and 29 CFR parts 1902 Minnesota State Plan; Changes in jurisdiction over the site. 50 FR 30832 and 1953. Level of Federal Enforcement: (July 30, 1985). Later, another exception Signed in Washington, DC, on December 1, Employment on Indian Reservations was added for tribal and private-sector 2017. and Twin Cities Army Ammunition employment within any Indian Loren Sweatt, Plant, and Coverage Clarifications reservation in the State, which Federal OSHA also covered. 61 FR 36824 (July Deputy Assistant Secretary of Labor for Occupational Safety and Health. AGENCY: Occupational Safety and Health 15, 1996). Administration (OSHA), Department of With the decommissioning and [FR Doc. 2017–26676 Filed 12–11–17; 8:45 am] Labor. removal of the Twin Cities Army BILLING CODE 4510–26–P ACTION: Notice. Ammunition Plant, MNOSHA requested that the exception to the State Plan’s SUMMARY: This document gives notice of coverage for the plant be eliminated. DEPARTMENT OF LABOR OSHA’s approval of changes to the State The land on which the plant stood was of Minnesota’s Occupational Safety and Occupational Safety and Health transferred to the county and as such, Administration Health State Plan that specify that non- private-sector employment on this land Indian private- sector employment would fall under the State Plan’s area of [Docket No. OSHA–2011–0057] within an Indian reservation or on lands coverage. However, Federal OSHA held in trust by the Federal continues to cover employment on land Excavations (Design of Cave-in Government, and employment on land adjacent to the land transferred to the Protection Systems); Extension of the formerly occupied by the Twin Cities county because that adjacent land Office of Management and Budget’s Army Ammunition Plant, are included continues to be under exclusive federal (OMB) Approval of Information in its State Plan, and that make other jurisdiction. Federal OSHA granted this Collection (Paperwork) Requirements minor coverage clarifications. request. AGENCY: Occupational Safety and Health DATES: Applicable Date: December 12, MNOSHA also requested that the Administration (OSHA), Labor. 2017. exception to the State Plan for tribal and private-sector employment on Indian ACTION: Request for public comments. FOR FURTHER INFORMATION CONTACT: For reservations and lands held in trust by SUMMARY: OSHA solicits public press inquiries, contact Francis the Federal Government be changed so Meilinger, Director, OSHA Office of comments concerning its proposal to that MNOSHA could cover non-Indian extend OMB approval of the Communications, U.S. Department of private-sector employment in these Labor; telephone: (202) 693–1999; information collection requirements areas. Federal OSHA continues to cover contained in the Standard on email: [email protected]. establishments owned or operated by For general and technical information, Excavations (Design of Cave-in Indian tribes or by enrolled members of Protection Systems). contact Douglas J. Kalinowski, Director, Indian tribes. This approach to coverage OSHA Directorate of Cooperative and is consistent with case law on federal DATES: Comments must be submitted State Programs, U.S. Department of and state authority over Indian lands. (postmarked, sent, or received) by Labor; telephone: (202) 693–2200; Federal OSHA granted this request. February 12, 2018. email: [email protected]. These changes are reflected on the ADDRESSES: SUPPLEMENTARY INFORMATION: Section 18 Federal OSHA web page for MNOSHA, Electronically: You may submit of the Occupational Safety and Health http://www.osha.gov/dcsp/osp/ comments and attachments Act of 1970, 29 U.S.C. 667 (OSH Act), stateprogs/minnesota.html. In addition, electronically at http:// provides that States that wish to assume that web page was updated to include www.regulations.gov, which is the responsibility for developing and two longstanding coverage features of Federal eRulemaking Portal. Follow the enforcing their own occupational safety the Minnesota State Plan which are also instructions online for submitting and health standards may do so by common to other State Plans. 50 FR comments. submitting and obtaining federal 30832 (July 30, 1985). Federal OSHA Facsimile: If your comments, approval of a State Plan. State Plan covers any hazard, industry, including attachments, are not longer approval occurs in stages that include geographical area, operation or facility than 10 pages, you may fax them to the initial approval under Section 18(c) of over which the State is unable to OSHA Docket Office at (202) 693–1648. the Act and, ultimately, final approval effectively exercise jurisdiction for Mail, hand delivery, express mail, under Section 18(e). reasons unrelated to the required messenger, or courier service: When
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using this method, you must submit a collection burden is accurate. The protective systems based on tabulated copy of your comments and attachments Occupational Safety and Health Act of data provided by a system manufacturer to the OSHA Docket Office, OSHA 1970 (the OSH Act) (29 U.S.C. 651 et (Option 3) or obtained from other Docket No. OSHA–2011–0057, U.S. seq.) authorizes information collection sources including a registered Occupational Safety and Health by employers as necessary or professional engineer and approved by Administration, Department of Labor, appropriate for enforcement of the Act a registered professional engineer Occupational Safety and Health or for developing information regarding (Option 4). Administration, Room N–3653, 200 the causes and prevention of Each of these provisions requires Constitution Avenue NW, Washington, occupational injuries, illnesses, and employers to maintain a copy of the DC 20210. Deliveries (hand, express accidents (29 U.S.C. 657). The OSH Act documents described in these options at mail, messenger, and courier service) also requires that OSHA obtain such the jobsite during construction. After are accepted during the Docket Office’s information with minimum burden construction is completed, employers normal business hours, 10:00 a.m. to upon employers, especially those may store the documents off-site 3:00 p.m., e.t. operating small businesses, and to provided they make them available to Instructions: All submissions must reduce to the maximum extent feasible an OSHA compliance officer on request. include the Agency name and the OSHA unnecessary duplication of efforts in These documents provide both the docket number (OSHA–2011–0057) for obtaining information (29 U.S.C. 657). employer and the compliance officer the Information Collection Request Paragraphs (b) and (c) of § 1926.652 with information needed to determine if (ICR). All comments, including any (‘‘Requirements for Protective Systems;’’ the selection and design of a protective personal information you provide, are the ‘‘Standard’’) contain paperwork system are appropriate to the excavation placed in the public docket without requirements that impose burden hours work, thereby assuring workers change, and may be made available or costs on employers. These paragraphs maximum protection against cave-ins. require employers to use protective online at http://www.regulations.gov. II. Special Issues for Comment For further information on submitting systems to prevent cave-ins during comments, see the ‘‘Public excavation work; these systems include OSHA has a particular interest in Participation’’ heading in the section of sloping the side of the trench, benching comments on the following issues: • this notice titled SUPPLEMENTARY the soil away from the excavation, or Whether the proposed information INFORMATION. using a support system or shield (such collection requirements are necessary Docket: To read or download as a trench box). The Standard specifies for the proper performance of the comments or other material in the allowable configurations and slopes for Agency’s functions, including whether excavations, and provides appendices to the information is useful; docket, go to http://www.regulations.gov • or the OSHA Docket Office at the assist employers in designing protective The accuracy of OSHA’s estimate of address above. All documents in the systems. However, paragraphs (b)(3) and the burden (time and costs) of the docket (including this Federal Register (b)(4) of the Standard permit employers information collection requirements, notice) are listed in the http:// to design sloping or benching systems including the validity of the www.regulations.gov index; however, based on tabulated data (Option 3), or to methodology and assumptions used; • The quality, utility, and clarity of some information (e.g., copyrighted use a design approved by a registered the information collected; and material) is not publicly available to professional engineer (Option 4). Under Option 3, employers must • Ways to minimize the burden on read or download through the website. provide the tabulated data in a written employers who must comply; for All submissions, including copyrighted form that also identifies the registered example, by using automated or other material, are available for inspection professional engineer who approved the technological information collection and copying at the OSHA Docket Office. data and the parameters used to select and transmission techniques. You may also contact Theda Kenney at the sloping or benching system drawn the phone number below to obtain a III. Proposed Actions from the data, as well as the limitations copy of the ICR. of the data (including the magnitude The Agency is requesting that OMB FOR FURTHER INFORMATION CONTACT: and configuration of slopes determined extend its approval of the information Charles McCormick or Theda Kenney, to be safe). The document must also collection requirements contained in the Directorate of Standards and Guidance, provide any explanatory information Standard on Excavations (Design of OSHA, U.S. Department of Labor, (202) necessary to select the correct benching Cave-in Protection Systems). An 693–2222. system based on the data. Option 2 increase in the number of construction SUPPLEMENTARY INFORMATION: requires employers to develop a written from 761,873 to 931,009 projects/sites design approved by a registered has resulted in an adjustment increase I. Background professional engineer. The design in burden hours from 14,266 to 17,262— The Department of Labor, as part of its information must include the magnitude a total increase of 2,996 burden hours. continuing effort to reduce paperwork and configuration of the slopes OSHA increased the number of and respondent (i.e., employer) burden, determined to be safe, and the identity apartment and non-residential conducts a preclearance consultation of the registered professional engineer construction sites that would use program to provide the public with an who approved the design. outside contractor engineering services opportunity to comment on proposed Paragraph (c)(2)(iii) allows employers for the required protective system and continuing information collection to use manufacturer’s tabulated data or design approval from 2,038 to 2,466. requirements in accord with the to deviate from the data provided. The There was an increase in hourly wage Paperwork Reduction Act of 1995 manufacturer’s specification, for a civil engineer from $53.17 to (PRA–95) (44 U.S.C. 3506(c)(2)(A)). This recommendations, and limitations as $63.16, which increased the overall cost program ensures that information is in well as the manufacturer’s approval to from $216,721 to $311,505, a difference the desired format, reporting burden deviate from these items shall be in of $94,784. (time and costs) is minimal, collection writing. Paragraphs (c)(3) and (c)(4) The Agency will summarize any instruments are clearly understood, and allow employers to design support comments submitted in response to this OSHA’s estimate of the information systems, shield systems, and other notice and will include this summary in
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the request to OMB to extend the Information on using the http:// an Executive Branch interagency approval of the information collection www.regulations.gov website to submit coordinating committee chaired by the requirements contained in the Standard. comments and access the docket is Vice President, which is tasked with Type of Review: Extension of a available at the website’s ‘‘User Tips’’ advising and assisting the President currently approved collection. link. Contact the OSHA Docket Office regarding national space policy and Title: Excavations (Design of Cave-in for information about materials not strategy. Protection Systems) (29 CFR part 1926, available through the website and for Membership: Members of the UAG subpart P). assistance in using the internet to locate will serve either as ‘‘Representatives’’ OMB Control Number: 1218–0137. docket submissions. (representing industry, other non- Affected Public: Business or other for- Federal entities, and other recognizable profits. V. Authority and Signature groups of persons involved in Number of Respondents: 8,382. Loren Sweatt, Deputy Assistant aeronautical and space activities) or Number of Responses: 17,262. Secretary of Labor for Occupational ‘‘Special Government Employees’’ Frequency of Responses: On occasion. Safety and Health, directed the (individual subject matter experts). Average Time per Response: Various. preparation of this notice. The authority Duration: Pursuant to Section 12(b) of Estimated Total Burden Hours: 17,262 for this notice is the Paperwork the NASA Authorization Act of 1991, hours. Reduction Act of 1995 (44 U.S.C. 3506 the UAG is not subject to Section 14a(2) Estimated Cost (Operation and et seq.) and Secretary of Labor’s Order of FACA, and shall exist on an ongoing Maintenance): $0. No. 1–2012 (77 FR 3912). basis. IV. Public Participation—Submission of Signed at Washington, DC, on December 5, Responsible NASA Official: Dr. Jeff Comments on This Notice and Internet 2017. Waksman, Designated Federal Officer/ Executive Secretary, NASA Access to Comments and Submissions Loren Sweatt, Headquarters, 300 E Street SW, You may submit comments in Deputy Assistant Secretary of Labor for Washington, DC 20546, phone: 202– response to this document as follows: Occupational Safety and Health. 358–3758 or email: jeff.l.waksman@ (1) Electronically at http:// [FR Doc. 2017–26675 Filed 12–11–17; 8:45 am] nasa.gov. www.regulations.gov, which is the BILLING CODE 4510–26–P Federal eRulemaking Portal; (2) by FOR FURTHER INFORMATION CONTACT: Dr. facsimile (fax); or (3) by hard copy. All Jeff Waksman, Designated Federal comments, attachments, and other NATIONAL AERONAUTICS AND Officer/Executive Secretary, NASA material must identify the Agency name SPACE ADMINISTRATION Headquarters, 300 E Street SW, and the OSHA docket number (Docket Washington, DC 20546, phone: 202– No. OSHA–2011–0057) for the ICR. You [Notice: 17–088] 358–3758 or email: jeff.l.waksman@ nasa.gov. may supplement electronic submissions National Space Council Users’ by uploading document files Advisory Group; Establishment Patricia D. Rausch, electronically. If you wish to mail Advisory Committee Management Officer, additional materials in reference to an AGENCY: National Aeronautics and National Aeronautics and Space electronic or facsimile submission, you Space Administration (NASA). Administration. must submit them to the OSHA Docket ACTION: Notice of establishment of the [FR Doc. 2017–26765 Filed 12–11–17; 8:45 am] Office (see the section of this notice National Space Council Users’ Advisory BILLING CODE 7510–13–P titled ADDRESSES). The additional Group. materials must clearly identify your electronic comments by your name, Pursuant to the NASA Authorization NATIONAL ARCHIVES AND RECORDS date, and the docket number so the Act of 1991 (Pub. L. 101–611, Section ADMINISTRATION Agency can attach them to your 121), and Executive Order 13803 comments. (‘‘Reviving The National Space [NARA–2018–009] Because of security procedures, the Council’’), Section 6, signed by the use of regular mail may cause a President on June 30, 2017, NASA has Records Schedules; Availability and significant delay in the receipt of established the National Space Council Request for Comments comments. For information about Users’ Advisory Group (UAG). The UAG AGENCY: National Archives and Records security procedures concerning the is a non-discretionary statutory Federal Administration (NARA) delivery of materials by hand, express advisory committee under the Federal ACTION: Notice of availability of delivery, messenger, or courier service, Advisory Committee Act (FACA) (Pub. proposed records schedules; request for please contact the OSHA Docket Office L. 92–463, as amended). NASA is comments. at (202) 693–2350, TTY (877) 889–5627. sponsoring and managing the operations Comments and submissions are of the UAG on behalf of the National SUMMARY: The National Archives and posted without change at http:// Space Council, Executive Office of the Records Administration (NARA) www.regulations.gov. Therefore, OSHA President. This determination follows publishes notice at least once monthly cautions commenters about submitting consultation with the Committee of certain Federal agency requests for personal information such as social Management Secretariat of the U.S. records disposition authority (records security numbers and dates of birth. General Services Administration. schedules). Once approved by NARA, Although all submissions are listed in Purpose: The purpose of the UAG is records schedules provide mandatory the http://www.regulations.gov index, purely advisory and shall be to ensure instructions on what happens to records some information (e.g., copyrighted that the interests of industry, other non- when agencies no longer need them for material) is not publicly available to Federal entities, and other persons current Government business. The read or download through this website. involved in aeronautics and space records schedules authorize agencies to All submissions, including copyrighted activities are adequately represented in preserve records of continuing value in material, are available for inspection the deliberations of the National Space the National Archives of the United and copying at the OSHA Docket Office. Council. The National Space Council is States and to destroy, after a specified
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period, records lacking administrative, subdivisions. Most schedules, however, temporary item). Records of an legal, research, or other value. NARA cover records of only one office or electronic information system designed publishes notice in the Federal Register program or a few series of records. Many to promote energy efficient buildings for records schedules in which agencies of these update previously approved including best practices, networking propose to destroy records they no schedules, and some include records information, summaries of meetings, longer need to conduct agency business. proposed as permanent. and related documents. NARA invites public comments on such The schedules listed in this notice are 3. Department of Homeland Security, records schedules. media neutral unless otherwise United States Citizenship and DATES: NARA must receive requests for specified. An item in a schedule is Immigration Services (DAA–0566– copies in writing by January 11, 2018. media neutral when an agency may 2017–0008, 14 items, 14 temporary Once NARA finishes appraising the apply the disposition instructions to items). Forms and supporting records, we will send you a copy of the records regardless of the medium in documentation for non-adjudicative schedule you requested. We usually which it creates or maintains the actions on pending and previously prepare appraisal memoranda that records. Items included in schedules approved cases and arrival/departure contain additional information submitted to NARA on or after document replacement requests. December 17, 2007, are media neutral concerning the records covered by a 4. Department of Homeland Security, unless the item is expressly limited to proposed schedule. You may also United States Citizenship and a specific medium. (See 36 CFR request these. If you do, we will also Immigration Services (DAA–0566– provide them once we have completed 1225.12(e).) Agencies may not destroy Federal 2017–0034, 1 item, 1 temporary item). the appraisal. You have 30 days after we records without Archivist of the United Master files of an electronic information send to you these requested documents States’ approval. The Archivist approves system used to track and process in which to submit comments. destruction only after thoroughly requests from other government ADDRESSES: You may request a copy of considering the records’ administrative agencies and foreign partners for any records schedule identified in this use by the agency of origin, the rights information contained in Alien Files. notice by contacting Records Appraisal of the Government and of private people 5. Corporation for National and and Agency Assistance (ACRA) using directly affected by the Government’s Community Service, Office of the one of the following means: activities, and whether or not the National Service Trust (DAA–0362– Mail: NARA (ACRA); 8601 Adelphi records have historical or other value. 2018–0003, 9 items, 9 temporary items). Road; College Park, MD 20740–6001 In addition to identifying the Federal Records related to education awards and Email: [email protected] agencies and any subdivisions student loan payment benefits, FAX: 301–837–3698 requesting disposition authority, this including institutional registration, and You must cite the control number, notice lists the organizational unit(s) requests for payment, forbearance, which appears in parentheses after the accumulating the records (or notes that benefit transfer, and extension. name of the agency that submitted the the schedule has agency-wide 6. National Labor Relations Board, schedule, and a mailing address. If you applicability when schedules cover Agency-wide (DAA–0025–2017–0001, would like an appraisal report, please records that may be accumulated 22 items, 15 temporary items). Records include that in your request. throughout an agency); provides the of an electronic case management FOR FURTHER INFORMATION CONTACT: control number assigned to each system, including undocketed Margaret Hawkins, Director, by mail at schedule, the total number of schedule correspondence, electronic submissions Records Appraisal and Agency items, and the number of temporary of representation case documentation, Assistance (ACRA); National Archives items (the records proposed for paper submissions of showing of and Records Administration; 8601 destruction); and includes a brief interest documentation, paper Adelphi Road; College Park, MD 20740– description of the temporary records. submissions of other representation case 6001, by phone at 301–837–1799, or by The records schedule itself contains a documentation, back pay email at [email protected]. full description of the records at the file administration, court mediation SUPPLEMENTARY INFORMATION: NARA unit level as well as their disposition. If working files, non-court settlement publishes notice in the Federal Register NARA staff has prepared an appraisal working files, submitted documentation, for records schedules they no longer memorandum for the schedule, it also misconduct by attorneys or party need to conduct agency business. NARA includes information about the records. representatives files where no action is invites public comments on such You may request additional information taken, all other misconduct cases, drafts records schedules, as required by 44 about the disposition process at the and informal background material, U.S.C. 3303a(a). addresses above. electronic case tracking data, case Each year, Federal agencies create records unit tracking records, statistical Schedules Pending billions of records on paper, film, reports, and working papers, transitory, magnetic tape, and other media. To 1. Department of Agriculture, Rural and duplicative case file control this accumulation, agency Development Agency (DAA–0572– documentation. Proposed for permanent records managers prepare schedules 2017–0006, 15 items, 15 temporary retention are official case files, advisory proposing records retention periods and items). Records documenting the opinions and declaratory orders case submit these schedules for NARA’s Electric Program, including routine files, sub-panel notes, panel notes, approval. These schedules provide for correspondence, loan and borrower board agenda records, research timely transfer into the National information, field activity reports, loan publications and electronic databases, Archives of historically valuable records applications, and routine studies. Also and special litigation case files. and authorize the agency to dispose of included is information on rural all other records after the agency no community loans used for wastewater Laurence Brewer, longer needs them to conduct its management assistance. Chief Records Officer for the U.S. business. Some schedules are 2. Department of Energy, Office of Government. comprehensive and cover all the records Energy Efficiency & Renewable Energy [FR Doc. 2017–26694 Filed 12–11–17; 8:45 am] of an agency or one of its major (DAA–0434–2017–0012, 1 item, 1 BILLING CODE 7515–01–P
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NATIONAL FOUNDATION ON THE Design (review of applications): This Dated: December 7, 2017. ARTS AND THE HUMANITIES meeting will be closed. Sherry P. Hale, Date and time: January 10, 2018; 2:30 Staff Assistant, National Endowment for the National Endowment for the Arts p.m. to 4:30 p.m. Arts. Design (review of applications): This [FR Doc. 2017–26735 Filed 12–11–17; 8:45 am] Arts Advisory Panel Meetings meeting will be closed. BILLING CODE 7537–01–P AGENCY: National Endowment for the Date and time: January 11, 2018; Arts, National Foundation on the Arts 11:30 a.m. to 1:30 p.m. and Humanities. Design (review of applications): This ACTION: Notice of meetings. meeting will be closed. NATIONAL SCIENCE FOUNDATION Date and time: January 11, 2018; 2:30 Notice of Intent To Seek Approval To SUMMARY: Pursuant to the Federal p.m. to 4:30 p.m. Advisory Committee Act, as amended, Establish an Information Collection Folk and Traditional Arts (review of notice is hereby given that 18 meetings applications): This meeting will be by AGENCY: National Science Foundation. of the Arts Advisory Panel to the videoconference and will be closed. National Council on the Arts will be ACTION: Notice and request for Date and time: January 12, 2018; 1:00 held by teleconference unless otherwise comments. p.m. to 4:00 p.m. noted. Design (review of applications): This SUMMARY: The National Science DATES: See the SUPPLEMENTARY meeting will be closed. Foundation (NSF) is announcing plans INFORMATION section for individual to request approval for the Hispanic- meeting times and dates. All meetings Date and time: January 17, 2018; 11:30 a.m. to 1:30 p.m. Serving Institutions (HSI) Certification are Eastern time and ending times are Form. In accordance with the approximate: Design (review of applications): This meeting will be closed. requirements of the Paperwork Reduction Act of 1995, we are providing ADDRESSES: National Endowment for the Date and time: January 17, 2018; 2:30 opportunity for public comment on this Arts, Constitution Center, 400 7th St. p.m. to 4:30 p.m. SW, Washington, DC 20506. action. After obtaining and considering Design (review of applications): This public comment, NSF will prepare the FOR FURTHER INFORMATION CONTACT: meeting will be closed. Further information with reference to submission requesting that OMB Date and time: January 18, 2018; approve clearance of this collection for these meetings can be obtained from Ms. 11:30 a.m. to 1:30 p.m. Sherry P. Hale, Office of Guidelines & no longer than 3 years. Folk and Traditional Arts (review of Panel Operations, National Endowment DATES: Written comments on this notice applications): This meeting will be for the Arts, Washington, DC 20506; must be received by February 12, 2018 closed. [email protected], or call 202/682–5696. to be assured of consideration. Date and time: January 23, 2018; 1:00 SUPPLEMENTARY INFORMATION: The Comments received after that date will p.m. to 3:00 p.m. closed portions of meetings are for the be considered to the extent practicable. Folk and Traditional Arts (review of purpose of Panel review, discussion, FOR FURTHER INFORMATION CONTACT: applications): This meeting will be evaluation, and recommendations on Suzanne H. Plimpton, Reports Clearance closed. financial assistance under the National Officer, National Science Foundation, Foundation on the Arts and the Date and time: January 25, 2018; 1:00 2415 Eisenhower Avenue, Room W Humanities Act of 1965, as amended, p.m. to 3:00 p.m. 18000, Alexandria, Virginia 22314; or including information given in Music (review of applications): This send email to [email protected]. confidence to the agency. In accordance meeting will be closed. Individuals who use a with the determination of the Chairman Date and time: January 25, 2018; 2:00 telecommunications device for the deaf of July 5, 2016, these sessions will be p.m. to 4:00 p.m. (TDD) may call the Federal Information closed to the public pursuant to Research (review of applications): Relay Service (FIRS) at 1–800–877– subsection (c)(6) of section 552b of title This meeting will be closed. 8339, which is accessible 24 hours a 5, United States Code. Date and time: January 25, 2018; day, 7 days a week, 365 days a year The upcoming meetings are: 11:00 a.m. to 1:30 p.m. (including federal holidays). Folk and Traditional Arts (review of Research (review of applications): SUPPLEMENTARY INFORMATION: Comments applications): This meeting will be by This meeting will be closed. videoconference and will be closed. are invited on (a) whether the proposed Date and time: January 29, 2018; collection of information is necessary Date and time: January 8, 2018; 2:00 11:00 a.m. to 1:30 p.m. p.m. to 5:00 p.m. for the proper performance of the State and Regional (review of functions of the NSF, including whether State and Regional (review of applications): This meeting will be applications): This meeting will be by the information shall have practical open. utility; (b) the accuracy of the NSF’s videoconference and will be open. Date and time: January 29, 2018; 3:00 Date and time: January 9, 2018—3:00 estimate of the burden of the proposed p.m. to 4:00 p.m. p.m. to 5:30 p.m., January 10, 2018— collection of information; (c) ways to State and Regional (review of 3:00 p.m. to 5:30 p.m., January 11, enhance the quality, utility, and clarity applications): This meeting will be 2018—3:00 p.m. to 5:30 p.m. of the information on respondents, Literature (review of applications): open. including through the use of automated This meeting will be closed. Date and time: January 30, 2018; 3:00 collection techniques or other forms of Date and time: January 10, 2018; 2:00 p.m. to 4:00 p.m. information technology; and (d) ways to p.m. to 4:00 p.m. State and Regional (review of minimize the burden of the collection of Design (review of applications): This applications): This meeting will be information on those who are to meeting will be closed. open. respond, including through the use of Date and time: January 10, 2018; Date and time: February 1, 2018; 3:00 appropriate automated, electronic, 11:30 a.m. to 1:30 p.m. p.m. to 4:00 p.m. mechanical, or other technological
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collection techniques or other forms of DATES: The Order was issued on Mine Operations LLC (MPMO) information technology. November 27, 2017. purchased the Mountain Pass rare earth Title of Collection: Hispanic-Serving ADDRESSES: Please refer to Docket IDs mine and processing facility from Institutions (HSI) Certification Form. 11004455 and 11005966 when Molycorp pursuant to an asset purchase OMB Approval Number: 3145–NEW. contacting the NRC about the agreement dated June 19, 2017, Expiration Date of Current Approval: availability of information for this (Agencywide Documents Access and Not applicable. action. You may obtain publicly- Management System [ADAMS] Type of Request: Intent to establish an available information related to this Accession No. ML17297B230). information collection. document using any of the following Although the ‘‘purchased assets’’ Abstract: To enhance the quality of methods: covered by this agreement included ‘‘all undergraduate STEM education at • Federal Rulemaking website: Go to Permits . . . to the extent transferable,’’ Hispanic-serving institutions (HSIs), the http://www.regulations.gov and search the export licenses held by Molycorp National Science Foundation (NSF) for Docket ID NRC–2017–0230. Address were not transferred to MPMO at that established the Improving questions about NRC dockets to Carol time (see sections 2.1(b)(viii) and 2.7(a) Undergraduate STEM Education: Gallagher; telephone: 301–415–3463; of the asset purchase agreement). Hispanic-Serving Institutions (HSI email: [email protected]. For MPMO, a Delaware limited liability Program), in response to the questions about the Order, contact the company, is controlled by two U.S. Consolidated Appropriations Act, 2017 individual listed in the FOR FURTHER investment funds, JHL Capital Group (Pub. L. 115–31) and the American INFORMATION CONTACT section of this Holdings Fund Two and QVT Financial Innovation and Competitiveness Act document. LP, which combined have a 90.01 (Pub. L. 114–329). The lead institution • NRC’s Agencywide Documents percent economic stake and own 100 submitting a proposal to the HSI Access and Management System: You percent of the voting common units for Program must be an HSI as defined by may obtain publicly-available MPMO. Shenghe Resources Holding law in section 502 of the Higher documents online in the Agencywide Co., Ltd., through its subsidiary Leshan Education Act of 1965 (20 U.S.C. 1101a) Documents Access and Management Shenghe Rare Earth Co., Ltd., owns a (http://legcounsel.house.gov/Comps/ System (ADAMS) Public Documents 9.99 percent non-voting preferred stake HEA65_CMD.pdf). Hence there is a need collection at http://www.nrc.gov/ for MPMO, and has no voting rights in for institutions to self-certify via an HSI reading-rm/adams.html. To begin the MPMO. Both Shenghe Resources Certification Form. search, select ‘‘ADAMS Public Holding Co., Ltd. and Leshan Shenghe Expected Respondents: Hispanic- Documents’’ and then select ‘‘Begin Rare Earth Co., Ltd. are foreign Serving Institutions. Web-based ADAMS Search.’’ For companies. Estimate of Burden: We anticipate 175 problems with ADAMS, please contact II. proposals for 2 minutes which is the NRC’s Public Document Room (PDR) approximately 6 hours. reference staff at 1–800–397–4209, 301– By letter dated August 14, 2017 415–4737, or by email to pdr.resource@ (ADAMS Accession Nos. ML17236A034 Dated: December 7, 2017. and ML17236A039), as supplemented nrc.gov. The ADAMS accession number Suzanne H. Plimpton, by letter dated October 5, 2017, for each document referenced (if it Reports Clearance Officer, National Science (ADAMS Accession No. ML17297A131) available in ADAMS) is provided the Foundation. and revised applications dated October first time that a document is referenced [FR Doc. 2017–26716 Filed 12–11–17; 8:45 am] 19, 2017, (ADAMS Accession Nos. in this document. BILLING CODE 7555–01–P • NRC’s PDR: You may examine and ML17296A544 and ML17296A693), purchase copies of public documents at MPMO requested approval from the the NRC’s PDR, Room O1–F21, One U.S. Nuclear Regulatory Commission (NRC) to transfer control of export NUCLEAR REGULATORY White Flint North, 11555 Rockville licenses nos. XSOU8707 and XSOU8827 COMMISSION Pike, Rockville, Maryland 20852. from Molycorp to MPMO. This request [License Nos. XSOU8707 and XSOU8827; FOR FURTHER INFORMATION CONTACT: was made pursuant to Section 184 of the Docket Nos. 11004455 and 11005966; Andrea R. Jones, Office of International Atomic Energy Act of 1954, as amended Docket ID; NRC–2017–0230] Programs, telephone: 301–287–9072, (AEA) (42 U.S.C. 2234) and Title 10 of email: [email protected]; Nuclear In the Matter of MP Mine Operations the Code of Federal Regulations (10 Regulatory Commission, Washington, CFR) 110.50(d). In association with the LLC; Order Approving Direct Transfers DC 20555–0001. of Control of Licenses proposed direct transfer, MPMO has SUPPLEMENTARY INFORMATION: The text of requested that both licenses be amended AGENCY: Nuclear Regulatory the Order is attached. to change the Licensee from Molycorp Commission. Dated at Rockville, Maryland, this 7th day to MPMO, and that the expiration date ACTION: Order; issuance. of December 2017. for XSOU8827 be extended by one For the Nuclear Regulatory Commission. month (to December 31, 2021). In SUMMARY: The U.S. Nuclear Regulatory David L. Skeen, addition, as part of the amendment Commission (NRC) is issuing an Order Deputy Director, Office of International applications, MPMO provided updated approving a request, submitted by Programs. contact information for the Licensee Molycorp Minerals LLC (Molycorp), contact (John Benfield, who is currently seeking the NRC’s consent to the direct I. listed as the Licensee contact on both transfers of control of Export Licenses Molycorp, the original Licensee, licenses and is now working for XSOU8707 and XSOU8827. In addition, previously held export licenses nos. MPMO). Molycorp requested approval of XSOU8707 and XSOU8827. The The revised applications dated conforming license amendments to Licensee address included on these October 19, 2017, were made publicly reflect the new name of the holder of the export licenses was the Mountain Pass available in ADAMS on October 23, license from Molycorp Minerals LLC, to rare earth mine and processing facility. 2017. No requests for hearing or MP Mine Operations (MPMO). After Molycorp filed for bankruptcy, MP comments were received.
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Pursuant to Section 184 of the AEA, public inspection at the Commission subject form should include form no license granted under 10 CFR part Public Document Room (PDR), located number OPIC–256 on both the envelope 110 shall be transferred, assigned, or in at One White Flint North, Room O1– and in the subject line of the letter. any manner disposed of, directly or F21, 1155 Rockville Pike (first floor), Electronic comments and requests for indirectly, through transfer of control of Rockville, MD 20852, and available copies of the subject form may be sent any license to any person unless the online in the ADAMS Public Documents to [email protected], subject line NRC, after securing full information, collection at http://www.nrc.gov/ OPIC–256. finds that the transfer is in accordance reading-rm/adams.html. Persons who with the provisions of the AEA, and do not have access to ADAMS or who Summary Form Under Review gives its consent in writing. Pursuant to encounter problems in accessing the Type of Request: Extension without 10 CFR 110.50(d), a specific license documents located in ADAMS should change of a currently approved granted under 10 CFR part 110 may be contact the NRC Public Document Room information collection. transferred, disposed of, or assigned to (PDR) Reference staff by telephone at Title: Investment Funds Department another person only with the approval 1–800–397–4209, or 301–415–4737 or Questionnaire. of the NRC by license amendment. by email to Form Number: OPIC–256. After review of the information in the Dated at Rockville, Maryland, this 27th day Frequency of Use: One per investor revised applications dated October 19, of November 2017. per project per year. 2017, and relying on statements and For the Nuclear Regulatory Commission. Type of Respondents: Business or representations contained in the Nader L. Mamish, other institution (except farms); supplemental information dated Director, Office of International Programs. individuals. October 5, 2017, the NRC staff has Standard Industrial Classification [FR Doc. 2017–26748 Filed 12–11–17; 8:45 am] determined that the proposed transferee Codes: All. is qualified to hold the licenses and that BILLING CODE 7590–01–P Description of Affected Public: U.S. the direct transfers of control are companies or citizens investing consistent with the applicable overseas. provisions of the AEA, regulations, and OVERSEAS PRIVATE INVESTMENT Reporting Hours: 150 hours (approx. 1 orders issued by the Commission. CORPORATION hour per response). MPMO stated that (1) there will be no Number of Responses: 150 per year. change in personnel, duties, or location; Submission for OMB Review; Comments Request Federal Cost: $4,026 (0.5 hour per (2) all manufacturing data and form * 150 forms per year * $53.68 (GS– information, operating instructions, AGENCY: Overseas Private Investment 14/1 DCB)). documentation, operating records, files, Corporation (OPIC). Authority for Information Collection: and data were included in the asset ACTION: Notice and request for Sections 231, 234(b), and 239(d) of the purchase agreement and have been comments. Foreign Assistance Act of 1961, as maintained; and (3) MPMO will abide amended. by all constraints, conditions, and SUMMARY: Under the provisions of the Abstract (Needs and Uses): The requirements of the licensed program, Paperwork Reduction Act, agencies are questionnaire is the principal document including the regulations in 10 CFR required to publish a Notice in the used by OPIC to determine the 110.53. The NRC staff has further Federal Register notifying the public investor’s and the project’s eligibility for determined that the request for the that the agency is renewing an existing OPIC funding, and to collect proposed conforming license information collection for OMB review information for financial underwriting amendments complies with the and approval and requests public analysis. standards and requirements of the AEA, review and comment on the submission. and the NRC regulations in 10 CFR part Comments are being solicited on the Dated: December 6, 2017. 110. The transfers of control of the need for the information; the accuracy Nichole Skoyles, licenses and issuance of the conforming of OPIC’s burden estimate; the quality, Administrative Counsel, Department of Legal license amendments will not be practical utility, and clarity of the Affairs. inimical to the common defense and information to be collected; and ways to [FR Doc. 2017–26701 Filed 12–11–17; 8:45 am] security, or to the health and safety of minimize reporting the burden, BILLING CODE 3210–01–P the public, and all applicable including automated collected requirements have been satisfied. techniques and uses of other forms of technology. OVERSEAS PRIVATE INVESTMENT III. CORPORATION DATES: Comments must be received Accordingly, pursuant to Section 184 within sixty (60) calendar days of [OMB 3420–00015; OPIC–115] of the AEA and 10 CFR 110.50(d), IT IS publication of this Notice. HEREBY ORDERED that the direct ADDRESSES: Mail all comments and Submission for OMB Review; transfer of the licenses from Molycorp to requests for copies of the subject form Comments Request MPMO, as described herein, is to OPIC’s Agency Submitting Officer: approved. AGENCY: Overseas Private Investment It is further ordered that the James Bobbitt, Overseas Private Corporation (OPIC). Investment Corporation, 1100 New York conforming license amendments ACTION: Notice and request for Avenue NW, Washington, DC 20527. associated with the direct transfer shall comments. be issued. See SUPPLEMENTARY INFORMATION for This Order is effective upon issuance. other information about filing. SUMMARY: Under the provisions of the For further details with respect to this FOR FURTHER INFORMATION CONTACT: Paperwork Reduction Act, agencies are Order, see the revised applications OPIC Agency Submitting Officer: James required to publish a Notice in the dated October 19, 2017, and associated Bobbitt, (202)336–8558. Federal Register notifying the public supplemental materials dated October 5, SUPPLEMENTARY INFORMATION: All mailed that the agency is modifying an existing 2017. These documents are available for comments and requests for copies of the information collection for OMB review
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and approval and requests public Dated: December 6, 2017. proceeding, pursuant to 39 U.S.C. 505 review and comment on the submission. Nichole Skoyles, (Public Representative). Section II also Comments are being solicited on the Administrative Counsel, Department of Legal establishes comment deadline(s) need for the information; the accuracy Affairs. pertaining to each request. of OPIC’s burden estimate; the quality, [FR Doc. 2017–26699 Filed 12–11–17; 8:45 am] The public portions of the Postal practical utility, and clarity of the BILLING CODE 3210–01–P Service’s request(s) can be accessed via information to be collected; and ways to the Commission’s website (http:// minimize reporting the burden, www.prc.gov). Non-public portions of including automated collected POSTAL REGULATORY COMMISSION the Postal Service’s request(s), if any, techniques and uses of other forms of can be accessed through compliance technology. [Docket Nos. MC2018–45 and CP2018–75; with the requirements of 39 CFR MC2018–46 and CP2018–76; MC2018–47 3007.40. DATES: Comments must be received and CP2018–77; MC2018–48 and CP2018– The Commission invites comments on within sixty (60) calendar days of 78] whether the Postal Service’s request(s) publication of this Notice. in the captioned docket(s) are consistent New Postal Products ADDRESSES: Mail all comments and with the policies of title 39. For requests for copies of the subject form AGENCY: Postal Regulatory Commission. request(s) that the Postal Service states to OPIC’s Agency Submitting Officer: ACTION: Notice. concern market dominant product(s), James Bobbitt, Overseas Private applicable statutory and regulatory Investment Corporation, 1100 New York SUMMARY: The Commission is noticing requirements include 39 U.S.C. 3622, 39 Avenue NW, Washington, DC 20527. recent Postal Service filings for the U.S.C. 3642, 39 CFR part 3010, and 39 See SUPPLEMENTARY INFORMATION for Commission’s consideration concerning CFR part 3020, subpart B. For request(s) other information about filing. negotiated service agreements. This that the Postal Service states concern FOR FURTHER INFORMATION CONTACT: notice informs the public of the filing, competitive product(s), applicable OPIC Agency Submitting Officer: James invites public comment, and takes other statutory and regulatory requirements Bobbitt, (202) 336–8558. administrative steps. include 39 U.S.C. 3632, 39 U.S.C. 3633, SUPPLEMENTARY INFORMATION: All mailed DATES: Comments are due: December 39 U.S.C. 3642, 39 CFR part 3015, and comments and requests for copies of the 14, 2017. 39 CFR part 3020, subpart B. Comment subject form should include form ADDRESSES: Submit comments deadline(s) for each request appear in number OPIC–115 on both the envelope electronically via the Commission’s section II. and in the subject line of the letter. Filing Online system at http:// II. Docketed Proceeding(s) Electronic comments and requests for www.prc.gov. Those who cannot submit copies of the subject form may be sent comments electronically should contact 1. Docket No(s).: MC2018–45 and to [email protected], subject line the person identified in the FOR FURTHER CP2018–75; Filing Title: USPS Request OPIC–115. INFORMATION CONTACT section by to Add Priority Mail Contract 384 to telephone for advice on filing Competitive Product List and Notice of Summary Form Under Review alternatives. Filing Materials Under Seal; Filing Type of Request: Revision of a Acceptance Date: December 6, 2017; FOR FURTHER INFORMATION CONTACT: currently approved information Filing Authority: 39 U.S.C. 3642 and 39 David A. Trissell, General Counsel, at collection. CFR 3020.30 et seq.; Public 202–789–6820. Title: Application for Project Finance. Representative: Christopher C. Mohr; Form Number: OPIC–115. SUPPLEMENTARY INFORMATION: Comments Due: December 14, 2017. Frequency of Use: Once per investor Table of Contents 2. Docket No(s).: MC2018–46 and per project. CP2018–76; Filing Title: USPS Request Type of Respondents: Business or I. Introduction to Add Priority Mail Express Contract other institution (except farms); II. Docketed Proceeding(s) 54 to Competitive Product List and individuals. Notice of Filing Materials Under Seal; I. Introduction Standard Industrial Classification Filing Acceptance Date: December 6, Codes: All. The Commission gives notice that the 2017; Filing Authority: 39 U.S.C. 3642 Description of Affected Public: U.S. Postal Service filed request(s) for the and 39 CFR 3020.30 et seq.; Public companies or citizens investing Commission to consider matters related Representative: Christopher C. Mohr; overseas. to negotiated service agreement(s). The Comments Due: December 14, 2017. Reporting Hours: 330 (1.5 hours per request(s) may propose the addition or 3. Docket No(s).: MC2018–47 and form * 220 forms per year). removal of a negotiated service CP2018–77; Filing Title: USPS Request Number of Responses: 220. agreement from the market dominant or to Add Priority Mail Contract 385 to Federal Cost: $11,809.60 (1 hour per the competitive product list, or the Competitive Product List and Notice of form * 220 forms per year * $53.68 (GS– modification of an existing product Filing Materials Under Seal; Filing 14/1 DCB)). currently appearing on the market Acceptance Date: December 6, 2017; Authority for Information Collection: dominant or the competitive product Filing Authority: 39 U.S.C. 3642 and 39 Sections 231, 234(b)–(c), 239(d), and list. CFR 3020.30 et seq.; Public 240A of the Foreign Assistance Act of Section II identifies the docket Representative: Timothy J. Schwuchow; 1961, as amended. number(s) associated with each Postal Comments Due: December 14, 2017. Abstract (Needs and Uses): The Service request, the title of each Postal 4. Docket No(s).: MC2018–48 and Application for Project Finance is the Service request, the request’s acceptance CP2018–78; Filing Title: USPS Request principal document used by OPIC to date, and the authority cited by the to Add Priority Mail & First-Class determine the investor’s and the Postal Service for each request. For each Package Service Contract 64 to project’s eligibility for project financing request, the Commission appoints an Competitive Product List and Notice of and collect information for financial officer of the Commission to represent Filing Materials Under Seal; Filing underwriting analysis. the interests of the general public in the Acceptance Date: December 6, 2017;
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Filing Authority: 39 U.S.C. 3642 and 39 SECURITIES AND EXCHANGE exemption was granted coterminous CFR 3020.30 et seq.; Public COMMISSION with the effectiveness of the pilot Program; both the pilot Program and Representative: Timothy J. Schwuchow; [Release No. 34–82228; File No. SR–NYSE– Comments Due: December 14, 2017. 2011–55] exemption, as previously extended, are scheduled to expire on December 31, This notice will be published in the 2017.4 Federal Register. Self-Regulatory Organizations; New York Stock Exchange LLC; Order The Exchange now seeks to further Stacy L. Ruble, Granting an Extension to Limited extend the exemption until June 30, 5 Secretary. Exemption From Rule 612(c) of 2018. The Exchange’s request was made in conjunction with an [FR Doc. 2017–26720 Filed 12–11–17; 8:45 am] Regulation NMS In Connection With the Exchange’s Retail Liquidity immediately effective filing that extends BILLING CODE 7710–FW–P Program Until June 30, 2018 the operation of the Program through the same date.6 In its request to extend December 7, 2017. the exemption, the Exchange notes that On July 3, 2012, the Securities and participation in the program has RAILROAD RETIREMENT BOARD Exchange Commission (‘‘Commission’’) increased recently.7 Accordingly, the issued an order pursuant to its authority Exchange has asked for additional time Actuarial Advisory Committee With under Rule 612(c) of Regulation NMS to allow the Exchange and the Respect to the Railroad Retirement (‘‘Sub-Penny Rule’’) 1 that granted the Commission to analyze more data Account; Notice of Public Meeting New York Stock Exchange LLC concerning the Program, which the (‘‘NYSE’’ or ‘‘Exchange’’) a limited Exchange committed to provide to the Notice is hereby given in accordance exemption from the Sub-Penny Rule in Commission.8 For this reason and the with Public Law 92–463 that the connection with the operation of the reasons stated in the Order originally Actuarial Advisory Committee will hold Exchange’s Retail Liquidity Program granting the limited exemption, the a meeting on December 20, 2017 at (‘‘Program’’).2 The limited exemption Commission finds, pursuant to its 10:00 a.m. at the office of the Chief was granted concurrently with the authority under Rule 612(c) of Actuary of the U. S. Railroad Retirement Commission’s approval of the Regulation NMS, that extending the Board, 844 North Rush Street, Chicago, Exchange’s proposal to adopt the exemption is appropriate in the public Illinois, on the conduct of the 27th Program for a one-year pilot term.3 The interest and consistent with the Actuarial Valuation of the Railroad protection of investors. Retirement System. The agenda for this 1 17 CFR 242.612(c) Therefore, it is hereby ordered that, meeting will include a discussion of the 2 See Securities Exchange Act Release No. 67347 pursuant to Rule 612(c) of Regulation (July 3, 2012), 77 FR 40673 (July 10, 2012) (SR– NMS, the Exchange is granted a limited assumptions to be used in the 27th NYSE–2011–55) (‘‘RLP Approval Order’’). Actuarial Valuation. A report containing 3 See id. The Sub-Penny Exemption was exemption from Rule 612 of Regulation recommended assumptions and the originally granted by the Commission concurrently NMS that allows it to accept and rank experience on which the with the approval of the Program. See id. On July orders priced equal to or greater than 30, 2013, the Exchange requested an extension of $1.00 per share in increments of $0.001, recommendations are based will have the exemption for the Program. See Letter from been sent by the Chief Actuary to the Janet McGinness, SVP and Corporate Secretary, NYSE Euronext, to Elizabeth M. Murphy, Secretary, (March 29, 2016) (SR–NYSE–2016–25). On August Committee before the meeting. Commission, dated July 30, 2013. The pilot period 8, 2016, the Exchange requested a sixth extension The meeting will be open to the for the Program was extended until July 31, 2014. of the exemption for the Program. See Letter from See Securities Exchange Act Release No. 70096 Martha Redding, Associate General Counsel, NYSE, public. Persons wishing to submit (August 2, 2013), 78 FR 48520 (August 8, 2013) to Brent J. Fields, Secretary, Commission, dated written statements or make oral (NYSE–2013–48). On July 30, 2014, the Exchange August 8, 2016. The pilot period for the Program presentations should address their requested a second extension of the exemption for was extended until December 31, 2016. See Securities Exchange Act Release No. 78600 (August communications or notices to the the Program. See Letter from Martha Redding, Chief Counsel, NYSE, to Kevin M. O’Neill, Deputy 17, 2016), 81 FR 57642 (August 23, 2016) (SR– Actuarial Advisory Committee, c/o Secretary, Commission, dated July 30, 2014. The NYSE–2016–54). On November 28, 2016, the Chief Actuary, U.S. Railroad Retirement pilot period for the Program was extended until Exchange requested a seventh extension of the exemption for the Program. See Letter from Martha Board, 844 North Rush Street, Chicago, March 31, 2015. See Securities Exchange Act Release No. 72629 (July 16, 2014), 79 FR 42564 Redding, Associate General Counsel, NYSE, to Illinois 60611–1275. (July 22, 2014) (NYSE–2014–35). On February 27, Brent J. Fields, Secretary, Commission, dated November 28, 2016. The pilot period for the For the Board. 2015, the Exchange requested a third extension of the exemption for the Program. See Letter from Program was extended until June 30, 2017. See Dated: December 6, 2017. Martha Redding, Senior Counsel, NYSE, to Brent J. Securities Exchange Act Release No. 79493 (December 7, 2016), 81 FR 90019 (December 13, Martha P. Rico, Fields, Secretary, Commission, dated February 27, 2015. The pilot period for the Program was 2016) (SR–NYSE–2016–82). On May 23, 2017, the Secretary to the Board. extended until September 30, 2015. See Securities Exchange requested an eighth extension of the Exchange Act Release No. 74454 (March 6, 2015), exemption for the Program. See Letter from Martha [FR Doc. 2017–26683 Filed 12–11–17; 8:45 am] Redding, Associate General Counsel, NYSE, to 80 FR 13054 (March 12, 2015) (SR–NYSE–2015–10). Brent J. Fields, Secretary, Commission, dated May BILLING CODE 7905–01–P On September 17, 2015, the Exchange requested a 23, 2017. The pilot period for the Program was fourth extension of the exemption for the Program. extended until December 31, 2017. See Securities See Letter from Martha Redding, Senior Counsel, Exchange Act Release No. 80844 (June 1, 2017), 82 NYSE, to Brent J. Fields, Secretary, Commission, FR 26562 (June 7, 2017) (SR–NYSE–2017–26). dated September 17, 2015. The pilot period for the 4 Program was extended until March 31, 2016. See See Securities Exchange Act Release No. 80844 Securities Exchange Act Release No. 75993 (June 1, 2017), 82 FR 26562 (June 7, 2017) (SR– (September 28, 2015), 80 FR 59844 (October 2, NYSE–2017–26). 5 2015) (SR–NYSE–2015–41). On March 17, 2016, the See Letter from Martha Redding, Assistant Exchange requested a fifth extension of the Secretary, NYSE, to Brent J. Fields, Secretary, exemption for the Program. See Letter from Martha Commission, dated November 30, 2017 (‘‘NYSE Redding, Senior Counsel, NYSE, to Brent J. Fields, Letter’’). Secretary, Commission, dated March 17, 2016. The 6 See SR–NYSE–2017–64. pilot period for the Program was extended until 7 See NYSE Letter, supra note 5 at 3. August 31, 2016. See Securities Exchange Act 8 See RLP Approval Order, supra note 2, 77 FR Release No. 77426 (March 23, 2016), 81 FR 17533 at 40681.
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in connection with the operation of its Exchange LLC (‘‘NYSE’’ or the A. Self-Regulatory Organization’s Retail Liquidity Program, until June 30, ‘‘Exchange’’) filed with the Securities Statement of the Purpose of, and the 2018. and Exchange Commission Statutory Basis for, the Proposed Rule The limited and temporary exemption (‘‘Commission’’) the proposed rule Change extended by this Order are subject to change as described in Items I and II 1. Purpose modification or revocation if at any time below, which Items have been prepared the Commission determines that such by the self-regulatory organization. The The Exchange proposes to amend the action is necessary or appropriate in Commission is publishing this notice to Exchange’s Price List to modify the fees furtherance of the purposes of the solicit comments on the proposed rule related to Partial Cabinet Solution Securities Exchange Act of 1934. change from interested persons. bundles in connection with the Responsibility for compliance with Exchange’s co-location services.4 any applicable provisions of the Federal I. Self-Regulatory Organization’s The Exchange offers the four Partial securities laws must rest with the Statement of the Terms of Substance of Cabinet Solution bundles in order to persons relying on the exemptions that the Proposed Rule Change attract smaller Users, including those are the subject of this Order. The Exchange proposes to amend the with minimal power or cabinet space For the Commission, by the Division of Exchange’s Price List to modify the fees demands or those for which the costs Trading and Markets, pursuant to delegated related to four bundles of co-location attendant with having a dedicated authority.9 services (‘‘Partial Cabinet Solution cabinet or greater network connection Eduardo A. Aleman, bundles’’) in connection with the bandwidth are too burdensome.5 6 Assistant Secretary. Exchange’s co-location services. The Currently, the Exchange offers Users [FR Doc. 2017–26727 Filed 12–11–17; 8:45 am] Exchange proposes to implement the fee that purchase a Partial Cabinet Solution bundle on or before December 31, 2017, BILLING CODE 8011–01–P changes effective January 1, 2018. The proposed rule change is available on the a 50% reduction in the monthly Exchange’s website at www.nyse.com, at recurring charges (‘‘MRC’’) for the first SECURITIES AND EXCHANGE the principal office of the Exchange, and 12 months.7 The Exchange now COMMISSION at the Commission’s Public Reference proposes to: Room. • Extend the 50% reduction to those [Release No. 34–82223; File No. SR–NYSE– Users that purchase a Partial Cabinet 2017–62] II. Self-Regulatory Organization’s Solution bundle on or before December Statement of the Purpose of, and 31, 2018; and Self-Regulatory Organizations; New Statutory Basis for, the Proposed Rule • increase the duration of the York Stock Exchange LLC; Notice of Change Filing and Immediate Effectiveness of reduction from 12 months to 24 months. Proposed Rule Change To Amend the In its filing with the Commission, the The Exchange also proposes that Exchange’s Price List To Modify the self-regulatory organization included Users that already purchased a Partial Fees Related to Four Bundles of Co- statements concerning the purpose of, Cabinet Solution bundle have the Location Services in Connection With and basis for, the proposed rule change duration of their 50% reduction the Exchange’s Co-Location Services and discussed any comments it received increased from 12 months to 24 months on the proposed rule change. The text as well.8 December 6, 2017. of those statements may be examined at The Exchange proposes to implement Pursuant to Section 19(b)(1) 1 of the the places specified in Item IV below. the fee changes effective January 1, Securities Exchange Act of 1934 The Exchange has prepared summaries, 2018. (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 set forth in sections A, B, and C below, Specifically, the Exchange proposes to notice is hereby given that, on of the most significant parts of such modify its Price List so that it reads as November 22, 2017, New York Stock statements. follows:
Type of service Description Amount of charge
Partial Cabinet Solution bundles ...... Option A: ...... $7,500 initial charge per bundle plus monthly Note: A User and its Affiliates are limited to 1 kW partial cabinet, 1 LCN connection (1 charge per bundle as follows: one Partial Cabinet Solution bundle at a Gb), 1 IP network connection (1 Gb), 2 fiber • For Users that order on or before December time. A User and its Affiliates must have an cross connections and either the Network 31, 2018: $3,000 monthly for first 24 months Aggregate Cabinet Footprint of 2 kW or less Time Protocol Feed or Precision Timing of service, and $6,000 monthly thereafter to qualify for a Partial Cabinet Solution bun- Protocol. • For Users that order after December 31, dle. See Note 2 under ‘‘General Notes.’’. 2018: $6,000 monthly.
9 17 CFR 200.30–3(a)(83). 5 See Securities Exchange Act Release No. 77072 Securities Exchange Act Release No. 70206 (Aug. 1 15 U.S.C. 78s(b)(1). (Feb. 5, 2016), 81 FR 7394 (Feb. 11, 2016) (SR– 15, 2013), 78 FR 51765 (Aug. 21, 2013) (SR–NYSE– 2 15 U.S.C. 78a. NYSE–2015–53). 2013–59). 3 17 CFR 240.19b–4. 6 For purposes of the Exchange’s co-location 7 See Securities Exchange Act Release No. 79715 4 The Exchange initially filed rule changes services, a ‘‘User’’ means any market participant (Dec. 30, 2016), 82 FR 1777 (Jan. 6, 2017) (SR– relating to its co-location services with the that requests to receive co-location services directly NYSE–2016–91). Securities and Exchange Commission from the Exchange. See Securities Exchange Act 8 For each User that is currently benefitting from (‘‘Commission’’) in 2010. See Securities Exchange Release No. 76008 (Sept. 29, 2015), 80 FR 60190 the 50% reduction, the additional 12 month period Act Release No. 62960 (Sept. 21, 2010), 75 FR 59310 (Oct. 5, 2015) (SR–NYSE–2015–40). As specified in with the reduced price would begin when its (Sept. 27, 2010) (SR–NYSE–2010–56) (the ‘‘Original the Price List, a User that incurs co-location fees for current 12-month period ended. For each User Co-location Filing’’). The Exchange operates a data a particular co-location service pursuant thereto whose 12-month period with the reduced price has center in Mahwah, New Jersey (the ‘‘data center’’) would not be subject to co-location fees for the ended, the additional 12-month period would begin from which it provides co-location services to same co-location service charged by the Exchange’s upon the implementation of the proposed fee Users. affiliates NYSE MKT LLC and NYSE Arca, Inc. See changes.
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Type of service Description Amount of charge
Option B: ...... $7,500 initial charge per bundle plus monthly 2 kW partial cabinet, 1 LCN connection (1 charge per bundle as follows: Gb), 1 IP network connection (1 Gb), 2 fiber • For Users that order on or before December cross connections and either the Network 31, 2018: $3,500 monthly for first 24 months Time Protocol Feed or Precision Timing of service, and $7,000 monthly thereafter Protocol. • For Users that order after December 31, 2018: $7,000 monthly. Option C: ...... $10,000 initial charge per bundle plus monthly 1 kW partial cabinet, 1 LCN connection (10 charge per bundle as follows: Gb), 1 IP network connection (10 Gb), 2 • For Users that order on or before December fiber cross connections and either the Net- 31, 2018: $7,000 monthly for first 24 months work Time Protocol Feed or Precision Tim- of service, and $14,000 monthly thereafter ing Protocol. • For Users that order after December 31, 2018: $14,000 monthly. Option D: ...... $10,000 initial charge per bundle plus monthly 2 kW partial cabinet, 1 LCN connection (10 charge per bundle as follows: Gb), 1 IP network connection (10 Gb), 2 • For Users that order on or before December fiber cross connections and either the Net- 31, 2018: $7,500 monthly for first 24 months work Time Protocol Feed or Precision Tim- of service, and $15,000 monthly thereafter ing Protocol. • For Users that order after December 31, 2018: $15,000 monthly.
The Exchange is not proposing any 2. Statutory Basis The Exchange believes that extending other changes to the Partial Cabinet The Exchange believes that the the 50% reduction in the MRC for Solution bundles.9 proposed rule changes are consistent Partial Cabinet Solution bundles, and As is the case with all Exchange co- with Section 6(b) of the Act,12 in increasing the duration of the reduction, location arrangements, (i) neither a User general, and furthers the objectives of is not designed to permit unfair nor any of the User’s customers would Sections 6(b)(5) of the Act,13 in discrimination between customers, issuers, brokers, or dealers because the be permitted to submit orders directly to particular, because it is designed to Partial Cabinet Solution bundles would the Exchange unless such User or prevent fraudulent and manipulative continue to offer four different Partial customer is a member organization, a acts and practices, to promote just and equitable principles of trade, to foster Cabinet Solution bundles with options Sponsored Participant or an agent with respect to cabinet footprint and thereof (e.g., a service bureau providing cooperation and coordination with persons engaged in regulating, clearing, network connections. Users that require order entry services); (ii) use of the co- other sizes or combinations of cabinets, location services proposed herein would settling, processing information with respect to, and facilitating transactions network connections and cross connects be completely voluntary and available in securities, to remove impediments to, could still request them. to all Users on a non-discriminatory and perfect the mechanisms of, a free In addition, the Exchange believes basis; 10 and (iii) a User would only and open market and a national market that its proposal would remove incur one charge for the particular co- system and, in general, to protect impediments to, and perfects the location service described herein, investors and the public interest and mechanisms of, a free and open market regardless of whether the User connects because it is not designed to permit and a national market system and, in only to the Exchange or to the Exchange unfair discrimination between general, protects investors and the 11 and one or both of its affiliates. customers, issuers, brokers, or dealers. public interest because the proposed The Exchange believes that the extension of the 50% reduction in MRC 9 The Commission notes that previous filings proposed rule changes provide for the and the proposed increase in the stated that Users that purchase a Partial Cabinet equitable allocation of reasonable dues, duration of the reduction would Solution bundle would be subject to a 90-day minimum commitment, after which period they are fees, and other charges among its continue to make it more cost effective subject to a 60-day rolling time period. The members, issuers and other persons for Users to utilize co-location by Exchange has represented to Commission staff that using its facilities, and are not designed creating a convenient way to create a these provisions have not changed. to permit unfair discrimination between colocation environment, through four 10 As is currently the case, Users that receive co- Partial Cabinet Solution bundles with location services from the Exchange will not receive customers, issuers, brokers, or dealers, any means of access to the Exchange’s trading and because the Exchange proposes to offer options with respect to cabinet footprint execution systems that is separate from, or superior the 50% reduction in the MRC, and the and network connections. The Exchange to, that of other Users. In this regard, all orders sent increase in the duration of the reduction expects that such Users would include to the Exchange enter the Exchange’s trading and those with minimal power or cabinet execution systems through the same order gateway, from 12 months to 24 months, to all regardless of whether the sender is co-located in the Users equally. As is currently the case, space demands and Users for which the data center or not. In addition, co-located Users do the purchase of any colocation service costs attendant with having a dedicated not receive any market data or data service product (including Partial Cabinet Solution cabinet or greater network connection that is not available to all Users, although Users that bandwidth are too burdensome. receive co-location services normally would expect bundles) is completely voluntary. All reduced latencies in sending orders to, and Users that order a bundle on or before The Exchange believes that the receiving market data from, the Exchange. December 31, 2018 would have their proposed change to have Users that 11 See SR–NYSE–2013–59, supra note 6, at 51766. MRC reduced by 50% for the first 24 already purchased a Partial Cabinet The Exchange’s affiliates have also submitted months. Solution bundle have the duration of substantially the same proposed rule change to propose the changes described herein. See SR– their 50% reduction increased from 12 NYSEAMER–2017–35 and SR–NYSEArca–2017– 12 15 U.S.C. 78f(b). months to 24 months is designed to 134. 13 15 U.S.C. 78f(b)(5). prevent fraudulent and manipulative
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acts and practices, to promote just and B. Self-Regulatory Organization’s services, affected market participants equitable principles of trade, to foster Statement on Burden on Competition will opt to terminate their co-location cooperation and coordination with In accordance with Section 6(b)(8) of arrangements with that exchange, and persons engaged in regulating, clearing, the Act,15 the Exchange believes that the adopt a possible range of alternative settling, processing information with proposed rule changes will not impose strategies, including placing their respect to, and facilitating transactions any burden on competition that is not servers in a physically proximate in securities, to remove impediments to, necessary or appropriate in furtherance location outside the exchange’s data and perfect the mechanisms of, a free of the purposes of the Act because, in center (which could be a competing and open market and a national market addition to the proposed services being exchange), or pursuing strategies less system and, in general, to protect completely voluntary, they are available dependent upon the lower exchange-to- investors and the public interest and to all Users on an equal basis (i.e. the participant latency associated with co- location. Accordingly, the exchange because it is not designed to permit same products and services are available charging excessive fees would stand to unfair discrimination between to all Users, and the extension of the lose not only co-location revenues but customers, issuers, brokers, or dealers, 50% reduction for the MRC for the also the liquidity of the formerly co- because it would ensure that all Users Partial Cabinet Solution bundles, and the increased duration of the reduction, located trading firms, which could have that purchase a Partial Cabinet Solution additional follow-on effects on the bundle prior to December 31, 2018 would apply to all Users). The Exchange believes that extending market share and revenue of the affected benefit from the 50% reduction for a exchange. In such an environment, the total of 24 months. the 50% reduction in the MRC and increasing the duration of the reduction Exchange must continually review, and The Exchange also believes that the will not impose any burden on consider adjusting, its services and proposed rule changes are consistent competition that is not necessary or related fees and credits to remain with Section 6(b)(4) of the Act,14 in appropriate in furtherance of the competitive with other exchanges. particular, because it provides for the purposes of the Act because such access For the reasons described above, the equitable allocation of reasonable dues, will continue to satisfy User demand for Exchange believes that the proposed fees, and other charges among its cost effective options for smaller Users rule changes reflect this competitive members, issuers and other persons that choose to utilize co-location. All environment. using its facilities and does not unfairly Users that order a bundle on or before C. Self-Regulatory Organization’s discriminate between customers, December 31, 2018 would have their Statement on Comments on the issuers, brokers or dealers. MRC reduced by 50% for the first 24 Proposed Rule Change Received From The Exchange believes that it is months. The Exchange believes that the Members, Participants, or Others reasonable that Users that order a Partial proposed change to have Users that No written comments were solicited already purchased a Partial Cabinet Cabinet Solution bundle on or before or received with respect to the proposed Solution bundle have the duration of December 31, 2018 would have their rule change. their 50% reduction increased from 12 MRC reduced by 50% for the first 24 months to 24 months would ensure that III. Date of Effectiveness of the months because it is reasonable to all Users that purchase a Partial Cabinet Proposed Rule Change and Timing for continue to offer such reduction as an Solution bundle prior to December 31, Commission Action incentive to Users to utilize the service, 2018 benefit from the 50% reduction for including both new and past Users of The foregoing rule change has become a total of 24 months. effective pursuant to Section bundles. As noted above, the Exchange The proposed changes will also 19(b)(3)(A) 16 of the Act and anticipates that Users of the Partial enhance competition by making it more subparagraph (f)(2) of Rule 19b–4 17 Cabinet Solution bundles would include cost effective for Users that purchase a thereunder. At any time within 60 days those with minimum power or cabinet Partial Cabinet Solution bundle to of the filing of such proposed rule space demands and Users for which the utilize co-location by creating a change, the Commission summarily may costs attendant with having a dedicated convenient way to create a colocation temporarily suspend such rule change if cabinet or greater network connection environment, through Partial Cabinet it appears to the Commission that such bandwidth are too burdensome. Solution bundles with options with action is necessary or appropriate in the For the reasons above, the proposed respect to cabinet footprint and network public interest, for the protection of changes do not unfairly discriminate connections at a reduced MRC for the investors, or otherwise in furtherance of first 24 months. Such Users may choose between or among market participants the purposes of the Act. If the to pass on such cost savings to their that are otherwise capable of satisfying Commission takes such action, the customers. Commission shall institute proceedings any applicable co-location fees, The Exchange operates in a highly requirements, terms and conditions under Section 19(b)(2)(B) 18 of the Act to competitive market in which exchanges determine whether the proposed rule established from time to time by the offer co-location services as a means to Exchange. change should be approved or facilitate the trading and other market disapproved. Finally, the Exchange believes that it activities of those market participants is subject to significant competitive who believe that co-location enhances IV. Solicitation of Comments forces, as described below in the the efficiency of their operations. Interested persons are invited to Exchange’s statement regarding the Accordingly, fees charged for co- submit written data, views, and burden on competition. location services are constrained by the arguments concerning the foregoing, active competition for the order flow of, For these reasons, the Exchange including whether the proposed rule and other business from, such market change is consistent with the Act. believes that the proposal is consistent participants. If a particular exchange with the Act. charges excessive fees for co-location 16 15 U.S.C. 78s(b)(3)(A). 17 17 CFR 240.19b–4(f)(2). 14 15 U.S.C. 78f(b)(4). 15 15 U.S.C. 78f(b)(8). 18 15 U.S.C. 78s(b)(2)(B).
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Comments may be submitted by any of SECURITIES AND EXCHANGE of those statements may be examined at the following methods: COMMISSION the places specified in Item IV below. The Exchange has prepared summaries, Electronic Comments [Release No. 34–82226; File No. SR– NYSEARCA–2017–134] set forth in sections A, B, and C below, • Use the Commission’s internet of the most significant parts of such comment form (http://www.sec.gov/ Self-Regulatory Organizations; NYSE statements. rules/sro.shtml); or Arca, Inc.; Notice of Filing and A. Self-Regulatory Organization’s • Send an email to rule-comments@ Immediate Effectiveness of Proposed Statement of the Purpose of, and the sec.gov. Please include File Number SR– Rule Change To Amend the NYSE Arca Statutory Basis for, the Proposed Rule NYSE–2017–62 on the subject line. Options Fees and Charges and the Change NYSE Arca Equities Fees and Charges Paper Comments To Modify the Fees Related to Four 1. Purpose Bundles of Co-Location Services in The Exchange proposes to amend the • Send paper comments in triplicate Connection With the Exchange’s Co- Exchange’s Fee Schedules to modify the to Secretary, Securities and Exchange Location Services fees related to Partial Cabinet Solution Commission, 100 F Street NE, bundles in connection with the Washington, DC 20549–1090. December 6, 2017. Exchange’s co-location services.4 Pursuant to Section 19(b)(1) 1 of the All submissions should refer to File The Exchange offers the four Partial Securities Exchange Act of 1934 Number SR–NYSE–2017–62. This file Cabinet Solution bundles in order to (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 number should be included on the attract smaller Users, including those notice is hereby given that, on subject line if email is used. To help the with minimal power or cabinet space November 22, 2017, NYSE Arca, Inc. Commission process and review your demands or those for which the costs (‘‘Exchange’’ or ‘‘NYSE Arca’’) filed comments more efficiently, please use attendant with having a dedicated with the Securities and Exchange only one method. The Commission will cabinet or greater network connection Commission (the ‘‘Commission’’) the post all comments on the Commission’s bandwidth are too burdensome.5 proposed rule change as described in internet website (http://www.sec.gov/ Currently, the Exchange offers Users 6 Items I and II below, which Items have rules/sro.shtml). Copies of the that purchase a Partial Cabinet Solution been prepared by the self-regulatory submission, all subsequent bundle on or before December 31, 2017 organization. The Commission is amendments, all written statements a 50% reduction in the monthly publishing this notice to solicit with respect to the proposed rule recurring charges (‘‘MRC’’) for the first comments on the proposed rule change change that are filed with the 12 months.7 The Exchange now from interested persons. Commission, and all written proposes to: communications relating to the I. Self-Regulatory Organization’s • Extend the 50% reduction to those proposed rule change between the Statement of the Terms of Substance of Users that purchase a Partial Cabinet Commission and any person, other than the Proposed Rule Change Solution bundle on or before December those that may be withheld from the 31, 2018; and The Exchange proposes to amend the • public in accordance with the NYSE Arca Options Fees and Charges increase the duration of the provisions of 5 U.S.C. 552, will be (the ‘‘Options Fee Schedule’’) and the reduction from 12 months to 24 months. The Exchange also proposes that available for website viewing and NYSE Arca Equities Fees and Charges Users that already purchased a Partial printing in the Commission’s Public (the ‘‘Equities Fee Schedule’’ and, Cabinet Solution bundle have the Reference Room, 100 F Street NE, together with the Options Fee Schedule, Washington, DC 20549 on official the ‘‘Fee Schedules’’) to modify the fees business days between the hours of 4 The Exchange initially filed rule changes related to four bundles of co-location relating to its co-location services with the 10:00 a.m. and 3:00 p.m. Copies of the services (‘‘Partial Cabinet Solution Securities and Exchange Commission filing also will be available for bundles’’) in connection with the (‘‘Commission’’) in 2010. See Securities Exchange inspection and copying at the principal Exchange’s co-location services. The Act Release No. 63275 (November 8, 2010), 75 FR office of the Exchange. All comments 70048 (November 16, 2010) (SR–NYSEArca–2010– Exchange proposes to implement the fee 100) (the ‘‘Original Co-location Filing’’). The received will be posted without change. changes effective January 1, 2018. The Exchange operates a data center in Mahwah, New Persons submitting comments are proposed rule change is available on the Jersey (the ‘‘data center’’) from which it provides cautioned that we do not redact or edit Exchange’s website at www.nyse.com, at co-location services to Users. 5 personal identifying information from the principal office of the Exchange, and See Securities Exchange Act Release No. 77070 comment submissions. You should (Feb. 5, 2016), 81 FR 7401 (Feb. 11, 2016) (SR– at the Commission’s Public Reference NYSEArca–2015–102). submit only information that you wish Room. 6 For purposes of the Exchange’s co-location to make available publicly. All services, a ‘‘User’’ means any market participant submissions should refer to File II. Self-Regulatory Organization’s that requests to receive co-location services directly Number SR–NYSE–2017–62 and should Statement of the Purpose of, and from the Exchange. See Securities Exchange Act Statutory Basis for, the Proposed Rule Release No. 76010 (September 29, 2015), 80 FR be submitted on or before January 2, 60197 (October 5, 2015) (SR–NYSEArca–2015–82). 2018. Change As specified in the Fee Schedules, a User that For the Commission, by the Division of In its filing with the Commission, the incurs co-location fees for a particular co-location self-regulatory organization included service pursuant thereto would not be subject to co- Trading and Markets, pursuant to delegated location fees for the same co-location service authority.19 statements concerning the purpose of, charged by the Exchange’s affiliates New York Eduardo A. Aleman, and basis for, the proposed rule change Stock Exchange LLC (‘‘NYSE LLC’’) and NYSE MKT LLC (‘‘NYSE MKT’’ and, together with NYSE LLC, Assistant Secretary. and discussed any comments it received on the proposed rule change. The text the ‘‘Affiliate SROs’’). See Securities Exchange Act [FR Doc. 2017–26685 Filed 12–11–17; 8:45 am] Release No. 70173 (August 13, 2013), 78 FR 50459 (August 19, 2013) (SR–NYSEArca–2013–80). BILLING CODE 8011–01–P 1 15 U.S.C. 78s(b)(1). 7 See Securities Exchange Act Release No. 79716 2 15 U.S.C. 78a. (Dec. 30, 2016), 82 FR 1774 (Jan. 6, 2017) (SR– 19 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4. NYSEArca–2016–168).
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duration of their 50% reduction The Exchange proposes to implement Specifically, the Exchange proposes to increased from 12 months to 24 months the fee changes effective January 1, modify its Fee Schedules so that they as well.8 2018. read as follows:
Type of service Description Amount of charge
Partial Cabinet Solution bundles ...... Option A: ...... $7,500 initial charge per bundle plus monthly Note: A User and its Affiliates are limited to 1 kW partial cabinet, 1 LCN connection (1 charge per bundle as follows: one Partial Cabinet Solution bundle at a time. Gb), 1 IP network connection (1 Gb), 2 fiber • For Users that order on or before De- A User and its Affiliates must have an Aggre- cross connections and either the Network cember 31, 2018: $3,000 monthly for gate Cabinet Footprint of 2 kW or less to Time Protocol Feed or Precision Timing first 24 months of service, and $6,000 qualify for a Partial Cabinet Solution bundle. Protocol. monthly thereafter. See Note 2 under ‘‘General Notes.’’. • For Users that order after December 31, 2018: $6,000 monthly. Option B: ...... $7,500 initial charge per bundle plus monthly 2 kW partial cabinet, 1 LCN connection (1 charge per bundle as follows: Gb), 1 IP network connection (1 Gb), 2 fiber • For Users that order on or before De- cross connections and either the Network cember 31, 2018: $3,500 monthly for Time Protocol Feed or Precision Timing first 24 months of service, and $7,000 Protocol. monthly thereafter. • For Users that order after December 31, 2018: $7,000 monthly. Option C: ...... $10,000 initial charge per bundle plus monthly 1 kW partial cabinet, 1 LCN connection (10 charge per bundle as follows: Gb), 1 IP network connection (10 Gb), 2 • For Users that order on or before De- fiber cross connections and either the Net- cember 31, 2018: $7,000 monthly for work Time Protocol Feed or Precision Tim- first 24 months of service, and $14,000 ing Protocol. monthly thereafter. • For Users that order after December 31, 2018: $14,000 monthly. Option D: ...... $10,000 initial charge per bundle plus monthly 2 kW partial cabinet, 1 LCN connection (10 charge per bundle as follows: Gb), 1 IP network connection (10 Gb), 2 • For Users that order on or before De- fiber cross connections and either the Net- cember 31, 2018: $7,500 monthly for work Time Protocol Feed or Precision Tim- first 24 months of service, and $15,000 ing Protocol. monthly thereafter. • For Users that order after December 31, 2018: $15,000 monthly.
The Exchange is not proposing any only to the Exchange or to the Exchange system and, in general, to protect other changes to the Partial Cabinet and one or both of its affiliates.11 investors and the public interest and 9 because it is not designed to permit Solution bundles. 2. Statutory Basis As is the case with all Exchange co- unfair discrimination between The Exchange believes that the location arrangements, (i) neither a User customers, issuers, brokers, or dealers. proposed rule changes are consistent The Exchange believes that the nor any of the User’s customers would with Section 6(b) of the Act,12 in proposed rule changes provide for the be permitted to submit orders directly to general, and furthers the objectives of equitable allocation of reasonable dues, the Exchange unless such User or Sections 6(b)(5) of the Act,13 in fees, and other charges among its customer is a member organization, a particular, because it is designed to members, issuers and other persons Sponsored Participant or an agent prevent fraudulent and manipulative using its facilities, and are not designed thereof (e.g., a service bureau providing acts and practices, to promote just and to permit unfair discrimination between order entry services); (ii) use of the co- equitable principles of trade, to foster customers, issuers, brokers, or dealers, location services proposed herein would cooperation and coordination with because the Exchange proposes to offer be completely voluntary and available persons engaged in regulating, clearing, the 50% reduction in the MRC, and the to all Users on a non-discriminatory settling, processing information with increase in the duration of the reduction basis; 10 and (iii) a User would only respect to, and facilitating transactions from 12 months to 24 months, to all incur one charge for the particular co- in securities, to remove impediments to, Users equally. As is currently the case, location service described herein, and perfect the mechanisms of, a free the purchase of any co-location service regardless of whether the User connects and open market and a national market (including Partial Cabinet Solution
8 For each User that is currently benefitting from Exchange has represented to Commission staff that receive co-location services normally would expect the 50% reduction, the additional 12 month period these provisions have not changed. reduced latencies in sending orders to, and with the reduced price would begin when its 10 As is currently the case, Users that receive co- receiving market data from, the Exchange. current 12-month period ended. For each User location services from the Exchange will not receive 11 See SR–NYSEArca–2013–80, supra note 6, at whose 12-month period with the reduced price has any means of access to the Exchange’s trading and 50459. The Exchange’s affiliates have also ended, the additional 12-month period would begin execution systems that is separate from, or superior upon the implementation of the proposed fee to, that of other Users. In this regard, all orders sent submitted substantially the same proposed rule changes. to the Exchange enter the Exchange’s trading and change to propose the changes described herein. 9 The Commission notes that previous filings execution systems through the same order gateway, See SR–NYSE–2017–62 and SR–NYSEAMER– stated that Users that purchase a Partial Cabinet regardless of whether the sender is co-located in the 2017–35. Solution bundle would be subject to a 90-day data center or not. In addition, co-located Users do 12 15 U.S.C. 78f(b). minimum commitment, after which period they are not receive any market data or data service product 13 15 U.S.C. 78f(b)(5). subject to a 60-day rolling time period. The that is not available to all Users, although Users that
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bundles) is completely voluntary. All The Exchange also believes that the appropriate in furtherance of the Users that order a bundle on or before proposed rule changes are consistent purposes of the Act because such access December 31, 2018 would have their with Section 6(b)(4) of the Act,14 in will continue to satisfy User demand for MRC reduced by 50% for the first 24 particular, because it provides for the cost effective options for smaller Users months. equitable allocation of reasonable dues, that choose to utilize co-location. All The Exchange believes that extending fees, and other charges among its Users that order a bundle on or before the 50% reduction in the MRC for members, issuers and other persons December 31, 2018 would have their Partial Cabinet Solution bundles, and using its facilities and does not unfairly MRC reduced by 50% for the first 24 increasing the duration of the reduction, discriminate between customers, months. The Exchange believes that the is not designed to permit unfair issuers, brokers or dealers. proposed change to have Users that discrimination between customers, The Exchange believes that it is already purchased a Partial Cabinet issuers, brokers, or dealers because the reasonable that Users that order a Partial Solution bundle have the duration of Partial Cabinet Solution bundles would Cabinet Solution bundle on or before their 50% reduction increased from 12 continue to offer four different Partial December 31, 2018 would have their months to 24 months would ensure that Cabinet Solution bundles with options MRC reduced by 50% for the first 24 all Users that purchase a Partial Cabinet with respect to cabinet footprint and months because it is reasonable to Solution bundle prior to December 31, network connections. Users that require continue to offer such reduction as an 2018 benefit from the 50% reduction for other sizes or combinations of cabinets, incentive to Users to utilize the service, a total of 24 months. network connections and cross connects including both new and past Users of The proposed changes will also could still request them. bundles. As noted above, the Exchange enhance competition by making it more In addition, the Exchange believes anticipates that Users of the Partial cost effective for Users that purchase a that its proposal would remove Cabinet Solution bundles would include Partial Cabinet Solution bundle to impediments to, and perfects the those with minimum power or cabinet utilize co-location by creating a mechanisms of, a free and open market space demands and Users for which the convenient way to create a co-location and a national market system and, in costs attendant with having a dedicated environment, through Partial Cabinet general, protects investors and the cabinet or greater network connection Solution bundles with options with public interest because the proposed bandwidth are too burdensome. respect to cabinet footprint and network extension of the 50% reduction in MRC For the reasons above, the proposed connections at a reduced MRC for the and the proposed increase in the changes do not unfairly discriminate first 24 months. Such Users may choose duration of the reduction would between or among market participants to pass on such cost savings to their continue to make it more cost effective that are otherwise capable of satisfying customers. for Users to utilize co-location by any applicable co-location fees, The Exchange operates in a highly creating a convenient way to create a co- requirements, terms and conditions competitive market in which exchanges location environment, through four established from time to time by the offer co-location services as a means to Partial Cabinet Solution bundles with Exchange. facilitate the trading and other market options with respect to cabinet footprint Finally, the Exchange believes that it activities of those market participants and network connections. The Exchange is subject to significant competitive who believe that co-location enhances expects that such Users would include forces, as described below in the the efficiency of their operations. those with minimal power or cabinet Exchange’s statement regarding the Accordingly, fees charged for co- space demands and Users for which the burden on competition. location services are constrained by the costs attendant with having a dedicated For these reasons, the Exchange active competition for the order flow of, cabinet or greater network connection believes that the proposal is consistent and other business from, such market bandwidth are too burdensome. with the Act. participants. If a particular exchange The Exchange believes that the charges excessive fees for co-location proposed change to have Users that B. Self-Regulatory Organization’s services, affected market participants already purchased a Partial Cabinet Statement on Burden on Competition will opt to terminate their co-location Solution bundle have the duration of In accordance with Section 6(b)(8) of arrangements with that exchange, and their 50% reduction increased from 12 the Act,15 the Exchange believes that the adopt a possible range of alternative months to 24 months is designed to proposed rule changes will not impose strategies, including placing their prevent fraudulent and manipulative any burden on competition that is not servers in a physically proximate acts and practices, to promote just and necessary or appropriate in furtherance location outside the exchange’s data equitable principles of trade, to foster of the purposes of the Act because, in center (which could be a competing cooperation and coordination with addition to the proposed services being exchange), or pursuing strategies less persons engaged in regulating, clearing, completely voluntary, they are available dependent upon the lower exchange-to- settling, processing information with to all Users on an equal basis (i.e. the participant latency associated with co- respect to, and facilitating transactions same products and services are available location. Accordingly, the exchange in securities, to remove impediments to, to all Users, and the extension of the charging excessive fees would stand to and perfect the mechanisms of, a free 50% reduction for the MRC for the lose not only co-location revenues but and open market and a national market Partial Cabinet Solution bundles, and also the liquidity of the formerly co- system and, in general, to protect the increased duration of the reduction, located trading firms, which could have investors and the public interest and would apply to all Users). additional follow-on effects on the because it is not designed to permit The Exchange believes that extending market share and revenue of the affected unfair discrimination between the 50% reduction in the MRC and exchange. In such an environment, the customers, issuers, brokers, or dealers, increasing the duration of the reduction Exchange must continually review, and because it would ensure that all Users will not impose any burden on consider adjusting, its services and that purchase a Partial Cabinet Solution competition that is not necessary or related fees and credits to remain bundle prior to December 31, 2018 competitive with other exchanges. benefit from the 50% reduction for a 14 15 U.S.C. 78f(b)(4). For the reasons described above, the total of 24 months. 15 15 U.S.C. 78f(b)(8). Exchange believes that the proposed
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rule changes reflect this competitive Commission’s internet website (http:// LLC (‘‘Exchange’’ or ‘‘NYSE American’’) environment. www.sec.gov/rules/sro.shtml). Copies of filed with the Securities and Exchange the submission, all subsequent Commission (the ‘‘Commission’’) the C. Self-Regulatory Organization’s amendments, all written statements proposed rule change as described in Statement on Comments on the with respect to the proposed rule Items I and II below, which Items have Proposed Rule Change Received From change that are filed with the been prepared by the self-regulatory Members, Participants, or Others Commission, and all written organization. The Commission is No written comments were solicited communications relating to the publishing this notice to solicit or received with respect to the proposed proposed rule change between the comments on the proposed rule change rule change. Commission and any person, other than from interested persons. those that may be withheld from the III. Date of Effectiveness of the public in accordance with the I. Self-Regulatory Organization’s Proposed Rule Change and Timing for provisions of 5 U.S.C. 552, will be Statement of the Terms of Substance of Commission Action available for website viewing and the Proposed Rule Change The foregoing rule change has become printing in the Commission’s Public The Exchange proposes to amend the effective pursuant to Section Reference Room, 100 F Street NE, NYSE American Equities Price List 19(b)(3)(A) 16 of the Act and Washington, DC 20549 on official (‘‘Price List’’) and the NYSE American subparagraph (f)(2) of Rule 19b–4 17 business days between the hours of Options Fee Schedule (‘‘Fee Schedule’’) thereunder. At any time within 60 days 10:00 a.m. and 3:00 p.m. Copies of the to modify the fees related to four of the filing of such proposed rule filing also will be available for bundles of co-location services (‘‘Partial change, the Commission summarily may inspection and copying at the principal Cabinet Solution bundles’’) in temporarily suspend such rule change if office of the Exchange. All comments connection with the Exchange’s co- it appears to the Commission that such received will be posted without change. location services. The Exchange action is necessary or appropriate in the Persons submitting comments are proposes to implement the fee changes public interest, for the protection of cautioned that we do not redact or edit effective January 1, 2018. The proposed investors, or otherwise in furtherance of personal identifying information from change is available on the Exchange’s the purposes of the Act. If the comment submissions. You should website at www.nyse.com, at the Commission takes such action, the submit only information that you wish principal office of the Exchange, and at Commission shall institute proceedings to make available publicly. All the Commission’s Public Reference under Section 19(b)(2)(B) 18 of the Act to submissions should refer to File Room. determine whether the proposed rule Number SR–NYSEARCA–2017–134 and change should be approved or should be submitted on or before II. Self-Regulatory Organization’s disapproved. January 2, 2018. Statement of the Purpose of, and Statutory Basis for, the Proposed Rule IV. Solicitation of Comments For the Commission, by the Division of Change Trading and Markets, pursuant to delegated Interested persons are invited to authority.19 In its filing with the Commission, the submit written data, views, and Eduardo A. Aleman, self-regulatory organization included arguments concerning the foregoing, Assistant Secretary. statements concerning the purpose of, including whether the proposed rule [FR Doc. 2017–26688 Filed 12–11–17; 8:45 am] and basis for, the proposed rule change change is consistent with the Act. BILLING CODE 8011–01–P and discussed any comments it received Comments may be submitted by any of on the proposed rule change. The text the following methods: of those statements may be examined at Electronic Comments SECURITIES AND EXCHANGE the places specified in Item IV below. The Exchange has prepared summaries, • COMMISSION Use the Commission’s internet set forth in sections A, B, and C below, comment form (http://www.sec.gov/ [Release No. 34–82224; File No. SR– of the most significant parts of such NYSEAMER–2017–35] rules/sro.shtml); or statements. • Send an email to rule-comments@ Self-Regulatory Organizations; NYSE sec.gov. Please include File Number SR– A. Self-Regulatory Organization’s American LLC; Notice of Filing and NYSEARCA–2017–134 on the subject Statement of the Purpose of, and the Immediate Effectiveness of Proposed line. Statutory Basis for, the Proposed Rule Change To Amend the NYSE American Change Paper Comments Equities Price List and the NYSE 1. Purpose • Send paper comments in triplicate American Options Fee Schedule To to Secretary, Securities and Exchange Modify the Fees Related to Four The Exchange proposes to amend the Commission, 100 F Street NE, Bundles of Co-Location Services in Exchange’s Price List and Fee Schedule Washington, DC 20549–1090. Connection With the Exchange’s Co- to modify the fees related to Partial Location Services All submissions should refer to File Cabinet Solution bundles in connection with the Exchange’s co-location Number SR–NYSEARCA–2017–134. December 6, 2017. services.4 This file number should be included on Pursuant to Section 19(b)(1) 1 of the the subject line if email is used. To help Securities Exchange Act of 1934 4 The Exchange initially filed rule changes 2 3 the Commission process and review (‘‘Act’’) and Rule 19b–4 thereunder, relating to its co-location services with the your comments more efficiently, please notice is hereby given that, on Securities and Exchange Commission use only one method. The Commission November 22, 2017, NYSE American (‘‘Commission’’) in 2010. See Securities Exchange will post all comments on the Act Release No. 62961 (September 21, 2010), 75 FR 59299 (September 27, 2010) (SR–NYSEAmex–2010– 19 17 CFR 200.30–3(a)(12). 80) (the ‘‘Original Co-location Filing’’). The 16 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1). Exchange operates a data center in Mahwah, New 17 17 CFR 240.19b–4(f)(2). 2 15 U.S.C. 78a. Jersey (the ‘‘data center’’) from which it provides 18 15 U.S.C. 78s(b)(2)(B). 3 17 CFR 240.19b–4. co-location services to Users.
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The Exchange offers the four Partial a 50% reduction in the monthly Cabinet Solution bundle have the Cabinet Solution bundles in order to recurring charges (‘‘MRC’’) for the first duration of their 50% reduction attract smaller Users, including those 12 months.7 The Exchange now increased from 12 months to 24 months with minimal power or cabinet space proposes to as well.8 • extend the 50% reduction to those demands or those for which the costs The Exchange proposes to implement attendant with having a dedicated Users that purchase a Partial Cabinet Solution bundle on or before December the fee changes effective January 1, cabinet or greater network connection 2018. bandwidth are too burdensome.5 31, 2018; and • increase the duration of the Specifically, the Exchange proposes to Currently, the Exchange offers Users 6 reduction from 12 months to 24 months. modify its Price List and Fee Schedule that purchase a Partial Cabinet Solution The Exchange also proposes that so that they read as follows: bundle on or before December 31, 2017, Users that already purchased a Partial
Type of service Description Amount of charge
Partial Cabinet Solution bundles ...... Option A: 1 kW partial cabinet, 1 LCN con- $7,500 initial charge per bundle plus monthly Note: A User and its Affiliates are limited to nection (1 Gb), 1 IP network connection (1 charge per bundle as follows: one Partial Cabinet Solution bundle at a time. Gb), 2 fiber cross connections and either • For Users that order on or before De- A User and its Affiliates must have an Aggre- the Network Time Protocol Feed or Preci- cember 31, 2018: $3,000 monthly for gate Cabinet Footprint of 2 kW or less to sion Timing Protocol. first 24 months of service, and $6,000 qualify for a Partial Cabinet Solution bundle. monthly thereafter. See Note 2 under ‘‘General Notes.’’ • For Users that order after December 31, 2018: $6,000 monthly. Option B: 2 kW partial cabinet, 1 LCN con- $7,500 initial charge per bundle plus monthly nection (1 Gb), 1 IP network connection (1 charge per bundle as follows: Gb), 2 fiber cross connections and either • For Users that order on or before De- the Network Time Protocol Feed or Preci- cember 31, 2018: $3,500 monthly for sion Timing Protocol. first 24 months of service, and $7,000 monthly thereafter. • For Users that order after December 31, 2018: $7,000 monthly. Option C: 1 kW partial cabinet, 1 LCN con- $10,000 initial charge per bundle plus monthly nection (10 Gb), 1 IP network connection charge per bundle as follows: (10 Gb), 2 fiber cross connections and ei- • For Users that order on or before De- ther the Network Time Protocol Feed or cember 31, 2018: $7,000 monthly for Precision Timing Protocol. first 24 months of service, and $14,000 monthly thereafter. • For Users that order after December 31, 2018: $14,000 monthly. Option D: 2 kW partial cabinet, 1 LCN con- $10,000 initial charge per bundle plus monthly nection (10 Gb), 1 IP network connection charge per bundle as follows: (10 Gb), 2 fiber cross connections and ei- • For Users that order on or before De- ther the Network Time Protocol Feed or cember 31, 2018: $7,500 monthly for Precision Timing Protocol. first 24 months of service, and $15,000 monthly thereafter. • For Users that order after December 31, 2018: $15,000 monthly.
The Exchange is not proposing any the Exchange unless such User or to all Users on a non-discriminatory other changes to the Partial Cabinet customer is a member organization, a basis; 10 and (iii) a User would only Solution bundles.9 Sponsored Participant or an agent incur one charge for the particular co- As is the case with all Exchange co- thereof (e.g., a service bureau providing location service described herein, location arrangements, (i) neither a User order entry services); (ii) use of the co- regardless of whether the User connects nor any of the User’s customers would location services proposed herein would be permitted to submit orders directly to be completely voluntary and available
5 See Securities Exchange Act Release No. 77071 Act Release No. 70176 (August 13, 2013), 78 FR subject to a 60-day rolling time period. The (Feb. 5, 2016), 81 FR 7382 (Feb. 11, 2016) (SR– 50471 (August 19, 2013) (SR–NYSEMKT–2013–67). Exchange has represented to Commission staff that NYSEMKT–2015–89). 7 See Securities Exchange Act No. 79717 (Dec. 30, these provisions have not changed. 6 For purposes of the Exchange’s co-location 2016), 82 FR 1767 (Jan. 6, 2017) (SR–NYSEMKT– 10 As is currently the case, Users that receive co- services, a ‘‘User’’ means any market participant 2016–123). location services from the Exchange will not receive that requests to receive co-location services directly 8 For each User that is currently benefitting from any means of access to the Exchange’s trading and from the Exchange. See Securities Exchange Act the 50% reduction, the additional 12-month period execution systems that is separate from, or superior Release No. 76009 (September 29, 2015), 80 FR with the reduced price would begin when its to, that of other Users. In this regard, all orders sent 60213 (October 5, 2015) (SR–NYSEMKT–2015–67). current 12-month period ended. For each User to the Exchange enter the Exchange’s trading and As specified in the Price List and Fee Schedule, a whose 12-month period with the reduced price has execution systems through the same order gateway, User that incurs co-location fees for a particular co- ended, the additional 12-month period would begin regardless of whether the sender is co-located in the location service pursuant thereto would not be upon the implementation of the proposed fee data center or not. In addition, co-located Users do subject to co-location fees for the same co-location changes. not receive any market data or data service product service charged by the Exchange’s affiliates New 9 The Commission notes that previous filings that is not available to all Users, although Users that York Stock Exchange LLC (‘‘NYSE LLC’’) and NYSE stated that Users that purchase a Partial Cabinet receive co-location services normally would expect Arca, Inc. (‘‘NYSE Arca’’ and, together with NYSE Solution bundle would be subject to a 90-day reduced latencies in sending orders to, and LLC, the ‘‘Affiliate SROs’’). See Securities Exchange minimum commitment, after which period they are receiving market data from, the Exchange.
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only to the Exchange or to the Exchange In addition, the Exchange believes including both new and past Users of and one or both of its affiliates.11 that its proposal would remove bundles. As noted above, the Exchange impediments to, and perfects the anticipates that Users of the Partial 2. Statutory Basis mechanisms of, a free and open market Cabinet Solution bundles would include The Exchange believes that the and a national market system and, in those with minimum power or cabinet proposed rule changes are consistent general, protects investors and the space demands and Users for which the with Section 6(b) of the Act,12 in public interest because the proposed costs attendant with having a dedicated general, and furthers the objectives of extension of the 50% reduction in MRC cabinet or greater network connection Sections 6(b)(5) of the Act,13 in and the proposed increase in the bandwidth are too burdensome. particular, because it is designed to duration of the reduction would For the reasons above, the proposed prevent fraudulent and manipulative continue to make it more cost effective changes do not unfairly discriminate acts and practices, to promote just and for Users to utilize co-location by between or among market participants equitable principles of trade, to foster creating a convenient way to create a that are otherwise capable of satisfying cooperation and coordination with colocation environment, through four any applicable co-location fees, persons engaged in regulating, clearing, Partial Cabinet Solution bundles with requirements, terms and conditions settling, processing information with options with respect to cabinet footprint established from time to time by the respect to, and facilitating transactions and network connections. The Exchange Exchange. in securities, to remove impediments to, expects that such Users would include Finally, the Exchange believes that it and perfect the mechanisms of, a free those with minimal power or cabinet is subject to significant competitive and open market and a national market space demands and Users for which the forces, as described below in the system and, in general, to protect costs attendant with having a dedicated Exchange’s statement regarding the investors and the public interest and cabinet or greater network connection burden on competition. because it is not designed to permit bandwidth are too burdensome. For these reasons, the Exchange unfair discrimination between The Exchange believes that the believes that the proposal is consistent customers, issuers, brokers, or dealers. proposed change to have Users that with the Act. already purchased a Partial Cabinet The Exchange believes that the Solution bundle have the duration of B. Self-Regulatory Organization’s proposed rule changes provide for the their 50% reduction increased from 12 Statement on Burden on Competition equitable allocation of reasonable dues, months to 24 months is designed to fees, and other charges among its In accordance with Section 6(b)(8) of prevent fraudulent and manipulative members, issuers and other persons the Act,15 the Exchange believes that the acts and practices, to promote just and using its facilities, and are not designed proposed rule changes will not impose equitable principles of trade, to foster any burden on competition that is not to permit unfair discrimination between cooperation and coordination with necessary or appropriate in furtherance customers, issuers, brokers, or dealers, persons engaged in regulating, clearing, of the purposes of the Act because, in because the Exchange proposes to offer settling, processing information with addition to the proposed services being the 50% reduction in the MRC, and the respect to, and facilitating transactions completely voluntary, they are available increase in the duration of the reduction in securities, to remove impediments to, to all Users on an equal basis (i.e. the from 12 months to 24 months, to all and perfect the mechanisms of, a free same products and services are available Users equally. As is currently the case, and open market and a national market to all Users, and the extension of the the purchase of any colocation service system and, in general, to protect 50% reduction for the MRC for the (including Partial Cabinet Solution investors and the public interest and Partial Cabinet Solution bundles, and bundles) is completely voluntary. All because it is not designed to permit Users that order a bundle on or before unfair discrimination between the increased duration of the reduction, December 31, 2018 would have their customers, issuers, brokers, or dealers, would apply to all Users). MRC reduced by 50% for the first 24 because it would ensure that all Users The Exchange believes that extending months. that purchase a Partial Cabinet Solution the 50% reduction in the MRC and The Exchange believes that extending bundle prior to December 31, 2018 increasing the duration of the reduction the 50% reduction in the MRC for benefit from the 50% reduction for a will not impose any burden on Partial Cabinet Solution bundles, and total of 24 months. competition that is not necessary or increasing the duration of the reduction, The Exchange also believes that the appropriate in furtherance of the is not designed to permit unfair proposed rule changes are consistent purposes of the Act because such access discrimination between customers, with Section 6(b)(4) of the Act,14 in will continue to satisfy User demand for issuers, brokers, or dealers because the particular, because it provides for the cost effective options for smaller Users Partial Cabinet Solution bundles would equitable allocation of reasonable dues, that choose to utilize co-location. All continue to offer four different Partial fees, and other charges among its Users that order a bundle on or before Cabinet Solution bundles with options members, issuers and other persons December 31, 2018 would have their with respect to cabinet footprint and using its facilities and does not unfairly MRC reduced by 50% for the first 24 network connections. Users that require discriminate between customers, months. The Exchange believes that the other sizes or combinations of cabinets, issuers, brokers or dealers. proposed change to have Users that network connections and cross connects The Exchange believes that it is already purchased a Partial Cabinet could still request them. reasonable that Users that order a Partial Solution bundle have the duration of Cabinet Solution bundle on or before their 50% reduction increased from 12 11 See SR–NYSEMKT–2013–67, supra note 6, at December 31, 2018 would have their months to 24 months would ensure that 50471. The Exchange’s affiliates have also MRC reduced by 50% for the first 24 all Users that purchase a Partial Cabinet submitted substantially the same proposed rule months because it is reasonable to Solution bundle prior to December 31, change to propose the changes described herein. 2018 benefit from the 50% reduction for See SR–NYSE–2017–62 and SR–NYSEArca–2017– continue to offer such reduction as an 134. incentive to Users to utilize the service, a total of 24 months. 12 15 U.S.C. 78f(b). 13 15 U.S.C. 78f(b)(5). 14 15 U.S.C. 78f(b)(4). 15 15 U.S.C. 78f(b)(8).
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The proposed changes will also 19(b)(3)(A) 16 of the Act and Washington, DC 20549 on official enhance competition by making it more subparagraph (f)(2) of Rule 19b–4 17 business days between the hours of cost effective for Users that purchase a thereunder. At any time within 60 days 10:00 a.m. and 3:00 p.m. Copies of the Partial Cabinet Solution bundle to of the filing of such proposed rule filing also will be available for utilize co-location by creating a change, the Commission summarily may inspection and copying at the principal convenient way to create a colocation temporarily suspend such rule change if office of the Exchange. All comments environment, through Partial Cabinet it appears to the Commission that such received will be posted without change. Solution bundles with options with action is necessary or appropriate in the Persons submitting comments are respect to cabinet footprint and network public interest, for the protection of cautioned that we do not redact or edit connections at a reduced MRC for the investors, or otherwise in furtherance of personal identifying information from first 24 months. Such Users may choose the purposes of the Act. If the comment submissions. You should to pass on such cost savings to their Commission takes such action, the submit only information that you wish customers. Commission shall institute proceedings to make available publicly. All 18 The Exchange operates in a highly under Section 19(b)(2)(B) of the Act to submissions should refer to File competitive market in which exchanges determine whether the proposed rule Number SR–NYSEAMER–2017–35 and should be submitted on or before offer co-location services as a means to change should be approved or January 2, 2018. facilitate the trading and other market disapproved. activities of those market participants IV. Solicitation of Comments For the Commission, by the Division of who believe that co-location enhances Trading and Markets, pursuant to delegated Interested persons are invited to 19 the efficiency of their operations. authority. submit written data, views, and Accordingly, fees charged for co- Eduardo A. Aleman, arguments concerning the foregoing, location services are constrained by the Assistant Secretary. including whether the proposed rule active competition for the order flow of, [FR Doc. 2017–26686 Filed 12–11–17; 8:45 am] change is consistent with the Act. and other business from, such market BILLING CODE 8011–01–P Comments may be submitted by any of participants. If a particular exchange the following methods: charges excessive fees for co-location services, affected market participants Electronic Comments SECURITIES AND EXCHANGE COMMISSION will opt to terminate their co-location • Use the Commission’s internet arrangements with that exchange, and comment form (http://www.sec.gov/ Proposed Collection; Comment adopt a possible range of alternative rules/sro.shtml); or Request strategies, including placing their • Send an email to rule-comments@ servers in a physically proximate sec.gov. Please include File Number SR– Upon Written Request, Copies Available location outside the exchange’s data NYSEAMER–2017–35 on the subject From: Securities and Exchange center (which could be a competing line. Commission, Office of FOIA Services, exchange), or pursuing strategies less 100 F Street NE, Washington, DC dependent upon the lower exchange-to- Paper Comments 20549–2736. • participant latency associated with co- Send paper comments in triplicate Extension: location. Accordingly, the exchange to Secretary, Securities and Exchange Form 2–E under Rule 609, SEC File No. charging excessive fees would stand to Commission, 100 F Street NE, 270–222, OMB Control No. 3235–0233 lose not only co-location revenues but Washington, DC 20549–1090. Notice is hereby given that, pursuant also the liquidity of the formerly co- All submissions should refer to File to the Paperwork Reduction Act of 1995 located trading firms, which could have Number SR–NYSEAMER–2017–35. This (44 U.S.C. 3501 et seq.), the Securities additional follow-on effects on the file number should be included on the and Exchange Commission (the market share and revenue of the affected subject line if email is used. To help the ‘‘Commission’’) is soliciting comments exchange. In such an environment, the Commission process and review your on the collection of information Exchange must continually review, and comments more efficiently, please use summarized below. The Commission consider adjusting, its services and only one method. The Commission will plans to submit this existing collection related fees and credits to remain post all comments on the Commission’s of information to the Office of competitive with other exchanges. internet website (http://www.sec.gov/ Management and Budget (‘‘OMB’’) for For the reasons described above, the rules/sro.shtml). Copies of the extension and approval. Exchange believes that the proposed submission, all subsequent Rule 609 (17 CFR 230.609) under the rule changes reflect this competitive amendments, all written statements Securities Act of 1933 (15 U.S.C. 77a et environment. with respect to the proposed rule seq.) requires small business investment change that are filed with the companies and business development C. Self-Regulatory Organization’s Commission, and all written companies that have engaged in Statement on Comments on the communications relating to the offerings of securities that are exempt Proposed Rule Change Received From proposed rule change between the from registration pursuant to Regulation Members, Participants, or Others Commission and any person, other than E under the Securities Act of 1933 (17 No written comments were solicited those that may be withheld from the CFR 230.601 to 610a) to report semi- or received with respect to the proposed public in accordance with the annually on Form 2–E (17 CFR 239.201) rule change. provisions of 5 U.S.C. 552, will be the progress of the offering. The form available for website viewing and solicits information such as the dates an III. Date of Effectiveness of the printing in the Commission’s Public offering commenced and was completed Proposed Rule Change and Timing for Reference Room, 100 F Street NE, (if completed), the number of shares Commission Action sold and still being offered, amounts 16 15 U.S.C. 78s(b)(3)(A). received in the offering, and expenses The foregoing rule change has become 17 17 CFR 240.19b–4(f)(2). effective pursuant to Section 18 15 U.S.C. 78s(b)(2)(B). 19 17 CFR 200.30–3(a)(12).
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and underwriting discounts incurred in SECURITIES AND EXCHANGE should be received by the Commission the offering. The information provided COMMISSION by 5:30 p.m. on January 2, 2018, and on Form 2–E assists the staff in should be accompanied by proof of [Investment Company Act Release No. monitoring the progress of the offering 32935; 812–14820] service on applicants, in the form of an and in determining whether the offering affidavit, or for lawyers, a certificate of has stayed within the limits set for an Calvert Research and Management and service. Pursuant to rule 0–5 under the offering exempt under Regulation E. Calvert ETF Trust Act, hearing requests should state the There has not been a Form 2–E filing nature of the writer’s interest, any facts December 6, 2017. since calendar year 2010, when there bearing upon the desirability of a AGENCY: was one filing of Form 2–E by one Securities and Exchange hearing on the matter, the reason for the respondent. The Commission has Commission (‘‘Commission’’). request, and the issues contested. previously estimated that the total ACTION: Notice. Persons who wish to be notified of a annual burden associated with hearing may request notification by Notice of an application for an order writing to the Commission’s Secretary. information collection and Form 2–E under section 6(c) of the Investment preparation and submission is four Company Act of 1940 (the ‘‘Act’’) for an ADDRESSES: Secretary, Securities and hours per filing. Although there have exemption from sections 2(a)(32), Exchange Commission, 100 F Street NE, been no filings made under this rule 5(a)(1), 22(d), and 22(e) of the Act and Washington, DC 20549–1090; since 2010, we are requesting one rule 22c–1 under the Act, under Applicants: 1825 Connecticut Avenue annual response and an annual burden sections 6(c) and 17(b) of the Act for an NW, Suite 400, Washington, DC 20009. of one hour for administrative purposes. exemption from sections 17(a)(1) and FOR FURTHER INFORMATION CONTACT: Estimates of average burden hours are 17(a)(2) of the Act, and under section Courtney S. Thornton, Senior Counsel, made solely for the purposes of the 12(d)(1)(J) for an exemption from at (202) 551–6821, or Robert H. Shapiro, Paperwork Reduction Act and are not sections 12(d)(1)(A) and 12(d)(1)(B) of Branch Chief, at (202) 551–6821 derived from a comprehensive or even the Act. The requested order would (Division of Investment Management, representative survey or study of the permit (a) index-based series of certain Chief Counsel’s Office). costs of Commission rules and forms. open-end management investment SUPPLEMENTARY INFORMATION: The The collection of information under rule companies (‘‘Funds’’) to issue shares following is a summary of the 609 and Form 2–E is mandatory. The redeemable in large aggregations only application. The complete application information provided under rule 609 (‘‘Creation Units’’); (b) secondary market may be obtained via the Commission’s and Form 2–E will not be kept transactions in Fund shares to occur at website by searching for the file confidential. An agency may not negotiated market prices rather than at number, or for an applicant using the conduct or sponsor, and a person is not net asset value (‘‘NAV’’); (c) certain Company name box, at http:// required to respond to, a collection of Funds to pay redemption proceeds, www.sec.gov/search/search.htm or by information unless it displays a under certain circumstances, more than calling (202) 551–8090. currently valid OMB control number. seven days after the tender of shares for Written comments are invited on: (a) redemption; (d) certain affiliated Summary of the Application Whether the proposed collection of persons of a Fund to deposit securities into, and receive securities from, the 1. Applicants request an order that information is necessary for the proper would allow Funds to operate as index performance of the functions of the Fund in connection with the purchase 1 and redemption of Creation Units; and exchange traded funds (‘‘ETFs’’). Fund agency, including whether the shares will be purchased and redeemed information will have practical utility; (e) certain registered management investment companies and unit at their NAV in Creation Units only. All (b) the accuracy of the agency’s estimate orders to purchase Creation Units and of the burden of the collection of investment trusts outside of the same group of investment companies as the all redemption requests will be placed information; (c) ways to enhance the by or through an ‘‘Authorized quality, utility, and clarity of the Funds (‘‘Funds of Funds’’) to acquire shares of the Funds. Participant’’, which will have signed a information collected; and (d) ways to participant agreement with the APPLICANTS: minimize the burden of the collection of Calvert Research and Distributor. Shares will be listed and information on respondents, including Management (the ‘‘Initial Adviser’’), a traded individually on a national through the use of automated collection Massachusetts business trust, that is securities exchange, where share prices techniques or other forms of information registered as an investment adviser will be based on the current bid/offer technology. Consideration will be given under the Investment Advisers Act of market. Any order granting the to comments and suggestions submitted 1940 and Calvert ETF Trust (the requested relief would be subject to the in writing within 60 days of this ‘‘Trust’’), a Massachusetts business trust publication. that intends to register under the Act as 1 Applicants request that the order apply to the Please direct your written comments an open-end management investment new series of the Trust, any additional series of the to Pamela Dyson, Director/Chief company with multiple series. Trust, and any other open-end management FILING DATE: The application was filed investment company or series thereof (each, Information Officer, Securities and included in the term ‘‘Fund’’), each of which will Exchange Commission, C/O Remi on September 20, 2017 and amended on operate as an ETF and will track a specified index Pavlik-Simon, 100 F Street NE, November 14, 2017. comprised of domestic or foreign equity and/or Washington, DC 20549; or send an email HEARING OR NOTIFICATION OF HEARING: An fixed income securities (each, an ‘‘Underlying _ Index’’). Any Fund will (a) be advised by the Initial to: PRA [email protected]. order granting the requested relief will Adviser or an entity controlling, controlled by, or be issued unless the Commission orders Dated: December 6, 2017. under common control with the Initial Adviser or a hearing. Interested persons may any successor thereto (each, an ‘‘Adviser’’) and (b) Eduardo A. Aleman, request a hearing by writing to the comply with the terms and conditions of the Assistant Secretary. application. For purposes of the requested Order, Commission’s Secretary and serving ‘‘successor’’ is limited to an entity that results from [FR Doc. 2017–26671 Filed 12–11–17; 8:45 am] applicants with a copy of the request, a reorganization into another jurisdiction or a BILLING CODE 8011–01–P personally or by mail. Hearing requests change in the type of business organization.
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terms and conditions stated in the discrimination or preferential treatment transactions with the Fund of Funds.3 application. among purchasers. Finally, applicants The purchase of Creation Units by a 2. Each Fund will hold investment represent that share market prices will Fund of Funds directly from a Fund will positions selected to correspond be disciplined by arbitrage be accomplished in accordance with the generally to the performance of an opportunities, which should prevent policies of the Fund of Funds and will Underlying Index. Certain of the Funds shares from trading at a material be based on the NAVs of the Funds. will track an Underlying Index that is discount or premium from NAV. 9. Section 6(c) of the Act permits the compiled, created, sponsored, or 6. With respect to Funds that effect Commission to exempt any persons or maintained by an affiliated person, as transactions from any provision of the creations and redemptions of Creation defined in section 2(a)(3) of the Act Act if such exemption is necessary or Units in kind and that are based on (‘‘Affiliated Person’’), or an affiliated appropriate in the public interest and certain Underlying Indexes that include person of an Affiliated Person (‘‘Second- consistent with the protection of foreign securities, applicants request Tier Affiliate’’), of the Trust or a Fund, investors and the purposes fairly relief from the requirement imposed by of the Adviser, of any sub-adviser to or intended by the policy and provisions of promoter of a Fund, or of the Distributor section 22(e) in order to allow such the Act. Section 12(d)(1)(J) of the Act (each a ‘‘Self-Indexing Fund’’).2 Funds to pay redemption proceeds provides that the Commission may 3. Shares will be purchased and within fifteen calendar days following exempt any person, security, or redeemed in Creation Units and the tender of Creation Units for transaction, or any class or classes of generally on an in-kind basis. Except redemption. Applicants assert that the persons, securities, or transactions, from where the purchase or redemption will requested relief would not be any provision of section 12(d)(1) if the include cash under the limited inconsistent with the spirit and intent of exemption is consistent with the public circumstances specified in the section 22(e) to prevent unreasonable, interest and the protection of investors. application, purchasers will be required undisclosed or unforeseen delays in the Section 17(b) of the Act authorizes the to purchase Creation Units by actual payment of redemption proceeds. Commission to grant an order depositing specified instruments 7. Applicants request an exemption to permitting a transaction otherwise (‘‘Deposit Instruments’’), and permit Funds of Funds to acquire Fund prohibited by section 17(a) if it finds shareholders redeeming their shares shares beyond the limits of section that (a) the terms of the proposed will receive specified instruments 12(d)(1)(A) of the Act; and the Funds, transaction are fair and reasonable and (‘‘Redemption Instruments’’). The and any principal underwriter for the do not involve overreaching on the part Deposit Instruments and the Funds, and/or any broker or dealer of any person concerned; (b) the Redemption Instruments will each registered under the Exchange Act, to proposed transaction is consistent with correspond pro rata to the positions in sell shares to Funds of Funds beyond the policies of each registered the Fund’s portfolio (including cash the limits of section 12(d)(1)(B) of the investment company involved; and (c) positions) except as specified in the Act. The application’s terms and the proposed transaction is consistent application. conditions are designed to, among other with the general purposes of the Act. 4. Because shares will not be things, help prevent any potential (i) individually redeemable, applicants For the Commission, by the Division of undue influence over a Fund through Investment Management, under delegated request an exemption from section authority. 5(a)(1) and section 2(a)(32) of the Act control or voting power, or in Eduardo A. Aleman, that would permit the Funds to register connection with certain services, as open-end management investment transactions, and underwritings, (ii) Assistant Secretary. companies and issue shares that are excessive layering of fees, and (iii) [FR Doc. 2017–26700 Filed 12–11–17; 8:45 am] redeemable in Creation Units only. overly complex fund structures, which BILLING CODE 8011–01–P 5. Applicants also request an are the concerns underlying the limits exemption from section 22(d) of the Act in sections 12(d)(1)(A) and (B) of the and rule 22c–1 under the Act as Act. SECURITIES AND EXCHANGE COMMISSION secondary market trading in shares will 8. Applicants request an exemption take place at negotiated prices, not at a from sections 17(a)(1) and 17(a)(2) of the [Release No. 34–82227; File No. SR– current offering price described in a Act to permit persons that are Affiliated CboeBZX–2017–007] Fund’s prospectus, and not at a price Persons, or Second Tier Affiliates, of the based on NAV. Applicants state that (a) Funds, solely by virtue of certain Self-Regulatory Organizations; Cboe secondary market trading in shares does ownership interests, to effectuate BZX Exchange, Inc.; Notice of Filing not involve a Fund as a party and will purchases and redemptions in-kind. The and Immediate Effectiveness of a not result in dilution of an investment deposit procedures for in-kind Proposed Rule Change Applicable to in shares, and (b) to the extent different purchases of Creation Units and the Its Equity Options Platform prices exist during a given trading day, redemption procedures for in-kind December 6, 2017. or from day to day, such variances occur redemptions of Creation Units will be as a result of third-party market forces, Pursuant to Section 19(b)(1) of the the same for all purchases and Securities Exchange Act of 1934 such as supply and demand. Therefore, redemptions and Deposit Instruments applicants assert that secondary market and Redemption Instruments will be 3 The requested relief would apply to direct sales transactions in shares will not lead to valued in the same manner as those of shares in Creation Units by a Fund to a Fund of investment positions currently held by Funds and redemptions of those shares. Applicants 2 Each Self-Indexing Fund will post on its website the Funds. Applicants also seek relief are not seeking relief from section 17(a) for, and the the identities and quantities of the investment requested relief will not apply to, transactions positions that will form the basis for the Fund’s from the prohibitions on affiliated where a Fund could be deemed an Affiliated calculation of its NAV at the end of the day. transactions in section 17(a) to permit a Person, or a Second-Tier Affiliate, of a Fund of Applicants believe that requiring Self-Indexing Fund to sell its shares to and redeem its Funds because an Adviser or an entity controlling, Funds to maintain full portfolio transparency will shares from a Fund of Funds, and to controlled by or under common control with an help address, together with other protections, Adviser provides investment advisory services to conflicts of interest with respect to such Funds. engage in the accompanying in-kind that Fund of Funds.
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(‘‘Act’’),1 and Rule 19b 4 thereunder,2 data upon request on an ad hoc basis, therefore, reasonable and equitably notice is hereby given that on November but proposes to begin charging a fee due allocated to recipients. The Exchange 28, 2017, Cboe BZX Exchange, Inc. to the infrastructure costs of storing and also believes that the proposed fees are (‘‘Exchange’’ or ‘‘BZX’’) filed with the providing such data. Similar to what it reasonable and non-discriminatory Securities and Exchange Commission does today, the Exchange proposes to because they will apply uniformly to all (‘‘Commission’’) the proposed rule provide a data recipient with the recipients of Exchange data. change as described in Items I, II and III requested historical data on an external Furthermore, the proposed rates are below, which Items have been prepared hard drive provided by the Exchange. identical to the rates the Exchange by the Exchange. The Exchange has As an alternative means to obtain charges for historical data on BZX designated the proposed rule change as historical data, the Exchange provides Equities,8 which have been previously one establishing or changing a member market participants with access to a filed with the Commission and subject due, fee, or other charge imposed by the database from which they can download to notice and comment.9 Exchange under Section 19(b)(3)(A)(ii) data that is up to 3 months old. As The Exchange also believes that the of the Act 3 and Rule 19b-4(f)(2) proposed, the Exchange will offer proposed rule change is consistent with thereunder,4 which renders the historical data from the Exchange’s Section 11(A) of the Act 10 in that it proposed rule change effective upon PITCH data feed for a fee of $500 per supports (i) fair competition among filing with the Commission. The month of data accessed by any brokers and dealers, among exchange Commission is publishing this notice to individual user. The Exchange’s markets, and between exchange markets solicit comments on the proposed rule databases will contain up to 90 days of and markets other than exchange change from interested persons. data at any point in time. For data that markets and (ii) the availability to brokers, dealers, and investors of I. Self-Regulatory Organization’s the Exchange provides on an external hard drive to a market participant the information with respect to quotations Statement of the Terms of Substance of for and transactions in securities. the Proposed Rule Change proposed cost is $2,500 per 1 terabyte (TB) drive generated by the Exchange. Furthermore, the proposed rule change The Exchange filed a proposal to Historical data would be provided to is consistent with Rule 603 of 11 amend the Market Data section of its fee data recipients for internal use only, and Regulation NMS, which provides that schedule applicable to its equity options thus, no redistribution will be any national securities exchange that platform (‘‘BZX Options’’) to adopt fees permitted. The proposed rates are distributes information with respect to for receipt of historical market data. identical to the rates it charges for quotations for or transactions in an NMS The text of the proposed rule change historical data on its equity trading stock do so on terms that are not is available at the Exchange’s website at platform (‘‘BZX Equities’’).5 unreasonably discriminatory. In www.markets.cboe.com, at the principal Historical data provided by the adopting Regulation NMS, the office of the Exchange, and at the Exchange can be used for a variety of Commission granted self-regulatory Commission’s Public Reference Room. purposes. For instance, data recipients organizations and broker-dealers II. Self-Regulatory Organization’s may use historical data to back-test increased authority and flexibility to Statement of the Purpose of, and certain trading strategies. As another offer new and unique market data to the Statutory Basis for, the Proposed Rule example, data recipients that provide public. It was believed that this Change market information through public authority would expand the amount of websites or develop dynamic stock data available to consumers, and also In its filing with the Commission, the spur innovation and competition for the tickers, portfolio trackers, price/time Exchange included statements provision of market data. graphs and other visual systems can use concerning the purpose of and basis for In addition, the proposed fees would the proposed rule change and discussed historical data for such purposes. not permit unfair discrimination any comments it received on the The Exchange proposes to implement because all of the Exchange’s customers proposed rule change. The text of these the proposed change to its fee schedule and market data vendors will be subject statements may be examined at the on January 2, 2018. to the proposed fees on an equivalent places specified in Item IV below. The 2. Statutory Basis basis. Historical data is distributed and Exchange has prepared summaries, set purchased on a voluntary basis, in that The Exchange believes that the forth in Sections A, B, and C below, of neither the Exchange nor market data proposed rule change is consistent with the most significant parts of such distributors are required by any rule or the objectives of Section 6 of the Act,6 statements. regulation to make this data available. in general, and furthers the objectives of Accordingly, Distributors and Users can (A) Self-Regulatory Organization’s Section 6(b)(4),7 in particular, as it is Statement of the Purpose of, and discontinue use at any time and for any designed to provide for the equitable reason, including due to an assessment Statutory Basis for, the Proposed Rule allocation of reasonable dues, fees and Change of the reasonableness of fees charged. other charges among its members and Firms have a wide variety of alternative 1. Purpose other recipients of Exchange data. The market data products from which to Exchange believes that the proposed The Exchange proposes to amend the choose, such as similar proprietary data rates are equitable and non- products offered by other exchanges and Market Data section of its BZX Options discriminatory in that they apply fee schedule to adopt fees for historical consolidated data. Moreover, the uniformly to all recipients of Exchange Exchange is not required to make any market data. The Exchange proposes to data. The Exchange believes the begin providing historical data to data proposed fees are competitive with recipients upon request for a fee. The 8 See Cboe BZX U.S. Equities Exchange Fee those charged by other venues and, Schedule available at http://markets.cboe.com/us/ Exchange currently provides historical equities/membership/fee_schedule/bzx/. 5 See Cboe BZX U.S. Equities Exchange Fee 9 See Securities Exchange Act Release Nos. 61885 1 15 U.S.C. 78s(b)(1). Schedule available at http://markets.cboe.com/us/ (April 9, 2010), 75 FR 20018 (April 16, 2010) (SR– 2 17 CFR 240.19b–4. equities/membership/fee_schedule/bzx/. BATS–2010–002). 3 15 U.S.C. 78s(b)(3)(A)(ii). 6 15 U.S.C. 78f. 10 15 U.S.C. 78k–1. 4 17 CFR 240.19b–4(f)(2). 7 15 U.S.C. 78f(b)(4). 11 See 17 CFR 242.603.
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proprietary data products available or to any burden on competition that is not (C) Self-Regulatory Organization’s offer any specific pricing alternatives to necessary or appropriate in furtherance Statement on Comments on the any customers. of the purposes of the Act, as amended. Proposed Rule Change Received From In addition, the fees that are the The Exchange’s ability to price Members, Participants or Others subject of this rule filing are constrained historical data is constrained by: (i) The Exchange has neither solicited by competition. As explained below in Competition among exchanges, other nor received written comments on the the Exchange’s Statement on Burden on trading platforms, and Trade Reporting proposed rule change. Competition, the existence of Facilities (‘‘TRF’’) that compete with alternatives to historical data further each other in a variety of dimensions; III. Date of Effectiveness of the ensures that the Exchange cannot set (ii) the existence of inexpensive real- Proposed Rule Change and Timing for unreasonable fees, or fees that are time consolidated data and market- Commission Action unreasonably discriminatory, when specific data and free delayed data; and The foregoing rule change has become vendors and subscribers can elect such (iii) the inherent contestability of the effective pursuant to Section 19(b)(3)(A) alternatives. That is, the Exchange market for proprietary data. of the Act 13 and paragraph (f) of Rule competes with other exchanges (and The Exchange and its market data 19b–4 thereunder.14 At any time within their affiliates) that provide similar products are subject to significant 60 days of the filing of the proposed rule market data products. If another competitive forces and the proposed change, the Commission summarily may exchange (or its affiliate) were to charge fees represent responses to that temporarily suspend such rule change if less to distribute its similar product competition. To start, the Exchange it appears to the Commission that such than the Exchange charges to distribute competes intensely for order flow. It action is necessary or appropriate in the historical data, prospective Users likely competes with the other national public interest, for the protection of would not subscribe to, or would cease securities exchanges that currently trade investors, or otherwise in furtherance of subscribing to, the Exchange’s historical equities, with electronic communication the purposes of the Act. data. networks, with quotes posted in The Exchange notes that the FINRA’s Alternative Display Facility, IV. Solicitation of Comments Commission is not required to with alternative trading systems, and Interested persons are invited to undertake a cost-of-service or rate- with securities firms that primarily submit written data, views, and making approach. The Exchange trade as principal with their customer arguments concerning the foregoing, believes that, even if it were possible as order flow. including whether the proposed rule a matter of economic theory, cost-based The availability of a variety of change is consistent with the Act. pricing for non-core market data would alternative sources of information Comments may be submitted by any of be so complicated that it could not be imposes significant competitive the following methods: done practically.12 pressures on Exchange data products and the Exchange’s compelling need to Electronic Comments (B) Self-Regulatory Organization’s attract order flow imposes significant • Use the Commission’s internet Statement on Burden on Competition competitive pressure on the Exchange to comment form (http://www.sec.gov/ The Exchange does not believe that act equitably, fairly, and reasonably in rules/sro.shtml); or the proposed rule change will result in setting the proposed data product fees. • Send an email to rule-comments@ The proposed data product fees are, in sec.gov. Please include File Number SR– 12 The Exchange believes that cost-based pricing part, responses to that pressure. The CboeBZX–2017–007 on the subject line. would be impractical because it would create Exchange believes that the proposed enormous administrative burdens for all parties, Paper Comments fees would reflect an equitable including the Commission, to cost-regulate a large • number of participants and standardize and analyze allocation of its overall costs to users of Send paper comments in triplicate extraordinary amounts of information, accounts, its facilities. to Brent J. Fields, Secretary, Securities and reports. In addition, it is impossible to regulate and Exchange Commission, 100 F Street market data prices in isolation from prices charged In addition, when establishing the by markets for other services that are joint products. proposed fees, the Exchange considered NE, Washington, DC 20549–1090. Cost-based rate regulation would also lead to the competitiveness of the market for All submissions should refer to File litigation and may distort incentives, including proprietary data and all of the Number SR–CboeBZX–2017–007. This those to minimize costs and to innovate, leading to further waste. Under cost-based pricing, the implications of that competition. The file number should be included on the Commission would be burdened with determining Exchange believes that it has considered subject line if email is used. To help the a fair rate of return, and the industry could all relevant factors and has not Commission process and review your experience frequent rate increases based on considered irrelevant factors in order to escalating expense levels. Even in industries comments more efficiently, please use historically subject to utility regulation, cost-based establish fair, reasonable, and not only one method. The Commission will ratemaking has been discredited. As such, the unreasonably discriminatory fees and an post all comments on the Commission’s Exchange believes that cost-based ratemaking equitable allocation of fees among all internet website (http://www.sec.gov/ would be inappropriate for proprietary market data and inconsistent with Congress’s direction that the Users. The existence of alternatives to rules/sro.shtml). Copies of the Commission use its authority to foster the historical data, including existing submission, all subsequent development of the national market system, and similar feeds by other exchanges, amendments, all written statements that market forces will continue to provide consolidated data, and proprietary data with respect to the proposed rule appropriate pricing discipline. See Appendix C to NYSE’s comments to the Commission’s 2000 from other sources, ensures that the change that are filed with the Concept Release on the Regulation of Market Exchange cannot set unreasonable fees, Commission, and all written Information Fees and Revenues, which can be or fees that are unreasonably communications relating to the found on the Commission’s website at http:// discriminatory, when vendors and www.sec.gov/rules/concept/s72899/buck1.htm. See proposed rule change between the also Securities Exchange Act Release No. 73816 subscribers can elect these alternatives Commission and any person, other than (December 11, 2014), 79 FR 75200 (December 17, or choose not to purchase a specific those that may be withheld from the 2014) (SR–NYSE–2014–64) (Notice of Filing and proprietary data product if its cost to public in accordance with the Immediate Effectiveness of Proposed Rule Change purchase is not justified by the returns to Establish an Access Fee for the NYSE Best Quote and Trades Data Feed, Operative December 1, any particular vendor or subscriber 13 15 U.S.C. 78s(b)(3)(A). 2014). would achieve through the purchase. 14 17 CFR 240.19b–4(f).
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provisions of 5 U.S.C. 552, will be I. Self-Regulatory Organization’s specified by Section 402.01 in its available for website viewing and Statement of the Terms of Substance of proposed amended form and (ii) one printing in the Commission’s Public the Proposed Rule Change hard copy of any filing that is not Reference Room, 100 F Street NE, The Exchange proposes to amend the required to be filed through EDGAR, Washington, DC 20549, on official NYSE Listed Company Manual (the including pursuant to a hardship business days between the hours of ‘‘Manual’’) to modify its requirements exemption granted by the SEC. 10:00 a.m. and 3:00 p.m. Copies of the with respect to delivery of proxy In addition, the Exchange proposes to filing also will be available for materials to the Exchange. The proposed amend Section 402.01 to provide that listed companies will not be required to inspection and copying at the principal rule change is available on the provide proxy materials to the Exchange office of the Exchange. All comments Exchange’s website at www.nyse.com, at in physical form, provided such proxy the principal office of the Exchange, and received will be posted without change. materials are included in an SEC filing at the Commission’s Public Reference Persons submitting comments are available on the SEC’s EDGAR filing Room. cautioned that we do not redact or edit system. Any listed company whose personal identifying information from II. Self-Regulatory Organization’s proxy materials are available on EDGAR comment submissions. You should Statement of the Purpose of, and but not filed pursuant to Schedule 14A submit only information that you wish Statutory Basis for, the Proposed Rule under the Act will be required to to make available publicly. All Change provide to the Exchange information submissions should refer to File In its filing with the Commission, the sufficient to identify such filing (by one Number SR–CboeBZX–2017–007 and self-regulatory organization included of the means specified in Section should be submitted on or before statements concerning the purpose of, 204.00(A)) not later than the date on January 2, 2018. and basis for, the proposed rule change which such material is sent, or given, to any security holders. Notwithstanding For the Commission, by the Division of and discussed any comments it received the foregoing, any listed company Trading and Markets, pursuant to delegated on the proposed rule change. The text whose proxy materials are not included authority.15 of those statements may be examined at the places specified in Item IV below. in their entirety (together with proxy Eduardo A. Aleman, card) in an SEC filing available on Assistant Secretary. The Exchange has prepared summaries, set forth in sections A, B, and C below, EDGAR will continue to be required to [FR Doc. 2017–26689 Filed 12–11–17; 8:45 am] of the most significant parts of such provide three physical copies of any BILLING CODE 8011–01–P statements. proxy material not available on EDGAR to the Exchange not later than the date A. Self-Regulatory Organization’s on which such material is sent, or given, SECURITIES AND EXCHANGE Statement of the Purpose of, and the to any security holders, consistent with COMMISSION Statutory Basis for, the Proposed Rule the requirements of Rule 14a–6(b) under Change the Act.4 The Exchange also proposes to correct an erroneous reference to Rule [Release No. 34–82225; File No. SR–NYSE– 1. Purpose 2017–42] 14–a(6)(c) [sic] in Section 402.01 to refer The Exchange proposes to amend the instead to part (c) of that rule. Self-Regulatory Organizations; New Manual to modify its requirements with The Exchange notes that almost all respect to delivery of proxy materials to York Stock Exchange LLC; Notice of U.S. domestic listed companies are the Exchange. Filing of Proposed Rule Change subject to the SEC’s proxy rules. Those The Manual currently includes two companies are required to file their Amending the NYSE Listed Company provisions requiring listed companies to proxy materials on the SEC’s EDGAR Manual To Modify Its Requirements provide physical copies of proxy system and the relevant filings are With Respect to Delivery of Proxy materials to the Exchange. Section readily identifiable as being filed under Materials to the Exchange 204.00(B) requires listed companies to Schedule 14A under the U.S. proxy provide six hard copies of proxy December 6, 2017. rules. Exchange staff receives alerts materials not later than the date on when filings are submitted to the SEC Pursuant to Section 19(b)(1) 1 of the which the material is physically or and generally reviews proxy materials Securities Exchange Act of 1934 electronically delivered to shareholders. on EDGAR shortly after filing. This (‘‘Act’’),2 and Rule 19b–4 thereunder,3 Section 402.01 requires listed review has generally been completed notice is hereby given that, on companies to provide three definitive long before the Exchange receives hard November 22, 2017, New York Stock copies of the proxy material (together copies of proxy materials and the Exchange LLC (‘‘NYSE’’ or ‘‘Exchange’’) with proxy card) not later than the date Exchange therefore has no real need to filed with the Securities and Exchange on which such material is sent, or given, receive hard copies. Commission (‘‘SEC’’ or ‘‘Commission’’) to any security holders. Listed foreign private issuers are not the proposed rule change as described The Exchange proposes to delete from required to comply with the U.S. proxy in Items I, II, and III below, which Items Section 204.00(B) a provision stating rules, although the NYSE does require have been prepared by the self- that listed companies are required to file these companies to solicit proxies. regulatory organization. The hard copies of certain SEC reports and However, many foreign private issuers other material (such as proxies) with the Commission is publishing this notice to furnish and submit their proxy materials Exchange, as this provision is solicit comments on the proposed rule to the SEC as part of a Form 6–K (or, in inconsistent with the Exchange’s the case of foreign private issuers that change from interested persons. proposed revised approach to the voluntarily submit periodic reports review of SEC filings. To that end, the applicable to domestic companies, 15 17 CFR 200.30–3(a)(12). Exchange proposes to modify Section proxy materials may instead be 1 15 U.S.C.78s(b)(1). 204.00(B) so as to require companies to included in a Form 8–K). As foreign 2 15 U.S.C. 78a. send hard copy proxy materials to the 3 17 CFR 240.19b–4. Exchange only (i) in the circumstances 4 17 CFR 14a–6(b).
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private issuers often file or submit a material to the Exchange of materials of proxy materials to their listing significant number of Forms 6–K (or filed with the SEC via EDGAR, exchange. In this regard, the Exchange Form 8–K, as the case may be) during including proxy materials.7 At the time notes that it has previously been granted a year and there is no easy way to that such no action relief was granted, no action relief by the SEC staff in identify which one includes a the Exchange decided not to rely on it relation to the obligation of listed company’s proxy materials, the in relation to proxy materials, but companies to provide hard copy Exchange proposes to require listed believes that it is appropriate to do so material to the Exchange of materials foreign private issuers to provide to the now for the reasons set forth above. filed with the SEC via EDGAR. Exchange in electronic format the 2. Statutory Basis information needed to identify the B. Self-Regulatory Organization’s submission containing proxy materials. The Exchange believes that the Statement on Burden on Competition Similarly, domestic companies proposed rule change is consistent with The Exchange does not believe that occasionally file their proxy materials Section 6(b) 8 of the Act, in general, and the proposed rule change will impose with the SEC on EDGAR on forms other furthers the objectives of Section 6(b)(5) any burden on competition that is not than Schedule 14A and which may not of the Act,9 in particular, in that it is necessary or appropriate in furtherance be readily identified by Exchange staff designed to promote just and equitable of the purpose of the Act. The Exchange (for example, such material may be principles of trade, to foster cooperation does not believe that the proposed included in a Form S–4 registration and coordination with persons engaged amendments will impose any burden on statement). The Exchange’s proposal in regulating, clearing, settling, competition, as their purpose is to would require such companies to processing information with respect to, eliminate unnecessary deliveries of provide electronically to the Exchange and facilitating transactions in physical proxy materials to the the information needed to identify the securities, to remove impediments to Exchange. applicable filing in which the proxy and perfect the mechanism of a free and material is included. In each of these open market and a national market C. Self-Regulatory Organization’s cases, the information must be provided system, and, in general, to protect Statement on Comments on the by one of the means specified in Section investors and the public interest and is Proposed Rule Change Received From 204.00(A).5 However, in the event that not designed to permit unfair Members, Participants, or Others an issuer is not required to file its proxy discrimination between customers, No written comments were solicited material on EDGAR (e.g., pursuant to a issuers, brokers, or dealers. The or received with respect to the proposed hardship exemption provided by the proposed rule change is consistent with rule change. SEC staff 6) or does not include all of the the protection of investors and the III. Date of Effectiveness of the relevant proxy material in its entirety in public interest because the Exchange Proposed Rule Change and Timing for a filing that can be reviewed on EDGAR, will generally be able to review proxy Commission Action the company must provide three materials on EDGAR and will continue physical copies of all of the proxy to require companies to provide proxy Within 45 days of the date of material unavailable on EDGAR to the materials to the Exchange in physical publication of this notice in the Federal Exchange not later than the date on form if they are not filed on EDGAR. It Register or up to 90 days (i) as the which such material is sent, or given, to is consistent with the protection of Commission may designate if it finds any security holders. investors and the public interest to such longer period to be appropriate The Exchange’s proposed approach require companies to provide the and publishes its reasons for so finding would ensure that the Exchange staff Exchange with information via its own or (ii) as to which the self-regulatory will continue to be able to review all online system as to how to identify the organization consents, the Commission listed company proxy material in a applicable SEC filing in which proxy will: timely manner and without disruption materials not filed on Schedule 14A (A) By order approve or disapprove of existing review procedures. The may be found, as this approach will the proposed rule change, or proposal also has the benefit of enable the Exchange to review this (B) institute proceedings to determine eliminating a significant amount of material in a more timely and efficient whether the proposed rule change unnecessary use of paper and of manner. The ability of the Exchange to should be disapproved. review material in a more timely resources devoted to processing IV. Solicitation of Comments unneeded materials received through manner furthers the goal of investor the mail. protection, as it enables the Exchange to Interested persons are invited to The Exchange recognizes that Rule identify regulatory issues more quickly submit written data, views, and 14a–6(b) under the Act requires listed and take corrective action where arguments concerning the foregoing, companies that are subject to the U.S. necessary. The Exchange recognizes that including whether the proposed rule proxy rules to deliver hard copies of Rule 14a–6(b) under the Act requires change is consistent with the Act. proxy materials to their listing listed companies that are subject to the Comments may be submitted by any of exchange. In this regard, the Exchange U.S. proxy rules to deliver hard copies the following methods: notes that it has previously been granted Electronic Comments no action relief by the SEC staff in 7 See letter dated July 22, 1998 from Ann M. relation to the obligation of listed Krauskopf, Special Counsel, Division of • Use the Commission’s internet Corporation Finance, SEC, and Howard L. Kramer, comment form (http://www.sec.gov/ companies to provide hard copy Senior Associate Director, Office of Market rules/sro.shtml); or Supervision, Division of Market Regulation, SEC, to • 5 Section 204.00 requires that notice must be Michael J. Simon, Milbank, Tweed, Hadley & Send an email to rule-comments@ provided via a web portal or email address McCloy (the ‘‘1998 No-Action Letter’’). The 1998 sec.gov. Please include File Number SR– specified by the Exchange on its website, except in No-Action Letter also granted the Exchange relief in NYSE–2017–42 on the subject line. emergency situations, when notification may relation to documents available for review on instead be provided by telephone and confirmed by EDGAR from the recordkeeping requirements of Paper Comments facsimile as specified by the Exchange on its Rule 17a–1 under the Act. website. 8 15 U.S.C. 78f(b). • Send paper comments in triplicate 6 See 17 CFR 232.201 and .202. 9 15 U.S.C. 78f(b)(5). to Secretary, Securities and Exchange
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Commission, 100 F Street NE, control access to Department of State Department of State, 2201 C Street, NW, Washington, DC 20549–1090. networks and computer systems. Washington, DC 20520 and can be All submissions should refer to File DATES: In accordance with 5 U.S.C. reached at either ITServiceCenter@ Number SR–NYSE–2017–42. This file 552a(e)(4) and (11), this system of state.gov or (202) 647–2000. number should be included on the records takes effect upon publication, AUTHORITY FOR MAINTENANCE OF THE SYSTEM: subject line if email is used. To help the with the exception of the routine uses Commission process and review your (a) and (b) that are subject to a 30-day 5 U.S.C. 301; 44 U.S.C. 3544. period during which interested persons comments more efficiently, please use PURPOSE(S) OF THE SYSTEM: only one method. The Commission will may submit comments to the To administer Department network post all comments on the Commission’s Department. Please submit any user accounts; to help document and/or internet website (http://www.sec.gov/ comments by January 11, 2018. control access to computer systems, rules/sro.shtml). Copies of the ADDRESSES: Questions can be submitted platforms, services, applications, and submission, all subsequent by mail or email. If mail, please write to: databases within a Department network amendments, all written statements U.S. Department of State; Office of and Department-authorized cloud with respect to the proposed rule Global Information Systems, Privacy services and applications; to monitor change that are filed with the Staff; A/GIS/PRV; SA–2, Suite 8100; security of computer systems; to Commission, and all written Washington, DC 20522–0208. If email, investigate and make referrals for communications relating to the please address the email to the Chief disciplinary or other actions if proposed rule change between the Privacy Officer, Margaret P. Grafeld, at unauthorized access or inappropriate Commission and any person, other than [email protected]. Please write usage is suspected or detected; and to those that may be withheld from the ‘‘Network User Account Records, State- identify the need for training programs. public in accordance with the 56’’ on the envelope or the subject line provisions of 5 U.S.C. 552, will be of your email. CATEGORIES OF INDIVIDUALS COVERED BY THE available for website viewing and FOR FURTHER INFORMATION CONTACT: SYSTEM: printing in the Commission’s Public Margaret P. Grafeld, Chief Privacy Department of State employees and Reference Room, 100 F Street NE, Officer; U.S. Department of State; Office other organizational users (examples Washington, DC 20549 on official of Global Information Services, A/GIS/ include eligible family members, locally business days between the hours of PRV; SA–2, Suite 8100; Washington, DC employed staff, contractors, and 10:00 a.m. and 3:00 p.m. Copies of the 20522–0208 or 202–261–8300. personal services contractors) who have filing also will be available for SUPPLEMENTARY INFORMATION: The access to Department of State computer inspection and copying at the principal purpose of this modification is to make networks and access to cloud computing office of the Exchange. All comments substantive and administrative changes applications that are authorized for received will be posted without change. to the previously published notice. This processing Department information. The Persons submitting comments are notice modifies the following sections of Privacy Act defines an individual at 5 cautioned that we do not redact or edit State-56, Network User Account U.S.C.552a(a)(2) as a United States personal identifying information from Records: System Location, Categories of citizen or lawful permanent resident. comment submissions. You should Individuals, Routine Uses, Storage, submit only information that you wish Safeguards. In addition, this notice CATEGORIES OF RECORDS IN THE SYSTEM: to make available publicly. All makes administrative updates to the This system of records consists of the submissions should refer to File following sections: Policies and network and application user account Number SR–NYSE–2017–42 and should Procedures for Retrieval of Records, records that Department information be submitted on or before January 2, Record Access Procedures, Notification technology systems, applications, and 2018. Procedures, and History. These changes services compile and maintain about For the Commission, by the Division of reflect the Department’s move to cloud users of a network and application. Trading and Markets, pursuant to delegated storage, new OMB guidance, access by These records include user data such as authority.10 contractors, updated contact the user’s name, system-assigned Eduardo A. Aleman, information, and a notice publication username; email address; employee or Assistant Secretary. history. other user identification number; organization code; job title; business [FR Doc. 2017–26687 Filed 12–11–17; 8:45 am] SYSTEM NAME AND NUMBER: BILLING CODE 8011–01–P affiliation; work contact information; Network User Account Records, State- systems, applications, or services to 56. which the individual has access; systems, applications, or services used; SECURITY CLASSIFICATION: DEPARTMENT OF STATE dates, times, and durations of use; Unclassified. [Public Notice: 10225] profile photo; user profile; and IP SYSTEM LOCATION: address of access. The records also Privacy Act of 1974; System of Department of State (‘‘Department’’), include system usage files and Records located at 2201 C Street NW, directories when they contain Washington, DC 20520, and within a information about specific users. AGENCY: Department of State. government cloud provided, RECORD SOURCE CATEGORIES: ACTION: Notice of a Modified System of implemented, and overseen by the Records. Department’s Enterprise Server Individuals about whom the network Operations Center (ESOC), 2201 C Street user account record is maintained; SUMMARY: This System of Records NW, Washington, DC 20520. information technology systems, compiles information about Department applications, and services within a of State user accounts to monitor and SYSTEM MANAGER(S): Department network that record usage Chief Information Officer, Bureau of by individuals assigned a user account 10 17 CFR 200.30–3(a)(12). Information Resource Management, on that network.
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ROUTINE USES OF RECORDS MAINTAINED IN THE POLICIES AND PRACTICES FOR RETENTION AND State network from non-Department SYSTEM, INCLUDING CATEGORIES OF USERS AND DISPOSAL OF RECORDS: owned systems is authorized only PURPOSES OF SUCH USES: Records maintained in this system of through a Department approved access Records may be disclosed: records are generally destroyed three to program. Remote access to the network (a) To appropriate agencies, entities, six years after the user account is is configured with the authentication and persons when (1) the Department of terminated. These records are retired requirements contained in the Office of State suspects or has confirmed that and destroyed in accordance with Management and Budget Circular there has been a breach of the system of published Department of State Records Memorandum A–130. All Department of records; (2) the Department of State has Disposition Schedules as approved by State employees and contractors with determined that as a result of the the National Archives and Records authorized access have undergone a suspected or confirmed breach there is Administration (NARA), and a complete background security investigation. a risk of harm to individuals, the list of the Department’s schedules can The Department of State will store Department of State (including its be found on our Freedom of Information records maintained in this system of information systems, programs, and Act (FOIA) program’s website (https:// records in cloud systems. All cloud operations), the Federal Government, or foia.state.gov/Learn/ systems that provide IT services and national security; and (3) the disclosure RecordsDisposition.aspx). More specific process Department of State information made to such agencies, entities, and information may be obtained by writing must be authorized to operate by the persons is reasonably necessary to assist to the following address: Director, Office Department of State Authorizing Official in connection with the Department of of Information Programs and Services, and Senior Agency Official for Privacy. State efforts to respond to the suspected A/GIS/IPS; SA–2, Department of State; Only information that conforms with or confirmed breach or to prevent, 515 22nd Street NW, Washington, DC Department-specific definitions for minimize, or remedy such harm. 20522–8100. FISMA low or moderate categorization are permissible for cloud usage unless (b) To another Federal agency or ADMINISTRATIVE, TECHNICAL, AND PHYSICAL Federal entity, when the Department of SAFEGUARDS: specifically authorized by the State determines that information from All users are given cyber security Department’s Cloud Computing this system of records is reasonably awareness training that covers the Governance Board. Prior to operation, necessary to assist the recipient agency procedures for handling Sensitive but all Cloud systems must comply with or entity in (1) responding to a Unclassified information, including applicable security measures that are suspected or confirmed breach or (2) personally identifiable information (PII). outlined in FISMA, FedRAMP, OMB preventing, minimizing, or remedying Annual refresher training is mandatory. guidance, NIST Federal Information the risk of harm to individuals, the In addition, all Foreign Service and Processing Standards (FIPS) and Special recipient agency or entity (including its Civil Service employees and those Publications, and Department of State information systems, programs, and Locally Engaged Staff who handle PII policy and standards. operations), the Federal Government, or are required to take the Foreign Service RECORD ACCESS PROCEDURES: national security, resulting from a Institute distance learning course Individuals who wish to gain access suspected or confirmed breach. instructing employees on privacy and to or to amend records pertaining to The Department of State periodically security requirements, including the themselves should write to U.S. publishes in the Federal Register its rules of behavior for handling PII and Department of State; Director, Office of standard routine uses which apply to the potential consequences if it is Information Programs and Services; A/ many of its Privacy Act systems of handled improperly. GIS/IPS; SA–2, Suite 8100; Washington, records. These notices appear in the Access to the Department of State, its DC 20522–0208. The individual must form of a Prefatory Statement (published annexes and posts abroad is controlled specify that he or she wishes the in Volume 73, Number 136, Public by security guards and admission is Network User Account Records to be Notice 6290, on July 15, 2008). All these limited to those individuals possessing checked. At a minimum, the individual standard routine uses apply to Network a valid identification card or individuals must include: Full name (including User Account Records, State-56. under proper escort. While the majority maiden name, if appropriate) and any of records covered in the Network User other names used; current mailing POLICIES AND PRACTICES FOR STORAGE OF Account Records are electronic, all address and zip code; date and place of RECORDS: paper records containing personal birth; notarized signature or statement Records are stored both in hard copy information are maintained in secured under penalty of perjury; a brief and on electronic media. A description file cabinets in restricted areas, access to description of the circumstances that of standard Department of State policies which is limited to authorized caused the creation of the record concerning storage of electronic records personnel. Access to computerized files (including the city and/or country and is found in the Department’s Foreign is password-protected and under the the approximate dates) which gives the Affairs Manual (https://fam.state.gov/ direct supervision of the system individual cause to believe that the FAM/05FAM/05FAM0440.html). All manager. The system manager has the Network User Account Records include hard copies of records containing capability of printing audit trails of records pertaining to him or her. personal information are maintained in access from the computer media, Detailed instructions on Department of secured file cabinets in restricted areas, thereby permitting regular and ad hoc State procedures for accessing and access to which is limited to authorized monitoring of computer usage. When it amending records can be found at the personnel. is determined that a user no longer Department’s FOIA website (https:// needs access, the user account is foia.state.gov/Request/Guide.aspx). POLICIES AND PRACTICES FOR RETRIEVAL OF disabled. RECORDS: Before being granted access to CONTESTING RECORD PROCEDURES: Records are indexed by the name; Network User Account Records, a user Individuals who wish to contest system-assigned username; email must first be granted access to the record procedures should write to U.S. address; or other searchable data fields Department of State computer system. Department of State; Director, Office of or codes. Remote access to the Department of Information Programs and Services; A/
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GIS/IPS; SA–2, Suite 8100; Washington, ADDRESSES: Comments can be submitted is archived in the system. The system DC 20522–0208. by mail or email. If mail, please write to: may also include information about U.S. Department of State; Office of individuals who interact with a NOTIFICATION PROCEDURES: Global Information Systems, Privacy Department of State email account, as Individuals who have reason to Staff; A/GIS/PRV; SA–2, Suite 8100; well as individuals who are mentioned believe that this system of records may Washington, DC 20522–0208. If email, in a Department of State email message contain information pertaining to them please address the email to the Chief or attachment. The Privacy Act defines may write to U.S. Department of State; Privacy Officer, Margaret P. Grafeld, at an individual at 5 U.S.C.552a(a)(2) as a Director, Office of Information Programs [email protected]. Please write ‘‘Email United States citizen or lawful and Services; A/GIS/IPS; SA–2, Suite Archive Management Records, State-01’’ permanent resident. 8100; Washington, DC 20522–0208. The on the envelope or the subject line of individual must specify that he or she your email. CATEGORIES OF RECORDS IN THE SYSTEM: wishes the Network User Account FOR FURTHER INFORMATION CONTACT: The records in this system include Records to be checked. At a minimum, Margaret P. Grafeld, Chief Privacy email messages and attachments the individual must include: Full name Officer; U.S. Department of State; Office associated with a Department of State (including maiden name, if appropriate) of Global Information Services, A/GIS/ email account, including any and any other names used; current PRV; SA–2, Suite 8100; Washington, DC information that may be included in mailing address and zip code; date and 20522–0208 or 202–261–8300. such messages or attachments. The place of birth; notarized signature or SUPPLEMENTARY INFORMATION: None. system may also include biographic and statement under penalty of perjury; a contact information of individuals who brief description of the circumstances SYSTEM NAME AND NUMBER: maintain a Department of State email that caused the creation of the record Email Archive Management Records, account, including name, address, email (including the city and/or country and State-01. address, and phone number. the approximate dates) which gives the individual cause to believe that the SECURITY CLASSIFICATION: RECORD SOURCE CATEGORIES: Network User Account Records include Unclassified and Classified. These records contain information records pertaining to him or her. obtained from individuals who maintain SYSTEM LOCATION: a Department of State email account, as EXEMPTIONS PROMULGATED FOR THE SYSTEM: Department of State (‘‘Department’), well as those who interact with such None. located at 2201 C Street NW, individuals. Washington, DC 20520; Department of HISTORY: State annexes, U.S. Embassies, U.S. ROUTINE USES OF RECORDS MAINTAINED IN THE This SORN was previously published Consulates General, and U.S. SYSTEM, INCLUDING CATEGORIES OF USERS AND at 75 FR 7210. Consulates. Information may also be PURPOSES OF SUCH USES: Mary R. Avery, stored within a government-certified The information in the system may be cloud, implemented, and overseen by shared with: Senior Agency Official for Privacy, Senior the Department’s Messaging Systems Advisor, Office of Global Information (a) Other federal agencies, foreign Services, Bureau of Administration, Office (MSO), 2025 E. St. NW, governments, and private entities where Department of State. Washington, DC 20006. relevant and necessary for them to review or consult on documents that [FR Doc. 2017–26750 Filed 12–11–17; 8:45 am] SYSTEM MANAGER(S): BILLING CODE 4710–24–P implicate their equities; Division Chief, Office of Information (b) a contractor of the Department Resource Management, Messaging having need for the information in the Systems Office, Messaging Design DEPARTMENT OF STATE performance of the contract, but not Division; U.S. Department of State, 7049 operating a system of records within the [Public Notice: 10226] Newington Rd; Lorton, VA 22079. The meaning of 5 U.S.C. 552a(m). System Manager can be reached at (703) (c) appropriate agencies, entities, and Privacy Act of 1974; System of 746–2113. Records persons when (1) the Department of AUTHORITY FOR MAINTENANCE OF THE SYSTEM: State suspects or has confirmed that AGENCY: Department of State. (a) 5 U.S.C. 301 there has been a breach of the system of ACTION: Notice of a New System of (b) Federal Records Act, 44 U.S.C. Ch. records; (2) the Department of State has Records. 31; determined that as a result of the (c) Freedom of Information Act, 5 suspected or confirmed breach there is SUMMARY: The purpose of the Email U.S.C. 552. a risk of harm to individuals, the Archive Management Records system is (d) Privacy Act of 1974, 5 Department of State (including its to capture all emails and attachments U.S.C.552a(d). information systems, programs, and that interact with a Department of State (e) 22 CFR part 171. operations), the Federal Government, or email account and to store them in a PURPOSE(S) OF THE SYSTEM: national security; and (3) the disclosure secure repository that allows for search, made to such agencies, entities, and The purpose of the system is to retrieval, and view when necessary. persons is reasonably necessary to assist capture all emails and attachments that DATES: In accordance with 5 U.S.C. in connection with the Department of interact with a Department of State 552a(e)(4) and (11), this system of State efforts to respond to the suspected email account and to store them in a records takes effect upon publication, or confirmed breach or to prevent, secure repository that allows for search, with the exception of the routine uses minimize, or remedy such harm. retrieval, and view when necessary. that are subject to a 30-day period (d) another Federal agency or Federal during which interested persons may CATEGORIES OF INDIVIDUALS COVERED BY THE entity, when the Department of State submit comments to the Department. SYSTEM: determines that information from this Please submit any comments by January Individuals who maintain a system of records is reasonably 11, 2018. Department of State email account that necessary to assist the recipient agency
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or entity in (1) responding to a Department in a proceeding before a procedures for handling Sensitive But suspected or confirmed breach or (2) court, adjudicative body, or other Unclassified information, including preventing, minimizing, or remedying administrative body before which the personally identifiable information (PII). the risk of harm to individuals, the Department is authorized to appear, Annual refresher training is mandatory. recipient agency or entity (including its where the Department deems DOJ’s use In addition, all Foreign Service and information systems, programs, and of such information relevant and Civil Service employees and those operations), the Federal Government, or necessary to the litigation, and such Locally Employed Staff who handle PII national security, resulting from a proceeding names as a party or interests: are required to take a distance learning suspected or confirmed breach. (a) The Department or any component course instructing employees on privacy (e) an agency, whether federal, state, of it; and security requirements, including local or foreign, where a record (b) Any employee of the Department the rules of behavior for handling PII indicates a violation or potential in his or her official capacity; and the potential consequences if it is violation of law, whether civil, criminal (c) Any employee of the Department handled improperly. Before being or regulatory in nature, and whether in his or her individual capacity where granted access to Email Archive arising by general statute or particular DOJ has agreed to represent the Management Records, a user must first program statute, or by regulation, rule or employee; or be granted access to the Department of order issued pursuant thereto, so that (d) The Government of the United State computer system. the recipient agency can fulfill its States, where the Department Remote access to the Department of responsibility to investigate or prosecute determines that litigation is likely to State network from non-Department- such violation or enforce or implement affect the Department or any of its owned systems is authorized only to the statute, rule, regulation, or order. components. unclassified systems and through a (f) the Federal Bureau of Investigation, (j) the National Archives and Records Department-approved access program. the Department of Homeland Security, Administration and the General Remote access to the network is the National Counter-Terrorism Center Services Administration: For records configured with the authentication (NCTC), the Terrorist Screening Center management inspections, surveys and requirements contained in the Office of (TSC), or other appropriate federal studies; following transfer to a Federal Management and Budget Circular agencies, for the integration and use of records center for storage; and to Memorandum A–130. such information to protect against determine whether such records have All Department of State employees terrorism, if that record is about one or sufficient historical or other value to and contractors with authorized access more individuals known, or suspected, warrant accessioning into the National have undergone a thorough background to be or to have been involved in Archives of the United States. security investigation. Access to the activities constituting, in preparation Department of State, its annexes and for, in aid of, or related to terrorism. POLICIES AND PRACTICES FOR STORAGE OF posts abroad is controlled by security Such information may be further RECORDS: guards, and admission is limited to disseminated by recipient agencies to Records are stored on electronic those individuals possessing a valid Federal, State, local, territorial, tribal, media. A description of standard identification card or individuals under and foreign government authorities, and Department of State policies concerning proper escort. Access to Department of to support private sector processes as storage of electronic records is found State workstations/networks requires a contemplated in Homeland Security here https://fam.state.gov/FAM/05FAM/ valid PKI identification card protected Presidential Directive/HSPD–6 and 05FAM0440.html. by a user’s PIN that must first be entered other relevant laws and directives, for before accessing the Department of State POLICIES AND PRACTICES FOR RETRIEVAL OF terrorist screening, threat-protection and RECORDS: network. Access to computerized files is other homeland security purposes. password-protected and under the By individual name or other personal (g) a congressional office from the direct supervision of the system identifier, if available. record of an individual in response to manager. The system manager has the an inquiry from the Congressional office POLICIES AND PRACTICES FOR RETENTION AND capability of printing audit trails of made at the request of that individual. DISPOSAL OF RECORDS: access from the computer media, (h) a court, adjudicative body, or The Department of State is in the thereby permitting regular and ad hoc administrative body before which the process of finalizing a retention monitoring of computer usage. When it Department is authorized to appear schedule for these records. Once the is determined that a user no longer when (a) the Department; (b) any schedule is approved by the National needs access, the user account is employee of the Department in his or Archives and Records Administration, disabled. her official capacity; (c) any employee of the Records will be retired in The safeguards in the following the Department in his or her individual accordance with the published paragraphs apply only to records that capacity where the U.S. Department of Department of State Records Disposition are maintained in cloud systems. All Justice (‘‘DOJ’’) or the Department has Schedule that shall be published here: cloud systems that provide IT services agreed to represent the employee; or (d) https://foia.state.gov/Learn/ and process Department of State the Government of the United States, RecordsDisposition.aspx. More specific information must be specifically when the Department determines that information may be obtained by writing authorized by the Department of State litigation is likely to affect the to the following address: U.S. Authorizing Official and Senior Agency Department, is a party to litigation or Department of State; Director, Office of Official for Privacy. has an interest in such litigation, and Information Programs and Services; A/ Information that conforms with the use of such records by the GIS/IPS; SA–2, Suite 8100; Washington, Department-specific definitions for Department is deemed to be relevant DC 20522–0208. FISMA low, moderate, or high and necessary to the litigation or categorization are permissible for cloud administrative proceeding. ADMINISTRATIVE, TECHNICAL, AND PHYSICAL usage and must specifically be (i) the Department of Justice (‘‘DOJ’’) SAFEGUARDS: authorized by the Cloud Computing for its use in providing legal advice to All users are given cyber security Governance Board. Specific security the Department or in representing the awareness training which covers the measures and safeguards will depend on
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the FISMA categorization of the CONTESTING RECORD PROCEDURES: LLP on behalf of Trinity Industries, Inc. information in a given cloud system. Individuals who wish to contest (WB17–51—12/05/17) for permission to The Email Archive Management record procedures should write to U.S. use certain data from the Board’s 2016 Records system is rated as a FISMA high Department of State; Director, Office of Carload Waybill Sample. A copy of this system. In accordance with Department Information Programs and Services; A/ request may be obtained from the Office policy, systems that process more GIS/IPS; SA–2, Suite 8100; Washington, of Economics. sensitive information will require more DC 20522–0208. The waybill sample contains stringent controls and review by confidential railroad and shipper data; NOTIFICATION PROCEDURES: Department cybersecurity experts prior therefore, if any parties object to these to approval. Prior to operation, all Cloud Individuals who have reason to requests, they should file their systems must comply with applicable believe that this system of records may objections with the Director of the security measures that are outlined in contain information pertaining to them Board’s Office of Economics within 14 FISMA, FedRAMP, OMB regulations, may write to U.S. Department of State; calendar days of the date of this notice. NIST Federal Information Processing Director, Office of Information Programs The rules for release of waybill data are Standards (FIPS) and Special and Services; A/GIS/IPS; SA–2, Suite codified at 49 CFR 1244.9. Publication (SP), and Department of 8100; Washington, DC 20522–0208. The Contact: Alexander Dusenberry, (202) State policies and standards. individual must specify that he or she 245–0319. All data stored in cloud environments wishes the Email Archive Management categorized above a low FISMA impact Records to be checked. At a minimum, Jeffrey Herzig, risk level must be encrypted at rest and the individual must include: Full name Clearance Clerk. in-transit using a federally-approved (including maiden name, if appropriate) [FR Doc. 2017–26674 Filed 12–11–17; 8:45 am] encryption mechanism. The encryption and any other names used; current BILLING CODE 4915–01–P keys shall be generated, maintained, and mailing address and zip code; date and controlled in a Department data center place of birth; notarized signature or by the Department key management statement under penalty of perjury; a DEPARTMENT OF TRANSPORTATION authority. Deviations from these brief description of the circumstances encryption requirements must be that caused the creation of the record Federal Aviation Administration approved in writing by the Authorizing (including the city and/or country and Official. Data in Email Archive the approximate dates) which gives the Notice of Opportunity for Public Management Records categorized at a individual cause to believe that the Comment on a Land Use Change From high FISMA impact risk level will Email Archive Management Records Aeronautical to Non-Aeronautical Use additionally be subject to continual include records pertaining to him or for 419 Acres of Airport Land for Solar auditing and monitoring, multifactor her. Farm Use at Sanford Seacoast Regional Airport, Sanford, ME authentication mechanisms utilizing EXEMPTIONS PROMULGATED FOR THE SYSTEM: PKI, NIST 800–53 controls concerning Pursuant to 5 U.S.C. 552a (j)(2), AGENCY: Federal Aviation virtualization, servers, storage and records in this system may be exempted Administration (FAA), DOT. networking as well as stringent from subsections (c)(3) and (4), (d), ACTION: Request for public comments. measures to sanitize data from the cloud (e)(1), (2), (3), and (e)(4)(G), (H), and (I), service once the contract is terminated. and (f) of the Privacy Act. SUMMARY: Notice is being given that the RECORD ACCESS PROCEDURES: Pursuant to 5 U.S.C. 552a (k)(1), FAA is considering a request from the Individuals who wish to gain access (k)(2), (k)(3), (k)(4), (k)(5), (k)(6), and Sanford Seacoast Regional Airport, to to or to amend records pertaining to (k)(7), records in this system may be change the current land use from themselves should write to U.S. exempted from subsections (c)(3), (d)(1), aeronautical use to non-aeronautical use Department of State; Director, Office of (d)(2), (d)(3), (d)(4), (d)(5), (e)(1), of 419 acres of land. The parcels are Information Programs and Services; A/ (e)(4)(G), (e)(4)(H), (e)(4)(I), (f)(1), (f)(2), located along the southwesterly side of GIS/IPS; SA–2, Suite 8100; Washington, (f)(3), (f)(4), and (f)(5). Runway 07/25, the northerly end of DC 20522–0208. The individual must Any other exempt records from other Runway 25 and in a portion of the specify that he or she wishes the Email agencies’ systems of records that are infield area between Runway 07/25 and Archive Management Records to be recompiled into this system are also Runway 14/32. There is adequate checked. At a minimum, the individual considered exempt to the extent they are developable area on the airport to meet must include: Full name (including claimed as such in the original systems. the future twenty year need for maiden name, if appropriate) and any HISTORY: projected activity and the Airport Layout Plan was updated with a Pen other names used; current mailing None. address and zip code; date and place of and Ink change to designate the parcels birth; notarized signature or statement Mary R. Avery, for non-aeronautical use. The airport under penalty of perjury; a brief Senior Agency Official for Privacy, Senior will obtain fair market value for the description of the circumstances that Advisor, Office of Global Information lease of the land and the income derived caused the creation of the record Services, Bureau of Administration, from this lease will be placed in the Department of State. (including the city and/or country and airport’s operation and maintenance the approximate dates) which gives the [FR Doc. 2017–26752 Filed 12–11–17; 8:45 am] funds for the facility. individual cause to believe that the BILLING CODE 4710–24–P DATES: Comments must be received on Email Archive Management Records or before January 11, 2018. include records pertaining to him or ADDRESSES: You may send comments her. Detailed instructions on SURFACE TRANSPORTATION BOARD using any of the following methods: • Department of State procedures for Release of Waybill Data Federal eRulemaking Portal: Go to accessing and amending records can be http://www.regulations.gov, and follow found at https://foia.state.gov/Request/ The Surface Transportation Board has the instructions on providing Guide.aspx. received a request from Neville Peterson comments.
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• Fax: 202–493–2251. the instructions on providing • Fax: 202–493–2251. • Mail: U.S. Department of comments. • Mail: U.S. Department of Transportation, Docket Operations, M– • Fax: 202–493–2251. Transportation, Docket Operations, M– 30, West Building Ground Floor, Room • Mail: U.S. Department of 30, West Building Ground Floor, Room W 12–140, 1200 New Jersey Avenue SE, Transportation, Docket Operations, M– W 12–140, 1200 New Jersey Avenue SE, Washington, DC 20590. 30, West Building Ground Floor, Room Washington, DC 20590. • Hand Delivery: Deliver to mail W 12–140, 1200 New Jersey Avenue SE, • Hand Delivery: Deliver to mail address above between 9 a.m. and 5 Washington, DC 20590. address above between 9 a.m. and 5 p.m., Monday through Friday, except • Hand Delivery: Deliver to mail p.m., Monday through Friday, except Federal holidays. address above between 9 a.m. and 5 Federal holidays. Interested persons may inspect the p.m., Monday through Friday, except Interested persons may inspect the request and supporting documents by Federal holidays. request and supporting documents by contacting the FAA at the address listed Interested persons may inspect the contacting the FAA at the address listed under FOR FURTHER INFORMATION request and supporting documents by under FOR FURTHER INFORMATION CONTACT. contacting the FAA at the address listed CONTACT. FOR FURTHER INFORMATION CONTACT: Mr. under FOR FURTHER INFORMATION Jorge E. Panteli, Compliance and Land CONTACT. FOR FURTHER INFORMATION CONTACT: Mr. Use Specialist, Federal Aviation FOR FURTHER INFORMATION CONTACT: Mr. Jorge E. Panteli, Compliance and Land Administration New England Region Jorge E. Panteli, Compliance and Land Use Specialist, Federal Aviation Airports Division, 1200 District Avenue, Use Specialist, Federal Aviation Administration New England Region Burlington, Massachusetts, 01803. Administration New England Region Airports Division, 1200 District Avenue, Telephone: 781–238–7618. Airports Division, 1200 District Avenue, Burlington, Massachusetts, 01803. Issued in Burlington, Massachusetts, on Burlington, Massachusetts, 01803. Telephone: 781–238–7618. November 20, 2017. Telephone: 781–238–7618. Issued in Burlington, Massachusetts, on Kathleen Coffey, November 20, 2017. Issued in Burlington, Massachusetts, on Acting Manager, ANE–600. November 20, 2017. Kathleen Coffey, [FR Doc. 2017–26772 Filed 12–11–17; 8:45 am] Kathleen Coffey, Acting Manager, ANE–600. BILLING CODE P Acting Manager, ANE–600. [FR Doc. 2017–26771 Filed 12–11–17; 8:45 am] [FR Doc. 2017–26774 Filed 12–11–17; 8:45 am] BILLING CODE 4910–13–P DEPARTMENT OF TRANSPORTATION BILLING CODE 4910–13–P DEPARTMENT OF TRANSPORTATION Federal Aviation Administration DEPARTMENT OF TRANSPORTATION Federal Aviation Administration Notice of Opportunity for Public Comment on a Land Use Change From Federal Aviation Administration [Summary Notice No. PE–2017–98] Aeronautical to Non-Aeronautical Use for 22.1 Acres of Airport Land for Solar Notice of Opportunity for Public Petitions for Exemptions; Summary of Farm Use at Brunswick Executive Comment on a Land Swap Between the Petition Received; Extension of Airport, Brunswick, ME Northern Maine Regional Airport and Comments the Presque Isle Industrial Council, AGENCY: AGENCY: Federal Aviation Presque Isle, ME Federal Aviation Administration (FAA), DOT. Administration (FAA), DOT. AGENCY: Federal Aviation ACTION: Request for public comments. ACTION: Notice: Extension. Administration (FAA), DOT. SUMMARY: Notice is being given that the ACTION: Request for public comments. SUMMARY: This notice contains a FAA is considering a request from the summary of a petition seeking relief Midcoast Regional Redevelopment SUMMARY: Notice is being given that the from specified requirements of Federal Authority (MRRA), to change the FAA is considering a request from the Aviation Regulations. The purpose of current land use from aeronautical use Northern Maine Regional Airport, for a this notice is to extend the comment to non-aeronautical use of a 22.1-acre land swap with the Presque Isle period to improve the public’s parcel of land. The parcel is located in Industrial Council. The on-airport land, awareness of, and participation in, the the northern quadrant of the airport currently in use as non-aeronautical FAA’s exemption process. Neither adjacent, but separate from the airside development, is to be swapped with publication of this notice nor the area. The Airport Layout Plan was four parcels of land along the northern inclusion or omission of information in updated with a Pen and Ink Change to ramp area of airport and land within the the summary is intended to affect the designate the parcel for non- northern approach. The land swap will legal status of the petition or its final aeronautical use. The airport will obtain further enhance the protection of the disposition. fair market value for the lease of the northern approach area while also DATES: Comments on this petition must land. The income derived from this providing developable land for identify the petition docket number lease will be placed in the airport’s aeronautical uses. involved and must be received on or operation and maintenance funds for DATES: Comments must be received on before January 5, 2018. the facility. or before January 11, 2018. ADDRESSES: Send comments identified DATES: Comments must be received on ADDRESSES: You may send comments by docket number FAA–2017–1046 or before January 11, 2018. using any of the following methods: using any of the following methods: ADDRESSES: You may send comments • Federal eRulemaking Portal: Go to • Federal eRulemaking Portal: Go to using any of the following methods: http://www.regulations.gov, and follow http://www.regulations.gov and follow • Federal eRulemaking Portal: Go to the instructions on providing the online instructions for sending your http://www.regulations.gov, and follow comments. comments electronically.
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• Mail: Send comments to Docket interior doors from being operated for amount that may be awarded. Without Operations, M–30; U.S. Department of hire pursuant to 14 CFR part 135. this collection of information, VA Transportation (DOT), 1200 New Jersey [FR Doc. 2017–26682 Filed 12–11–17; 8:45 am] would be unable to properly authorize Avenue SE, Room W12–140, West BILLING CODE 4910–13–P apportionments of compensation and Building Ground Floor, Washington, DC pension benefits. 20590–0001. An agency may not conduct or • Hand Delivery or Courier: Take DEPARTMENT OF VETERANS sponsor, and a person is not required to comments to Docket Operations in AFFAIRS respond to a collection of information Room W12–140 of the West Building unless it displays a currently valid OMB Ground Floor at 1200 New Jersey [OMB Control No. 2900–0666] control number. Avenue SE, Washington, DC, between 9 The Federal Register Notice with a a.m. and 5 p.m., Monday through Agency Information Collection Activity 60-day comment period soliciting Friday, except Federal holidays. Under OMB Review: Information comments on this collection of • Fax: Fax comments to Docket Regarding Apportionment of information was published at 82 FR 192 Operations at 202–493–2251. Beneficiary’s Award on October 5, 2017, pages 46614 and Privacy: In accordance with 5 U.S.C. AGENCY: Veterans Benefits 46615. 553(c), DOT solicits comments from the Administration, Department of Veterans Affected Public: Individuals or public to better inform its rulemaking Affairs. Households. process. DOT posts these comments, Estimated Annual Burden: 12,500 ACTION: Notice. without edit, including any personal hours. information the commenter provides, to SUMMARY: In compliance with the Estimated Average Burden per http://www.regulations.gov, as Paperwork Reduction Act (PRA) of Respondent: 30 minutes. described in the system of records 1995, this notice announces that the Frequency of Response: One time. notice (DOT/ALL–14 FDMS), which can Veterans Benefits Administration, Estimated Number of Respondents: be reviewed at http://www.dot.gov/ Department of Veterans Affairs, will 25,000. privacy. submit the collection of information By direction of the Secretary. Docket: Background documents or abstracted below to the Office of Cynthia Harvey-Pryor, comments received may be read at Management and Budget (OMB) for Department Clearance Officer, Office of http://www.regulations.gov at any time. review and comment. The PRA Quality, Privacy and Risk, Department of Follow the online instructions for submission describes the nature of the Veterans Affairs. accessing the docket or go to the Docket information collection and its expected [FR Doc. 2017–26757 Filed 12–11–17; 8:45 am] Operations in Room W12–140 of the cost and burden and it includes the BILLING CODE 8320–01–P West Building Ground Floor at 1200 actual data collection instrument. New Jersey Avenue SE, Washington, DATES: Comments must be submitted on DC, between 9 a.m. and 5 p.m., Monday or before January 11, 2018. DEPARTMENT OF VETERANS through Friday, except Federal holidays. ADDRESSES: Submit written comments AFFAIRS FOR FURTHER INFORMATION CONTACT: on the collection of information through [OMB Control No. 2900–0675] Lynette Mitterer, AIR673, Federal www.Regulations.gov, or to Office of Aviation Administration, 1601 Lind Information and Regulatory Affairs, Agency Information Collection Activity Avenue SW, Renton, WA 98057–3356, Office of Management and Budget, Attn: Under OMB Review: Agency email [email protected], phone VA Desk Officer; 725 17th St. NW, Information Collection Activity: VetBiz (425) 227–1047; or Alphonso Washington, DC 20503 or sent through Vendor Information Pages Verification Pendergrass, ARM–200, Office of electronic mail to oira_submission@ Program Rulemaking, Federal Aviation omb.eop.gov. Please refer to ‘‘OMB AGENCY: Center for Verification and Administration, 800 Independence Control No. 2900–0666’’ in any Evaluation, Department of Veterans Avenue SW, Washington, DC 20591, correspondence. email [email protected], Affairs. phone (202) 267–4713. FOR FURTHER INFORMATION CONTACT: ACTION: Notice. This notice is published pursuant to Cynthia Harvey-Pryor, Enterprise 14 CFR 11.85. Records Service (005R1B), Department SUMMARY: In compliance with the of Veterans Affairs, 811 Vermont Paperwork Reduction Act (PRA) of Issued in Renton, Washington, on 1995, this notice announces that the December 6, 2017. Avenue NW, Washington, DC 20420, (202) 461–5870 or email cynthia.harvey- Center for Verification and Evaluation, Suzanne Masterson, [email protected]. Please refer to ‘‘OMB Department of Veterans Affairs, will Acting Manager, Transport Standards Control No. 2900–0666’’ in any submit the collection of information Branch. correspondence. abstracted below to the Office of Petition for Exemption SUPPLEMENTARY INFORMATION: Management and Budget (OMB) for Docket No.: FAA–2017–1046. Authority: 44 U.S.C. 3501–21. review and comment. The PRA Petitioner: Bombardier Inc. Title: Information Regarding submission describes the nature of the Section of 14 CFR Affected: Apportionment of Beneficiary’s Award information collection and its expected § 25.813(e). (VA Form 21–0788). cost and burden and it includes the Description of Relief Sought: Allow OMB Control Number: 2900–0666. actual data collection instrument. installation of doors between passenger Type of Review: Re-instatement of a DATES: Comments must be submitted on seats and emergency exits on the currently approved collection. or before January 11, 2018. Bombardier Model BD–700–2A12 Abstract: VA Form 21–0788 is used to ADDRESSES: Submit written comments (Global 7000) and BD–700–2A13 (Global collect the information that is necessary on the collection of information through 8000) airplanes. The exemption, if to determine whether an apportionment www.Regulations.gov, or to Office of granted, would not prohibit aircraft with may be authorized and the reasonable Information and Regulatory Affairs,
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Office of Management and Budget, Attn: DEPARTMENT OF VETERANS ways to minimize the burden of the VA Desk Officer; 725 17th St. NW, AFFAIRS collection of information on Washington, DC 20503 or sent through respondents, including through the use [OMB Control No. 2900–0049] electronic mail to oira_submission@ of automated collection techniques or omb.eop.gov. Please refer to ‘‘OMB Agency Information Collection the use of other forms of information Control No. 2900–0675’’ in any Activity: Request for Approval of technology. correspondence. School Attendance and School Authority: Public Law 104–13; 44 U.S.C. 3501–3521. FOR FURTHER INFORMATION CONTACT: Attendance Report Title: Request for Approval of School Cynthia Harvey-Pryor, Enterprise AGENCY: Veterans Benefits Attendance (VA Forms 21–674 and 21– Records Service (005R1B), Department Administration, Department of Veterans 674c) and School Attendance Report of Veterans Affairs, 810 Vermont Affairs. (VA Form 21–674b). Avenue NW, Washington, DC 20420, ACTION: Notice. OMB Control Number: 2900–0049. (202) 461–5870 or email cynthia.harvey- Type of Review: Extension of a [email protected]. Please refer to ‘‘OMB SUMMARY: Veterans Benefits currently approved collection. Control No. 2900–0675’’ in any Administration, Department of Veterans Abstract: Recipients of disability correspondence. Affairs (VA), is announcing an compensation, dependency and opportunity for public comment on the SUPPLEMENTARY INFORMATION: indemnity compensation, disability proposed collection of certain Authority: Public Law 104–13; 44 pension, and death pension, are entitled information by the agency. Under the to benefits for eligible children between U.S.C. 3501–3521. Paperwork Reduction Act (PRA) of Title: Vetbiz Vendor Information the ages of 18 and 23 who are attending 1995, Federal agencies are required to school. VA Forms 21–674, 21–674b, and Pages Verification Program, VA Form publish notice in the Federal Register 0877. 21–674c, are used to confirm school concerning each proposed collection of attendance of children for whom VA OMB Control Number: 2900–0675. information, including each proposed compensation or pension benefits are Type of Review: Reinstatement of a extension of a currently approved being paid and to report any changes in previously approved collection. collection, and allow 60 days for public entitlement factors; including marriages, Abstract: Vetbiz Vendor Information comment in response to the notice. a change in course of instruction, and Pages Verification Program is used to DATES: Written comments and termination of school attendance. assist federal agencies in identifying recommendations on the proposed Affected Public: Individuals and small businesses owned and controlled collection of information should be households. by veterans and service-connected received on or before February 12, 2018. Total Estimated Annual Burden: disabled veterans. The information is ADDRESSES: Submit written comments 37,792 hours. necessary to ensure that veteran owned on the collection of information through Estimated Burden per Respondent: businesses are given the opportunity to Federal Docket Management System a. 15 minutes for VA Forms 21–674 participate in Federal contracts and (FDMS) at www.Regulations.gov or to and 21–674c. receive contract solicitations Nancy J. Kessinger, Veterans Benefits b. 5 minutes for VA Form 21–674b. information automatically. VA will use Administration (20M33), Department of Frequency of Response: Once. the data collected to verify small Veterans Affairs, 810 Vermont Avenue Total Estimated Number of businesses as veteran-owned or service NW, Washington, DC 20420 or email to Respondents: 177,500. disabled veteran-owned. [email protected]. Please refer to By direction of the Secretary. ‘‘OMB Control No. 2900–0049’’ in any An agency may not conduct or Cynthia Harvey-Pryor, sponsor, and a person is not required to correspondence. During the comment Department Clearance Officer, Office of respond to a collection of information period, comments may be viewed online through FDMS. Quality, Privacy and Risk, Department of unless it displays a currently valid OMB Veterans Affairs. control number. The Federal Register FOR FURTHER INFORMATION CONTACT: [FR Doc. 2017–26756 Filed 12–11–17; 8:45 am] Notice with a 60-day comment period Cynthia Harvey-Pryor at (202) 461– BILLING CODE 8320–01–P soliciting comments on this collection 5870. of information was published at 82 FR SUPPLEMENTARY INFORMATION: Under the 133, on July 13, 2017, pages 32444 and PRA of 1995, Federal agencies must DEPARTMENT OF VETERANS 32445. obtain approval from the Office of AFFAIRS Affected Public: Business or other for Management and Budget (OMB) for each profit. collection of information they conduct [OMB Control No. 2900–0623] Estimated Annual Burden: 10,000 or sponsor. This request for comment is Agency Information Collection Activity hours. being made pursuant to Section Under OMB Review: Department of Estimated Average Burden per 3506(c)(2)(A) of the PRA. Veterans Affairs Acquisition Respondent: 30 minutes. With respect to the following Regulation (VAAR), Special Notes Frequency of Response: On occasion. collection of information, VBA invites comments on: (1) Whether the proposed AGENCY: Estimated Number of Respondents: Office of Acquisition and collection of information is necessary 20,000. Logistics, Department of Veterans for the proper performance of VBA’s Affairs. By direction of the Secretary. functions, including whether the ACTION: Notice. Cynthia Harvey-Pryor, information will have practical utility; Department Clearance Officer, Office of (2) the accuracy of VBA’s estimate of the SUMMARY: In compliance with the Quality, Privacy and Risk, Department of burden of the proposed collection of Paperwork Reduction Act (PRA) of Veterans Affairs. information; (3) ways to enhance the 1995, this notice announces that the [FR Doc. 2017–26754 Filed 12–11–17; 8:45 am] quality, utility, and clarity of the Office of Acquisition and Logistics, BILLING CODE 8320–01–P information to be collected; and (4) Department of Veterans Affairs, will
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submit the collection of information b. VAAR Clause 852.236–91 for Administrations (20M33), Department abstracted below to the Office of Weather Data—1 hour. of Veterans Affairs, 810 Vermont Management and Budget (OMB) for Frequency of Response: On occasion. Avenue NW, Washington, DC 20420 or review and comment. The PRA Estimated Number of Respondents: email to [email protected]. Please submission describes the nature of the a. VAAR Clause 852.236–91 for refer to ‘‘OMB Control No. 2900–0503’’ information collection and its expected Qualified Data—1516. in any correspondence. During the cost and burden and it includes the b. VAAR Clause 852.236–91 for comment period, comments may be actual data collection instrument. Weather Data—20. viewed online through FDMS. DATES: Comments must be submitted on By direction of the Secretary. FOR FURTHER INFORMATION CONTACT: or before January 11, 2018. Cynthia Harvey-Pryor, Cynthia Harvey-Pryor at (202) 461– ADDRESSES: Submit written comments Department Clearance Officer, Office of 5870. on the collection of information through Quality, Privacy and Risk, Department of SUPPLEMENTARY INFORMATION: Under the www.Regulations.gov, or to Office of Veterans Affairs. PRA of 1995, Federal agencies must Information and Regulatory Affairs, [FR Doc. 2017–26758 Filed 12–11–17; 8:45 am] obtain approval from the Office of Office of Management and Budget, Attn: BILLING CODE 8320–01–P Management and Budget (OMB) for each VA Desk Officer; 725 17th St. NW, collection of information they conduct Washington, DC 20503 or sent through or sponsor. This request for comment is electronic mail to oira_submission@ DEPARTMENT OF VETERANS being made pursuant to Section omb.eop.gov. Please refer to ‘‘OMB AFFAIRS 3506(c)(2)(A) of the PRA. Control No. 2900–0623’’ in any [OMB Control No.2900–0503] With respect to the following correspondence. collection of information, VBA invites Agency Information Collection FOR FURTHER INFORMATION CONTACT: comments on: (1) Whether the proposed Activity: Veterans Mortgage Life Cynthia Harvey-Pryor, Enterprise collection of information is necessary Insurance Change of Address Records Service (005R1B), Department for the proper performance of VBA’s Statement of Veterans Affairs, 810 Vermont functions, including whether the information will have practical utility; Avenue NW, Washington, DC 20420, AGENCY: Veterans Benefits (2) the accuracy of VBA’s estimate of the (202) 461–5870 or email cynthia.harvey- Administration, Department of Veterans burden of the proposed collection of [email protected]. Please refer to ‘‘OMB Affairs. information; (3) ways to enhance the Control No. 2900–0623’’ in any ACTION: Notice. correspondence. quality, utility, and clarity of the SUMMARY: Veterans Benefits information to be collected; and (4) SUPPLEMENTARY INFORMATION: Administrations, Department of ways to minimize the burden of the Authority: 44 U.S.C. 3501–21. Veterans Affairs (VA), is announcing an collection of information on respondents, including through the use Title: Department of Veterans Affairs opportunity for public comment on the proposed collection of certain of automated collection techniques or Acquisition Regulation (VAAR) Clause the use of other forms of information 852.236–91, Special Notes. information by the agency. Under the Paperwork Reduction Act (PRA) of technology. OMB Control Number: 2900–0623. Authority: Public Law 104–13; 44 Type of Review: Extension of a 1995, Federal agencies are required to publish notice in the Federal Register U.S.C. 3501–3521. currently approved information Title: Veterans Mortgage Life concerning each proposed collection of collection. Insurance Change of Address Statement information, including each proposed Abstract: VAAR clause 852.236–91, (VA Form 29–0563). extension of a currently approved Special Notes requires VA to determine OMB Control Number: 2900–0503. collection, and allow 60 days for public whether or not to award a contract to a Type of Review: Reinstatement of a comment in response to the notice. This firm that might involve or result in a previously approved collection. conflict of interest. VA uses the notice solicits comments on information Abstract: The Veterans Mortgage Life information to determine whether needed to inquire about a veteran’s Insurance Change of Address Statement additional contract terms and continued ownership of the property solicits information needed to inquire conditions are necessary to mitigate the issued under Veterans Mortgage Life about a veteran’s continued ownership conflict. Insurance when an address change for of the property issued under Veterans An agency may not conduct or the veteran is received. The information Mortgage Life Insurance when an sponsor, and a person is not required to obtained is used in determining whether address change for the veteran is respond to a collection of information continued Veterans Mortgage Life received. The information obtained is unless it displays a currently valid OMB Insurance coverage is applicable since used in determining whether continued control number. The Federal Register the law granting this insurance provides Veterans Mortgage Life Insurance Notice with a 60-day comment period that coverage terminates if the veteran coverage is applicable since the law soliciting comments on this collection no longer owns the property. The granting this insurance provides that of information was published at 82 FR information requested is required by coverage terminates if the veteran no 44029 on September 20, 2017. law, 38 U.S.C. Section 2106. longer owns the property. The Affected Public: Business or other for- DATES: Written comments and information requested is required by profit and not-for-profit institutions. recommendations on the proposed law, 38 U.S.C. Section 2106. This form Estimated Annual Burden: VAAR collection of information should be expired due to high volume of work and Clause 852.236–91, Special Notes —778 received on or before February 12, 2018. staffing changes. hours. ADDRESSES: Submit written comments Affected Public: Individuals and Estimated Average Burden per on the collection of information through households. Respondent: Federal Docket Management System Estimated Annual Burden: 8 hours. a. VAAR Clause 852.236–91 for (FDMS) at www.Regulations.gov or to Estimated Average Burden per Qualified Data—.5 hour. Nancy J. Kessinger, Veterans Benefits Respondent: 5 minutes.
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Frequency of Response: On Occasion. By direction of the Secretary. Estimated Number of Respondents: Cynthia Harvey-Pryor, 100. Department Clearance Officer, Office of Quality, Privacy and Risk (OQPR), Department of Veterans Affairs. [FR Doc. 2017–26755 Filed 12–11–17; 8:45 am] BILLING CODE 8320–01–P
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Part II
Environmental Protection Agency
40 CFR Part 80 Renewable Fuel Standard Program: Standards for 2018 and Biomass- Based Diesel Volume for 2019; Rule
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ENVIRONMENTAL PROTECTION transportation fuel produced or disclosure is restricted by statute. AGENCY imported in the year 2018. Relying on Certain other material, such as statutory waiver authority that is copyrighted material, is not placed on 40 CFR Part 80 available when projected cellulosic the internet and will be publicly [EPA–HQ–OAR–2017–0091; FRL–9971–73– biofuel production volumes are less available only in hard copy form. OAR] than the applicable volume specified in Publicly available docket materials are the statute, the EPA is establishing available electronically through http:// RIN 2060–AT04 volume requirements for cellulosic www.regulations.gov. biofuel, advanced biofuel, and total Renewable Fuel Standard Program: FOR FURTHER INFORMATION CONTACT: Julia renewable fuel that are below the Standards for 2018 and Biomass- MacAllister, Office of Transportation statutory volume targets. In this action, Based Diesel Volume for 2019 and Air Quality, Assessment and we are also establishing the applicable Standards Division, Environmental AGENCY: Environmental Protection volume of biomass-based diesel for Protection Agency, 2000 Traverwood Agency (EPA). 2019. Drive, Ann Arbor, MI 48105; telephone ACTION: Final rule. DATES: This final rule is effective on number: 734–214–4131; email address: SUMMARY: Under section 211 of the February 12, 2018. [email protected]. Clean Air Act, the Environmental ADDRESSES: The EPA has established a SUPPLEMENTARY INFORMATION: Entities Protection Agency (EPA) is required to docket for this action under Docket ID potentially affected by this final rule are set renewable fuel percentage standards No. EPA–HQ–OAR–2017–0091. All those involved with the production, every year. This action establishes the documents in the docket are listed on distribution, and sale of transportation annual percentage standards for the http://www.regulations.gov Web fuels, including gasoline and diesel fuel cellulosic biofuel, biomass-based diesel, site. Although listed in the index, some or renewable fuels such as ethanol, advanced biofuel, and total renewable information is not publicly available, biodiesel, renewable diesel, and biogas. fuel that apply to gasoline and diesel e.g., CBI or other information whose Potentially regulated categories include:
Category NAICS 1 codes SIC 2 codes Examples of potentially regulated entities
Industry ...... 324110 2911 Petroleum Refineries. Industry ...... 325193 2869 Ethyl alcohol manufacturing. Industry ...... 325199 2869 Other basic organic chemical manufacturing. Industry ...... 424690 5169 Chemical and allied products merchant wholesalers. Industry ...... 424710 5171 Petroleum bulk stations and terminals. Industry ...... 424720 5172 Petroleum and petroleum products merchant wholesalers. Industry ...... 221210 4925 Manufactured gas production and distribution. Industry ...... 454319 5989 Other fuel dealers. 1 North American Industry Classification System (NAICS). 2 Standard Industrial Classification (SIC) system code.
This table is not intended to be II. Authority and Need for Waiver of 3. Other Advanced Biofuel exhaustive, but rather provides a guide Statutory Applicable Volumes 4. Total Advanced Biofuel for readers regarding entities likely to be A. Statutory Authorities for Reducing C. Exercise of Cellulosic Waiver Authority regulated by this action. This table lists Volume Targets for Advanced Biofuel 1. Cellulosic Waiver Authority D. Exercise of Cellulosic Waiver Authority the types of entities that EPA is now 2. General Waiver Authority for Total Renewable Fuel aware could potentially be regulated by B. Treatment of Carryover RINs E. Impacts of 2018 Standards on Costs this action. Other types of entities not 1. Updated Projection of Carryover RIN 1. Illustrative Cost Savings Associated listed in the table could also be Volume With Reducing Statutory Cellulosic regulated. To determine whether your 2. EPA’s Decision Regarding the Treatment Volumes entity would be regulated by this action, of Carryover RINs 2. Illustrative Cost Analysis of Advanced you should carefully examine the III. Cellulosic Biofuel Volume for 2018 Biofuels Using 2017 as the Baseline applicability criteria in 40 CFR part 80. A. Statutory Requirements V. Consideration of Additional Reductions B. Cellulosic Biofuel Industry Assessment Using Other Waiver Authorities If you have any questions regarding the 1. Potential Domestic Producers A. Inadequate Domestic Supply applicability of this action to a 2. Potential Foreign Sources of Cellulosic B. Severe Economic Harm particular entity, consult the person Biofuel C. Severe Environmental Harm listed in the FOR FURTHER INFORMATION 3. Summary of Volume Projections for D. Biomass-Based Diesel Waiver Authority CONTACT section. Individual Companies VI. Final Biomass-Based Diesel Volume for C. Projection from the Energy Information 2019 Outline of This Preamble Administration A. Statutory Requirements D. Cellulosic Biofuel Volume for 2018 B. Determination of the 2019 Applicable I. Executive Summary 1. Liquid Cellulosic Biofuel Volume of Biomass-Based Diesel A. Purpose of This Action 2. CNG/LNG Derived From Biogas C. Consideration of Statutory Factors set B. Summary of Major Provisions in This 3. Total Cellulosic Biofuel in 2018 forth in CAA Section 211(o)(2)(B)(ii)(I)– Action IV. Advanced Biofuel and Total Renewable (VI) for 2019 1. Approach to Setting Volume Fuel Volumes for 2018 VII. Percentage Standards for 2018 Requirements A. Volumetric Limitation on Use of the A. Calculation of Percentage Standards 2. Cellulosic Biofuel Cellulosic Waiver Authority B. Small Refineries and Small Refiners 3. Advanced Biofuel B. Reasonably Attainable Volumes of C. Final Standards 4. Total Renewable Fuel Advanced Biofuel VIII. Administrative Actions 6. 2019 Biomass-Based Diesel 1. Imported Sugarcane Ethanol A. Assessment of the Domestic Aggregate 7. Annual Percentage Standards 2. Biodiesel and Renewable Diesel Compliance Approach
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B. Assessment of the Canadian Aggregate contains more than 4 percent biodiesel lower than the statutory targets, but Compliance Approach and/or renewable diesel.2 nevertheless will ensure these C. RIN Market Operation The statute includes annual volume renewable fuels will continue to play a IX. Public Participation targets, and requires EPA to translate critical role as a complement to our X. Statutory and Executive Order Reviews those volume targets (or alternative petroleum-based fuels. The final rule A. Executive Order 12866: Regulatory Planning and Review and Executive volume requirements established by modifies the volume requirements Order 13563: Improving Regulation and EPA in accordance with statutory slightly relative to the proposed rule, Regulatory Review waiver authorities) into compliance and in this notice we explain where and B. Executive Order 13771: Reducing obligations that obligated parties must why such modifications were made. Regulations and Controlling Regulatory meet every year. In this action, we are In this action, we are finalizing Costs establishing the annual percentage volume requirements for cellulosic C. Paperwork Reduction Act (PRA) standards for cellulosic biofuel, biofuel at the level we project to be D. Regulatory Flexibility Act (RFA) biomass-based diesel (BBD), advanced available for 2018. We are using the E. Unfunded Mandates Reform Act biofuel, and total renewable fuel that ‘‘cellulosic waiver authority’’ provided (UMRA) would apply to all gasoline and diesel by the statute to finalize volume F. Executive Order 13132: Federalism G. Executive Order 13175: Consultation produced or imported in 2018. We are requirements for advanced biofuel and and Coordination With Indian Tribal also establishing the applicable volume total renewable fuel that are lower than Governments of BBD for 2019. the statutory targets by the same H. Executive Order 13045: Protection of Real-world challenges, in particular magnitude as the reduction in the Children From Environmental Health the slower-than-expected development cellulosic biofuel reduction (i.e., the Risks and Safety Risks of the cellulosic biofuel industry, has volumes we are finalizing for cellulosic I. Executive Order 13211: Actions slowed progress towards meeting biofuel, advanced biofuel, and total Concerning Regulations That Congressional goals for renewable fuels. renewable fuel are all 6.71 billion Significantly Affect Energy Supply, Given the nested nature of the gallons lower than the statutory Distribution, or Use standards, the shortfall in cellulosic volumes). We are not reducing volumes J. National Technology Transfer and Advancement Act (NTTAA) biofuels has made the volume targets through use of the general waiver K. Executive Order 12898: Federal Actions established by Congress for 2018 for authority or the biomass-based diesel To Address Environmental Justice in advanced biofuels and total renewable waiver authority.4 We note that while Minority Populations and Low-Income fuels beyond reach. On July 21, 2017, we are reducing the required volume of Populations EPA published a proposed rulemaking, total renewable fuel, advanced biofuel L. Congressional Review Act (CRA) containing proposed volume and cellulosic biofuel below statutory XI. Statutory Authority requirements for the RFS Program’s four levels, the required volumes in this rule I. Executive Summary categories of renewable fuels that would would achieve the implied statutory apply in 2018 (and 2019 for BBD).3 On volumes for conventional biofuel 5 and The Renewable Fuel Standard (RFS) August 1, EPA hosted a public hearing non-cellulosic advanced biofuel 6 for program began in 2006 pursuant to the on the proposed rule, and EPA received 2018. requirements in Clean Air Act (CAA) over 235,000 written comments on the The final volume requirements for section 211(o) that were added through proposed rule as well. On October 4, 2018 are shown in Table I–1 below. the Energy Policy Act of 2005 (EPAct). 2017 (82 FR 46174), EPA published an Relative to the levels finalized for 2017, The statutory requirements for the RFS ‘‘Availability of Supplemental the 2018 volume requirements for program were subsequently modified Information; Request for Further advanced biofuel and total renewable through the Energy Independence and Comment,’’ (hereinafter, ‘‘October 4 fuel are higher by 10 million gallons. Security Act of 2007 (EISA), leading to document’’) seeking further comment on EPA is reducing the advanced biofuel the publication of major revisions to the the possible use of other waiver and total renewable fuel statutory regulatory requirements on March 26, authorities in the final rule. Transcripts volumes by the same amount as we are 2010.1 EISA’s stated goals include of the public hearing, along with all the reducing the cellulosic biofuel volume. moving the United States (U.S) toward comments received on the proposed These reductions effectively preserve ‘‘greater energy independence and rule and the October 4 document are the implied statutory volumes for security [and] to increase the production available in the docket. After careful conventional renewable fuel and non- of clean renewable fuels.’’ Today, nearly review of the information before us we cellulosic advanced biofuels. We are all gasoline used for transportation are finalizing volume requirements for establishing the volume requirement for purposes contains 10 percent ethanol 2018 for cellulosic biofuel, advanced BBD for 2019 at the proposed volume of (E10), and on average diesel fuel biofuel and total renewable fuel that are 2.1 billion gallons.
TABLE I–1—FINAL VOLUME REQUIREMENTS a
2018 2019
Cellulosic biofuel (million gallons) ...... 288 n/a Biomass-based diesel (billion gallons) ...... b 2.1 2.1 Advanced biofuel (billion gallons) ...... 4.29 n/a
1 75 FR 14670, March 26, 2010. 4 See 42 U.S.C. 7545(o)(7)(A)(i–ii). See also the generated for conventional biofuels have a D code 2 Average biodiesel and/or renewable diesel blend discussion of the general waiver authority in of 6. percentages based on EIA’s October 2017 Short Section II.A.2. below. 6 Throughout this final rule non-cellulosic Term Energy Outlook (STEO). 5 Throughout this final rule conventional biofuel advanced biofuel refers to biofuel that qualifies as advanced biofuel, but does not qualify as cellulosic 3 82 FR 34206, July 21, 2017. refers to biofuel that qualifies as renewable fuel, but biofuel. RINs generated for non-cellulosic advanced does not qualify as an advanced biofuel. RINs biofuels have a D code of 4 or 5.
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TABLE I–1—FINAL VOLUME REQUIREMENTS a—Continued
2018 2019
Renewable fuel (billion gallons) ...... 19.29 n/a a All values are ethanol-equivalent on an energy content basis, except for BBD which is biodiesel-equivalent. b The 2018 BBD volume requirement was established in the 2017 final rule (81 FR 89746, December 12, 2016).
A. Purpose of This Action 211(o)(2). The statutory volume targets fuel category. This means, for example, for 2018 are shown in Table I.A–1, along that each gallon of cellulosic biofuel or The national volume targets of with the 2017 targets for comparison. BBD that is used to satisfy the renewable fuel that are intended to be The cellulosic biofuel and BBD individual volume requirements for achieved under the RFS program each categories are nested within the those fuel types can also be used to year (absent an adjustment or waiver by advanced biofuel category, which is satisfy the requirements for advanced EPA) are specified in CAA section itself nested within the total renewable biofuel and total renewable fuel.
TABLE I.A–1—APPLICABLE VOLUME TARGETS SPECIFIED IN THE CLEAN AIR ACT [Billion gallons] a
2017 2018
Cellulosic biofuel ...... 5.5 7.0 Biomass-based diesel ...... ≥1.0 ≥1.0 Advanced biofuel ...... 9.0 11.0 Renewable fuel ...... 24.0 26.0 a All values are ethanol-equivalent on an energy content basis, except values for BBD which are given in actual gallons.
Under the RFS program, EPA is (generally, producers and importers of (RINs) of each renewable fuel type that required to determine and publish gasoline and diesel fuel) to calculate each obligated party must acquire and annual percentage standards for each their individual compliance obligations. retire to demonstrate compliance. compliance year. The percentage Each of the four percentage standards is EPA is establishing the annual standards are calculated to ensure use in applied to the volume of non-renewable applicable volume requirements for transportation fuel of the national gasoline and diesel that each obligated cellulosic biofuel, advanced biofuel, and ‘‘applicable volumes’’ of the four types party produces or imports during the total renewable fuel for 2018, and for of biofuel (cellulosic biofuel, BBD, specified calendar year to determine BBD for 2019.7 Table I.A–2 lists the advanced biofuel, and total renewable their individual volume obligations statutory provisions and associated fuel) that are set forth in the statute or with respect to the four renewable fuel criteria relevant to determining the established by EPA in accordance with types. The individual volume national applicable volumes used to set the Act’s requirements. The percentage obligations determine the number of the percentage standards in this final standards are used by obligated parties Renewable Identification Numbers rule.
TABLE I.A–2—STATUTORY PROVISIONS FOR DETERMINATION OF APPLICABLE VOLUMES
Applicable volumes Clean Air Act reference Criteria provided in statute for determination of applicable volume
Cellulosic biofuel...... 211(o)(7)(D)(i) ...... Required volume must be lesser of volume specified in CAA 211(o)(2)(B)(i)(III) or EPA’s projected volume. 211(o)(7)(A) ...... EPA in consultation with other federal agencies may waive the statu- tory volume in whole or in part if implementation would severely harm the economy or environment of a State, region, or the United States, or if there is an inadequate domestic supply. Biomass-based diesel ...... 211(o)(2)(B)(ii) and (v) ...... Required volume for years after 2012 must be at least 1.0 billion gal- lons, and must be based on a review of implementation of the pro- gram, coordination with other federal agencies, and an analysis of specified factors. 211(o)(7)(A) ...... EPA in consultation with other federal agencies may waive the statu- tory volume in whole or in part if implementation would severely harm the economy or environment of a State, region, or the United States, or if there is an inadequate domestic supply. 211(o)(7)(E) ...... EPA in consultation with other federal agencies shall issue a tem- porary waiver of applicable volumes of BBD where there is a sig- nificant feedstock disruption or other market circumstance that would make the price of BBD fuel increase significantly. When ex- ercising this authority, EPA is also authorized to reduce the appli- cable volumes of advanced and total renewable fuel by the same or a lesser volume.
7 The 2018 BBD volume requirement was established in the 2017 final rule.
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TABLE I.A–2—STATUTORY PROVISIONS FOR DETERMINATION OF APPLICABLE VOLUMES—Continued
Applicable volumes Clean Air Act reference Criteria provided in statute for determination of applicable volume
Advanced biofuel ...... 211(o)(7)(D)(i) ...... If applicable volume of cellulosic biofuel is reduced below the statu- tory volume to the projected volume, EPA may reduce the ad- vanced biofuel and total renewable fuel volumes in CAA 211(o)(2)(B)(i)(I) and (II) by the same or lesser volume. No criteria specified. 211(o)(7)(A) ...... EPA in consultation with other federal agencies may waive the statu- tory volume in whole or in part if implementation would severely harm the economy or environment of a State, region, or the United States, or if there is an inadequate domestic supply. 211(o)(7)(E) ...... If applicable volume of biomass-based diesel is reduced, EPA may reduce the advanced biofuel and total renewable fuel volumes in CAA 211(o)(2)(B)(i)(I) and (II) by the same or lesser volume. Total renewable fuel ...... 211(o)(7)(D)(i) ...... If applicable volume of cellulosic biofuel is reduced below the statu- tory volume to the projected volume, EPA may reduce the ad- vanced biofuel and total renewable fuel volumes in CAA 211(o)(2)(B)(i)(I) and (II) by the same or lesser volume. No criteria specified. 211(o)(7)(A) ...... EPA in consultation with other federal agencies may waive the statu- tory volume in whole or in part if implementation would severely harm the economy or environment of a State, region, or the United States, or if there is an inadequate domestic supply. 211(o)(7)(E) ...... If applicable volume of biomass-based diesel is reduced, EPA may reduce the advanced biofuel and total renewable fuel volumes in CAA 211(o)(2)(B)(i)(I) and (II) by the same or lesser volume.
As shown in Table I.A–2, the the U.S. Departments of Agriculture amount. We refer to this as the statutory authorities allowing EPA to (USDA) and Energy (DOE), to determine ‘‘cellulosic waiver authority.’’ We may modify or set the applicable volumes the required volume after review of also reduce the applicable volumes of differ for the four categories of implementation of the renewable fuels any of the four renewable fuel types renewable fuel. Under the statute, EPA program and consideration of a number using the ‘‘general waiver authority’’ must annually determine the projected of factors. The BBD volume requirement provided in CAA section 211(o)(7)(A) if volume of cellulosic biofuel production must be established 14 months before EPA, in consultation with USDA and for the following year. If the projected the year in which it will apply. In the DOE, finds that implementation of the volume of cellulosic biofuel production 2017 final rule we established the BBD statutory volumes would severely harm is less than the applicable volume volume for 2018. In Section VI of this the economy or environment of a State, specified in CAA section preamble we discuss our assessment of region, or the U.S., or if there is 211(o)(2)(B)(i)(III) of the statute, EPA statutory and other relevant factors and inadequate domestic supply. We are must lower the applicable volume used our final volume requirement for BBD also authorized under CAA section to set the annual cellulosic biofuel for 2019, which has been developed in 211(o)(7)(E) to reduce the applicable percentage standard to the projected coordination with USDA and DOE. We volume of BBD established for 2018, production volume. In Section III of this are establishing an applicable volume of and to make equal or lesser reductions final rule, we present our analysis of 2.1 billion gallons of BBD for use in in the 2018 applicable volumes of cellulosic biofuel production and the deriving the BBD percentage standard in advanced biofuel and total renewable applicable volume for 2018. This 2019. This volume is equal to the fuel, if we determine that there is a analysis is based primarily on the applicable volume of BBD established in significant renewable feedstock estimate of cellulosic biofuel production a prior rulemaking for 2018, and would disruption or other market circumstance for 2018 conducted by the Energy provide continued support to an that would make the price of BBD 8 Information Administration (EIA), industry that is a significant contributor increase significantly. Sections II and IV information reported to EPA through to the pool of advanced biofuel, while of this final rule describe our use of the our Electronic Moderated Transaction at the same time setting the volume cellulosic waiver authority alone to System (EMTS), comments received on requirement in a manner anticipated to derive the volumes of advanced biofuel our proposed rule, and an evaluation of provide a continued incentive for the and total renewable fuel that are below producers’ production plans and development of other types of advanced the statutory target volumes, and our progress to date following discussions biofuel. assessment that the resulting volumes with cellulosic biofuel producers. Regarding advanced biofuel and total can be met. We believe that reductions With regard to BBD, CAA section renewable fuel, Congress provided in the statutory targets for cellulosic 211(o)(2)(B) specifies the applicable several mechanisms through which the biofuel, advanced biofuel and total volumes of BBD to be used in the RFS statutory targets could be reduced if renewable fuel for 2018 are necessary. program only through year 2012. For necessary. If we reduce the applicable However, in light of our review of subsequent years the statute sets a volume of cellulosic biofuel below the available information, we are making minimum volume of 1 billion gallons, volume specified in CAA section those reductions under the cellulosic and directs EPA, in coordination with 211(o)(2)(B)(i)(III), we also have the waiver authority alone and are not reducing them further under other 8 ‘‘Letter from EIA to EPA on 2018 projected authority to reduce the applicable volumes,’’ available in docket EPA–HQ–OAR– volumes of advanced biofuel and total waiver authorities. Thus, the reductions 2017–0091. renewable fuel by the same or a lesser in both the advanced and total
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renewable fuel standards are directly waiver authority to reduce the volume updated data to derive percentile values attributable to the significant shortfall in of advanced biofuel by the same amount used in our production projection for cellulosic biofuel production, as as cellulosic biofuel, the advanced liquid cellulosic biofuels and to derive compared to the statutory targets. A biofuel volume requirement for 2018 is the year-over-year change in the rate of discussion of our consideration of the 10 million gallons higher than the production of CNG/LNG derived from general waiver authority and biomass- advanced biofuel volume requirement biogas that is used in the projection for based diesel waiver authority to further in 2017. In this rule we are reducing all CNG/LNG. (See Section III for further reduce the required biofuel volumes in three volume requirements by the same detail on the methodology used to 2018 can be found in Section V. amount after considering the project cellulosic biofuel production.) greenhouse gas (GHG), energy security In estimating the volume of liquid B. Summary of Major Provisions in This benefits, and anticipated costs of cellulosic biofuel that will be made Action advanced biofuels that would occur at available in the U.S. in 2018, we This section briefly summarizes the levels beyond those being finalized major provisions of this final rule. We today. considered all potential production are establishing applicable volume Section II provides a general sources by company and facility. This requirements and associated percentage description of our approach to setting included facilities still in the standards for cellulosic biofuel, volume requirements in today’s rule, commissioning or start-up phases, as advanced biofuel, and total renewable including a review of the statutory well as facilities already producing 10 fuel for 2018; for BBD we are waiver authorities and our some volume of cellulosic biofuel. establishing the percentage standard for consideration of carryover RINs. Section From this universe of potential liquid 2018 and the applicable volume III provides our assessment of the 2018 cellulosic biofuel sources, we identified requirement for 2019. cellulosic biofuel volume, based on a the subset that is expected to produce projection of production that reflects a commercial volumes of qualifying 1. Approach to Setting Volume neutral aim at accuracy. Sections IV and liquid cellulosic biofuel for use as Requirements V describe our assessments of advanced transportation fuel, heating oil, or jet The approach we have taken in this biofuel and total renewable fuel, and fuel by the end of 2018. To arrive at final rule of using the cellulosic waiver consideration of the general and projected volumes, we collected authority to reduce advanced biofuel biomass-based diesel waiver authorities. relevant information on each facility. and total renewable fuel by the same Finally, Section VI provides our We then developed projected amount as the reduction in the required determination regarding the 2019 BBD production ranges based on factors such volume of cellulosic biofuel is the same volume requirement, and reflects an as progress towards construction and approach as in our proposed rule, but is analysis of a set of factors stipulated in production goals, facility registration a departure from our approach to using CAA section 211(o)(2)(B)(ii). status, production volumes achieved, and other significant factors that could the cellulosic biofuel waiver authority 2. Cellulosic Biofuel in previous years. In previous years we potentially impact fuel production or have used the cellulosic waiver In the past several years the cellulosic the ability of the produced fuel to authority to reduce the advanced biofuel biofuel industry has continued to make qualify for cellulosic biofuel RINs. We and total renewable fuel volume progress towards increased commercial also used this information to group requirements by a lesser amount than scale production. Cellulosic biofuel these companies based on production the reduction in the cellulosic biofuel production reached record levels in history and to select a value within the volume requirement to allow reasonably 2016 and has continued to grow aggregated projected production ranges attainable volumes of advanced biofuels throughout 2017, driven largely by that we believe best represents the most to partially backfill for missing compressed natural gas (CNG) and likely production volume from each cellulosic biofuel volumes. However, liquefied natural gas (LNG) derived from group of companies in 2018. the approach we have taken for 2018 biogas. Liquid cellulosic biofuels, while produced in much smaller quantities For 2018, we are using an industry does not result in a reduction in the wide, rather than a facility-by-facility volume requirement for non-cellulosic than CNG/LNG derived from biogas, have been produced at steady but approach to project the production of advanced biofuel. While the implied CNG/LNG derived from biogas. We statutory volume for non-cellulosic relatively small volumes throughout 2017. In this rule we are establishing a believe this approach is appropriate due advanced biofuel increased by 500 to the mature state of this technology, million gallons from 2017 to 2018, cellulosic biofuel volume requirement of 288 million ethanol-equivalent the large number of facilities that are through our 2017 action we effectively registered to produce cellulosic biofuel required early use of approximately 0.5 gallons for 2018 based on our production projection. Our projection RINs for these fuels, and the fact that billion gallons of non-cellulosic their volumes are likely to be affected advanced volume that Congress reflects consideration of a production 9 estimate from EIA, RIN generation data more by market wide factors than envisioned would be first used in 2018. individual company situations. Further Therefore, despite using the cellulosic available to EPA through EMTS, comments we received on the proposed discussion on our projection of cellulosic biofuel production in 2018, 9 The statutory advanced biofuel and cellulosic rule, the information we have received biofuel requirements for 2018 are 11.0 and 7.0 regarding individual facilities’ including the factors considered and the billion gallons respectively. This implies a non- capacities, production start dates and way these factors were used to cellulosic advanced biofuel statutory volume of 4.0 biofuel production plans, a review of determine our final cellulosic biofuel billion gallons. The statutory advanced biofuel and projection, can be found in Section III. cellulosic biofuel requirements for 2017 are 9.0 and cellulosic biofuel production relative to 5.5 billion gallons respectively. This implies a non- EPA’s projections in previous annual cellulosic advanced biofuel statutory volume of 3.5 rules, and EPA’s own engineering 10 Facilities primarily focused on research and billion gallons. In 2017 EPA established required judgment. To project cellulosic biofuel development (R&D) were not the focus of our volumes of advanced biofuel and cellulosic biofuel assessment, as production from these facilities of 4.28 billion and 311 million gallons respectively, production for 2018 we used the same represents very small volumes of cellulosic biofuel, implying a non-cellulosic advanced biofuel volume basic methodology described in the and these facilities typically have not generated of 3.97 billion gallons. proposed rule. However, we have used RINs for the fuel they have produced.
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3. Advanced Biofuel 5. Other Waiver Authorities 7. Annual Percentage Standards We are finalizing required advanced We have evaluated whether The renewable fuel standards are biofuel requirements using the same additional reductions in cellulosic expressed as a volume percentage and are used by each producer and importer approach used in the July proposed biofuel, biomass-based diesel, advanced of fossil-based gasoline or diesel to rulemaking. As was the case at the time biofuel, or total renewable fuel are determine their renewable fuel volume of proposal, the conditions that warranted for 2018 using either the obligations. compelled us to reduce the 2017 volume general waiver authority or the BBD Four separate percentage standards requirement for advanced biofuel below waiver authority and have determined are required under the RFS program, the statutory target remain relevant in that additional reductions are not corresponding to the four separate 2018. As for 2017, we investigated the warranted at this time. renewable fuel categories shown in ability of volumes of non-cellulosic 6. 2019 Biomass-Based Diesel Table I.A–1. The specific formulas we advanced biofuels to backfill use in calculating the renewable fuel unavailable volumes of cellulosic In EISA, Congress specified increasing percentage standards are contained in biofuel in 2018. We took into account applicable volumes of BBD through the regulations at 40 CFR 80.1405. The the various constraints on the ability of 2012. Beyond 2012 Congress stipulated percentage standards represent the ratio the market to make advanced biofuels that EPA, in coordination with DOE and of the national applicable volume of available, the ability of the standards we USDA, was to establish the BBD volume renewable fuel volume to the national set to bring about market changes in the taking into consideration projected non-renewable gasoline and time available, the potential impacts implementation of the program to date diesel volume less any gasoline and associated with diverting biofuels and/ and various specified factors, providing diesel attributable to small refineries or biofuel feedstocks from current use to that the required volume for BBD could granted an exemption prior to the date that the standards are set. The volume the production of advanced biofuel used not be less than 1.0 billion gallons. For of transportation gasoline and diesel in the U.S., the fact that the biodiesel 2013, EPA established an applicable tax credit is currently not available for used to calculate the percentage volume of 1.28 billion gallons. For 2014 standards was based on a letter 2018, the proposed countervailing and 2015 we established the BBD duties on imports of biodiesel from provided to the EPA by EIA, as required volume requirement to reflect the actual by statute.12 The percentage standards Argentina and Indonesia, as well as the volume for each of these years of 1.63 cost of advanced biofuels. Based on for 2018 are shown in Table I.B.7–1. and 1.73 billion gallons.11 For 2016 and these considerations we have decided to Detailed calculations can be found in 2017, we set the BBD volume reduce the applicable volume of Section VII, including the projected requirements at 1.9 and 2.0 billion advanced biofuel by the same amount as gasoline and diesel volumes used. gallons respectively. Finally, for 2018 we are reducing the applicable volume the BBD volume requirement was set at of cellulosic biofuels. This results in an TABLE I.B.7–1—FINAL 2018 2.1 billion gallons. We proposed to advanced biofuel volume for 2018 that PERCENTAGE STANDARDS is 10 million gallons higher than the maintain this level for 2019. advanced biofuel volume for 2017. Given current and recent market Cellulosic biofuel ...... 0.159% conditions, the advanced biofuel Biomass-based diesel ...... 1.74% Although we determined that a small Advanced biofuel ...... 2.37% amount of reasonably attainable volume requirement is driving the Renewable fuel ...... 10.67% volumes of advanced biofuel could be production and use of biodiesel and used to backfill a portion of the missing renewable diesel volumes over and 8. Assessment of Aggregate Compliance cellulosic biofuel, for reasons described above volumes required through the in Section IV, we are not exercising the separate BBD standard, and we expect By November 30 of each year we are discretion provided under the cellulosic this to continue. For 2019, EPA required to assess the status of the waiver authority in a manner that would continues to believe that it would still aggregate compliance approach to land lead to that result. be appropriate to provide a floor above use restrictions under the definition of the statutory minimum of 1 billion renewable biomass for both the U.S. and As mentioned above, we are Canada. In today’s action we are gallons to provide a guaranteed level of exercising our cellulosic waiver providing the final announcements for support for the continued production authority to reduce the statutory these administrative actions. As and use of BBD. However, we also applicable volume of advanced biofuel described in Section VIII.A, based on to a volume requirement of 4.29 billion believe that the volume of BBD supplied data provided by the USDA and using gallons for 2018. This applicable in previous years demonstrates that the the methodology in place since 2014, volume for 2018 is 10 million gallons advanced biofuel standard is capable of we have estimated that U.S. agricultural higher than the applicable volume for incentivizing additional supply of these land totaled approximately 376 million advanced biofuel for 2017. fuels above the volume required by the acres in 2017 and thus did not exceed BBD standard. Thus, based on a review the 2007 baseline acreage. This 4. Total Renewable Fuel of the implementation of the program to assessment means that the aggregate date and all the factors required under Following our determination of the compliance provision can continue to the statute, and in coordination with appropriate volume reduction for be used in the U.S. for calendar year USDA and DOE, we are finalizing an advanced biofuel for 2018 using the 2018. applicable volume of BBD for 2019 at cellulosic waiver authority, we On September 29, 2011, EPA the proposed volume of 2.1 billion calculated what the total renewable fuel approved the use of a similar aggregate gallons. volume would be if we provide the compliance approach for planted crops and crop residue grown in Canada. As same level of reduction using the cellulosic waiver authority. The 11 The 2015 BBD standard was based on actual data for the first 9 months of 2015 and on 12 ‘‘Letter from EIA to EPA on 2018 projected resulting volume is 19.29 billion projections for the latter part of the year for which volumes,’’ available in docket EPA–HQ–OAR– gallons. data on actual use was not available at the time. 2017–0091.
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described in Section VIII.B, based on CAA section 211(o)(7)(D)(i) also reduction in cellulosic biofuel data provided by Canada, we have provides EPA with the authority to volumes.17 The Court also concluded estimated that Canadian agricultural reduce the applicable volume of total that the scope of EPA’s discretionary land totaled approximately 117.8 renewable fuel and advanced biofuel in authority to reduce advanced and total million acres in 2017 and thus did not years when it reduces the applicable volumes is the same under the exceed the 2007 baseline acreage. This volume of cellulosic biofuel under that cellulosic waiver provision whether assessment means that the aggregate provision. The reduction must be less EPA is declining to exercise its compliance provision can continue to than or equal to the reduction in authority to waive volumes, or choosing be used in Canada for calendar year cellulosic biofuel. For 2018, we are also to do so.18 2018. reducing the applicable volumes of In this action we are reducing the advanced biofuel and total renewable statutory volume targets for advanced II. Authority and Need for Waiver of fuel under this authority. biofuels and total renewable fuel by Statutory Applicable Volumes The cellulosic waiver authority is equal amounts, as was our approach in The CAA provides EPA with the discussed in detail in the preamble to using the cellulosic waiver authority in authority to enact volume requirements the 2017 final rule and that discussion setting the 2014–2017 standards. EPA’s below the applicable volume targets is incorporated by reference.13 See also, reasoning for an equal reduction is specified in the statute under specific API v. EPA, 706 F.3d 474 (D.C. Cir. explained in the 2017 final rule.19 We circumstances. This section discusses 2013) (requiring that EPA’s cellulosic have made a determination, as those authorities. biofuel projections reflect a neutral aim described in Section IV, that the A. Statutory Authorities for Reducing at accuracy), Monroe Energy v. EPA, 750 applicable volume for advanced biofuels Volume Targets F.3d 909 (D.C. Cir. 2014) (affirming specified in the statute for 2018 cannot EPA’s broad discretion under the be achieved and we are exercising our In CAA section 211(o)(2), Congress cellulosic waiver authority to reduce cellulosic waiver authority to lower the specified increasing annual volume volumes of advanced biofuel and total applicable volume of advanced biofuel, targets for total renewable fuel, renewable fuel), and Americans for and to provide an equal reduction in the advanced biofuel, and cellulosic biofuel Clean Energy v. EPA (‘‘ACE’’), 864 F.3d applicable volume of total renewable for each year through 2022, and for BBD 691 (D.C. Cir. 2017) (discussed below). fuel. In addition, we have determined through 2012, and authorized EPA to set In ACE, the court evaluated EPA’s use that there is likely to be adequate supply volume requirements for subsequent of the cellulosic waiver authority in the to satisfy the total renewable fuel years in coordination with USDA and 2014–2016 annual rulemaking to reduce volume derived through applying an DOE, and after consideration of the advanced biofuel and total equal volume reduction as for advanced specified factors. However, Congress renewable fuel volumes for 2014, 2015, biofuel as discussed in Section V. also recognized that under certain and 2016. There, EPA used the Therefore, we have determined that no circumstances it would be appropriate cellulosic waiver authority to reduce the further reductions of the total renewable for EPA to set volume requirements at standard for advanced biofuel to a fuel volume requirement are necessary a lower level than reflected in the volume that was reasonably attainable, to address supply concerns.20 The statutory volume targets, and thus and then provided a comparable resulting volumes of advanced and total provided waiver provisions in CAA reduction under this authority for total renewable fuel resulting from this section 211(o)(7). 14 renewable fuel. The Court of Appeals exercise of the cellulosic waiver 1. Cellulosic Waiver Authority for the District of Columbia, relying on authority provide for an implied volume the analysis in Monroe Energy, allowance for conventional biofuel of Section 211(o)(7)(D)(i) of the CAA reaffirmed that EPA enjoys ‘‘broad provides that if EPA determines that the fifteen billion gallons, equal to that discretion’’ under the cellulosic waiver envisioned by Congress for 2018. projected volume of cellulosic biofuel authority ‘‘to consider a variety of production for a given year is less than factors—including demand-side 2. General Waiver Authority the applicable volume specified in the constraints in the advanced biofuels statute, that EPA must reduce the Section 211(o)(7)(A) of the CAA market.’’ 15 The Court noted that the provides that EPA, in consultation with applicable volume of cellulosic biofuel only textual limitation on the use of the required to the projected production the Secretary of Agriculture and the cellulosic waiver authority is that it Secretary of Energy, may waive the volume for that calendar year. In making cannot exceed the amount of the this projection, EPA may not ‘‘adopt a applicable volumes specified in the Act reduction in cellulosic biofuel.16 The in whole or in part based on a petition methodology in which the risk of Court contrasted the general waiver overestimation is set deliberately to by one or more States, by any person authority under CAA section subject to the requirements of the Act, outweigh the risk of underestimation’’ 211(o)(7)(A) and the biomass based and must make a projection that ‘‘aims or by the EPA Administrator on his own diesel waiver authority under CAA motion. Such a waiver must be based on at accuracy.’’ API v. EPA, 706 F.3d 474, section 211(o)(7)(E), which ‘‘detail the 479 (D.C. Cir. 2013). Pursuant to this a determination by the Administrator, considerations and procedural steps that after public notice and opportunity for provision, EPA has set the cellulosic EPA must take before waiving fuel biofuel requirement lower than the comment that: (1) Implementation of the requirements,’’ with the cellulosic requirement would severely harm the statutory volumes for each year since waiver authority, which identifies no 2010. As described in Section III.D, the factors regarding reductions in 17 Id. projected volume of cellulosic biofuel advanced and total renewable fuel other 18 Id. production for 2018 is less than the 7.0 than the limitation that any such 19 See 81 FR 89752–89753 (December 12, 2016). billion gallon volume target in the reductions may not exceed the See also, 78 FR 49809–49810 (August 15, 2013); 80 statute. Therefore, for 2018, we are FR 77434 (December 14, 2015). 20 As described in the Response to Comments setting the cellulosic biofuel volume 13 See 81 FR 89752–89753 (December 12, 2016). document accompanying this action, we have also requirement at a level lower than the 14 See 80 FR 77433–34 (December 14, 2015). determined that additional waivers are not statutory applicable volume, in 15 ACE at 730. appropriate to address either severe economic or accordance with this provision. 16 Id. at 733. severe environmental harm.
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economy or the environment of a State, reduce the advanced biofuel and total entire program depends.24 Carryover a region, or the United States; or (2) renewable fuel volume requirements by RINs provide flexibility in the face of a there is an inadequate domestic supply. as much as 473 million gallons. The variety of circumstances that could limit In the October 4 document, EPA notice provided information on the the availability of RINs, including sought comment on the possible use of price of biodiesel in light of the weather-related damage to renewable the general waiver authority to reduce expiration of the federal tax credit, and fuel feedstocks and other circumstances volumes of advanced biofuel and total the potential imposition of new duties potentially affecting the production and renewable fuel for the 2018 standards on imports of biodiesel from Argentina distribution of renewable fuel.25 On the below the levels proposed in the 2018 and Indonesia. other hand, carryover RINs can be used NPRM.21 The October 4 document As described in the RTC document, for compliance purposes, and in the provided information on historic EPA has determined that it would not context of the 2013 RFS rulemaking we domestic production, imports, and be appropriate at this time to use the noted that an abundance of carryover exports of advanced biofuel, as well as BBD waiver authority. Based on RINs available in that year, together additional information, and sought information provided in comments, as with possible increases in renewable comment on how that information could well its own analysis discussed in fuel production and import, justified inform a potential determination of Section V, EPA believes that there is an maintaining the advanced and total inadequate domestic supply or severe insufficient basis to support a finding renewable fuel volume requirements for economic harm. that the biomass based diesel prices that year at the levels specified in the Based on an evaluation of supply and currently in the marketplace, or statute.26 EPA’s approach to the potential economic impact of the reasonably anticipated in the immediate consideration of carryover RINs in volumes of advanced and total future, represent a ‘‘significant’’ increase exercising our cellulosic waiver renewable fuel that result after use of in prices that would justify use of this authority was affirmed in Monroe the cellulosic waiver authority, waiver authority. Energy and ACE.27 comments from stakeholders, and as In the 2018 NPRM, EPA estimated further discussed in Section V, EPA is B. Treatment of Carryover RINs that the size of the carryover RIN bank not using the general waiver authority Consistent with our approach in the was then approximately 2.06 billion on the basis of severe economic or 2013, 2014–16, and 2017 final rules, we carryover RINs (including all D codes).28 environmental harm or inadequate have also considered the availability We proposed that in light of this domestic supply to further reduce those and role of carryover RINs in evaluating relatively limited volume and the volumes for 2018. EPA’s response to whether we should exercise our important functions provided by the comments addressing possible use of discretion to use the cellulosic waiver RIN bank, that we would not set the the general waiver authority are authority in setting the cellulosic, volume requirements for 2018 in a provided in a memorandum to the advanced, and total volume manner that would intentionally lead to 22 docket and in the Response to requirements for 2018. Neither the a drawdown in the bank of carryover Comments (RTC) document statute nor EPA regulations specify how RINs. In their comments on the 2018 accompanying this action. or whether EPA should consider the NPRM, parties generally expressed two 3. Biomass-Based Diesel Waiver availability of carryover RINs in opposing points of view. Commenters Authority exercising the cellulosic waiver representing obligated parties supported 23 EPA’s proposed decision to not assume Section 211(o)(7)(E)(ii) of the CAA authority. As noted in the context of the rules establishing the 2014–16 and a drawdown in the bank of carryover provides that if EPA determines that RINs in determining the appropriate there is a significant renewable 2017 RFS standards, we believe that a bank of carryover RINs is extremely volume requirements. These feedstock disruption or other market commenters reiterated the importance of circumstance that would make the price important in providing obligated parties compliance flexibility in the face of maintaining the carryover RIN bank in of BBD increase significantly, EPA shall, order to provide obligated parties with in consultation with the Secretary of substantial uncertainties in the transportation fuel marketplace, and in necessary compliance flexibilities, Energy, and the Secretary of better market trading liquidity, and a Agriculture, issue an order to reduce, for providing a liquid and well-functioning RIN market upon which success of the cushion against future program up to a 60-day period, the annual uncertainty. Commenters representing volume requirement for BBD by an 23 CAA section 211(o)(5) requires that EPA renewable fuel producers, however, appropriate quantity that does not establish a credit program as part of its RFS contended that carryover RINs represent exceed 15 percent. The statute also regulations, and that the credits be valid to show actual supply and should be accounted stipulates that EPA is authorized to compliance for 12 months as of the date of generation. EPA implemented this requirement reduce applicable volumes of advanced 24 See 80 FR 77482–87 (December 14, 2015) and though the use of RINs, which can be used to biofuel and total renewable fuel by the 81 FR 89754–55 (December 12, 2016). demonstrate compliance for the year in which they 25 same or a lesser volume than the are generated or the subsequent compliance year. See id., and 72 FR 23900 (May 1, 2007). reduction in BBD. Obligated parties can obtain more RINs than they 26 See 79 FR 49794 (August 15, 2013). In the October 4 document, EPA need in a given compliance year, allowing them to 27 Monroe Energy v. EPA, 750 F.3d 909 (D.C. Cir. sought comment on potential ‘‘carry over’’ these excess RINs for use in the 2014), ACE at 713. subsequent compliance year, although use of these 28 This was an increase of 520 million RINs from interpretations of this authority, as well carryover RINs is limited to 20% of the obligated the previous estimate of 1.54 billion carryover RINs as the potential use of the BBD waiver party’s RVO. For the bank of carryover RINs to be in the 2017 final rule. This increase in the carryover authority to reduce the 2018 volume preserved from one year to the next, individual RIN bank compared to that projected in the 2017 requirement for BBD by as much as 315 carryover RINs are used for compliance before they final rule was not due to an underestimate by EPA million gallons, and to concurrently expire and are essentially replaced with newer in the amount of gasoline, diesel fuel, or ethanol vintage RINs that are then held for use in the next that was consumed in 2016, but rather was driven year. For example, if the volume of the collective almost entirely by a combination of over- 21 See 82 FR 46174 (October 4, 2017). carryover RIN bank is to remain unchanged from compliance by biodiesel producers facing an 22 ‘‘Assessment of waivers for severe economic 2017 to 2018, then all of the vintage 2017 carryover expiring biodiesel tax credit at the end of 2016 and harm or BBD prices for 2018,’’ memorandum from RINs must be used for compliance in 2018, or they approximately 390 million RINs that small David Korotney to docket EPA–HQ–OAR–2017– will expire. However, the same volume of 2018 refineries granted a hardship exemption for 2016 0091. RINs can then be ‘‘banked’’ for use in the next year. were not required to retire.
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for when establishing the annual through actual renewable fuel blending An adequate RIN bank serves to make volume standards. These commenters in 2018. Collectively, the result of the RIN market liquid. Just as the stated that not accounting for carryover satisfying RFS obligations in 2017 and economy as a whole functions best RINs goes against Congressional intent settling enforcement-related accounts when individuals and businesses of the RFS program, deters investment could be an effective reduction in the prudently plan for unforeseen events by in next-generation biofuels, and ignores size of the collective bank of carryover maintaining inventories and reserve other programmatic buffers and RINs. In light of these uncertainties, it money accounts, we believe that the flexibilities such as carry-forward is possible that the net result would be RFS program functions best when deficits and small refinery hardship a bank of carryover RINs larger or sufficient carryover RINs are held in exemptions.29 smaller than 11.5 percent of the final reserve for potential use by the RIN holders themselves, or for possible sale 1. Updated Projection of Carryover RIN 2018 total renewable fuel volume to others that may not have established Volume requirement. their own carryover RIN reserves. Were Based on currently available 2. EPA’s Decision Regarding the there to be no RINs in reserve, then even information, our estimate of the Treatment of Carryover RINs minor disruptions causing shortfalls in carryover RIN bank has increased to EPA has decided to maintain the renewable fuel production or 2.22 billion RINs, an increase of 160 proposed approach, and not set the distribution, or higher than expected million RINs from the previous estimate volume requirements in the final rule transportation fuel demand (requiring of 2.06 billion carryover RINs in the with the intention or expectation of greater volumes of renewable fuel to 2018 NPRM.30 Part of the update drawing down the current bank of comply with the percentage standards considers small refinery hardship carryover RINs. In addition, we do not that apply to all volumes of exemptions for 2016 that were granted believe that the availability of carryover transportation fuel, including the since the 2018 NPRM was issued. These RINs, together with the potential supply unexpected volumes) could lead to the additional small refinery hardship of renewable fuel in volumes higher need for a new waiver of the standards, exemptions led to the return to the RIN than we are requiring though this final undermining the market certainty so marketplace of approximately 125 rule, should lead us to increase the critical to the RFS program. However, a million 2016 RINs that would otherwise volume requirements. In finalizing this significant drawdown of the carryover have been required for compliance by approach, we carefully considered the RIN bank leading to a scarcity of RINs the small refineries granted an comments received, including on the may stop the market from functioning in exemption for 2016. role of carryover RINs under our waiver an efficient manner (i.e., one in which The carryover RIN volume is 11.5 authorities and the policy implications there are a sufficient number of percent of the total renewable fuel of our decision. While we have not reasonably available RINs for obligated volume requirement that EPA is assumed an intentional drawdown in parties seeking to purchase them), even finalizing for 2018, which is less than the overall bank of carryover RINs where the market overall could satisfy the 20 percent maximum limit owned by obligated parties collectively the standards. For all of these reasons, permitted by the regulations to be in establishing the volume requirements the collective carryover RIN bank carried over for use in complying with for 2018, we understand that some provides a needed programmatic buffer the 2018 standards.31 However, there obligated parties may choose to sell or that both facilitates individual remains considerable uncertainty use all or part of their individual banks compliance and provides for smooth surrounding this number for a number of carryover RINs. To the extent that overall functioning of the program.33 of reasons, including the possible they do, other obligated parties would We have evaluated the volume of impact of an action to address the be in a position to bank carryover RINs carryover RINs likely available for 2018, remand in ACE, the possibility of by using available renewable fuel or and we believe it is prudent not to additional small refinery exemptions, purchasing RINs representing such fuel, intentionally draw down this volume of and the impact of 2017 RFS compliance with the expected net result that the carryover RINs in establishing the 2018 on the bank of carryover RINs. In standards adopted in this action will standards. In addition, we have addition, we note that there have been have no effect on the size of the overall considered whether the current bank of enforcement actions in past years that bank of carryover RINs that is owned carryover RINs, together with the have resulted in the retirement of collectively by obligated parties.32 additional supply of renewable fuel carryover RINs to make up for the We believe that a balanced available in 2018 above the levels we generation and use of invalid RINs and/ consideration of the possible role of are requiring be used, would justify or the failure to retire RINs for exported carryover RINs in achieving the reduced use of the cellulosic waiver renewable fuel. Future enforcement statutory volume objectives for authority. For the reasons described actions could have similar results, and advanced and total renewable fuels, above and in Sections IV.C and D, we require that obligated parties and/or versus maintaining an adequate bank of do not believe this to be the case. renewable fuel exporters settle past carryover RINs for important Therefore, for the reasons noted enforcement-related obligations in programmatic functions, is appropriate above, and consistent with the approach addition to the annual standards, when EPA exercises its discretion under we took in the 2014–2016 and 2017 thereby potentially creating demand for the cellulosic waiver authority, and that final rules, we are making a RINs greater than can be accommodated the statute does not specify the extent to determination that, under current which EPA should require a drawdown circumstances, an intentional 29 A full description of comments received, and in the bank of carryover RINs when it drawdown of the carryover RIN bank our detailed responses to them, is available in the exercises this authority. should not be assumed in establishing Response to Comments document in the docket. the 2018 volume requirements. In 30 The calculations performed to estimate the number of carryover RINs currently available can be 32 We expect that any renewable fuel produced in addition, we do not believe that the found in the memorandum, ‘‘Carryover RIN Bank the U.S. that is not used to satisfy the 2018 Calculations for 2018 Final Rule,’’ available in the renewable fuel standards will be exported, thereby 33 Here we use the term ‘‘buffer’’ as shorthand docket. not leading to an increase in the bank of 2018 RINs reference to all of the benefits that are provided by 31 See 40 CFR 80.1427(a)(5). or carryover RINs. a sufficient bank of carryover RINs.
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presence of the current bank of received on the 2018 NPRM, data cellulosic biofuel specified in the statute carryover RINs, together with additional reported to EPA through EMTS, and for 2018 is 7.0 billion gallons. The potential supplies of renewable fuel in information we collected through statute provides that if EPA determines, 2018, justifies reduced use of the meetings with representatives of based on a letter provided to the EPA by cellulosic waiver authority in setting the facilities that have produced or have the EIA, that the projected volume of 2018 advanced biofuel and total potential to produce qualifying volumes cellulosic biofuel production in a given renewable fuel volumes. However, we of cellulosic biofuel for consumption as year is less than the statutory volume, note that we may or may not take a transportation fuel, heating oil, or jet then EPA shall reduce the applicable similar approach in future years; we fuel in the U.S. in 2018. There are two volume of cellulosic biofuel to the will assess the situation on a case-by- main parts to this projection. To project projected volume available during that case basis going forward, and take into the range of potential production calendar year.36 account the size of the carryover RIN volumes of liquid cellulosic biofuel we In addition, if EPA reduces the bank in the future and any lessons used the same methodology as the required volume of cellulosic biofuel learned from implementing past rules. methodology used in the 2017 final rule. below the level specified in the statute, However, we have adjusted the the Act also indicates that we may III. Cellulosic Biofuel Volume for 2018 percentile values used to select a point reduce the applicable volumes of In the past several years the cellulosic estimate within a projected production advanced biofuels and total renewable biofuel industry has continued to make range for each group of companies based fuel by the same or a lesser volume, and progress towards increased commercial- on recent information, and with the we are required to make cellulosic scale production. Cellulosic biofuel objective of improving the accuracy of waiver credits available.37 Our production reached record levels in the projections. To project the consideration of the 2018 volume 2016, driven largely by CNG and LNG production of cellulosic biofuel RINs for requirements for advanced biofuel and derived from biogas. Production CNG/LNG derived from biogas we use total renewable fuel is presented in volumes have continued to increase in the methodology discussed in the Section IV. 2017.34 While multiple large cellulosic proposed rule with updated data. This ethanol facilities struggled to achieve B. Cellulosic Biofuel Industry methodology reflects the mature status Assessment production rates consistent with their of this industry, the large number of nameplate capacity, several facilities facilities registered to generate In order to project cellulosic biofuel consistently produced cellulosic ethanol cellulosic biofuel RINs from these fuels, production for 2018, we have tracked from corn kernel fiber at a smaller scale and EPA’s continued attempts to refine the progress of several dozen potential during 2016 and 2017. This section its methodology to yield estimates that cellulosic biofuel production facilities. describes our assessment of the volume are as accurate as possible. This As we have done in previous years, we of cellulosic biofuel that we project will methodology is an improvement on the have focused on facilities with the be produced or imported into the U.S. methodology that EPA used to project potential to produce commercial-scale in 2018, and some of the uncertainties cellulosic biofuel production for CNG/ volumes of cellulosic biofuel rather than associated with those volumes. LNG derived from biogas in the 2017 small research and development (R&D) In the July NPRM, EPA proposed final rule. EPA has updated the list of or pilot-scale facilities. Larger cellulosic volumes based on a potential cellulosic biofuel producers, commercial-scale facilities are much methodology that differed in a couple of projected facility start-up dates, facility more likely to generate RINs for the fuel important ways from the approach we capacities, production volumes, and they produce and the volumes they used in 2017. We proposed changes to other relevant information with the produce will have a far greater impact the percentile values used to project most recent information available. The on the cellulosic biofuel standard for liquid cellulosic biofuel production and methodologies used to project the 2018. The volume of cellulosic biofuel a new industry-wide methodology for production of liquid cellulosic biofuels produced from R&D and pilot-scale projecting the production of CNG/LNG and cellulosic CNG/LNG derived from facilities is quite small in relation to that derived from biogas. For this action, we biogas are described in more detail in expected from the commercial-scale are finalizing volumes for 2018 based on Sections III.D–1 and III.D–2 below. facilities. R&D and demonstration-scale an approach that is similar, but not After a brief description of the facilities have also generally not identical, to what we proposed. We statutory requirements in Section III.A, generated RINs for the fuel they have discuss the changes we made from we discuss the companies the EPA produced in the past. Their focus is on proposal to final below. In our RTC reviewed in the process of projecting developing and demonstrating the document, we respond to the multiple qualifying cellulosic biofuel production technology, not producing commercial comments EPA received on the changes in the U.S. in 2018 in Section III.B. volumes. RIN generation from R&D and to the cellulosic projection methodology Section III.C discusses the projection of pilot-scale facilities in previous years we proposed in July. cellulosic biofuel production provided has not contributed significantly to the In order to project the volume of to EPA by EIA, and Section III.D overall number of cellulosic RINs cellulosic biofuel production in 2018 we discusses the methodologies used by generated.38 We have therefore not considered EIA’s projection of cellulosic EPA to project cellulosic biofuel 35 biofuel production, comments production in 2018 and the resulting 36 The U.S. Court of Appeals for the District of projection of 288 million ethanol- Columbia Circuit evaluated this requirement in API 34 The majority of the cellulosic RINs generated equivalent gallons. v. EPA 706 F.3d 474, 479–480 (D.C. Cir. 2013), in for CNG/LNG are sourced from biogas from the context of a challenge to the 2012 cellulosic landfills; however, the biogas may come from a A. Statutory Requirements biofuel standard. The Court stated that in projecting variety of sources including municipal wastewater potentially available volumes of cellulosic biofuel treatment facility digesters, agricultural digesters, The volumes of renewable fuel to be EPA must apply an ‘‘outcome-neutral separated MSW digesters, and the cellulosic produced and used as transportation methodology’’ aimed at providing a prediction of components of biomass processed in other waste fuel under the RFS program each year ‘‘what will actually happen.’’ digesters. 37 See 40 CFR 80.1456. 35 ‘‘Letter from EIA to EPA on 2018 projected (absent an adjustment or waiver by EPA) 38 While a few small R&D and pilot scale facilities volumes,’’ available in docket EPA–HQ–OAR– are specified in CAA section have registered as cellulosic RIN generators, total 2017–0091. 211(o)(2)(B)(i)(III). The volume of Continued
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considered production from R&D and 2017 final rule.42 The fact that the mature than the liquid cellulosic biofuel pilot-scale facilities in our projection of projections made using this industry, and that there are a large cellulosic biofuel production for 2018. methodology have been somewhat number of facilities registered to From this list of commercial-scale inaccurate, under-estimating the actual generate cellulosic biofuel RINs from facilities we used information from number of RINs made available in 2015 biogas, rendering a facility-by-facility EMTS, publicly available information and over-estimating in 2016 and (most analysis difficult and unnecessary for (including press releases and news likely) 2017, reflects the inherent purposes of accuracy.43 As described in reports), comments on the 2018 NPRM, difficulty with projecting cellulosic Section III.D.2 below, EPA is instead information from EIA, and information biofuel production. It also emphasizes calculating a year-over-year rate of provided by representatives of potential the importance of continuing to make growth in the renewable CNG/LNG cellulosic biofuel producers, to make a refinements to our projection industry by comparing RIN generation determination of which facilities are methodology in an effort to produce for CNG/LNG derived from biogas from most likely to produce liquid cellulosic accurate projections. October 2015–September 2016 to the biofuel and generate cellulosic biofuel EPA’s projections of liquid cellulosic RIN generation for these same fuels from RINs in 2018. Each of these companies biofuel were higher than the actual October 2016–September 2017 (the most was investigated further in order to volume of liquid cellulosic biofuel recent month for which data are determine the current status of its produced in both 2015 and 2016, and available. We then apply this year-over- facilities and its likely cellulosic biofuel appear likely to be higher than actual year growth rate to the total number of production and RIN generation volumes liquid cellulosic biofuel production in cellulosic RINs available for compliance for 2018. Both in our discussions with 2017. We believe this recent data from CNG/LNG in 2016 (the most recent representatives of individual companies warrants a change to the percentile year for which complete data are and as part of our internal evaluation values used to project liquid cellulosic available), to estimate the production of process we gathered and analyzed biofuel from the percentile values used CNG/LNG derived from biogas in information including, but not limited in prior years in an effort to take into 2018.44 to, the funding status of these facilities, account the most recent data available The remainder of this section current status of the production and make the projections for 2018 more discusses the companies and facilities technologies, anticipated construction accurate. We are therefore adjusting the EPA expects to be in a position to and production ramp-up periods, percentile values used to project liquid produce commercial-scale volumes of facility registration status, and annual cellulosic biofuel production based on cellulosic biofuel by the end of 2018 fuel production and RIN generation actual liquid cellulosic biofuel and describes in more detail the targets. production in 2016 and through methodology EPA is using to project As an initial matter, it is useful to September 2017. Use of this updated cellulosic biofuel production in 2018 review the success of EPA’s recent data also results in different percentile (including a review of cellulosic biofuel cellulosic biofuel projections. EPA used values than we proposed to use for production and the accuracy of the a consistent methodology to project 2018. We believe that the use of the projection methodology in previous cellulosic biofuel production in the final methodology (described in the 2018 years). three months of 2015 and in 2016 and NPRM and in Section III.D.1 below), 2017.39 The record of actual production with the adjusted approach to 1. Potential Domestic Producers indicates that EPA’s projection was developing the percentile values used to There are a number of companies and lower than the actual number of project production volumes for liquid facilities 45 located in the U.S. that have cellulosic RINs made available in cellulosic biofuels, results in a either already begun producing 2015,40 and higher than the actual projection that reflects a neutral aim at cellulosic biofuel for use as number of RINs made available in accuracy since it accounts for expected transportation fuel, heating oil, or jet 2016.41 While we currently only have growth in the near future by using fuel at a commercial scale, or are data available through September 2017, historical data that is free of any anticipated to be in a position to do so it appears likely that the number of subjective bias. cellulosic RINs made available in 2017 In previous years, we used the same 43 EPA received a large number of affidavits from will fall short of EPA’s projection in our general methodology for CNG/LNG companies that produce (or intend to produce) derived from biogas as for liquid CNG/LNG derived from biogas as comments on our proposed rule. These affidavits are publicly production from each of these facilities from 2011 cellulosic biofuel, but used different available as part of the comments submitted by the through September 2017 has been less than 150,000 percentile values to project CNG/LNG Coalition for Renewable Natural Gas. EPA reviewed RINs. This is approximately 1% of all liquid derived from biogas and liquid and considered the information contained in these cellulosic biofuel production through September cellulosic biofuels, reflecting the more affidavits in establishing the required volume of 2017. cellulosic biofuel for 2018. These affidavits 39 This methodology is most recently described in established nature of the CNG/LNG confirmed that it was reasonable to believe that the the 2017 final rule. See 81 FR 89746, 89755 industry relative to liquid cellulosic relatively high year-over-year rate of growth used to (December 12, 2016). biofuel production. For 2018, EPA project volumes of CNG/LNG derived from biogas 40 EPA only projected cellulosic biofuel proposed using an industry-wide for 2018 could be achieved based on a number of production for the final three months of 2015, since approach, rather than an approach that project expansions and new projects expected to data on the availability of cellulosic biofuel RINs begin producing CNG/LNG derived from biogas in (D3+D7) for the first nine months of the year were projects volumes for individual 2018. available at the time the analyses were completed companies or facilities, to project the 44 Historically RIN generation for CNG/LNG for the final rule. production of CNG/LNG derived from derived from biogas has increased each year. It is 41 EPA projected that 123 million and 230 million biogas. This updated approach reflects possible, however, that RIN generation for these cellulosic RINs would be generated in 2015 and fuels in the most recent 12 months for which data 2016, respectively. The number of available the fact that this industry is far more are available could be lower than the preceding 12 cellulosic RINs in these years (RINs generated months. We believe our methodology accounts for minus RINs retired for non-compliance reasons) 42 Additional information on our current this possibility. In such a case, the calculated rate was 140 and 190 million RINs. See ‘‘Assessment of projection of cellulosic biofuel production for 2017 of growth would be negative. the Accuracy of Cellulosic Biofuel Production can be found in ‘‘Calculating the Percentile Values 45 The volume projection from CNG/LNG Projections in 2015 and 2016 (June 2017 Update),’’ Used to Project Liquid Cellulosic Biofuel producers does not represent production from a memorandum from Dallas Burkholder to EPA Air Production,’’ memorandum from Dallas Burkholder single company or facility, but rather a group of Docket EPA–HQ–OAR–2017–0091 for more detail. to EPA Air Docket EPA–HQ–OAR–2017–0091. facilities utilizing the same production technology.
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at some time during 2018. The financial biofuel companies that may produce cellulosic biofuel RINs for fuel exported incentive provided by cellulosic biofuel cellulosic biofuel in 2018. These to the U.S. in 2017; projected volumes RINs,46 combined with the facts that to include facilities owned and operated from each of these facilities are included date nearly all cellulosic biofuel by Beta Renewables, Enerkem, Ensyn, in our projection of available volumes produced in the U.S. has been used GranBio, and Raizen. All of these for 2018. EPA has also included domestically 47 and all the domestic facilities use fuel production pathways projected volume from two foreign facilities we have contacted in deriving that have been approved by EPA for facilities (Enerkem’s Canadian facility our projections intend to produce fuel cellulosic RIN generation provided and Ensyn’s Port-Cartier, Quebec on a commercial scale for domestic eligible sources of renewable feedstock facility) that are not currently registered consumption and plan to use approved are used and other regulatory to generate cellulosic biofuel RINs pathways, gives us a high degree of requirements are satisfied. These under the RFS program. We believe that confidence that cellulosic biofuel RINs companies would therefore be eligible it is appropriate to include volume from will be generated for any fuel produced to register their facilities under the RFS these facilities in light of their proximity by domestic commercial scale facilities. program and generate RINs for any to the U.S., the proven technology used In order to generate RINs, each of these qualifying fuel imported into the U.S. by these facilities, the volumes of facilities must be registered with EPA While these facilities may be able to cellulosic biofuel exported to the U.S. under the RFS program and comply generate RINs for any volumes of by the company in previous years (in with all the regulatory requirements. cellulosic biofuel they import into the the case of Ensyn), and the company’s This includes using an approved RIN- U.S., demand for the cellulosic biofuels stated intentions to market fuel generating pathway and verifying that they produce is expected to be high in produced at these facilities to qualifying their feedstocks meet the definition of their own local markets. markets in the U.S. One additional renewable biomass. Most of the EPA is charged with projecting the foreign facility (Raizen’s Costa Pinto) domestic companies and facilities volume of cellulosic biofuel that will be has registered as a cellulosic biofuel 50 considered in our assessment of produced or imported into the U.S. producer, but has not yet generated any potential cellulosic biofuel producers in For the purposes of this final rule we cellulosic RINs. EPA attempted to 2018 have already successfully have considered all of the registered contact representatives from this facility completed facility registration, and foreign facilities under the RFS program to inquire about their intentions to many have successfully generated to be potential sources of cellulosic export cellulosic biofuel to the U.S. in RINs.48 A brief description of each of biofuel in 2018. We believe that due to 2018, but received no response. We the domestic companies (or group of the strong demand for cellulosic biofuel have therefore not projected any companies for cellulosic CNG/LNG in local markets, the significant cellulosic biofuel exports from this producers) that EPA believes may technical challenges associated with the facility to the U.S. in 2018. All of the produce commercial-scale volumes of operation of cellulosic biofuel facilities, facilities included in EPA’s cellulosic RIN generating cellulosic biofuel by the and the time necessary for potential biofuel projection for 2018 are listed in end of 2018 can be found in a foreign cellulosic biofuel producers to Table III.B.3–1 below. memorandum to the docket for this final register under the RFS program and rule.49 General information on each of arrange for the importation of cellulosic 3. Summary of Volume Projections for these companies or group of companies biofuel to the U.S., cellulosic biofuel Individual Companies considered in our projection of the imports from foreign facilities not General information on each of the potentially available volume of currently registered to generate cellulosic biofuel producers (or group of cellulosic biofuel in 2018 is summarized cellulosic biofuel RINs are generally producers in the case of producers of in Table III.B.3–1 below. highly unlikely in 2018. For purposes of CNG/LNG derived from biogas and our 2018 cellulosic biofuel projection liquid cellulosic biofuel facilities using 2. Potential Foreign Sources of we have, with two exceptions Cellulosic Biofuel Edeniq’s technology) that factored into (described below), excluded potential our projection of cellulosic biofuel In addition to the potential sources of volumes from foreign cellulosic biofuel production for 2018 is shown in Table cellulosic biofuel located in the U.S., production facilities that are not III.B.3–1. This table includes both there are several foreign cellulosic currently registered under the RFS facilities that have already generated program. cellulosic RINs, as well as those that 46 Cellulosic biofuel produced at four According to data from Argus Media, the price have not yet generated cellulosic RINs, for 2017 cellulosic biofuel RINs averaged $2.73 in foreign facilities (Ensyn’s Renfrew but are projected to do so by the end of 2017 (through September 2017). Alternatively, facility, GranBio’s Brazilian facility, and obligated parties can obtain a RIN value equivalent 2018. As discussed above, we have to a cellulosic biofuel RIN by purchasing an the CNG/LNG facilities Complexe Enviro Progressive Ltee and Saint- focused on commercial-scale cellulosic advanced (or biomass-based diesel) RIN and a biofuel production facilities. Each of cellulosic waiver credit. The price for 2017 Thomas Biomethane Plant) generated advanced biofuel RINs averaged $1.00 in 2017 these facilities (or group of facilities) is (through September 2017) while the price for a 2017 50 EPA has consistently interpreted the ‘‘projected discussed further in a memorandum to cellulosic waiver credit is $2.00. 51 volume of cellulosic biofuel production’’ required the docket. In addition to the facilities 47 The only known exception was a small volume in CAA section 211(o)(7)(D) to include volumes of (or groups of facilities) discussed in of fuel produced at a demonstration scale facility cellulosic biofuel likely to be made available in the Table III.B.3–1 below, EPA is aware of exported to be used for promotional purposes. United States, including from both domestic 48 Many of the facilities listed in Table III.B.3–1 production and imports (see 80 FR 77420 an additional technology that may be are registered to produce cellulosic (D3 or D7) RINs (December 14, 2015) and 81 FR 89746 (December used to produce qualifying cellulosic with the exception of several of the producers of 12, 2016)). We do not believe it would be biofuel in 2018. Multiple companies, in CNG/LNG derived from biogas, many of the reasonable to include in the projection all cellulosic addition to Edeniq and Quad County facilities projected to produce cellulosic ethanol biofuel produced throughout the world, regardless using Edeniq’s technology, Enerkem’s Edmonton of likelihood of import to the United States, since Corn Processors, are working to facility, and Ensyn’s Port-Cartier, Quebec facility. volumes that are not imported would not be 49 ‘‘Cellulosic Biofuel Producer Company available to obligated parties for compliance and 51 ‘‘Cellulosic Biofuel Producer Company Descriptions (November 2017),’’ memorandum from including them in the projection would render the Descriptions (November 2017),’’ memorandum from Dallas Burkholder to EPA Air Docket EPA–HQ– resulting volume requirement and percentage Dallas Burkholder to EPA Air Docket EPA–HQ– OAR–2017–0091. standards unachievable. OAR–2017–0091.
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commercialize technology to convert accurately and reliably determining the cases where the facilities intend to use corn kernel fiber to cellulosic ethanol at conversion of cellulosic feedstocks to a technology with a methodology for existing corn ethanol facilities. At this biofuel in processes that simultaneously quantifying the volume of ethanol point, however, none of these other convert both cellulosic and non- produced form the cellulosic fraction of companies have successfully registered cellulosic feedstocks, EPA has included corn fiber that has been approved by a facility to generate cellulosic RINs volumes of cellulosic biofuel associated EPA (Quad County Corn Processors and 52 using their technology. In light of the with the simultaneous conversion of facilities using Edeniq’s technology). significant challenges associated with corn kernel fiber and corn starch only in
TABLE III.B.3–1—PROJECTED PRODUCERS OF CELLULOSIC BIOFUEL BY 2018
Facility capacity (million Construction start First production 54 Company name Location Feedstock Fuel gallons per date year) 53
CNG/LNG Pro- Various ...... Biogas ...... CNG/LNG ...... Various ...... N/A ...... August 2014. ducers 55. Edeniq ...... Various ...... Corn Kernel Fiber Ethanol ...... Various ...... Various ...... October 2016. Enerkem ...... Edmonton, AL, Separated MSW .. Ethanol ...... 10 56 ...... 2012 ...... September Canada. 2017.57 Ensyn ...... Renfrew, ON, Wood Waste ...... Heating Oil ...... 3 ...... N/A ...... 2014. Canada. Ensyn ...... Port-Cartier, QC, Wood Waste ...... Heating Oil ...... 10.5 ...... June 2016 ...... January 2018. Canada. GranBio ...... Sa˜o Miguel dos Sugarcane ba- Ethanol ...... 21 ...... Mid 2012 ...... September 2014. Campos, Brazil. gasse. Poet-DSM ...... Emmetsburg, IA .. Corn Stover ...... Ethanol ...... 20 ...... March 2012 ...... 4Q 2015. QCCP ...... Galva, IA ...... Corn Kernel Fiber Ethanol ...... 4 ...... Late 2013 ...... October 2014.
C. Projection From the Energy entities and imported into the U.S., nor place of our own assessment of these Information Administration estimates of cellulosic heating oil or facilities the impact on the cellulosic CNG/LNG produced from biogas, which biofuel standard overall for 2018 would Section 211(o)(3)(A) of the CAA be approximately 1%.59 requires EIA to ‘‘. . . provide to the together represent approximately 96 Administrator of the Environmental percent of our projected cellulosic D. Cellulosic Biofuel Volume for 2018 Protection Agency an estimate, with biofuel volume for 2017. When limiting 1. Liquid Cellulosic Biofuel respect to the following calendar year, the scope of our projection to the of the volumes of transportation fuel, companies assessed by EIA, we note For our 2018 liquid cellulosic biofuel biomass-based diesel, and cellulosic that while our volume projections are projection, we use the same general biofuel projected to be sold or not identical, they are very similar. EPA approach as we have in projecting these introduced into commerce in the U.S.’’ projects approximately 10 million volumes in previous years. We begin by EIA provided these estimates to EPA on gallons of liquid cellulosic biofuel will first categorizing potential liquid October 11, 2017.58 With regard to be produced domestically in 2017 cellulosic biofuel producers in 2018 cellulosic biofuel, the EIA estimated (when excluding heating oil, as EIA did according to whether or not they have that the available volume in 2018 would in their estimate of cellulosic biofuel achieved consistent commercial scale be 13 million gallons. production). EIA did not provide detail production of cellulosic biofuel to date. In their letter, EIA did not identify the on the basis of their projections, so we Next we define a range of likely facilities on which their estimate of cannot say precisely why EPA and EIA’s production volumes for 2018 for each cellulosic biofuel production was based. projections differ. We further note that group of companies. Finally, we use a EIA did, however, indicate in their letter if we used EIA’s projections for percentile value to project from the that they included neither estimates of domestic liquid cellulosic biofuel established range a single projected cellulosic biofuel produced by foreign production without modification in production volume for each group of
52 A significant issue that must be resolved to companies generating RINs for CNG/LNG derived that a portion of their feedstock will be non- register a facility to produce cellulosic biofuel from from biogas the Facility Capacity is equal to the biogenic MSW. RINs cannot be generated for the corn kernel fiber at an existing ethanol production lower of the annualized rate of production of CNG/ portion of the fuel produced from non-biogenic facility is the quantification of the volume of LNG from the facility at the time of facility feedstocks. We have taken this into account in our ethanol produced from cellulosic feedstocks rather registration or the sum of the volume of contracts production projection for this facility. than non-cellulosic feedstocks such as starch. Until in place for the sale of CNG/LNG for use as 57 This date reflects the first production of ethanol these companies develop a methodology for transportation fuel (reported as the actual peak from this facility. The facility began production of quantifying cellulosic biofuel production that is capacity for these producers). methanol in 2015. approved by EPA we do not believe it is appropriate 54 Where a quarter is listed for the first production 58 ’’Letter from EIA to EPA on 2018 projected to include an estimate of cellulosic biofuel date EPA has assumed production begins in the volumes,’’ available in docket EPA–HQ–OAR– production from these facilities in our projection of middle month of the quarter (i.e., August for the 3rd 2017–0091. cellulosic biofuel production in 2018. quarter) for the purposes of projecting volumes. 59 If EPA increased our projection of liquid 53 The Facility Capacity is generally equal to the 55 For more information on these facilities see cellulosic biofuel produced in the United States in nameplate capacity provided to EPA by company ‘‘November 2017 Assessment of Cellulosic Biofuel 2018 (excluding heating oil) to 13 million gallons representatives or found in publicly available Production from Biogas (2018),’’ memorandum from to be consistent with EIA’s projection our total information. If the facility has completed Dallas Burkholder to EPA Air Docket EPA–HQ– projected volume of cellulosic biofuel would registration and the total permitted capacity is OAR–2017–0091. increase by 3 million gallons. This is approximately lower than the nameplate capacity then this lower 56 The nameplate capacity of Enerkem’s facility is 1% of the total volume of cellulosic biofuel volume is used as the facility capacity. For 10 million gallons per year. However, we anticipate projected to be produced in 2018 (3/288 = 0.01).
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companies in 2018. As explained below, companies. This methodology is briefly for which data are available at the time however, we are using a different described here, and is described in our technical assessment was completed approach to selection of the appropriate detail in memos to the docket.60 (October 2016–September 2017). For percentile values for purposes of this Consistent with our approach in potential producers that have not yet rule than we have used in prior years. previous years, we separated the list of generated any cellulosic RINs, the low In this final rule we have used the most potential producers of cellulosic biofuel end of the range is zero. For the high recent data available to determine (listed in Table III.B.3–1) into two end of the range of production volumes which facilities are likely to produce groups according to whether or not the for companies expected to produce facilities have achieved consistent liquid cellulosic biofuel in 2018, liquid cellulosic biofuel we considered commercial-scale production and categorize the companies according to a variety of factors, including the cellulosic biofuel RIN generation. We whether or not they have consistently next defined a range of likely expected start-up date and ramp-up 61 produced commercial scale volumes of production volumes for each group of period, facility capacity. The projected liquid cellulosic biofuels, adjust the potential cellulosic biofuel producers. range for the groups of companies projected production range for each The low end of the range for each group considered in our 2018 cellulosic group of companies, and adjust the of producers reflects actual RIN biofuel projection are shown in Tables percentile values used for each group of generation data over the last 12 months III.D.1–1 and III.D.1–2 below.62
TABLE III.D.1–1—2018 PRODUCTION RANGES FOR LIQUID CELLULOSIC BIOFUEL PRODUCERS WITHOUT CONSISTENT COMMERCIAL SCALE PRODUCTION [Million gallons]
Companies included Low end of the High end of range the range a
Facilities using Edeniq’s technology (new facilities), Enerkem, Ensyn (Port Cartier facility) ...... 0 47 a Rounded to the nearest million gallons.
TABLE III.D.1–2—2018 PRODUCTION RANGES FOR LIQUID CELLULOSIC BIOFUEL PRODUCERS WITH CONSISTENT COMMERCIAL SCALE PRODUCTION [Million gallons]
Companies included Low end of the High end of range a the range a
Facilities using Edeniq’s technology (active facilities), Ensyn (Renfrew facility), Poet-DSM, GranBio, Quad County Corn Processors ...... 7 24 a Rounded to the nearest million gallons.
After defining likely production However, for this final rule we are biofuel in both 2015 and 2016.63 ranges for each group of companies we adjusting the percentile values used to Further, as discussed in the NPRM we next considered the percentile values to project liquid cellulosic biofuel are considering additional RIN use in projecting a production volume production from within the range of generation data from 2017 that was not for each group of companies. In the projected production values, by using available for the NPRM in this final rule. proposed rule, we used the 1st and 43rd data on actual liquid cellulosic biofuel While we currently only have cellulosic percentile to project production from production from both 2016 and 2017 biofuel production data through facilities that had not yet achieved (through September). We believe an September 2017, additional data consistent commercial scale production adjustment to the percentile values used available from months after the release of liquid cellulosic biofuels and those to generate a projected production of our proposed rule suggests that that had, respectively, based on data volume from the range of potential further changes to the percentile values indicating what percentile of production production volumes for each group of used in the NPRM are likely to result in from within the 2016 projected range facilities is warranted. EPA’s estimates more accurate projections of cellulosic facilities included in our 2016 cellulosic for liquid cellulosic biofuel exceeded biofuel production in 2018. We believe biofuel projection actually achieved. actual production of liquid cellulosic that the adjusted percentile values used
60 ‘‘November 2017 Liquid Cellulosic Biofuel 62 More information on the data and methods EPA claimed as CBI. EPA has included additional Projections for 2018 CBI’’ and ‘‘Calculating the used to calculate each of the ranges in these tables information on the calculations used to define the Percentile Values Used to Project Liquid Cellulosic in contained in ‘‘November 2017 Liquid Cellulosic production ranges, including the production ranges Biofuel Production,’’ memorandums from Dallas Biofuel Projections for 2018 CBI’’ memorandum for each individual company or facility, in a memo Burkholder to EPA Air Docket EPA–HQ–OAR– from Dallas Burkholder to EPA Air Docket EPA– to the docket. 2017–0091. HQ–OAR–2017–0091. Unlike in previous years, we 63 61 As in our 2015–2017 projections, EPA have not shown the projected ranges for each EPA notes that once standards are set based on calculated a high end of the range for each facility individual company. This is because the high end these projections, cellulosic biofuel RINs can be (or group of facilities) based on the expected start- of the range for some of these companies are based generated for either type of cellulosic biofuel. up date and a six-month straight line ramp-up on the company’s production projections, which Cellulosic biofuel RINs generated for liquid biofuels period. The high end of the range for each facility they consider confidential business information and CNG/LNG derived from biogas can be used to (or group of facilities) is equal to the value (CBI). Additionally, the low end of the range for satisfy an obligated party’s cellulosic biofuel calculated by EPA using this methodology, or the facilities that have achieved consistent commercial obligation. There are no separate standards for number of RINs the producer expects to generate in scale production is based on actual RIN generation liquid and gaseous cellulosic biofuels. 2018, whichever is lower. data in the most recent 12 months, with is also
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in this final rule will improve the The projected ranges for liquid are available for compliance, and the accuracy of the production projection cellulosic biofuel production in 2016, percentile values that would have and will further EPA’s objective to along with the percentile values used to resulted in a projection equal to the project volumes with a ‘‘neutral aim at project a production volume within the actual production volume are shown in accuracy.’’ calculated ranges the actual number of Table III.D.1–3 below. cellulosic RINs generated in 2016 that
TABLE III.D.1–3—PROJECTED AND ACTUAL LIQUID CELLULOSIC BIOFUEL PRODUCTION IN 2016 [Million gallons]
Low end of the High end of Percentile Projected Actual Actual range the range (2016 FRM) production production 64 percentile
New Facilities ...... 0 76 25th 19 1.06 1st Consistent Producers 65 ...... 2 5 50th 4 3.28 43rd
Since the actual production in 2016 EPA currently only has data on cellulosic biofuel production in the first was lower than the projected production cellulosic biofuel production in 2017 3 quarters (3.09 million gallons). We for both new facilities and consistent through the end of September. While we then used this factor, together with producers, we determined that for the believe that any final assessment of the actual production data from the first 3 purposes of our proposed rule it would accuracy of a projection method cannot quarters of 2017 to project cellulosic be appropriate to adjust the percentiles be made until complete data for the year biofuel production in the 4th quarter of to attempt to make them more accurate. are available, we nevertheless believe it 2017.67 The projected ranges for liquid To this end, EPA calculated the is appropriate to consider data from cellulosic biofuel production in 2017, percentile values that would have 2017 and adjust the percentile values along with the percentile values used to resulted in accurate production used in the final rule as appropriate. To project a production volume within the projections in 2016 based on the actual calculate the percentile values that calculated ranges, the actual number of number of cellulosic biofuel RINs would have resulted in a projection cellulosic RINs generated in 2017 that generated for liquid cellulosic biofuels equal to the actual production volume are available for compliance, and the and available for compliance in 2016. for 2017 we first need to project the percentile values that would have These calculated percentile values are volume of cellulosic biofuel that will be the 1st percentile for new facilities produced in the 4th quarter of 2017 for resulted in a projection equal to the (replacing in the NPRM the 25th each group of facilities.66 EPA projected actual production volume are shown in percentile used for 2016 and 2017) and cellulosic biofuel production in the 4th Table III.D.1–4 below. Note that the the 43rd percentile for consistent quarter of 2017 by first comparing percentile value that would have producers (replacing in the NPRM the cellulosic biofuel production in the 4th resulted in the projected volume of 50th percentile used for 2016 and 2017). quarter of 2016 to the cellulosic biofuel cellulosic biofuel in 2017 is negative, as These percentile values, however, do production in the first 3 quarters of the projected volume is lower than the not reflect the updated production data 2016. In 2016, cellulosic biofuel low end of the range from the 2017 final EPA has from liquid cellulosic biofuel production in the 4th quarter (1.25 rule. producers in 2017. million gallons) was 40 percent of
TABLE III.D.1–4—PROJECTED AND ACTUAL LIQUID CELLULOSIC BIOFUEL PRODUCTION IN 2017 [Million gallons through September]
Low end of the High end of Percentile Projected Projected Actual range the range (2017 FRM) production production percentile (2017 FRM) (2018 FRM) 68
New Facilities ...... 0 33 25th 8 6.07 18th Consistent Producers 69 ...... 3.5 7 50th 5 2.85 ¥18th
The liquid cellulosic biofuel production data from 2017 indicates
64 Actual production is calculated by subtracting percentile values used in our projections in Projections for 2018 CBI’’ memorandum from Dallas RINs retired for any reason other than compliance previous years. This is because the percentile Burkholder to EPA Air Docket EPA–HQ–OAR– with the RFS standards from the total number of values are used in conjunction with the calculated 2017–0091. cellulosic RINs generated. ranges to produce production estimates. The ranges 68 This number includes an updated projection of 65 In the 2014–2016 Annual Rule EPA categorized were defined for the purpose of projecting cellulosic biofuel production for each group of Ensyn and Quad County Corn Processors as cellulosic biofuel production in the context of our consistent cellulosic biofuel producers for 2016. All annual rules and therefore are specific to calendar facilities in the 4th quarter of 2017 as described in other companies were categorized as new facilities. years. Since production in any calendar year is not the preceding paragraph. Note that the low end of This is in contrast to 2018, for which EPA has expected to be consistent (i.e., with equal the potential production range for companies that categorized additional facilities as consistent production volumes each month) it is not possible have achieved consistent commercial scale cellulosic biofuel producers. to use the projected ranges from two calendar years production (7 million gallons) is based on the most 66 Unlike in the case of CNG/LNG derived from to generate a range for a 12 month period that spans recent 12 months for which data is available biogas, discussed in Section III.D.2 below, EPA can two calendar years. (October 2016—September 2017) while the 67 only use calendar years, rather than consecutive 12 More detail on these calculations can be found projected production number in this table is our month periods to evaluate the accuracy of the in ‘‘November 2017 Liquid Cellulosic Biofuel
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that adjustments to the percentile values in 2016 and 2017, as shown in Table year, however this data is older and may used to project cellulosic biofuel III.D.1–5 below. We have not considered not reflect the current state of cellulosic production within the calculated range data from years prior to 2016, as prior biofuel production technologies and are appropriate. For this final rule EPA to 2016 a different methodology was commercial scale facilities as data from has projected cellulosic biofuel used to project available volumes of 2017. We believe that an average of production from facilities that have not cellulosic biofuel. In determining the these percentile values appropriately yet achieved consistent commercial percentile values to use for 2018 we incorporate the data available to EPA at scale production at the 10th percentile have decided to weight the observed the time of this rulemaking to project of the calculated range and projected actual percentile values from 2016 and liquid cellulosic biofuel production cellulosic biofuel production from 2017 equally. While the percentile value with a neutral aim at accuracy. We will facilities that have achieved commercial from 2017 represents the most recent continue to monitor the accuracy of our scale production at the 12th data available, it is also dependent on a projection methodology and will use percentile.70 These percentiles are projection of the volume of cellulosic calculated by averaging the percentiles biofuel that will be produced in the 4th updated data to adjust the percentile that would have produced cellulosic quarter of 2017. Conversely, the values and/or other elements of our 71 biofuel projections equal to the volumes percentile values from 2016 are methodology as appropriate. produced by each group of companies calculated using actual data for the full
TABLE III.D.1–5—PERCENTILE VALUES THAT WOULD HAVE PRODUCED ACCURATE PROJECTION IN 2016 AND 2017
Average (Used to 2016 2017 project volume in 2018)
New Facilities ...... 1st 18th 10th Consistent Producers ...... 43rd ¥18th 12th
Finally, we used these percentile discussed above, to project a volume for calculations are summarized in Table values, together with the ranges each group of companies in 2018. These III.D.1–6 below. determined for each group of companies
TABLE III.D.1–6—PROJECTED VOLUME OF LIQUID CELLULOSIC BIOFUEL IN 2018 [Million gallons]
Low end of the High end of Percentile Projected range a the range a volume a
Liquid Cellulosic Biofuel Producers; Producers without Consistent Commer- cial Scale Production ...... 0 47 10th 5 Liquid Cellulosic Biofuel Producers; Producers with Consistent Commercial Scale Production ...... 7 24 12th 9
Total ...... N/A N/A N/A 14 a Volumes rounded to the nearest million gallons.
EPA also considered whether it would experience. We acknowledge, however, the Edeniq technology) are reasonable, be appropriate to modify other that using the calculated percentile and that projecting overall production individual components of the past values from previous years to project in 2018 in the manner described above methodology for projecting liquid liquid cellulosic biofuel production in results in a neutral estimate (neither cellulosic biofuel based on a narrow future years does not eliminate the biased to produce a projection that is consideration of each factor, but we do possibility that actual production will too high or too low) of likely liquid not believe that such changes are differ from our projections. This is cellulosic biofuel production in 2018 warranted. Making the adjustment to the especially true for the liquid cellulosic (14 million gallons). percentile values used in the biofuel industry, which is currently in 2. CNG/LNG Derived From Biogas methodology while keeping other the early stages of commercialization. components of the methodology Nevertheless, based on the record before For 2018, EPA is using a new constant should, we believe, provide an us, we believe the ranges of projected methodology to project production of appropriate refinement of the production volumes for each company CNG/LNG derived from biogas used as methodology that reflects recent (or group of companies for those using transportation fuel. We believe a new
current projection for calendar year 2017 based on 70 The percentile value for 2018 for facilities that (43rd percentile) and the percentile used in the RIN generation data through September 2017. have not yet achieved consistent commercial scale 2017 rule (50th percentile). 69 In the 2014–2016 Annual Rule, EPA production (10th percentile) is higher than the 71 Additional information on the calculation of categorized Ensyn and Quad County Corn percentile used in the proposed rule (1st percentile) the percentile values for 2016 and 2017 can be Processors as consistent cellulosic biofuel but lower than the percentile used in the 2017 rule found in ‘‘Calculating the Percentile Values Used to producers for 2016. All other companies were (25th percentile). The percentile value for 2018 for Project Liquid Cellulosic Biofuel Production,’’ categorized as new facilities. This is in contrast to facilities that have achieved consistent commercial memorandum from Dallas Burkholder to EPA Air 2018, for which EPA has categorized additional scale production (12th percentile) is lower than Docket EPA–HQ–OAR–2017–0091. facilities as consistent cellulosic biofuel producers. both the percentile used in both the proposed rule
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methodology is warranted for purposes CNG/LNG derived from biogas from requested that EPA use the facility by of this rule for two primary reasons: the January 2017—September 2017 is 22 facility approach used by EPA in our over-projection of CNG/LNG derived percent higher than RIN generation in 2017 final rule to project the production from biogas in 2016 (and the likely over- the same months in 2016. In order to of CNG/LNG derived from biogas in projection of CNG/LNG derived from meet the projected volume for 2017 (298 2018. biogas in 2017), and the relative million gallons), however, RIN In this final rule EPA has used maturity of the CNG/LNG industry generation in the remainder of 2017 updated data in projecting the relative to the liquid cellulosic biofuel would need to be 58 percent higher in production of CNG/LNG derived from industry. EPA’s projection of the 2017 than the total RIN generation from biogas, consistent with our stated production of CNG/LNG derived from these fuels in 2016. intentions in the proposed rule and as biogas in 2016 was 207 million ethanol- EPA received many comments on our requested by several commenters. At the equivalent gallons. Actual production of proposed approach to projecting time the analyses were performed for cellulosic biofuel RINs for CNG/LNG production of CNG/LNG derived from this final rule, EPA had data available derived from biogas that were available biogas in 2018. Some commenters through the end of September 2017. for compliance in 2016 was 185 million critiqued EPA’s calculation of a year- EPA has adjusted our calculated year- gallons, indicating that the approach we over-year rate of growth based on over-year rate of growth based on this took to projecting CNG/LNG derived production during the first five months new data. EPA also agrees with from biogas in 2016 resulted in an of 2017 (relative to production in the overestimate by 22 million ethanol- first five months of 2016) and suggested commenters who stated that it is more equivalent gallons (12 percent). that EPA use updated production data appropriate to calculate a year-over-year Similarly, EPA’s projection of the in the final rule, or that EPA calculate rate of growth using a full year’s (12 production of CNG/LNG derived from the annual rate of growth based on months) worth of data, as this captures biogas in 2017 was 298 million ethanol- comparisons of time periods no less any seasonality and would (in future equivalent gallons. Actual production of than 12 months. Many commenters years) minimize the opportunity for cellulosic biofuel RINs for CNG/LNG characterized EPA’s proposed approach producers of CNG/LNG derived from derived from biogas that has been as inappropriately ‘‘backwards looking,’’ biogas to attempt to influence the produced in 2017 (through the end of and claimed that while this approach projected growth rate for the next year September, the most recent month for may adequately project production from by intentionally shifting production to which data are available) is 151 million facilities that are currently producing particular months of the year. gallons. While data for all of 2017 are CNG/LNG derived from biogas it did not For this final rule, EPA has calculated not available at this time, and despite adequately consider the new facilities the year-over-year growth rate in CNG/ the observed historical pattern of higher the industry expects will begin LNG derived from biogas by comparing RIN generation for CNG/LNG derived production in 2018. Many of these RIN generation from October 2016– from biogas in the latter months of the commenters provided facility specific September 2017 (the most recent 12 year relative to the earlier months of the information on facilities capable of months for which data are available) to year, the available data strongly suggests producing CNG/LNG derived from RIN generation in the 12 months that that actual RIN generation from CNG/ biogas in 2018 for both facilities that are immediately precede this time period LNG derived from biogas in 2017 is currently producing CNG/LNG and (October 2015–September 2016). These likely to fall short of our projections in those that expect to begin producing in RIN generation volumes are shown in the 2017 final rule. RIN generation of 2018.72 Many of these commenters Table III.C.2–1 below.
TABLE III.D.2–1—GENERATION OF CELLULOSIC BIOFUEL RINS FOR CNG/LNG DERIVED FROM BIOGAS [Million gallons]
RIN generation (October 2015–September RIN generation (October 2016–September 2016) 2017) Year-over-year increase
177.28 215.52 21.6%
EPA then applied this 21.6 percent derived from biogas in 2018.73 We may not be appropriate to use once the year-over-year growth rate to the total believe that projecting the production of projected volume of CNG/LNG derived number of 2016 cellulosic RINs CNG/LNG derived from biogas in this from biogas approaches the total volume generated for CNG/LNG that were manner appropriately takes into of CNG/LNG that is used as available for compliance (185.14 consideration the actual recent rate of transportation fuel, this is not currently million) to project the production of growth of this industry, and that this a constraint as our projection for 2018 cellulosic RINs from these fuels in 2017, growth rate accounts for both the is well below the total volume of CNG/ and then repeated the calculation to potential for future growth and the LNG that is currently used as arrive at a projection for 2018. This challenges associated with increasing transportation fuel.74 The comments methodology results in a projection of RIN generation from these fuels in 273.6 million gallons of CNG/LNG future years. While this methodology
72 The Coalition for Renewable Natural Gas claimed these submissions as confidential business volume in 2018, rather than 2017). The number collected and submitted a large number of affidavits information. 2016 of RINs generated for CNG/LNG derived from from project owners and operators of facilities that 73 To calculate this value, EPA multiplied the biogas and available for compliance (185.14) is are currently producing CNG/LNG derived from total number of 2016 RINs generated for CNG/LNG based on EMTS data. biogas, as well as those that anticipate beginning derived from biogas and available for compliance 74 EPA projects that 580 million ethanol- production in 2018. Many of these affidavits are by 1.216 (representing a 21.6% year-over-year equivalent gallons of CNG/LNG will be used as publicly available in the docket, while others have increase), and then multiplied the product by 1.216 transportation fuel in 2018 based on EIA’s October a second time (to project the annual production 2017 Short Term Energy Outlook (STEO). To
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submitted to EPA on our proposed rule individual company projections for from biogas from October 2016– contained information related to a 2018, to calculate a demonstrated rate of September 2017 to production in the 12 number of production facilities growth. As the number of potential months that immediately precede this expected to begin producing CNG/LNG production facilities increases, EPA’s time period (October 2015–September derived from biogas in 2018 (and the ability to verify the accuracy of the 2016). The production increases final few months of 2017). Although information we receive, and make a observed in October 2016–September commenters generally believed that this determination about the likelihood that 2017, as compared to the preceding 12 information supported a different the producers will produce CNG/LNG months, were the result of both approach for projecting production of derived from biogas at the projected increased production from facilities that CNG/LNG derived from biogas in 2018, levels decreases. This is especially had previously produced CNG/LNG we believe that these comments challenging in situations where there derived from biogas as well as generally support our projection of are a large number of potential production from facilities that had not CNG/LNG for 2018, insofar as they producers that have previously previously produced this fuel. For demonstrate that there is reason to overestimated the actual production example, from October 2015–September expect that the significant rate of growth from their facilities. In our 2017 final 2016 a total of 34 facilities generated observed in the production of CNG/LNG rule, EPA projected that 26 new cellulosic RINs for CNG/LNG derived derived from biogas in recent years will facilities would begin producing CNG/ from biogas. From October 2016– continue throughout 2018. LNG derived from biogas in 2017, September 2017 the number of facilities EPA disagrees with commenters who largely based on information we that produced cellulosic RINs for CNG/ claimed that a facility-by-facility received from the renewable CNG/LNG LNG derived from biogas increased to approach to projecting cellulosic RIN industry through the Coalition for 41. We believe, therefore, that while our generation for CNG/LNG derived from Renewable Natural Gas. While we projection methodology uses a growth biogas would necessarily result in a currently only have data available for rate based on historical data it more accurate projection than an the first 9 months of 2017, to date only adequately anticipates higher industry-wide projection methodology. two new facilities have generated production volumes in future years, We continue to believe that in case of cellulosic RINs for CNG/LNG derived including both increased production nascent industries with a small number from biogas in 2017. While additional from existing facilities as well as of participants, such as the liquid new facilities may generate cellulosic production from new facilities. In this cellulosic biofuel industry, industry RINs for CNG/LNG derived from biogas way it is a forward, rather than wide projection methodologies may be in the final 3 months of 2017, many backward looking methodology that inappropriate as they do not capture the projected that they would be producing satisfies our charge to project future specific circumstances that may impact cellulosic RINs by this point in the year, cellulosic biofuel production in a each participant. In industries where the and it is highly unlikely that all 26 of reasonable manner, and with neutrality. number of participants is small, failing these facilities will successfully 3. Total Cellulosic Biofuel in 2018 to adequately assess each individual generate cellulosic RINs by the end of participant can have a significant 2017. The failure of these new facilities After projecting production of impact on the overall accuracy of to generate cellulosic RINs in 2017, industry projections. However, as the cellulosic biofuel from liquid cellulosic together with the over-projection by biofuel production facilities and number of market participants grows the many of the facilities that have impact of any single participant on the producers of CNG/LNG derived from generated cellulosic RINs in 2017 overall performance of the industry biogas, EPA combined these projections resulted in the facility specific approach decreases. In these cases, industry-wide to project total cellulosic biofuel recommended by many commenters projection methods are more accurate production for 2018. These projections appearing to have significantly over- than a more individualized approach, are shown in Table III.D.3–1. Using the estimated the production of CNG/LNG especially as macro market and methodologies described in this section, in 2017. EPA has therefore used an economic factors become more we project that 288 million ethanol- alternative methodology based on actual influential on total production than the equivalent gallons of cellulosic biofuel production data in previous years, success or challenges at any single will be produced in 2018. We believe rather than production projections by facility. that projecting overall production in Further, the accuracy of a facility by individual facilities, to project 2018 in the manner described above facility approach to projecting production of CNG/LNG derived from results in a neutral estimate (neither production is heavily dependent on the biogas in this final rule. We believe the biased to produce a projection that is accuracy of the information available to production of CNG/LNG derived from too high nor too low) of likely cellulosic EPA on the projected RIN generation biogas has matured to a point where an biofuel production in 2018. volumes of each of the potential industry wide projection methodology production facilities for 2018. is more appropriate than a facility by TABLE III.D.3–1—PROJECTED VOLUME Conversely, the market wide approach facility approach, and is likely to result OF CELLULOSIC BIOFUEL IN 2018 used by EPA in this final rule relies on in a more accurate projection. We will [Million gallons] actual RIN generation data, rather than monitor the success of this new approach, and will make appropriate Projected calculate this estimate, EPA used the Natural Gas modifications in the future if warranted. volume a Vehicle Use from the STEO Custom Table Builder We also disagree with commenters (0.12 billion cubic feet/day in 2018). This projection Liquid Cellulosic Biofuel Pro- includes all CNG/LNG used as transportation fuel who claim that our proposed projection methodology does not appropriately ducers; Producers without from both renewable and non-renewable sources. Consistent Commercial EIA does not project the amount of CNG/LNG from account for new facilities expected to Scale Production ...... 5 biogas used as transportation fuel. To convert begin producing CNG/LNG derived from billion cubic feet/day to ethanol-equivalent gallons Liquid Cellulosic Biofuel Pro- EPA used conversion factors of 1020 BTU per cubic biogas in 2018. The methodology used ducers; Producers with foot of natural gas and 77,000 BTU of natural gas by EPA in this final rule compared the Consistent Commercial per ethanol-equivalent gallon. total projection of CNG/LNG derived Scale Production ...... 9
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TABLE III.D.3–1—PROJECTED VOLUME We then address total renewable fuel in reducing the statutory volume target for OF CELLULOSIC BIOFUEL IN 2018— the context of our interpretation, advanced biofuel by the same amount as Continued articulated in previous annual the reduction in cellulosic biofuel. This rulemakings, that advanced biofuel and results in the non-cellulosic component [Million gallons] total renewable fuel should be reduced of the advanced biofuel volume Projected by the same amount under the cellulosic requirement being equal to the implied volume a waiver authority. In Section V we statutory volume of 4.00 billion gallons. discuss our consideration of additional We believe this new approach to CNG/LNG Derived from reductions for both advanced biofuel balancing relevant considerations and Biogas ...... 274 and total renewable fuel beyond those exercising our discretion under the permitted under the cellulosic waiver cellulosic waiver authority is Total ...... 288 authority, using other waiver authorities permissible under the statute, and a Volumes rounded to the nearest million provided by the statute. consistent with the principles gallons. To begin, we have evaluated the articulated in FCC v. Fox TV Stations Further discussion of the individual capabilities of the market and are (556 US. 502, 514–15 (2009)), regarding companies we believe will produce making a finding that the 11.0 billion circumstances when an agency may cellulosic biofuel and make it gallons specified in the statute for appropriately depart from prior policy. commercially available in 2018 can be advanced biofuel cannot be reached in In making this final determination for found in a memorandum to the 2018. This is primarily due to the 2018, we have considered comments on docket.75 expected continued shortfall in the appropriate balancing of factors cellulosic biofuel; production of this under the cellulosic waiver authority IV. Advanced Biofuel and Total fuel type has consistently fallen short of that were provided by stakeholders in Renewable Fuel Volumes for 2018 the statutory targets by 95 percent or response to the proposal and the The national volume targets for more, and as described in Section III, we October 4 document, as discussed in the advanced biofuel and total renewable project that it will fall far short of the accompanying RTC document. fuel to be used under the RFS program statutory target of 7.0 billion gallons We note that the predominant non- each year through 2022 are specified in again in 2018. In addition, although for cellulosic advanced biofuels available in CAA section 211(o)(2)(B)(i)(I) and (II). the 2016 and 2017 standards we the near term are advanced biodiesel Congress set annual renewable fuel determined that the projected and renewable diesel.76 We expect a volume targets that envisioned growth reasonably attainable supply of non- decreasing rate of growth in the at a pace that far exceeded historical cellulosic advanced biofuel and other availability of feedstocks used to growth and, for years after 2011, considerations justified establishing produce these fuel types. In addition, prioritized that growth as occurring standards that included a partial backfill we expect diminishing GHG benefits principally in advanced biofuels of the shortfall in cellulosic biofuel with and higher per gallon costs as the (contrary to previous growth patterns advanced biofuel, for reasons described required volumes of advanced biodiesel where most growth was in conventional in this section we are reducing the and renewable diesel increase. These renewable fuel, principally corn- advanced biofuel applicable volume by outcomes are a result of the fact that the ethanol). Congressional intent is evident the full amount of the shortfall in lowest cost and most easily available cellulosic biofuel for 2018. in the fact that the portion of the total feedstocks are typically used first, and In previous years when exercising the renewable fuel volume target in the each additional increment of advanced statutory volume tables that is not cellulosic waiver authority to determine the required volume of advanced biodiesel and renewable diesel requires required to be advanced biofuel is 15 the use of feedstocks that are billion gallons for all years after 2014, biofuel, we have taken into account the availability of advanced biofuels, their incrementally more costly and/or more while the advanced volumes, driven by difficult to obtain. Moreover, to the growth in cellulosic volumes, continue energy security and GHG impacts, and the apparent intent of Congress as extent that higher advanced biofuel to grow through 2022 to a total of 21 requirements cannot be satisfied billion gallons. reflected in the statutory volumes tables to substantially increase the use of through growth in the production of In this Section we discuss our use of advanced biofuel feedstocks, they the discretion afforded by the cellulosic advanced biofuels over time, as well as factors such as increased costs would instead be satisfied through a re- waiver authority at CAA section direction of such feedstocks from 211(o)(7)(D)(i) to reduce volumes of associated with the use of advanced biofuels and the environmental and competing uses. Parties that were advanced biofuel and total renewable formerly using these feedstocks are fuel. We first discuss our assessment of food competition concerns raised by some commenters. In considering these likely to replace the advanced biofuel advanced biofuel and the feedstocks with the lowest cost considerations, including comments factors, in those years, we have concluded that it was appropriate to set alternatives, likely derived from palm or received in response to the proposal and petroleum sources, leading to lower October 4 document, which have led us the advanced biofuel standard in a manner that would allow the partial overall GHG emission benefits. There to conclude that the advanced biofuel would also likely be market disruptions volume target in the statute should be backfilling of missing cellulosic volumes with non-cellulosic advanced and increased burden associated with reduced by the full amount permitted shifting feedstocks among the wide under the cellulosic waiver authority. biofuels. For purposes of this final rule we have again taken these factors into range of companies that are relying on them today and which have optimized 75 ‘‘Cellulosic Biofuel Producer Company consideration, but rely more heavily on Descriptions (November 2017),’’ memorandum from consideration of cost as a result of a their processes to use them. Higher Dallas Burkholder to EPA Air Docket EPA–HQ– stronger policy focus on the economic OAR–2017–0091. In the case of cellulosic biofuel impacts of the RFS program to conclude 76 While sugarcane ethanol can also contribute to produced from CNG/LNG and facilities using the supply of advanced biofuel, in recent years, Edeniq’s technology we have discussed the that such backfilling with non-cellulosic supply of sugarcane ethanol has been considerably production potential from these facilities as a group advanced biofuel volumes should not be lower than supply of advanced biodiesel or rather than individually. required in 2018. In other words, we are renewable diesel.
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advanced biofuel standards could also potential imports of sugarcane ethanol, for total renewable fuel, the volume be satisfied by diversion of foreign and anticipated decreasing growth in requirement for total renewable fuel is advanced biofuel from foreign markets, production of feedstocks for advanced also 10 million gallons more than the and there would likely be diminished biodiesel and renewable diesel), while applicable volume used to derive the benefits associated with such others focus on the potential benefits 2017 percentage standard. The diversions. Taking these considerations and costs of requiring use of available remainder of this section provides our into account, we believe, as discussed in volumes (e.g., relative cost of advanced justification for this approach to the more detail below, that we should not biofuels to the petroleum fuels they determination of the volume exercise our discretion under the displace, GHG reduction benefits and requirements for advanced biofuel and cellulosic waiver authority to set the energy security benefits). Having total renewable fuel. Section V advanced biofuel volume requirement at determined that we should not exercise discusses our consideration of further a level that would lead to such the discretion afforded EPA under the reductions in either advanced biofuel or diversions. cellulosic waiver authority so as to total renewable fuel using either the Furthermore, two other factors have require the use of advanced biofuel general waiver authority or the BBD added uncertainty regarding advanced volumes that would lead to diversion of waiver authority, and our justification biofuel volumes that are reasonably advanced feedstocks from other uses or for not applying such further attainable and appropriate. The first is diversion of advanced biofuels from reductions. the fact that the tax credit for biodiesel foreign sources, our analytical approach has not been renewed, and if renewed to identifying the appropriate volume A. Volumetric Limitation on Use of the could be in the form of a producer’s tax requirement is to first identify volumes Cellulosic Waiver Authority credit rather than a blender’s tax that we believe would be reasonably credit.77 The second is the preliminary attainable in 2018 without such As described in Section II.A, when determination by the Department of feedstock or fuel diversions, and then making reductions in advanced biofuel Commerce that countervailing duties discuss whether or not other and total renewable fuel under the should be imposed on biodiesel imports considerations, such as cost and GHG cellulosic waiver authority, the statute from Argentina and Indonesia.78 impacts, indicate that it would be limits those reductions to no more than We believe that the factors and appropriate to set the advanced biofuel the reduction in cellulosic biofuel. As considerations noted above are all volume requirement so as to require use described in Section III.D, we are appropriately considered in our exercise of such volumes to partially backfill for establishing a 2018 applicable volume of the broad discretion provided under missing cellulosic volumes. for cellulosic biofuel of 288 million the cellulosic waiver authority, and that The net impact of our exercise of the gallons, representing a reduction of a comprehensive consideration of these cellulosic waiver authority is that after 6,712 million gallons from the statutory factors supports our use of the authority. waiving the cellulosic biofuel volume target of 7,000 million gallons. As a Some of the considerations discussed in down to the projected available level, result, 6,711 million gallons is the this final rule are related to the and applying the same volume maximum volume reduction for availability of non-cellulosic advanced reduction to the statutory volume target advanced biofuel and total renewable biofuels (e.g., historic data on domestic for advanced biofuel, the resulting fuel that is permissible using the supply, expiration of the biodiesel volume requirement for advanced cellulosic waiver authority. Use of the blenders’ tax credit, potential imports of biofuel for 2018 is 10 million gallons cellulosic waiver authority to this biodiesel in light of the Commerce more than the applicable volume used maximum extent would result in Departments preliminary determination to derive the 2017 percentage standard. volumes of 4.29 and 19.29 billion on countervailing duties on biodiesel Furthermore, after applying the same gallons for advanced biofuel and total imports from Argentina and Indonesia, reduction to the statutory volume target renewable fuel, respectively.79
TABLE IV.A–1—LOWEST PERMISSIBLE VOLUMES USING ONLY THE CELLULOSIC WAIVER AUTHORITY [million gallons]
Total Advanced renewable biofuel fuel
Statutory target ...... 11,000 26,000 Maximum reduction permitted under the cellulosic waiver authority ...... 6,712 6,712 Lowest 2018 volume requirement permitted using only the cellulosic waiver authority ...... 4,288 19,288
We are authorized under the authority in instances where its use is in both Monroe and ACE.80 Thus, EPA cellulosic waiver authority to reduce the authorized under the statute, since could potentially set the 2018 advanced advanced biofuel and total renewable Congress did not specify factors that biofuel standard at a level that is fuel volumes ‘‘by the same or a lesser’’ EPA must consider in determining designed to partially backfill for the amount as the reduction in the whether to use the authority or what the shortfall in cellulosic biofuel. As cellulosic biofuel volume. As discussed appropriate volume reductions (within discussed below, doing so would result in Section II.A, EPA has broad the range permitted by statute) should in perhaps an additional 110 million discretion in using the cellulosic waiver be. This broad discretion was affirmed gallons of advanced biofuel. However,
77 See American Renewable Fuel and Job Creation Argentina and Indonesia,’’ available in EPA docket rulemakings. Volumes are sometimes shown in Act of 2017, S.944, 115th Cong. (2017). number EPA–HQ–OAR–2017–0091. million gallons for clarity, but it is volumes in 78 ‘‘Commerce Finds Countervailable 79 When expressing volumes in billion gallons, billion gallons that are used to calculate the Subsidization of Imports of Biodiesel from we use standard rounding methods to two decimal applicable percentage standards. places, as done in previous annual standard-setting 80 See ACE at 730–35.
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based on our consideration of the factors biofuels from use in other countries, That is, while we refer to them as described in more detail below, we are which we took into account in setting ‘‘reasonably attainable’’ volumes for using the full extent of the cellulosic the 2017 volume requirements and, we convenience, they represent those waiver authority in deriving volume believe, are appropriate considerations volumes that are not likely to lead to requirements for 2018.81 under the broad discretion provided by feedstock/fuel diversions. Greater the cellulosic waiver authority. B. Reasonably Attainable Volumes of volumes could likely be made available As noted above, a higher advanced if such diversions were not of concern. Advanced Biofuel biofuel volume requirement has a It is appropriate to consider the greater potential to increase the 1. Imported Sugarcane Ethanol availability of advanced biofuel, both to incentive for switching advanced inform our exercise of the cellulosic biofuel feedstocks from existing uses to The predominant available source of waiver authority and to ascertain biofuel production. Such market advanced biofuel other than cellulosic whether there might be an ‘‘inadequate reactions could cause disruptions biofuel and BBD is imported sugarcane domestic supply’’ justifying use of the and/or price increases in the non- ethanol. In setting both the 2016 and general waiver authority. As the Court biofuel markets that currently use these 2017 standards, we determined that 200 noted in ACE, EPA may consider feedstocks. Increasing the required million gallons of imported sugarcane demand-side considerations in addition volumes of advanced biofuels without ethanol would be reasonably attainable. to supply-side considerations when it giving the market adequate time to In deriving this estimate of sugarcane assesses ‘‘reasonably attainable’’ adjust by increasing supplies could also ethanol, we attempted to balance volumes for purposes of its cellulosic result in diversion of advanced biofuels indications of lower potential imports waiver assessment. However, EPA may from foreign countries to the U.S. from recent data with indications that not consider demand-side factors in without increasing total global volumes. higher volumes were possible based on assessing whether there is an We believe it is likely that the parties older data. We also pointed to the high ‘‘inadequate domestic supply’’ that that formerly used advanced biofuel variability in ethanol import volumes in would justify use of the general waiver feedstocks would seek to replace the the past (including of Brazilian authority.82 Our assessment of advanced biofuel feedstocks with the sugarcane ethanol, the predominant reasonably attainable volumes of cheapest alternatives, likely products form of imported ethanol, and the only advanced biofuel is described below. derived from palm oil or petroleum, significant source of imported advanced In ACE, the Court noted that in rather than forgoing the use of oil-based ethanol), increasing gasoline assessing what volumes are ‘‘reasonably products. Increasing volumes of consumption in Brazil, and variability attainable,’’ EPA had considered the advanced biofuels used in the U.S. in in Brazilian production of sugar as availability of feedstocks, domestic this way (by shifting the end use of reasons that it would be inappropriate production capacity, imports, and advanced feedstocks to biofuel market capacity to produce, distribute, to assume that sugarcane ethanol production and satisfying the current imports would reach the much higher and consume renewable fuel.83 We are markets for these advanced feedstocks levels suggested by some stakeholders. taking a similar approach for 2018, with with non-qualifying or petroleum based the added consideration of the feedstocks, or by simply shifting The data on 2016 ethanol imports possibility that higher volume advanced biodiesel or renewable diesel suggests that we overestimated the requirements would lead to ‘‘feedstock from foreign to domestic use—referred volume of sugarcane ethanol imports for switching’’ or diversion of advanced to for simplicity as ‘‘feedstock/fuel that year. Despite the fact that the diversions’’) would therefore likely not applicable standards for 2016 were set 81 We specify the volume requirements as billion produce the GHG benefits that would prior to the beginning of 2016, and gallons with two decimal places to be consistent 84 with the volume targets as given in the statute. The otherwise be expected. We have decided despite suggestions from UNICA that only exception is for cellulosic biofuel which we not to set the advanced biofuel volume 2016 imports could reach as high as 2 specify in million gallons due to the substantial requirement at a level that would billion gallons, total ethanol imports reduction from the statutory target. However, require such feedstock/fuel diversions. calculations are typically shown in million gallons only reached 34 million gallons. for all four standards for clarity. Our individual assessments of 82 See ACE at 734 and 696. reasonably attainable volumes of 84 UNICA is the Brazilian Sugarcane Industry 83 ACE at 735–36. advanced biofuels reflect this approach. Association.
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Available data for imports in 2017 higher than 100 million gallons. Factors used as transportation fuel or heating oil similarly suggests that imports are again that could result in import volumes in the U.S.88 These factors could likely to fall well below the 200 million below 100 million gallons include include the availability of qualifying gallons that we assumed when setting weather and harvests in Brazil, world biodiesel and renewable diesel the 2017 standards; for January through ethanol demand and prices, and feedstocks, and the production capacity August of 2017, total imports of constraints associated with the E10 of biodiesel and renewable diesel sugarcane ethanol were 75 million blendwall in the U.S. Also, global sugar facilities (both in the U.S. and gallons; by the end of 2017, total consumption has continued to increase internationally). The degree to which imports of sugarcane ethanol might be steadily, while production has these and other factors may affect the 85 decreased. If the trend continues, about 100 million gallons. The total supply of both advanced and Brazilian production of sugar could combined experience for 2016 and 2017 conventional forms of biodiesel and increase, with a concurrent reduction in suggests that 200 million gallons is too renewable diesel in 2018, is discussed high for the purposes of projecting production of ethanol.86 On the other in a memo to the docket.89 reasonably attainable volumes of hand, the world average price of sugar advanced biofuel for 2018. At the same has been projected to remain relatively However, the primary considerations time, higher import volumes than those flat between 2016 and 2018, suggesting in our determination of the reasonably which occurred in 2016 are clearly little change in sugar production and attainable volumes of advanced possible, as reflected by imports seen in implying that ethanol production in biodiesel and renewable diesel for 2018 prior years. Taking all of these Brazil might likewise remain are data on the use of advanced considerations into account, we are unchanged.87 After considering these biodiesel and renewable diesel in using 100 million gallons of imported factors, and in light of the high degree previous years, the uncertain impact of sugarcane ethanol for the purposes of of variability in historical imports of the continued absence of the biodiesel projecting reasonably attainable sugarcane ethanol, we believe that 100 tax credit and proposed tariffs on volumes of advanced biofuel for 2018. million gallons is a reasonable biodiesel from certain countries on This level reflects a balancing of the projection for 2018. biodiesel production and importation, information available to EPA at this 2. Biodiesel and Renewable Diesel the projected growth in production of time; both the lower import volumes advanced biodiesel and renewable that have occurred more recently with With regard to biodiesel and the higher volumes that are possible renewable diesel, there are many different factors that could potentially 88 based on earlier years. For a further discussion of the factors that influence the total reasonably attainable We note that the future projection of influence the availability of biodiesel and volume of these fuels (including both renewable diesel see Section V.B.2 of the preamble imports of sugarcane ethanol is advanced and non-advanced forms) and a further discussion of these factors from the inherently imprecise, and that actual 2017 final rule (81 FR 89781–89789, December 12, imports in 2018 could be lower or 86 ‘‘Sugar—World Markets and Trade,’’ USDA, 2016). November 2016. 89 ‘‘Market impacts of biofuels,’’ memorandum 85 ‘‘Imports of ethanol 2011–2017,’’ available in 87 ‘‘Commodity Markets Outlook,’’ World Bank from David Korotney to docket EPA–HQ–OAR– docket EPA–HQ–OAR–2017–0091. Group, January 2017. 2017–0091.
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diesel feedstocks in 2018.90 A review of these oils with low cost palm or Before considering the projected the volumes of advanced biodiesel and petroleum derived products, as we growth in the production of qualifying renewable diesel used in previous years believe would likely be the case in 2018. feedstocks that could be used to is especially useful in projecting the Such feedstock switching or fuel produce advanced biodiesel and potential for growth in the production diversion could result in unintended renewable diesel, it is helpful to review and use of such fuels, since for these negative consequences, such as market the volumes of biodiesel and renewable fuels there are a number of complex and disruption in other markets where such diesel that have been used in the U.S. inter-related factors beyond simply the oils are used, which could offset some in recent years. While historic data and total production capacity for biodiesel of the anticipated benefits of the trends alone are insufficient to project and renewable diesel and ability to production and use of advanced the volumes of biodiesel and renewable distribute these fuels (including the biofuels. diesel that could be provided in future availability of advanced feedstocks, the years, historic data can serve as a useful expiration of the biodiesel tax credit, The volume of advanced biodiesel frame of reference in considering future and other market-based factors) that are and renewable diesel projected to be volumes. Past experience suggests that a likely to affect the total supply. We also available based on a consideration of high percentage of the biodiesel and believe the likely growth in production these factors is less than the maximum renewable diesel used in the U.S. (from of feedstocks used to produce these volume of biodiesel and renewable both domestic production and imports) fuels is an important factor to consider. diesel we believe could be produced qualifies as advanced biofuel.91 In This is because the energy security and (based solely on an assessment of the previous years, biodiesel and renewable GHG reduction value associated with available production capacity) or diesel produced in the U.S. has been the growth in the use of advanced consumed (based on an assessment of almost exclusively advanced biofuel.92 biofuels is greater when that growth is the ability of the market to distribute Imports of advanced biodiesel have associated with an increase in advanced and use biodiesel and renewable diesel). increased in recent years, however, as feedstock production, rather than a Production capacity and the ability for seen in Table IV.B.2–1. Volumes of switching of existing advanced the market to distribute and use imported advanced biodiesel and feedstocks from other uses or the biodiesel and renewable diesel are renewable diesel have varied diversion of advanced biodiesel and therefore not constraining factors in our significantly from year to year, as they renewable diesel from foreign markets if assessment of the reasonably attainable are impacted both by domestic and the parties that previously used the volume of advanced biodiesel and foreign policies, as well as economic advanced biofuel or feedstocks replace renewable diesel in 2018. factors.
TABLE IV.B.2–1—ADVANCED (D4 AND D5) BIODIESEL AND RENEWABLE DIESEL FROM 2011 TO 2016 [Million gallons] a
2011 2012 2013 2014 b 2015 b 2016
Domestic Biodiesel (Annual Change) ...... 967 (N/A) 1,014 (+47) 1,376 (+362) 1,303 (¥73) 1,253 (¥50) 1,633 (+380) Domestic Renewable Diesel (Annual Change) ...... 58 (N/A) 11 (¥47) 92 (+81) 155 (+63) 175 (+20) 221 (+46) Imported Biodiesel (Annual Change) ...... 44 (N/A) 40 (¥4) 156 (+116) 130 (¥26) 261 (+131) 561 (+300) Imported Renewable Diesel (Annual Change) ...... 0 (N/A) 28 (+28) 145 (+117) 129 (¥16) 121 (¥8) 170 (+49) Exported Biodiesel and Renewable Die- sel (Annual Change) ...... 48 (N/A) 102 (+54) 125 (+23) 134 (+9) 133 (¥1) 129 (¥4)
Total (Annual Change) ...... 1021 (N/A) 991 (¥30) 1,644 (+653) 1,583 (¥61) 1,677 (+94) 2,456 (+779) a All data for 2011–2016 from EMTS. EPA reviewed all advanced biodiesel and renewable diesel RINs retired for reasons other than dem- onstrating compliance with the RFS standards and subtracted these RINs from the RIN generation totals for each category in the table above to calculate the supply in each year. b RFS required volumes for these years were not established until December 2015.
TABLE IV.B.2–2—CONVENTIONAL (D6) BIODIESEL AND RENEWABLE DIESEL FROM 2011 TO 2016 [Million gallons] a
2011 2012 2013 2014 b 2015 b 2016
Domestic Biodiesel (Annual Change) ...... 0 (N/A) 0 (+0) 6 (+6) 1 (¥5) 0 (+0) 0 (+0) Domestic Renewable Diesel (Annual Change) ...... 0 (N/A) 0 (+0) 0 (+0) 0 (+0) 0 (+0) 0 (+0) Imported Biodiesel (Annual Change) ...... 0 (N/A) 0 (+0) 31 (+31) 52 (+21) 74 (+22) 113 (+39)
90 Throughout this section we refer to advanced pursuant to § 80.1416, that can be used to produce biodiesel and renewable diesel) qualified as biodiesel and renewable diesel as well as advanced fuel that qualifies for D4 or D5 RINs. These advanced biodiesel and renewable diesel (9,372 biodiesel and renewable diesel feedstocks. In this feedstocks include, for example, soy bean oil; oil million gallons of the 9,850 million gallons) context, advanced biodiesel and renewable diesel from annual cover crops; oil from algae grown according to EMTS data. refer to any biodiesel or renewable diesel for which photosynthetically; biogenic waste oils/fats/greases; 92 From 2011 through 2016 over 99.9% of all the RINs can be generated that satisfy an obligated non-food grade corn oil; camelina sativa oil; and party’s advanced biofuel obligation (i.e., D4 or D5 canola/rapeseed oil (See pathways F, G, and H of domestically produced biodiesel and renewable RINs). An advanced biodiesel or renewable Table 1 to § 80.1426). diesel supplied to the U.S. qualified as advanced feedstock refers to any of the biodiesel, renewable 91 From 2011 through 2016 over 95% of all biodiesel and renewable diesel (8,258 million diesel, jet fuel, and heating oil feedstocks listed in biodiesel and renewable diesel supplied to the U.S. gallons of the 8,265 million gallons) according to Table 1 to § 80.1426 or in petition approvals issued (including domestically-produced and imported EMTS data.
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TABLE IV.B.2–2—CONVENTIONAL (D6) BIODIESEL AND RENEWABLE DIESEL FROM 2011 TO 2016—Continued [Million gallons] a
2011 2012 2013 2014 b 2015 b 2016
Imported Renewable Diesel (Annual Change) ...... 0 (N/A) 0 (+0) 53 (+53) 0 (¥53) 106 (+106) 43 (¥63) Exported Biodiesel and Renewable Die- sel (Annual Change) ...... 0 (N/A) 0 (+0) 0 (+0) 0 (+0) 0 (+0) 1 (+1)
Total (Annual Change) ...... 0 (N/A) 0 (+0) 90 (+90) 53 (¥37) 180 (+127) 155 (¥25) a All data for 2011–2016 from EMTS. EPA reviewed all conventional biodiesel and renewable diesel RINs retired for reasons other than dem- onstrating compliance with the RFS standards and subtracted these RINs from the RIN generation totals for each category in the table above to calculate the supply in each year. b RFS required volumes for these years were not established until December 2015.
Since 2011 the year-over-year changes Each of the years in which the biodiesel of 2016, likely driven by a desire to in the volume of advanced biodiesel and blenders tax credit was in effect during capture the expiring tax credit, while renewable diesel in the U.S. have varied the calendar year (2013 and 2016) significantly smaller volumes of these greatly, from a low of negative 61 resulted in significant increases in the fuels were supplied in the first quarter million gallons from 2011 to 2012 to a supply of advanced biodiesel and of 2017.95 Data on advanced biodiesel high of 779 million gallons from 2015 to renewable diesel over the previous year and renewable diesel RIN generation in 2016. These changes were likely (653 million gallons and 779 million 2017 was available through September influenced by a number of factors such gallons respectively). However, at the time the analyses were performed as the cost of biodiesel feedstocks and following this large increase in 2013, the for this rulemaking. Our review of this petroleum diesel, the status of the increase in the supply of advanced data suggests that the generation of RINs biodiesel blenders tax credit, growth in biodiesel and renewable diesel in 2014 for advanced biodiesel and renewable marketing of biodiesel at high volume and 2015 was minimal, only 33 million diesel in 2017 (through September) is truck stops and centrally fueled fleet gallons from 2013 to 2015. This pattern slightly higher than RIN generation for locations, demand for biodiesel and is likely the result of both accelerated these fuels during the same time period renewable diesel in other countries, production and/or importation of in 2016 (see Figure IV.B.2–1 below). biofuel policies in both the U.S. and biodiesel and renewable diesel in the Total 2016 RIN generation for advanced foreign countries, and the volumes of final few months of 2013 to take biodiesel and renewable diesel through renewable fuels (particularly advanced advantage of the expiring tax credit as September 2016 was 2.76 billion RINs, biofuels) required by the RFS. This well as relatively lower volumes of while total 2017 RIN generation for historical information does not indicate biodiesel and renewable diesel these fuels through September 2017 was that the maximum previously observed production and import in 2014 and 2.82 billion RINs. Total supply of increase of 779 million gallons of 2015 than would have occurred if the advanced biodiesel and renewable advanced biodiesel and renewable tax credit had been in place.93 diesel in 2016 was 2.46 billion gallons, diesel would be reasonable to expect We believe it is reasonable to suggesting that a total supply of from 2017 to 2018, nor does it indicate anticipate a similar production pattern approximately 2.5 billion gallons in that the low growth rates observed in in 2016 through 2018 as observed in 2017 (slightly higher than the volume other years represent the limit of 2013 through 2015; that increases in the supplied in 2016) is likely.96 This is potential growth in 2018. Rather, these volumes of advanced biodiesel and consistent with our projection of data illustrate both the magnitude of the renewable diesel will be modest in 2017 advanced biodiesel and renewable increases in advanced biodiesel and and 2018, following the significant diesel in the 2017 rule (2.4 billion renewable diesel in previous years and increase in 2016. In 2013 the tax credit gallons) and expectations based on RIN the significant variability in these was in place through the entire year. generation patterns in previous years of increases. This was followed by two years (2014 modest increases in the supply of The historic data indicates that the and 2015) in which the tax credit was advanced biodiesel and renewable biodiesel tax policy in the U.S. can have not in place, but was eventually diesel in the years following the a significant impact on the supply of reinstated retroactively. Similarly, the biodiesel and renewable diesel in any tax credit in place through 2016, but at 95 According to data on EPA’s public Web site, RINs were generated for 823 million gallons of given year. While the biodiesel blenders the time of this rulemaking not 94 biomass-based diesel in the last quarter of 2016 tax credit has applied in each year from applicable to 2017 or 2018. Available while RINs were generated for 444 million gallons 2010–2016, it has only been in effect RIN generation data further supports of biomass-based diesel in the first quarter of 2017. during the calendar year in 2011, 2013 this pattern. Very high volumes of The vast majority of advanced biodiesel and advanced biodiesel and renewable renewable diesel qualifies as biomass-based diesel. and 2016, while other years it has been 96 diesel were supplied in the last quarter The supply of advanced biodiesel and applied retroactively. The biodiesel renewable diesel in 2016 accounts for all RIN blenders tax credit expired at the end of generation, as well as all RIN retirements for 2009 and was re-instated in December 93 We also acknowledge that the fact that EPA did reasons other than compliance with the annual not finalize the required volumes of renewable fuel standards. At this time, we do not have sufficient 2010 to apply retroactively in 2010 and under the RFS program for 2014 and 2015 until data to compare RIN retirements for reasons other extend through the end of 2011. December 2015 likely had an impact on the volume than compliance with the annual standards in 2017 Similarly, after expiring at the end of of advanced biodiesel and renewable diesel to those in 2016, as this data often lags RIN 2011, 2013, and 2014 the tax credit was supplied in these years. generation by several months. However, at this time 94 At this time, it is uncertain whether the tax we have no reason to believe RINs retired for re-instated in January 2013 (for 2012 credit would be retroactively applied to 2017 or reasons other than compliance with the annual and 2013), December 2014 (for 2014), applied in any manner (prospectively or standards in 2017 would be significantly different and December 2015 (for 2015 and 2016). retroactively) in 2018. that retirements for the same reasons in 2017.
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expiration of the biodiesel tax credit. increases from the reasonably attainable to drive significant increases in the This data also supports our expectation volumes of these fuels in 2016 and supply of advanced biodiesel and that the reasonably attainable volume of 2017. It is not clear from this data renewable diesel in the absence of a tax advanced biodiesel and renewable whether or not higher RFS volume credit. diesel in 2018 will reflect modest requirements alone would be sufficient
After reviewing the historical supply purposes and which must then be increase in supply of waste oils, fats, of advanced biodiesel and renewable backfilled with other feedstocks with and greases may be possible in 2018, we diesel and consideration of the possible potentially greater GHG emissions. believe this increase is limited as most impact of the expiration of the biodiesel Similarly, increasing the supply of of these oils, fats, and greases are tax credit (discussed above), EPA next biodiesel and renewable diesel to the already being recovered and used in considered the expected increase in the U.S. by diverting fuel that would biodiesel and renewable diesel availability of advanced biodiesel and otherwise have been used in other production or for other purposes. Many renewable diesel feedstocks in 2018. We countries results in lesser GHG benefits of the planted crops that supply acknowledge that an increase in the than if the supply of these fuels was vegetable oil for advanced biodiesel and required use of advanced biodiesel and increased through additional biofuel renewable diesel production are renewable diesel could be realized production, especially if this diversion primarily grown for purposes other than through a diversion of advanced results in increased consumption of providing feedstocks for biodiesel and feedstocks from other uses, or a petroleum fuels in the countries that renewable diesel, such as for livestock diversion of advanced biodiesel and would have otherwise consumed the feed with the oil that is used as renewable diesel from existing markets biodiesel or renewable diesel. By feedstock for renewable fuel production in other countries. We perceive the net focusing our assessment of the potential a co-product or by-product.97 This is benefits associated with such increased growth in the reasonably attainable true for soy beans and corn, which are advanced biofuel and renewable fuel volume of biodiesel and renewable the two largest sources of feedstock from volumes to be significantly less than the diesel on the expected growth in the planted crops used for biodiesel net benefits associated with the production of advanced feedstocks production in the U.S.98 We do not production of additional advanced (rather than the total supply of these believe that the increased demand for biodiesel and renewable diesel with the feedstocks in 2018, which would soybean oil or corn oil will result in an use of newly-available advanced include feedstocks currently being used feedstocks due to the likelihood that for non-biofuel purposes), we are 97 For example, corn oil is a co-product of corn parties that previously used advanced attempting to minimize the incentives grown primarily for feed or ethanol production, for the RFS program to increase the while soy and canola oil are primarily grown as biofuel feedstocks will replace them livestock feed. with low cost palm or petroleum supply of advanced biodiesel and 98 According to EIA data 6,096 million pounds of derived products. This is both because renewable diesel through feedstock soy bean oil and 1,306 million pounds of corn oil of the potential disruption and switching or diverting biodiesel and were used to produce biodiesel in the U.S. in 2016. renewable diesel from foreign market to Other significant sources of feedstock were yellow associated cost impacts to other grease (1,389 million pounds), canola oil (1,130 industries resulting from feedstock the U.S. million pounds), white grease (578 million pounds), switching, and a reduced GHG Advanced biodiesel and renewable tallow (332 million pounds), and poultry fat (220 reduction benefit related to use of diesel feedstocks include both waste million pounds). Numbers from EIA’s February 2017 Monthly Biodiesel Production Report. feedstocks for biofuel production that oils, fats and greases and oils from Available at https://www.eia.gov/biofuels/biodiesel/ would have been used for other planted crops. While we believe a small production/archive/2016/2016_12/biodiesel.pdf.
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increase in soybean or corn prices large agricultural marketing year.99 This supply of other sources of advanced enough to induce significant changes in quantity of vegetable oils (0.33 million biodiesel and renewable diesel agricultural activity, at least for the metric tons) could be used to produce feedstocks, such as biogenic waste oils, relatively modest changes in advanced approximately 94 million gallons of fats, and greases, may also occur. These biodiesel and renewable diesel advanced biodiesel or renewable increases, however, are expected to be feedstock demand that we envision as a diesel.100 modest, as many of these feedstocks that result of the RVOs we are finalizing in In addition to virgin vegetable oils, we can be recovered economically are this rule. The vegetable oils produced also expect increasing volumes of already being used for the production of are not the primary source of revenue distillers corn oil 101 to be available for biodiesel or renewable diesel, or in for these crops, meaning that the use in 2018. The WASDE report does other markets. In total, we expect that planted acres of these crops are likely to not project distillers corn oil increases in feedstocks produced in the be based on broader economic factors, production, so EPA must use an U.S. are sufficient to produce rather than on demand for vegetable oil alternative source to project the growth approximately 150 million more gallons to produce biofuels or for other markets. in the production of this feedstock. EPA of advanced biodiesel and renewable Increasing the demand for advanced is using the results of the World diesel in 2018 relative to 2017.103 biodiesel and renewable diesel beyond Agricultural Economic and We have also considered the expected the volumes that could be made from Environmental Services (WAEES) model increase in the imports of advanced the projected increase in the feedstocks to project the growth in the production biodiesel and renewable diesel used to produce these fuels would likely of distillers corn oil.102 In assessing the produced in other countries. In previous require diverting volumes of advanced likely increase in the availability of years, significant volumes of foreign biodiesel and renewable diesel (or the distillers corn oil from 2017 to 2018, the produced advanced biodiesel and feedstocks used to produce these fuels) authors of the WAEES model renewable diesel have been supplied to from existing markets to be used to considered the impacts of an increasing markets in the U.S. (see Table IV.B.2–1 produce biofuels supplied to the U.S. adoption rate of distillers corn oil above). These significant imports were Increasing the short-term supply of extraction technologies at domestic likely the result of a strong U.S. demand advanced biodiesel and renewable ethanol production facilities, as well as for advanced biodiesel and renewable diesel to the U.S. in this manner (simply increased corn oil extraction rates diesel, supported by the RFS standards, shifting the end use of advanced enabled by advances in this technology. the LCFS in California, the biodiesel feedstocks to biodiesel and renewable The WAEES model projects that blenders tax credit, and the opportunity diesel production and meeting non- production of distillers corn oil in 2018 for imported biodiesel and renewable biofuel demand for these feedstocks will increase by 316 million pounds, diesel to realize these incentives. At this with conventional renewable and/or from 2,299 million pounds in time the impact of the expiration of the petroleum based feedstocks or diverting agricultural marketing year 2016/2017 biodiesel blenders tax credit on the advanced biodiesel and renewable to 2,615 million pounds in agricultural volumes of foreign-produced biodiesel diesel from foreign markets to the U.S.) marketing year 2017/2018. According to and renewable diesel imported into the may not advance the full GHG or energy the WAEES model, this projected U.S., is highly uncertain. Additionally, security goals of the RFS program. In a increase in the production of distillers in August 2017 the Department of worst case scenario, higher standards corn oil, if devoted entirely to biofuel Commerce announced a preliminary could cause supply disruptions to a production, could be used to produce determination that it would be appropriate to place countervailing number of markets as biodiesel and approximately 39 million gallons of duties of 41 percent to 68 percent on renewable diesel producers seek biodiesel or renewable diesel in 2018. biodiesel imported from Argentina and additional supplies of advanced We believe that this is a reasonable Indonesia. According to data from EIA, feedstocks and the parties that projection. While the vast majority of biodiesel imports from Argentina were previously used these feedstocks, both the increase in advanced biodiesel and 10,679 thousand barrels in 2016 within and outside of the fuels renewable diesel feedstocks produced in (approximately 449 million gallons) and marketplace, seek out alternative the U.S. from 2016 to 2017 is expected 5,601 billion barrels (approximately 235 feedstocks. Similarly, advanced to come from virgin vegetable oils and biodiesel and renewable diesel could be distillers corn oil, increases in the 103 This projection includes a projected increase diverted to the U.S. from foreign 99 For this assessment we have assumed the in the availability fats and oils other than virgin countries and displaced with petroleum vegetable oils produced in the 2017/2018 vegetable oils and distillers corn oil sufficient to fuels. These actions could result in agricultural marketing year are the feedstocks most produce approximately 15 million gallons of significant cost increases, for both likely to be used to produce biodiesel and biodiesel. The WAEES model projects an increase renewable diesel in 2018. in the quantity of ‘‘other fats and oils’’ (including biodiesel and renewable diesel as well inedible tallow, lard & white grease, yellow grease, 100 To calculate this volume we have used a brown grease, poultry fat, and other) sufficient to as other products produced from conversion of 7.7 pounds of feedstock per gallon of renewable oils, with reduced GHG produce 31 million gallons of biodiesel. It is not biodiesel. This is based on the expected conversion clear from the WAEES model, however, if the benefits. of soy oil (http://extension.missouri.edu/p/G1990), projected increased use of other fats and oils as We believe the most reliable source which is the largest source of feedstock used to feedstock for biodiesel production is the result of produce advanced biodiesel and renewable diesel. increased production/collection of these feedstocks for projecting the expected increase in We believe that it is also a reasonable conversion vegetable oils in the U.S. is USDA’s or diverting them from other uses. We therefore factor to use for all virgin vegetable oils. think our slightly more conservative projected World Agricultural Supply and Demand 101 Distillers corn oil is non-food grade corn oil increase in these feedstocks sufficient to produce 15 Estimates (WASDE). According to the produced by ethanol production facilities million gallons of biodiesel (without diverting September 2017 WASDE report, 102 For the purposes of this final rule, EPA relied feedstocks from existing uses) is appropriate. We domestic vegetable oil production is on WAEES modeling results submitted as note, however, using the slightly higher projection comments by the National Biodiesel Board on the from the WAEES model (feedstock increase expected to increase by 0.33 million 2018 final rule (Kruse, J., ‘‘Implications of an sufficient to produce 31 million gallons of metric tons in 2018, from 11.42 million Alternative Advanced and Biomass Based Diesel biodiesel) has a very minimal impact on our metric tons in the 2016/2017 Volume Obligation for Global Agriculture and assessment of the reasonably attainable volume of agricultural marketing year to 11.75 Biofuels’’, August 21, 2017, World Agricultural advanced biodiesel and renewable diesel in 2018, Economic and Environmental Services (WAEES), and would have no impact on the required volume million metric tons in the 2017/2018 EPA–HQ–OAR–2017–0091–3880). of advanced biofuel for 2018.
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million gallons) through July 2017 (the as compared to the levels we projected that this reflects that the circumstances most recent month for which data were for 2017.104 presented with respect to 2018 are available at the time of this assessment). After a careful consideration of the different from those we anticipated for Biodiesel imports from Indonesia were factors discussed above, EPA has 2017. The primary differences are a 2,554 thousand barrels in 2016 determined, for the purposes of this smaller projected increase in advanced (approximately 107 million gallons), final rule, that approximately 2.55 feedstock production in the U.S., the with no biodiesel imported in 2017 billion gallons of advanced biodiesel continued absence of the biodiesel tax through July 2017. At this time, it is and renewable diesel is reasonably credit, and the preliminary uncertain whether or not the attainable for use in our determination determination placing duties on preliminary determination by the of the appropriate applicable volume of biodiesel imported from Argentina and Department of Commerce will be advanced biofuel to require for 2018. Indonesia. finalized, and it is uncertain what This volume is 150 million gallons impact the finalization of these duties higher than the volume of advanced 3. Other Advanced Biofuel would have on overall imports of biodiesel and renewable diesel advanced biodiesel and renewable determined to be reasonably attainable In addition to cellulosic biofuel, diesel to the U.S. In recent years imports and appropriate for the purposes of imported sugarcane ethanol, and of advanced biodiesel and renewable deriving the advanced biofuel standard advanced biodiesel and renewable diesel have increased year-over-year, in 2017. diesel, there are other advanced biofuels and absent these actions it may be The 150 million gallon increase in that can be counted in the reasonable to anticipate continued advanced biodiesel and renewable determination of reasonably attainable increases in the imported volume of diesel that we project will be reasonably volumes of advanced biofuel for 2018. these fuels. In light of this uncertainty, attainable for 2018 represents a smaller These other advanced biofuels include however, we do not believe it would be annual increase in advanced biodiesel biogas, naphtha, heating oil, butanol, jet reasonable at this point to either and renewable diesel than we assumed fuel, and domestically-produced increase or decrease our projection of in deriving the 2017 advanced biofuel advanced ethanol.105 However, the the reasonably attainable volume of standard (approximately 300 million supply of these fuels has been relatively biodiesel and renewable diesel for 2018 gallons over 2016 levels). We believe low in the last several years.
TABLE IV.B.3–1—HISTORICAL SUPPLY OF OTHER ADVANCED BIOFUELS [Million ethanol-equivalent gallons]
Domestic CNG Heating oil Naphtha Renewable Total diesel a ethanol
2013 ...... 26 0 3 64 23 116 2014 ...... 20 0 18 15 26 79 2015 ...... 0 1 24 8 25 58 2016 ...... 0 2 26 8 27 63 a Some renewable diesel generates D5 rather than D4 RINs as a result of being produced through co-processing with petroleum or being pro- duced from the non-cellulosic portions of separated food waste or annual cover crops.
The downward trend over time in compressed natural gas), as well as non- does not qualify as BBD. Our assessment biogas as advanced biofuel with a D cellulosic biogas such as from digesters. of the reasonably attainable volumes of code of 5 is due to the re-categorization However, since they have been these sources, discussed in the in 2014 of landfill biogas from advanced produced in only de minimis and preceding sections, is summarized (D code 5) to cellulosic (D code 3).106 sporadic amounts in the past, we do not below. We note that the reasonably Apart from biogas, total supply of have a basis for projecting substantial attainable volumes of each of these advanced biofuel other than imported volumes from these sources in 2018.108 advanced biofuels cannot themselves be sugarcane ethanol has been relatively 4. Total Advanced Biofuel viewed as volume requirements. The constant during 2014–2016. Based on volumes for each advanced biofuel type this historical record, we find that 60 The total volume of advanced biofuel represent one significant factor that is million gallons would be reasonably that we believe is reasonably attainable considered in the analysis used to 107 attainable in 2018. This represents in 2018 is the combination of cellulosic determine the reasonably attainable the approximate average of the two most biofuel and the sources described above: volumes of advanced biofuel. As recent years (2015 and 2016) for which imported sugarcane ethanol, biodiesel discussed in more detail in a complete data are available. and renewable diesel which qualifies as memorandum to the docket, there are We recognize that the potential exists BBD, and other advanced biofuels such many ways that the market could for additional volumes of advanced as advanced biogas that does not qualify respond to the percentage standards we biofuel from sources such as jet fuel, as cellulosic biofuel, heating oil, establish, including use of higher or liquefied petroleum gas (LPG), and naphtha, domestic advanced ethanol, lower volumes of these fuel types than liquefied natural gas (as distinct from and advanced renewable diesel that
104 We further note that there have been recent supply of imported advanced biodiesel and volume of 40 million gallons of non-ethanol other efforts to reinstate the biodiesel tax credit as a renewable diesel. advanced biofuel and 20 million gallons of producers’ tax credit, rather than a blenders tax 105 Advanced biofuel with a D code of 5. advanced domestic ethanol (see discussion in Section V.B.2). credit. If the biodiesel tax credit were reinstated as 106 79 FR 42128, July 18, 2014. 108 For instance, no RIN-generating volumes of a producers’ tax credit it would not apply to foreign 107 For the purposes of determining the biodiesel producers, further limiting the likely these other advanced biofuels were produced in availability of total renewable fuel, we are using a 2016, and less than 1 mill gal total in prior years.
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discussed in this section.109 In addition, and soybean biodiesel in 2018, the two 2017 action, we effectively required as discussed below, we do not believe advanced biofuels that would be most early use of the 0.5 billion gallon it would be appropriate to require use likely to provide the marginal increase increment of non-cellulosic advanced of all volumes we have determined to be in volumes of advanced biofuel in 2018 volume that Congress envisioned would reasonably attainable. in comparison to 2017. Sugarcane be first used in 2018. The net result of ethanol results in a cost increase our action for 2018, after deciding that TABLE IV.B.4–1—REASONABLY AT- compared to gasoline that ranges from no further reductions beyond those TAINABLE VOLUMES OF ADVANCED $0.61–$1.56 per ethanol-equivalent obtained by exercise of the cellulosic BIOFUEL IN 2018 gallon.112 Soybean biodiesel results in a waiver authority are appropriate (see cost increase compared to diesel fuel Section V), is that the advanced biofuel [Million ethanol-equivalent gallons except as noted] that ranges from $0.95–$1.30 per volume requirement for 2018 is 10 ethanol-equivalent gallon.113 The cost of million gallons higher than the Cellulosic biofuel ...... 288 these renewable fuels is high as advanced biofuel volume requirement Advanced biodiesel and re- compared to the petroleum fuels they for 2017, but the portion of this volume newable diesel (ethanol- displace. In light of these comparative requirement that may be satisfied with equivalent volume/physical costs, we believe it is reasonable to forgo non-cellulosic biofuels remains volume) ...... 3,953/2,550 the marginal benefit that might be constant. Imported sugarcane ethanol 100 achieved by establishing the advanced D. Exercise of Cellulosic Waiver Other advanced ...... 60 biofuel standard to require an additional Authority for Total Renewable Fuel 110 million gallons. See Section IV.E for Total advanced biofuel ...... 4,401 a further discussion of the projected cost As discussed in Section II.A.1, we of this final rule. believe that the cellulosic waiver C. Exercise of Cellulosic Waiver Based on consideration of the provision is best interpreted to provide Authority for Advanced Biofuel volumes that may be reasonably equal reductions in advanced biofuel Based on the information presented attainable in 2018, along with a and total renewable fuel. We have above, we believe that 4.40 billion balancing of the costs and benefits consistently articulated this gallons of advanced biofuel would be associated with the option of setting the interpretation.115 We believe this reasonably attainable in 2018. This advanced biofuel standard at a level that interpretation is consistent with the volume is 110 million gallons higher would require use of all volumes that statutory language and best effectuates than the 4.29 billion gallons that would we have estimated could be reasonably the objectives of the statute. If EPA were result from reducing the applicable attainable, we are exercising our to reduce the total renewable fuel volume of advanced biofuel by the same cellulosic waiver authority to reduce volume requirement by a lesser amount amount as the reduction to the statutory advanced biofuel volumes to 4.29 than the advanced biofuel volume applicable volume of cellulosic biofuel billion gallons for 2018.114 This requirement, we would effectively (see Section III for a discussion of the advanced biofuel volume requirement increase the opportunity for cellulosic biofuel volume requirement for 2018 is similar to the requirement for conventional biofuels to participate in for 2018). In exercising the cellulosic 2017 when we allowed a portion of the the RFS program beyond the implied waiver authority in past years, we shortfall in cellulosic biofuel to be statutory cap of 15 billion gallons.116 determined it was appropriate to require backfilled with other advanced biofuel. Applying an equal reduction of 6.71 a partial backfilling of missing cellulosic It should be noted that by exercising billion gallons to both the statutory volumes with volumes of non-cellulosic the full cellulosic waiver authority for target for advanced biofuel and the advanced biofuel we determined to be advanced biofuel, the implied statutory statutory target for total renewable fuel reasonably attainable and appropriate, volume target for non-cellulosic results in a total renewable fuel volume notwithstanding the increase in costs advanced biofuel of 4.0 billion gallons of 19.29 billion gallons as shown in 117 associated with this decision.110 in 2018 is maintained. Although the Table IV.A–1. If we were to However, this year we are balancing the implied volume for non-cellulosic determine that there is a basis to various considerations in a different advanced biofuel in the statute increases exercise the general waiver authority or manner in setting the 2018 standards, from 3.5 billion gallons in 2017 to 4.0 billion gallons in 2018, the applicable 115 For instance, see discussion in the final rules placing a greater emphasis on cost setting the 2013, 2014–2016, and 2017 standards: 78 111 volume requirements for 2017 as considerations. FR 49809–49810, August 15, 2013; 80 FR 77434, In Section IV.E we present illustrative finalized by EPA included an allowance December 14, 2015; 81 FR 89752–89753, December cost projections for sugarcane ethanol for 4.0 billion gallons of non-cellulosic 12, 2016. We incorporate by reference the rationale advanced biofuel, one year before for this interpretation that was articulated in these prior rules. 109 envisioned by the statute. Through our ‘‘Market impacts of biofuels,’’ memorandum 116 Since the advanced biofuel volume from David Korotney to docket EPA–HQ–OAR– requirement is nested within the total renewable 2017–0091. 112 Sugarcane ethanol results in a projected cost fuel volume requirement, the statutory implied 110 See, e.g., Response to Comments Document for increase of $0.92–$2.34 per gasoline-equivalent volume for conventional renewable fuel in the the 2014–16 Rule, pages 628–631, available at gallon. The projected cost of gasoline in 2018 is statutory tables can be discerned by subtracting the https://www.epa.gov/sites/production/files/2015- $1.64 per gallon based on EIA Short-Term Energy applicable volume of advanced biofuel from that of 12/documents/420r15024.pdf. Outlook, October 2017, Custom Table Builder, total renewable fuel. Performing this calculation 111 EPA notes that while the factors considered ‘‘Refiner Wholesale Gasoline Price.’’ with respect to the tables in CAA section under the cellulosic waiver authority to reduce 113 Soybean biodiesel results in a projected cost 211(o)(2)(B) indicates a Congressional expectation volumes could apply to volumes beyond the increase of $1.62–$2.22 per diesel-equivalent that in the time period 2015–2022, advanced reduction in cellulosic biofuel, EPA is limited in gallon. The projected cost of diesel in 2018 is $1.74 biofuel volumes would grow from 5.5 to 21 billion the exercise of its cellulosic waiver authority to per gallon based on EIA Short-Term Energy gallons, while the implied volume for conventional reductions up to the amount of the reduction in Outlook, October 2017, Custom Table Builder, renewable fuel would remain constant at 15 billion cellulosic biofuel. Any further reductions would ‘‘Diesel Fuel Refiner Wholesale Price.’’ gallons. require a determination under the general waiver 114 EPA also considered the availability of 117 EPA also considered the availability of authority that the volumes would result in severe advanced carryover RINs in determining whether carryover RINs in determining whether reduced use economic or environmental harm, or that there is reduced use of the cellulosic waiver authority of the cellulosic waiver authority would be an inadequate domestic supply, as discussed in would be warranted. For the reasons described in warranted. For the reasons described in Section Section V below. Section II.B, we do not believe this to be the case. II.B, we do not believe this to be the case.
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the biomass-based diesel waiver 1. Illustrative Cost Savings Associated approximately 580 million gallons due authority, we could provide further With Reducing Statutory Cellulosic to a limitation in the number of vehicles reductions to the total renewable fuel Volumes capable of using this form of fuel.120 volume. However, as described in more To provide an illustrative estimate of EPA uses a ‘‘bottom-up’’ engineering detail below in Section V, we believe the cost of the 2018 cellulosic biofuel cost analysis to quantify the costs of that there is not sufficient justification requirements, EPA has compared the producing a gallon of cellulosic ethanol for such further reductions in 2018. 2018 cellulosic biofuel volume derived from corn kernel fiber. There are multiple processes that could yield E. Impacts of 2018 Standards on Costs requirements to the statutory volume that would be required absent the cellulosic ethanol from corn kernel In this section, EPA presents its exercise of our cellulosic waiver fiber. EPA assumes a cellulosic ethanol assessment of the illustrative costs of authority under CAA section production process that generates the final 2018 RFS rule. It is important 211(o)(7)(D)(i).119 As described in other biofuel using distiller’s grains, a co- to note that these illustrative costs do sections of this final rule, we believe product of generating corn starch not attempt to capture the full impacts that the additional 6.71 billion gallons ethanol that is commonly dried and sold of this final rule. These estimates are of cellulosic biofuel envisioned by the into the feed market as distillers dried provided solely for the purpose of statute will not be produced in 2018. grains with solubles (DDGS), as the showing how the cost to produce a Therefore, estimating costs of this renewable biomass feedstock. We gallon of a ‘‘representative’’ renewable volume reduction is inherently assume an enzymatic hydrolysis process fuel compares to the cost of petroleum challenging. However, we have taken with cellulosic enzymes to break down the cellulosic components of the fuel. There are a significant number of the relatively straightforward distiller’s grains. This process for caveats that must be considered when methodology of multiplying the per- generating cellulosic ethanol is similar interpreting these cost estimates. There gallon costs associated with the volumes to approaches currently used by are a number of different feedstocks that that would be required under this final industry to generate cellulosic ethanol could be used to produce biofuels, and rule by the amount of cellulosic at a commercial scale, and we believe there is a significant amount of renewable fuel that is being waived. these costs estimates are likely heterogeneity in the costs associated This comparison results in a cost representative of the range of different with these different feedstocks and savings estimated to be $5.3–$15.9 technology options being developed to fuels. Some renewable fuels may be cost billion. produce ethanol from corn kernel fiber. competitive with the petroleum fuel To estimate the overall cost savings from waiving the cellulosic biofuel We then compare the per-gallon they replace; however, we do not have wholesale costs of the cellulosic ethanol cost data on every type of feedstock and volumes, EPA has taken the following steps. First, EPA determined the to the petroleum fuels that would be every type of fuel. Therefore, we do not replaced. attempt to capture this range of magnitude of the volume reduction of cellulosic biofuel we are establishing in These cost estimates do not consider potential costs in our illustrative taxes, retail margins, or other costs or estimates. this rule, relative to the statutory volume. In this rule we are reducing the transfers that occur at or after the point The annual standard-setting process required volume of cellulosic biofuel by of blending (transfers are payments encourages consideration of the RFS 6.71 billion gallons, with corresponding within society and are not additional program on a piecemeal (i.e., year-to- reductions in the advanced biofuel and costs). We do not attempt to estimate year) basis, which may not reflect the total renewable fuel standards. Second, potential cost savings related to avoided full, long-term costs and benefits of the we estimated the per-gallon costs of infrastructure costs (e.g., the cost program. For the purposes of this final producing cellulosic ethanol derived savings of not having to provide pumps rule, other than the estimates of costs of from corn kernel fiber that would be and storage tanks associated with producing a ‘‘representative’’ renewable expected in complying with the higher-level ethanol blends). When fuel compared to cost of petroleum fuel, standards. Third, the per-gallon costs of estimating per-gallon costs, we consider EPA did not quantitatively assess other cellulosic biofuel from corn fiber were the costs of gasoline on an energy direct and indirect costs or benefits of multiplied by 6.71 billion gallons. equivalent basis as compared to ethanol, changes in renewable fuel volumes. While there may be growth in other since more ethanol gallons must be These direct and indirect costs and cellulosic biofuel sources, for this consumed to go the same distance as benefits include infrastructure costs, exercise we believe it is appropriate to gasoline due to the ethanol’s lower investment, GHG emissions and air use corn kernel fiber as the energy content. quality impacts, or energy security representative cellulosic biofuel. The Table IV.E.1–1 below presents the benefits, which all are to some degree majority of liquid cellulosic biofuel in cost savings associated with this final affected by the annual standards. While 2018 is expected to be produced using rule that are estimated using this some of these impacts were analyzed in this technology, and application of this approach.121 The statutory cellulosic the 2010 final rulemaking that technology in the future could result in 118 established the current RFS program, significant incremental volumes of 120 To calculate this estimate, EPA used the we have not analyzed these impacts for Natural Gas Vehicle Use from the STEO Custom cellulosic biofuel. In addition, as Table Builder (0.12 billion cubic feet/day in 2018). the 2018 volume requirements. We explained in Section III.D.2, we believe This projection includes all CNG/LNG used as framed the analyses we have performed that production of the major alternative transportation fuel from both renewable and non- for this final rule as ‘‘illustrative’’ so as cellulosic biofuel—CNG/LNG derived renewable sources. EIA does not project the amount not to give the impression of of CNG/LNG from biogas used as transportation from biogas—is limited to fuel. To convert billion cubic feet/day to ethanol- comprehensive estimates. equivalent gallons, EPA used conversion factors of 119 EPA is also using its discretion to reduce the 1020 BTU per cubic foot of natural gas and 77,000 118 RFS2 Regulatory Impact Analysis (RIA). U.S. advanced biofuel and total renewable fuel BTU of natural gas per ethanol-equivalent gallon. EPA 2010, Renewable Fuel Standard Program requirements using the cellulosic waiver authority. 121 Details of the data and assumptions used can (RFS2) Regulatory Impact Analysis. EPA–420–R– This discretionary action is based partially on the be found in a Memorandum available in the docket 10–006. February 2010. Docket EPA–HQ–OAR– costs of advanced biofuels and provides additional entitled ‘‘Cost Impacts of the Final 2018 Annual 2009–0472–11332. cost savings. Renewable Fuel Standards’’, Memorandum from
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biofuel target in EISA for 2018 is seven billion gallons. The per-gallon cost significant range. Multiplying those per- billion gallons (ethanol equivalent). The difference estimates for cellulosic gallon cost differences by the amount of cellulosic biofuel volume used in this ethanol ranges from $0.79–$2.37 per cellulosic biofuel waived in this final rule to establish the 2018 cellulosic ethanol equivalent gallon.122 Given that rule, 6.71 billion gallons, results in biofuel percentage standard is 288 cellulosic ethanol production is just approximately $5.3–$15.9 billion in cost million gallons. The amount of starting to become commercially savings. cellulosic biofuel being waived is 6.71 available, the cost estimates have a
TABLE IV.E–1—IMPACTS OF THE DIFFERENCE BETWEEN EISA VOLUMES FOR THE CELLULOSIC BIOFUEL STANDARD AND FINAL CELLULOSIC VOLUME IN 2018
2018 EISA cellulosic 2018 Final volume cellulosic standard volume
Cellulosic Volume Required (Million Ethanol-Equivalent Gallons) 123 ...... 7,000 288 Change in Required Cellulosic Biofuels (Million Gallons as Ethanol) ...... (6,712) Cost Difference Between Cellulosic Corn Fiber-Derived Ethanol and Gasoline Per Gallon ($/EGE) 124 ...... $0.79–$2.37 Estimated Cost Difference in Meeting Cellulosic Biofuel Volume (Billion $) 125 ...... $(5.3)–$(15.9)
2. Illustrative Cost Analysis of sugarcane ethanol from Brazil. Showing As described earlier, we are focusing Advanced Biofuels Using 2017 as the the illustrative costs of soybean oil BBD on the wholesale level in our cost Baseline and sugarcane ethanol is consistent with scenarios, and do not consider taxes, We recognize that for the purpose of the methodology EPA developed for retail margins, additional infrastructure, estimating the cost of the 2018 RFS previous rulemakings. However, this or other costs or transfers that occur at volume requirements that a number of discussion should not be interpreted as or after the point of blending. More different scenarios using different suggesting that the various renewable background information on this section, ‘‘baselines’’ would be of interest to fuel types discussed are necessarily including details of the data sources stakeholders. Therefore, in this section, available in the marketplace. The used and assumptions made for each of we are also providing an illustrative cost availability of different types of the scenarios, can be found in a analysis that shows the costs of the renewable fuel is discussed in other memorandum available in the docket.127 advanced biofuel standard as compared sections of this preamble; in this section Table IV.E.2–1 below presents to those associated with the preceding we assess costs as if the different fuel year’s standard, which as discussed in types are available, without intending to estimates of per energy-equivalent section IV.C. will lead to an increase of suggest that they are. gallon costs for producing soybean 10 million gallons of advanced biofuel In previous annual RFS rules, EPA biodiesel, Brazilian sugarcane ethanol, in 2018 in comparison to 2017.126 provided an illustrative cost estimate for CNG/LNG derived from landfill biogas, EPA is providing an illustrative cost the entire change in the total renewable and cellulosic ethanol derived from analysis for the increase in the overall fuel volume standard assuming it was corn fiber relative to the petroleum fuels advanced biofuel volume of 10 million satisfied with conventional (i.e., non- they replace at the wholesale level. For ethanol equivalent gallons (as compared advanced) corn ethanol. As there is no each of the four scenarios, these per- to 2017 volumes) using four different change in the 2018 implied gallon costs are then multiplied by the scenarios, assuming this increase in conventional volume relative to the 10 million ethanol-equivalent gallon advanced biofuel volumes is comprised 2017 volume, all of the changes in both increase in the 2018 advanced standard of: (1) cellulosic biofuel from CNG/LNG, the advanced and total renewable fuel relative to the previous 2017 standard to (2) cellulosic biofuel from corn kernel volumes are properly attributed to obtain an overall cost estimate. fiber, (3) soybean oil BBD, or (4) advanced biofuel.
TABLE IV.E.2–1—ILLUSTRATIVE COSTS OF THE 10 MILLION GALLON INCREASE IN THE ADVANCED BIOFUEL VOLUME REQUIREMENT IN 2018 RELATIVE TO THE 2017 VOLUME REQUIREMENT
Soybean Biodiesel Scenario
Cost Difference Between Soybean Biodiesel and Petroleum Diesel Per Gallon ($/EGE) 128 ...... $0.89–$1.22 Annual Change in Overall Costs (Million $) 129 ...... $9–$12
Brazilian Sugarcane Ethanol Scenario
Cost Difference Between Sugarcane Ethanol and Gasoline Per Gallon ($/EGE) ...... $0.61–$1.56
Michael Shelby, Dallas Burkholder, and Aaron 123 Overall fuel volumes may not match due to light of the nested standards, that increase is Sobel to EPA Docket EPA–HQ–OAR–2017–0091. rounding. entirely attributable to the increase in the advanced 122 For the purposes of the cost estimates in this 124 Approximate costs are rounded to the cents volume. section, EPA has not attempted to adjust the price place. 127 ‘‘Cost Impacts of the Final 2018 Annual of the petroleum fuels to account for the impact of 125 Approximate costs are rounded to the first Renewable Fuel Standards’’, Memorandum from the RFS program, since the changes in the renewable fuel volume are relatively modest. decimal place. Michael Shelby, Dallas Burkholder, and Aaron Rather, we have simply used the wholesale price 126 There is also an increase of 10 million gallons Sobel to EPA Docket EPA–HQ–OAR–2017–0091. projections for gasoline and diesel as reported in in the 2018 applicable volume of total renewable EIA’s October 2017 STEO. fuel as compared to the 2017 volume. However, in
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TABLE IV.E.2–1—ILLUSTRATIVE COSTS OF THE 10 MILLION GALLON INCREASE IN THE ADVANCED BIOFUEL VOLUME REQUIREMENT IN 2018 RELATIVE TO THE 2017 VOLUME REQUIREMENT—Continued Annual Change in Overall Costs (Million $) ...... $6–$16
CNG/LNG Derived from Landfill Biogas Scenario
Cost Difference Between CNG/LNG Derived from Biogas and Natural Gas ($/EGE) 130 ...... $(0.04)–$0.07 Annual Change in Overall Costs (Million $) ...... $(0.4)–$0.7
Corn Fiber-Derived Ethanol Scenario
Cost Difference Between Cellulosic Corn Fiber-Derived Ethanol and Gasoline Per Gallon ($/EGE) ...... $0.79–$2.37 Annual Change in Overall Costs (Million $) ...... $8–$24
Based on this illustrative analysis of categories and the 2018 BBD using the considered the projected volumes of four separate hypothetical scenarios, BBD waiver authority in CAA section renewable fuel that can be supplied to EPA estimates that the costs for changes 211(o)(7)(E). We have concluded that refiners, importers, and blenders in in the advanced fuel volumes compared further reductions in volumes using any 2018 from both domestic production to 2017 could range from $(0.4)–$24 of these other waiver authorities are not and imports. In addition, consistent million in 2018. It is important to note warranted. We note that in the October with the approach identified for that these illustrative costs do not take 4 Federal Register document we consideration in the October 4 into consideration the benefits of the solicited comment on possible new document, we considered the projected program.131 For the purpose of this interpretations of the general waiver volumes of renewable fuel that can be annual rulemaking, we have not authority for inadequate domestic supplied to refiners and blenders solely quantified benefits for the 2018 supply and severe economic harm and from domestic production. Under either standards. For example, we do not have of the biomass-based diesel waiver approach we conclude a waiver is not a quantified estimate of the GHG or authority.132 We find it unnecessary to warranted. energy security benefits for a single year resolve whether to adopt such In Section III we discussed our (e.g., 2018). Also, there are impacts that interpretations at this point in time projection that 288 million gallons of are difficult to quantify, such as rural because under any approach we would cellulosic biofuel will be made available economic development and find exercise of these waiver authorities in 2018. In Section IV we described our employment changes from more not appropriate based on the record assessment that about 4.40 billion diversified fuel sources, that are not before us. gallons of advanced biofuel would be quantified in this rulemaking. As a result, we are finalizing reasonably attainable in 2018 from both advanced biofuel and total renewable domestic production and imports but V. Consideration of Additional fuel volume requirements resulting from that, after considering a number of Reductions Using Other Waiver the exercise of the cellulosic biofuel factors, such as the potential for Authorities waiver authority alone, and we are not feedstock/fuel diversions and cost of As discussed in previous sections, we modifying the 2018 BBD applicable advanced biofuel, we would exercise are reducing the statutory volume target volume of 2.1 billion gallons established our discretion to use the full cellulosic for cellulosic biofuel to reflect the through a prior rulemaking. The implied waiver authority to reduce the projected production volume of that fuel volume for conventional renewable fuel applicable volume to 4.29 billion type in 2018, and we are reducing both (calculated by subtracting the advanced gallons.134 As a result, we do not advanced biofuel and total renewable volume from the total volume) will be anticipate an inadequate domestic fuel by the maximum permissible 15.0 billion gallons, consistent with the supply of advanced biofuels to meet a amount authorized under the cellulosic statutory target provided in the statute volume requirement of 4.29 billion waiver authority in CAA section for 2018. gallons for advanced biofuel, when both 211(o)(7)(D)(i). A. Inadequate Domestic Supply domestic production and imports are We have also considered whether it considered. would be appropriate to provide further On July 21, 2017, we proposed to Having determined that there will not reductions for these renewable fuel reduce the 2018 statutory volume targets be an inadequate domestic supply of categories pursuant to the general for advanced biofuel and total advanced biofuel, we further considered waiver authority in CAA section renewable fuel by the maximum whether there may be an inadequate 211(o)(7)(A), or for these renewable fuel permissible amount using the cellulosic domestic supply to satisfy the portion of waiver authority, and not to reduce the total renewable fuel volume 128 Per-gallon cost differences compare these volumes further using other requirement that can be satisfied with illustrative biofuels to their petroleum fuel authorities. However, we requested non-advanced (conventional) renewable counterparts on an ethanol gallon equivalent (EGE) comment on the possible additional use fuel. After application of the full basis, accounting for the differences in energy of the general waiver authority or other content between fuels, and then multiplied by the cellulosic waiver authority to the total RINs needed to meet the change in volume authorities to provide further reductions advanced biofuel and total renewable obligations. in the proposed volume 133 129 Overall costs may not match per-gallon costs requirements. To evaluate the 134 Because EPA’s authority under the cellulosic times volumes due to rounding. possibility for using the general waiver waiver authority affords EPA more discretion to 130 CNG/LNG derived from biogas and natural gas authority on the basis of a finding of reduce volumes of advanced and total renewable costs are compared on an ethanol gallon equivalent inadequate domestic supply, we fuel than the general waiver authority under an (EGE) energy content basis. evaluation of inadequate domestic supply, EPA has 131 The small negative cost estimate is likely a evaluated the supply of advanced biofuel for result of the methodology undertaken for these 132 82 FR 46174, October 4, 2017. purposes of a determination on the adequacy of illustrative costs. 133 82 FR 34206 at 34213, October 4, 2017. supply without consideration of these factors.
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fuel statutory volume targets, the on the extent to which such an proposed 2018 volume requirements.137 implied statutory volume for interpretation would have a relevant We believe, based on the record before conventional renewable fuel is 15.0 impact on renewable fuel supply. us, that there is uncertainty regarding billion gallons. The total domestic In light of the fact that the domestic the capability of the domestic advanced production capacity of corn ethanol in production capacity of conventional biofuel industry to compensate in 2018 the U.S. is about 16 billion gallons, and biofuel volumes is in excess of 15 for volumes that would not be provided total production of denatured and billion gallons, whether we were to through imports. Taking this undenatured ethanol from these exclude imported biofuels from our uncertainty into account (including the facilities in 2016 exceeded 15 billion consideration of domestic supply would distinct possibility that the domestic gallons.135 As a result, there does not primarily impact our assessment of the industry could compensate for appear to be an inadequate domestic supply of cellulosic biofuel and exclusion of imports), as well as the supply of renewable fuel to satisfy the advanced biofuel volumes, not availability of imported volumes and implied 15 billion gallon conventional conventional renewable fuel. With carryover RINs, EPA would not choose renewable fuel volume that results from respect to cellulosic biofuel, we note to exercise its authority to grant a full application of the cellulosic waiver that the vast majority of the supply in waiver on the basis of inadequate authority to reduce statutory volume 2018 is expected to come from domestic domestic supply for 2018 even if it targets for advanced biofuel and total sources. In fact, if EPA excluded interpreted the term ‘‘domestic supply’’ renewable fuel. We note that this consideration of projected cellulosic to exclude imports. In light of this assessment does not include imported biofuel imports, our projection of the determination, we need not resolve at volumes of fuel, such as conventional available volume of cellulosic biofuel in this time the interpretive issue regarding biodiesel, which could also be used to 2018 would be reduced by only 2 whether the term ‘‘domestic supply’’ satisfy the volume requirements. In light million gallons or less than 1 percent of should include consideration of of this finding, we conclude that there our projection that 288 million imports. is not an inadequate domestic supply of cellulosic biofuel gallons will be made B. Severe Economic Harm volumes than can be used to meet the available in 2018. Given the importance 15 billion gallon implied volume for that Congress placed on the growth of The proposal and October 4 document conventional renewable fuel, and thus cellulosic biofuel volumes, our requested comment on the possibility of that further reductions of the 19.29 projection that compliance with a 288 further reductions in the proposed billion gallon total renewable fuel million gallon requirement is feasible volume requirements, including on the volume requirement derived through using RINs generated in 2018, and the basis of a severe economic harm. We use of the cellulosic waiver authority availability of carryover cellulosic received comments from stakeholders would not appropriate when taking into biofuel RINs and cellulosic waiver both in support of, and opposed to, account both domestic production and credits for additional compliance further reductions in the advanced imports. flexibility, EPA would not exercise its biofuel and/or total renewable fuel In the October 4 document, we discretion to lower the 288 million volume requirements based on a finding discussed comments on the proposal gallon projected cellulosic biofuel of severe economic harm. For instance, suggesting that EPA should interpret the volume by 2 million gallons even if EPA several obligated parties stated that the undefined term ‘‘domestic’’ in the were to interpret the term ‘‘domestic purchase of RINs to comply with the phrase ‘‘inadequate domestic supply’’ to supply’’ to exclude imported volumes. applicable standards represents a account for only volumes of renewable With respect to the available supply significant economic burden to their fuel that are produced domestically. If of advanced biofuel in 2018 in the companies. Some also indicated that EPA were to adopt this interpretation, context of an interpretation of they are considering filing for we could exclude potential imports of inadequate domestic supply that bankruptcy. However, these renewable fuel in our assessment of excludes imports, several commenters commenters did not provide sufficient domestic supply but, even if we found noted the data provided by EPA in the evidence that the purchase of RINs, as domestic supply to be inadequate, could October 4 document indicating that a opposed to other market factors, is take factors such as potential imports significant portion of the advanced responsible for the company’s difficult and the availability of carryover RINs biofuel available in previous years has economic circumstances, or why they into account in determining the extent been from imported biofuels, cannot recoup the cost of RINs through to which we should exercise our particularly imported biodiesel and higher prices of their products, or the discretion to grant a waiver on the basis renewable diesel. Some commenters arguments presented were of inadequate domestic supply.136 As pointed to total domestic production unconvincing.138 None of the described in more detail in the RTC capacity and feedstock availability to document, stakeholders who addressed argue that domestic producers are 137 The ‘‘domestic supply’’ of BBD for 2018 would likely be adequate to meet the 2018 standard of 2.1 this issue provided varying perspectives capable of compensating for volumes billion gallons. Domestic production of BBD would that would not be provided through need to increase by approximately 300 million 135 ‘‘2017 Ethanol Industry Outlook’’ by the imports, so that even under an gallons as compared to the 2016 production. As Renewable Fuels Association indicates that 2017 interpretation of ‘‘domestic supply’’ that discussed above, EPA believes this increase is nationwide production capacity is 16.0 bill gal and possible and received comments suggesting this actual production in 2016 was 15.25 bill gal. ‘‘US excluded imports, EPA would not be volume increase could be met by domestic Fuel Ethanol Plant Production Capacity from EIA,’’ justified in reducing volumes on the production. Additionally, carryover RINs and estimates 2017 nameplate production capacity at basis of inadequate domestic supply to imported volumes could still be used to meet the 15.51 bill gal. In ‘‘Ethanol Production in 2016 from a level below what was proposed. standard. Therefore, EPA would not chose to EIA,’’ EIA indicates that 2016 actual production exercise its authority to grant a waiver on the basis was 15.45 bill gal. All documents are available in Others suggested that, without imported of inadequate domestic supply for BBD for 2018 docket EPA–HQ–OAR–2017–0091. volumes, the domestic industry could even if it interpreted the term ‘‘domestic supply’’ 136 EPA’s current regulations provide that not ramp up production quickly enough to exclude imports. qualifying imported biofuel may be used for to compensate for the exclusion of 138 We further note that before exercising the compliance with the RFS standards; EPA’s response general waiver authority on the basis of severe to comments on this approach to imported biofuels imports from our analysis and provide economic harm to a State, a Region or the U.S., EPA is provided in the RTC document. a ‘‘domestic supply’’ equal to the Continued
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commenters provided compelling feedstock futures prices, and projected equal or lesser volume than the evidence that the proposed RFS volume gasoline demand. We also investigated reduction in BBD. In the October 4 requirements for 2018 would be likely the potential market impacts of the final document we requested comment on the to cause severe economic harm to a 2018 standards, most specifically in expected impact on the price of BBD of region, State, or the U.S.139 Further terms of ethanol and biodiesel the expiration of the biodiesel blenders discussion of these comments can be consumption.141 tax credit, proposed import duties on found in the RTC document. Based on the record before us, we do biodiesel from Argentina and Indonesia, In addition to reviewing comments on not believe that there is sufficient or any other factors. We further the proposed rule and the October 4 evidence to conclude that severe requested comment on whether any document, EPA also reviewed market economic harm is occurring currently in expected impacts should be considered data from 2017 and previous years to 2017 in any State, region, or the United significant for the purposes of the BBD see if there was evidence that the RFS States, and we do not believe that waiver authority. standards are currently causing severe market conditions in 2018 are likely to To investigate whether a reduction in economic harm, or would be likely to cause compliance with the applicable the 2018 BBD volume requirement cause severe economic harm in 2018. standards to be more economically would be warranted under CAA section Given that the 2018 volumes generated challenging than it is in 2017. Given 211(o)(7)(E)(ii), we considered current through the maximum reduction that the 2018 standards are very similar and historical prices of unblended permitted under the cellulosic waiver to the 2017 standards, then, we do not biodiesel (B100), the price of blended authority are nearly the same as the believe that further reductions in the biodiesel (in particular, B20), and BBD volume requirements for 2017, we 2018 volume requirements on the basis (D4) RIN prices. The results of this considered: of severe economic harm are warranted. investigation are described in a 1. Whether severe economic harm has memorandum to the docket.142 EPA occurred to date or is likely to occur in C. Severe Environmental Harm discussed in the October 4 document 2017, and EPA received comments in response the fact that the Department of 2. whether the economic conditions to the proposal asserting that there are Commerce had imposed preliminary in 2018 might be expected to be negative environmental impacts that tariffs on biodiesel imported from substantially different than those in may be associated with the RFS Argentina and Indonesia, and that such 2017. program. A significant portion of these tariffs could impact the price of BBD. To determine whether severe concerns center on feedstock However, these tariffs have not yet been economic harm has occurred to date or production. Although we are authorized finalized, nor has EPA observed any is likely to occur in in 2017, we to reduce the statutory volume targets significant impact of the announcement investigated several possible indicators. on the basis of a finding that the of the preliminary tariffs on the price of These included RIN generation for 2017 requirements would ‘‘severely harm the biomass-based diesel.143 relative to 2016, refinery closures, retail . . . environment of a State, region, or Based on the information before us, fuel prices, and corn and soybean the United States,’’ commenters have including the results of our prices. Based on our investigation, we not presented evidence sufficient to investigation and information and do not believe that severe economic support a determination to make a comments submitted in response to the harm has occurred thus far in 2017 to reduction on this basis for 2018. EPA is October 4 document, we have any State, region, or the U.S. as a result not making reductions on this basis for concluded that there is not sufficient of the 2017 standards, or is likely occur 2018. EPA’s response to comments evidence of a significant increase to the by the end of 2017. Details of this related to perceived environmental price of BBD due to feedstock investigation can be found in a 140 harms of the RFS program is set forth in disruption or other relevant market memorandum to the docket. circumstances to justify reductions to To determine whether the economic the RTC document accompanying this the 2018 BBD volume requirement using conditions in 2018 might be expected to rule. the biomass-based diesel waiver be substantially different than those in D. Biomass-Based Diesel Waiver authority. 2017 in ways that could affect the Authority economic impact of compliance with The BBD waiver authority in CAA VI. Final Biomass-Based Diesel Volume the RFS program, we investigated section 211(o)(7)(E)(ii) provides that if for 2019 projections of two primary drivers of the EPA determines that there is a In this section we discuss the BBD cost of compliance: Crop-based significant renewable feedstock applicable volume for 2019. We are disruption or other market circumstance establishing this volume in advance of would need to consider whether a waiver that would affect the standards applicable to all that would make the price of BBD those for other renewable fuel categories obligated parties, and would take into account any increase significantly, then EPA shall, in in light of the statutory requirement in negative economic impacts to farmers and biofuel consultation with the Secretary of CAA section 211(o)(2)(B)(ii) to establish producers from a waiver, would be of significant the applicable volume of BBD for years benefit to individual obligated parties facing Energy and the Secretary of Agriculture, financial difficulties. issue an order to reduce, for up to a 60- after 2012 no later than 14 months 139 In the October 4 document, we solicited day period, the annual volume before the applicable volume will apply. comment on EPA’s prior interpretation of the term requirement for BBD by an appropriate We are not at this time establishing the ‘‘severe economic harm.’’ As discussed in the RTC quantity that does not exceed 15 BBD percentage standards that would document accompanying this action, we believe that the evidence in the record would be percent. If EPA reduces the annual apply to obligated parties in 2019 but insufficient to support a finding of severe economic volume requirement for BBD using this harm under any reasonable interpretation of the waiver authority, we may also reduce 142 ‘‘Assessment of waivers for severe economic phrase advanced by commenters, so do not find it the applicable volume of advanced harm or BBD prices for 2018,’’ memorandum from necessary to assess changes to our interpretation of David Korotney to docket EPA–HQ–OAR–2017– the phrase at this time. biofuel and total renewable fuel by an 0091. 140 ‘‘Assessment of waivers for severe economic 143 ‘‘Assessment of waivers for severe economic harm or BBD prices for 2018,’’ memorandum from 141 ‘‘Market impacts of biofuels,’’ memorandum harm or BBD prices for 2018,’’ memorandum from David Korotney to docket EPA–HQ–OAR–2017– from David Korotney to docket EPA–HQ–OAR– David Korotney to docket EPA–HQ–OAR–2017– 0091. 2017–0091. 0091.
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intend to do so in late 2018, after 3. The expected annual rate of future billion gallon minimum, on the level at receiving EIA’s estimate of gasoline and commercial production of renewable which BBD volumes should be set. diesel consumption for 2019. Although fuels, including advanced biofuels in In establishing the BBD and cellulosic the BBD applicable volume sets a floor each category (cellulosic biofuel and standards as nested within the advanced for required BBD use, because the BBD BBD); biofuel standard, Congress clearly volume requirement is nested within 4. The impact of renewable fuels on intended to support development of the infrastructure of the United States, both the advanced biofuel and the total BBD and especially cellulosic biofuels, including deliverability of materials, renewable fuel volume requirements, while also providing an incentive for goods, and products other than any BBD produced beyond the the growth of other non-specified types renewable fuel, and the sufficiency of mandated 2019 BBD volume can be of advanced biofuels. That is, the infrastructure to deliver and use used to satisfy both of these other advanced biofuel standard provides an renewable fuel; applicable volume requirements. opportunity for other advanced biofuels 5. The impact of the use of renewable (advanced biofuels that do not qualify as A. Statutory Requirements fuels on the cost to consumers of cellulosic biofuel or BBD) to compete The statute establishes applicable transportation fuel and on the cost to with cellulosic biofuel and BBD to volume targets for years through 2022 transport goods; and satisfy the advanced biofuel standard for cellulosic biofuel, advanced biofuel, 6. The impact of the use of renewable after the cellulosic biofuel and BBD and total renewable fuel. For BBD, fuels on other factors, including job standards have been met. applicable volume targets are specified creation, the price and supply of in the statute only through 2012. For agricultural commodities, rural B. Determination of the 2019 Applicable years after those for which volumes are economic development, and food prices. Volume of Biomass-Based Diesel specified in the statute, EPA is required The statute also specifies that the under CAA section 211(o)(2)(B)(ii) to volume requirement for BBD cannot be One of the primary considerations in determine the applicable volume of less than the applicable volume determining the BBD volume for 2019 is BBD, in coordination with the Secretary specified in the statute for calendar year a review of the implementation of the of Energy and the Secretary of 2012, which is 1.0 billion gallons. The program to date, as it affects BBD. This Agriculture, based on a review of the statute does not, however, establish any review is required by the CAA, and also implementation of the program during other numeric criteria, or provide any provides insight into the capabilities of calendar years for which the statute guidance on how the EPA should weigh the industry to produce, import, export, specifies the volumes and an analysis of the importance of the often competing and distribute BBD. It also helps us to the following factors: factors, and the overarching goals of the understand what factors, beyond the 1. The impact of the production and statute when the EPA sets the applicable BBD standard, may incentivize the use of renewable fuels on the volumes of BBD in years after those for production and import of BBD. The environment, including on air quality, which the statute specifies such number of BBD RINs generated, along climate change, conversion of wetlands, volumes. In the period 2013–2022, the with the number of RINs retired due to ecosystems, wildlife habitat, water statute specifies increasing applicable export or for reasons other than quality, and water supply; volumes of cellulosic biofuel, advanced compliance with the annual BBD 2. The impact of renewable fuels on biofuel, and total renewable fuel, but standards from 2011–2018 are shown in the energy security of the United States; provides no guidance, beyond the 1.0 Table VI.B.1–1 below.
TABLE VI.B.1–1—BIOMASS-BASED (D4) RIN GENERATION AND STANDARDS IN 2011–2018 [million RINs or gallons] 144
BBD RINs BBD RINs Exported BBD retired, Available BBD BBD standard BBD standard non-compli- a generated (RINs) ance RINs (gallons) (RINs) reasons
2011 ...... 1,692 72 98 1,522 800 1,200 2012 ...... 1,737 102 90 1,545 1,000 1,500 2013 ...... 2,739 124 101 2,514 1,280 1,920 2014 ...... 2,710 134 92 2,484 1,630 b 2,490 2015 ...... 2,796 145 32 2,619 1,730 b 2,655 2016 ...... 4,008 203 96 3,709 1,900 2,850 2017 ...... N/A N/A N/A N/A 2,000 3,000 2018 ...... N/A N/A N/A N/A 2,100 3,150 a Available BBD RINs may not be exactly equal to BBD RINs Generated minus Exported RINs and BBD RINs Retired, Non-Compliance Rea- sons, due to rounding. b Each gallon of biodiesel qualifies for 1.5 RINs due to its higher energy content per gallon than ethanol. Renewable diesel qualifies for be- tween 1.5 and 1.7 RINs per gallon, but generally has an equivalence value of 1.7. In 2014 and 2015 the number of RINs in the BBD Standard column is not exactly equal to 1.5 times the BBD volume standard as these standards were established based on actual RIN generation data for 2014 and a combination of actual data and a projection of RIN generation for the last three months of the year for 2015. Some of the volume used to meet the BBD standard was renewable diesel.
144 Available BBD RINs Generated, Exported BBD RINs, and BBD RINs Retired for Non-Compliance Reasons information from EMTS.
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In reviewing historical BBD RIN The prices paid for advanced biofuel capable of incentivizing increased BBD generation and use, we see that the and BBD RINs beginning in early 2013 volumes beyond the BBD standard, and number of RINs available for through the end of 2016 also support the operated in this manner starting in compliance purposes exceeded the conclusion that advanced biofuel and/or 2013.148 While final standards were not volume required to meet the BBD total renewable fuel standards provide a in place throughout 2014 and most of standard in 2011, 2012, 2013, and 2016. sufficient incentive for additional 2015, EPA had issued proposed rules for Additional production and use of biodiesel volume beyond what is both of these years. In each year, the biodiesel was likely driven by a number required by the BBD standard. Because market response was to supply volumes of factors, including demand to satisfy the BBD standard is nested within the of BBD that exceeded the proposed BBD the advanced biofuel and total advanced biofuel and total renewable standard in order to help satisfy the fuel standards, and therefore can help to renewable fuels standards, the biodiesel proposed advanced and total biofuel 145 satisfy three RVOs, we would expect the tax credit, and favorable blending standards.149 Additionally, the RIN economics. The number of RINs price of BBD RINs to exceed that of prices in these years strongly suggests available in 2014 and 2015 was advanced and conventional renewable that obligated parties and other market approximately equal to the number RINs.146 If, however, BBD RINs are required for compliance in those years, being used by obligated parties to satisfy participants anticipated the need for as the standards for these years were their advanced biofuel obligations, BBD RINs to meet their advanced and finalized at the end of November 2015 above and beyond the BBD standard, we total biofuel obligations, and responded and EPA’s intent at that time was to set would expect the prices of advanced by purchasing advanced biofuel and the standards for 2014 and 2015 to biofuel and BBD RINs to converge.147 BBD RINs at approximately equal reflect actual BBD use. In 2016, with Further, if BBD RINs are being used (or prices. We do note, however, that in RFS standards established prior to the are expected to be used) to satisfy 2012 the BBD RIN price was beginning of the year and the blenders obligated parties’ total renewable fuel significantly higher than both the tax credit in place, available BBD RINs obligation, above and beyond their BBD advanced biofuel and conventional exceeded the volume required by the and advanced biofuel requirements we renewable fuel RIN prices. In 2012 the BBD standard by 859 million RINs (30 would expect the price for all three RIN E10 blendwall had not yet been reached, percent). This indicates that in types to converge. and it was likely more cost effective for appropriate circumstances there is When examining RIN price data from most obligated parties to satisfy the demand for BBD beyond the required 2012 through September 2017, shown in portion of the advanced biofuel volume of BBD. Figure VI.B.2–1 below, we see that requirement that exceeded the BBD and beginning in early 2013 and through cellulosic biofuel requirements with 145 The biodiesel tax credit was reauthorized in September 2017 the advanced RIN price advanced ethanol. January 2013. It applied retroactively for 2012 and and BBD RIN prices were approximately for the remainder of 2013. It was once again equal. Similarly, from early 2013 extended in December 2014 and applied 148 Although we did not issue a rule establishing retroactively to all of 2014 as well as to the through late 2016 the conventional the final 2013 standards until August of 2013, we remaining weeks of 2014. In December 2015 the renewable fuel and BBD RIN prices believe that the market anticipated the final biodiesel tax credit was authorized and applied were approximately equal. This suggests standards, based on EPA’s July 2011 proposal and retroactively for all of 2015 as well as through the that the advanced biofuel standard and/ the volume targets for advanced and total renewable end of 2016. fuel established in the statute. (76 FR 38844, 38843, 146 This is because when an obligated party retires or total renewable fuel standard are July 1, 2011). a BBD RIN to help satisfy their BBD obligation, the 149 EPA proposed a BBD standard of 1.28 billion nested nature of the BBD standard means that this 147 We would still expect D4 RINs to be valued gallons (1.92 billion RINs) for 2014 in our RIN also counts towards satisfying their advanced at a slight premium to D5 and D6 RINs in this case November 2013 proposed rule. The number of BBD and total renewable fuel obligations. Advanced (and D5 RINs at a slight premium to D6 RINs) to RINs available in 2014 was 2.67 billion. EPA RINs count towards both the advanced and total reflect the greater flexibility of the D4 RINs to be proposed a BBD standard of 1.70 billion gallons renewable fuel obligations, while conventional used towards the BBD, advanced biofuel, and total (2.55 billion RINs) for 2015 in our June 2015 RINs (D6) count towards only the total renewable renewable fuel standard. This pricing has been proposed rule. The number of BBD RINs available fuel obligation. observed over the past several years. in 2015 was 2.92 billion.
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In raising the 2013 BBD volume above beyond the BBD standard would have and beyond the BBD volume the 1 billion gallon minimum mandated been needed to meet the advanced requirement. by Congress, the EPA sought to ‘‘create biofuel volume requirement. Finally, we note that the BBD greater certainty for both producers of The only advanced biofuel other than industry in the U.S and abroad has BBD and obligated parties’’ while also BBD available in appreciable quantities matured since EPA first increased the acknowledging that, ‘‘the potential for in 2012 and 2013 was advanced ethanol, required volume of BBD beyond the somewhat increased costs is appropriate the vast majority of which was imported statutory minimum in 2013. To assess in light of the additional certainty of sugarcane ethanol. EPA had significant the maturity of the biodiesel industry, GHG reductions and enhanced energy concerns as to whether or not the EPA compared information on BBD RIN security provided by the advanced supply of advanced ethanol could generation by company from 2012 and biofuel volume requirement of 2.75 increase this significantly (750 million 2016 (the most recent year for which billion gallons.’’ 150 Unknown at that gallons) in a single year. These concerns complete RIN generation is available). In time was the degree to which the were heightened by the approaching 2012, the annual average RIN generation required volumes of advanced biofuel E10 blendwall, which increased the per company producing BBD was about and total renewable fuel could challenges associated with supplying 11 million RINs (about 7.3 million incentivize volumes of BBD that increasing volumes of ethanol to the gallons) with approximately 50 percent exceeded the BBD standard. In 2012 the U.S. If neither BBD volumes nor of companies producing less the 1 available supply of BBD RINs exceeded advanced ethanol volumes increased million gallons of BBD a year. The the required volume of BBD by a very sufficiently, EPA was concerned that agency heard from multiple commenters small margin (1,545 million BBD RINs some obligated parties might be unable during the 2012 and 2013 rulemakings were made available for compliance to acquire the advanced biofuel RINs that higher volume requirements for towards meeting the BBD requirement necessary to demonstrate compliance BBD would provide greater certainty for of 1,500 million BBD RINs). The with their RVOs in 2013. Therefore, as the emerging BBD industry and remainder of the 2.0 billion-gallon discussed above, EPA increased the encourage further investment. Since that advanced biofuel requirement was volume requirement for BBD in 2013 to time, the BBD industry has matured in satisfied with advanced ethanol, which help create greater certainty for BBD a number of critical areas, including was largely imported from Brazil.151 producers (by ensuring demand for their growth in the size of companies, the From 2012 to 2013 the statutory product above the 1.0 billion gallon consolidation of the industry, and more advanced biofuel requirement increased statutory minimum) and obligated stable funding and access to capital. In by 750 million gallons. If EPA had not parties (by ensuring that sufficient RINs 2012, the BBD industry was increased the required volume of BBD would be available to satisfy their characterized by smaller companies for 2013, and the advanced biofuel advanced biofuel RVOs). Since 2013, with dispersed market share. By 2016, standard had proved insufficient to however, EPA has gained significant the average BBD RIN generation per increase the supply of BBD beyond the experience implementing the RFS company had climbed to almost 33 statutory minimum of 1.0 billion program. As discussed above, RIN million RINs (22 million gallons) gallons, an additional 750 million generation data has consistently annually, a 3-fold increase. Only 27 gallons of non-BBD advanced biofuels demonstrated that the advanced biofuel percent of the companies produced less volume requirement, and to a lesser than 1 million gallons of BBD. 150 77 FR 59458, 59462 (September 27, 2012). degree the total renewable fuel volume We are conscious of public comments 151 594 million advanced ethanol RINs were requirement, are capable of claiming that BBD volume requirements generated in in 2012. incentivizing the supply of BBD above that are a significant portion of the
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advanced volume requirements C. Consideration of Statutory Factors believe that the same overall volume of effectively dis-incentivize the future Set Forth in CAA Section BBD would likely be supplied in 2019 development of other promising 211(o)(2)(B)(ii)(I)–(VI) for 2019 even if we were to mandate a somewhat advanced biofuel pathways. A variety of As noted earlier in Section IV.B., the lower or higher BBD volume for 2019 in different types of advanced biofuels, BBD volume requirement is nested this final rule. Thus, we do not expect rather than a single type such as BBD, within the advanced biofuel our 2019 BBD volume requirement to would positively impact energy security requirement and the advanced biofuel result in a difference in the factors we (e.g., by increasing the diversity of requirement is, in turn, nested within consider pursuant to CAA section feedstock sources used to make biofuels, the total renewable fuel volume 211(o)(2)(B)(ii)(I)–(VI). thereby reducing the impacts associated requirement. This means that any BBD As an additional supplementary with a shortfall in a particular type of produced beyond the mandated BBD assessment, we have considered the feedstock) and increase the likelihood of volume can be used to satisfy both these potential impacts of selecting an the development of lower cost advanced other applicable volume requirements. applicable volume of BBD other than 2.1 biofuels that meet the same GHG The result is that in considering the billion gallons in 2019. Setting a reduction threshold as BBD.152 statutory factors we must consider the requirement higher or lower than 2.1 With the considerations discussed potential impacts of increasing or billion gallons in 2019 would only be above and in Section IV.B.2 in mind, as decreasing BBD in comparison to other expected to impact BBD volumes on the well as our analysis of the factors advanced biofuels.154 For a given margin, protecting to a greater or lesser specified in the statute, we are setting advanced biofuel standard, greater or degree BBD from competition with other the applicable volume of BBD at 2.1 lesser BBD volume requirements do not potential advanced biofuels. In this billion gallons for 2019. We believe this change the amount of advanced biofuel supplementary assessment we have considered all of the statutory factors volume sets the appropriate floor for used to displace petroleum fuels; rather, found in CAA section 211(2)(B)(ii), and BBD, and that the volume of advanced increasing the BBD requirement may as described in the 2019 BBD docket biodiesel and renewable diesel actually result in the displacement of other types memorandum, our assessment does not used in 2019 will be driven by the level of advanced biofuels that could have appear, based on available information, of the advanced biofuel and total been used to meet the advanced biofuels to provide a reasonable basis for setting renewable fuel standards that the volume requirement. While in recent a higher or lower volume requirement Agency will establish for 2019. We have years EPA has annually increased the for BBD than 2.1 billion gallons for considered the required statutory factors BBD volume requirement, EPA is, as we 2019. in reaching our decision, as summarized proposed, maintaining the 2.1 billion Overall and as described in the 2019 in Section C, below, and in a gallon standard for 2019 based on our BBD docket memorandum, we have memorandum to the docket (the ‘‘2019 review of the statutory factors and the determined that both the primary BBD docket memorandum’’).153 considerations noted above and in the 2018 BBD Docket Memorandum. In assessment and the supplemental We believe our final 2019 BBD particular, as EPA noted above in assessment of the statutory factors volume requirement strikes the section VI.B., the BBD industry is more specified in CAA section appropriate balance between providing mature, and we have increased BBD 211(o)(2)(B)(ii)(I)–(VI) for the year 2019 a market environment where the volumes significantly in recent years so does not provide significant support for development of other advanced biofuels that the BBD standard is now over twice setting the BBD standard at a level is incentivized, while also maintaining the minimum statutory volume required higher or lower than 2.1 billion gallons support for the BBD industry. Based on in CAA section 211(o)(2)(B)(i). In these in 2019. our review of the data, and the nested circumstances we do not believe that an VII. Percentage Standards for 2018 nature of the BBD standard within the additional increase in the required BBD advanced standard, we conclude that required volume is necessary to support The renewable fuel standards are the advance standard continues to drive the industry in 2019. expressed as volume percentages and the ultimate volume of BBD supplied. Consistent with our approach in are used by each obligated party to Given the success of the industry in the setting the final BBD volume determine their Renewable Volume past few years, as well as the substantial requirement for 2018, EPA’s primary Obligations (RVOs). Since there are four increases in the BBD volume being assessment of the statutory factors for separate standards under the RFS driven by the advanced standard, we the 2019 BBD applicable volume is that program, there are likewise four have determined that a volume because the BBD requirement is nested separate RVOs applicable to each requirement greater than 2.1 billion within the advanced biofuel volume obligated party. Each standard applies gallons for BBD in 2019 is not necessary requirement, we expect that the 2019 to the sum of all non-renewable gasoline to provide support for the BBD industry. advanced volume requirement, when set and diesel produced or imported. The Setting the BBD standard in this manner next year, will determine the level of percentage standards are set so that if continues to allow a considerable BBD production and imports that occur every obligated party meets the portion of the advanced biofuel volume in 2019.155 Therefore, EPA continues to percentages by acquiring and retiring an to be satisfied by either additional appropriate number of RINs, then the gallons of BBD or by other unspecified 154 While excess BBD production could also amount of renewable fuel, cellulosic and potentially less costly types of displace conventional renewable fuel under the biofuel, BBD, and advanced biofuel qualifying advanced biofuels. total renewable standard, as long as the BBD used will meet the applicable volume applicable volume is significantly lower than the advanced biofuel applicable volume our action in requirements on a nationwide basis. 152 All types of advanced biofuel, including BBD, setting the BBD applicable volume is not expected must achieve lifecycle GHG reductions of at least to displace conventional renewable fuel under the volume requirement will be considerably higher 50 percent. total renewable standard, but rather other advanced than the 2019 BBD requirement, consistent with 153 ‘‘Memorandum to docket: Draft Statutory biofuels. past practice and, therefore, that the BBD volume Factors Assessment for the 2019 Biomass-Based 155 Even though we are not setting the 2019 requirement for 2019 would not be expected to Diesel (BBD) Applicable Volumes.’’ See Docket advanced biofuel volume requirement as part of this impact the volume of BBD that is actually produced EPA–HQ–OAR–2017–0091. rulemaking, we expect that the 2019 advanced and imported during the 2019-time period.
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Sections III through V provide our standards, and volumes of such fuels are expect the BBD standard to be binding. rationale and basis for the volume not used in calculating the annual That is, we expect that actual supply of requirements for 2018.156 The volumes percentage standards. Since under the BBD, as well as supply of conventional used to determine the percentage regulations the standards apply only to biodiesel and renewable diesel, will be standards are shown in Table VII–1. producers and importers of gasoline and driven by the advanced biofuel and total diesel, these are the transportation fuels renewable fuel standards. TABLE VII–1—VOLUMES FOR USE IN used to set the percentage standards, as B. Small Refineries and Small Refiners SETTING THE 2018 APPLICABLE well as to determine the annual volume PERCENTAGE STANDARDS obligations of an individual gasoline or In CAA section 211(o)(9), enacted as [Billion gallons] diesel producer or importer. part of the Energy Policy Act of 2005, As specified in the RFS2 final rule,157 and amended by the Energy Cellulosic biofuel ...... 0.288 the percentage standards are based on Independence and Security Act of 2007, Biomass-based diesel a ...... 2.10 energy-equivalent gallons of renewable Congress provided a temporary Advanced biofuel ...... 4.29 fuel, with the cellulosic biofuel, exemption to small refineries 159 Renewable fuel ...... 19.29 advanced biofuel, and total renewable through December 31, 2010. Congress a Represents physical volume. fuel standards based on ethanol provided that small refineries could equivalence and the BBD standard receive a temporary extension of the For the purposes of converting these based on biodiesel equivalence. exemption beyond 2010 based either on volumes into percentage standards, we However, all RIN generation is based on the results of a required DOE study, or generally use two decimal places to be ethanol-equivalence. For example, the based on an EPA determination of consistent with the volume targets as RFS regulations provide that production ‘‘disproportionate economic hardship’’ given in the statute, and similarly two or import of a gallon of qualifying on a case-by-case basis in response to decimal places in the percentage biodiesel will lead to the generation of small refinery petitions. In reviewing standards. However, for cellulosic 1.5 RINs. The formula specified in the petitions, EPA, in consultation with the biofuel we use three decimal places in regulations for calculation of the BBD Department of Energy, evaluates both the volume requirement and percentage standard is based on whether the small refinery has percentage standards to more precisely biodiesel-equivalence, and thus assumes demonstrated either disproportionate capture the smaller volume projections impacts or viability impairment, and and the unique methodology that in that all BBD used to satisfy the BBD standard is biodiesel and requires that may grant refineries exemptions upon some cases results in estimates of only demonstration of either criterion. a few million gallons for a single the applicable volume requirement be producer. multiplied by 1.5. However, BBD often EPA has granted exemptions pursuant contains some renewable diesel, and a to this process in the past. However, at A. Calculation of Percentage Standards gallon of renewable diesel typically this time no exemptions have been To calculate the percentage standards, generates 1.7 RINs.158 In addition, there approved for 2018, and therefore we we are following the same methodology is often some renewable diesel in the have calculated the percentage for 2018 as we have in all prior years. conventional renewable fuel pool. As a standards for 2018 without any The formulas used to calculate the result, the actual number of RINs adjustment for exempted volumes. EPA percentage standards applicable to generated by biodiesel and renewable is maintaining its approach that any producers and importers of gasoline and diesel is used in the context of our exemptions for 2018 that are granted diesel are provided in 40 CFR 80.1405. assessing reasonably attainable volumes after the final rule is released will not The formulas rely on estimates of the for purposes of deriving the applicable be reflected in the percentage standards volumes of gasoline and diesel fuel, for volume requirements and associated that apply to all gasoline and diesel both highway and nonroad uses, which percentage standards for advanced produced or imported in 2018.160 biofuel and total renewable fuel, and are projected to be used in the year in C. Final Standards which the standards will apply. The likewise in obligated parties’ projected gasoline and diesel volumes determination of compliance with any The formulas in 40 CFR 80.1405 for are provided by EIA, and include of the applicable standards. While there the calculation of the percentage projections of ethanol and biodiesel is a difference in the treatment of standards require the specification of a used in transportation fuel. Since the biodiesel and renewable diesel in the total of 14 variables covering factors percentage standards apply only to the context of determining the percentage such as the renewable fuel volume non-renewable gasoline and diesel standard for BBD versus determining requirements, projected gasoline and produced or imported, the volumes of the percentage standard for advanced diesel demand for all states and ethanol and biodiesel are subtracted out biofuel and total renewable fuel, it is not territories where the RFS program of the EIA projections of gasoline and a significant one given our approach to applies, renewable fuels projected by diesel. determining the BBD volume EIA to be included in the gasoline and Transportation fuels other than requirement. Our intent in setting the diesel demand, and exemptions for gasoline or diesel, such as natural gas, BBD applicable volume is to provide a small refineries. The values of all the propane, and electricity from fossil level of guaranteed volume for BBD, but variables used for this final rule are fuels, are not currently subject to the as described in Section VI.B, we do not shown in Table VII.C–1.161
156 The 2018 volume requirement for BBD was 159 A small refiner that meets the requirements of 161 To determine the 49-state values for gasoline established in the 2017 final rule. 40 CFR 80.1442 may also be eligible for an and diesel, the amounts of these fuels used in 157 See 75 FR 14670 (March 26, 2010). exemption. Alaska is subtracted from the totals provided by DOE because petroleum based fuels used in Alaska 158 Although in some cases a gallon of renewable 160 Further discussion of this issue can be found do not incur RFS obligations. The Alaska fractions in the Response to Comments document in the diesel generates either 1.5 or 1.6 RINs. are determined from the June 29, 2016 EIA State docket for this action. Energy Data System (SEDS), Energy Consumption Estimates.
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TABLE VII.C–1—VALUES FOR TERMS IN CALCULATION OF THE 2018 STANDARDS 162 [Billion gallons]
Term Description Value
RFVCB ...... Required volume of cellulosic biofuel ...... 0.288 RFVBBD ...... Required volume of biomass-based diesel ...... 2.10 RFVAB ...... Required volume of advanced biofuel ...... 4.29 RFVRF ...... Required volume of renewable fuel ...... 19.29 G ...... Projected volume of gasoline ...... 143.22 D ...... Projected volume of diesel ...... 54.76 RG ...... Projected volume of renewables in gasoline ...... 14.71 RD ...... Projected volume of renewables in diesel ...... 2.53 GS ...... Projected volume of gasoline for opt-in areas ...... 0 RGS ...... Projected volume of renewables in gasoline for opt-in areas ...... 0 DS ...... Projected volume of diesel for opt-in areas ...... 0 RDS ...... Projected volume of renewables in diesel for opt-in areas ...... 0 GE ...... Projected volume of gasoline for exempt small refineries ...... 0.00 DE ...... Projected volume of diesel for exempt small refineries ...... 0.00
Projected volumes of gasoline and individual recordkeeping and reporting opportunity to protect, restore, and diesel, and the renewable fuels related to documenting that their enhance wetlands on their property. contained within them, were provided feedstocks come from qualifying lands, The GRP was a voluntary conservation by EIA on October 11, 2017, as required unless EPA determines through one of program that emphasized support for in the statute at CAA section its annual evaluations that the 2007 working grazing operations, 211(o)(3)(A). baseline acreage of 402 million acres enhancement of plant and animal Using the volumes shown in Table agricultural land has been exceeded. biodiversity, and protection of grassland VII.C–1, we have calculated the In the 2010 RFS2 rulemaking, EPA under threat of conversion to other uses. percentage standards for 2018 as shown committed to make an annual finding USDA and EPA concur that the in Table VII.C–2. concerning whether the 2007 baseline ACEP–WRE and ACEP–ALE represent a amount of U.S. agricultural land has continuation in basic objectives and TABLE VII.C–2—FINAL PERCENTAGE been exceeded in a given year. If the goals of the original WRP and GRP. STANDARDS FOR 2018 baseline is found to have been Therefore, in preparing this year’s exceeded, then producers using U.S. assessment of the total U.S. acres of Cellulosic biofuel ...... 0.159 planted crops and crop residue as agricultural land, the acreage enrolled in Biomass-based diesel ...... 1.74 feedstocks for renewable fuel the ACEP–WRE and ACEP–ALE was Advanced biofuel ...... 2.37 production would be required to excluded. Renewable fuel ...... 10.67 comply with individual recordkeeping Based on data provided by the USDA and reporting requirements to verify Farm Service Agency (FSA) and Natural VIII. Administrative Actions that their feedstocks are renewable Resources Conservation Service (NRCS), we have estimated that U.S. agricultural A. Assessment of the Domestic biomass. land reached approximately 376 million Aggregate Compliance Approach The Aggregate Compliance acres in 2017, and thus did not exceed methodology provided for the exclusion The RFS regulations specify an the 2007 baseline acreage. This acreage of acreage enrolled in the Grassland ‘‘aggregate compliance’’ approach for estimate is based on the same Reserve Program (GRP) and the demonstrating that planted crops and methodology used to set the 2007 Wetlands Reserve Program (WRP) from crop residue from the U.S. complies baseline acreage for U.S. agricultural the estimated total U.S. agricultural with the ‘‘renewable biomass’’ land in the RFS2 final rulemaking, with land. However, the 2014 Farm Bill requirements that address lands from the GRP and WRP substitution as noted terminated the GRP and WRP as of 2013 which qualifying feedstocks may be above. Specifically, we started with FSA and USDA established the Agriculture harvested.163 In the 2010 RFS2 crop history data for 2017, from which Conservation Easement Program (ACEP) rulemaking, EPA established a baseline we derived a total estimated acreage of with wetlands and land easement number of acres for U.S. agricultural 379,220,752 acres. We then subtracted components. The ACEP is a voluntary land in 2007 (the year of EISA the ACEP–ALE and ACEP–WRE program that provides financial and enactment) and determined that as long enrolled areas by the end of Fiscal Year technical assistance to help conserve as this baseline number of acres was not 2017, 2,777,887 acres, to yield an agricultural lands and wetlands and exceeded, it was unlikely that new land estimate of 376,442,865 acres or their related benefits. Under the outside of the 2007 baseline would be approximately 376 million acres of U.S. Agricultural Land Easements (ACEP– devoted to crop production based on agricultural land in 2017. The USDA ALE) component, USDA helps Indian historical trends and economic data used to make this derivation can be tribes, state and local governments, and considerations. The regulations specify, found in the docket to this rule.164 therefore, that renewable fuel producers non-governmental organizations protect using planted crops or crop residue working agricultural lands and limit 164 As in 2016, USDA again provided EPA with from the U.S. as feedstock in renewable non-agricultural uses of the land. Under 2017 data from the discontinued GRP and WRP fuel production need not undertake the Wetlands Reserve Easements programs. Given this data, EPA estimated the total (ACEP–WRE) component, USDA helps U.S. agricultural land both including and omitting the GRP and WRP acreage. In 2017, combined land 162 See ‘‘Calculation of final % standards for to restore, protect and enhance enrolled under GRP and WRP totaled 349,146 acres. 2018’’ in docket EPA–HQ–OAR–2017–0091. wetlands. The WRP was a voluntary Subtracting the GRP, WRP, ACEP–WRE, and ACEP– 163 40 CFR 80.1454(g). program that offered landowners the ALE acreage yields an estimate of 376,093,719 acres
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B. Assessment of the Canadian has not seen evidence of manipulation responses are discussed throughout this Aggregate Compliance Approach in the RIN market, the EPA is not a preamble and in the accompanying The RFS regulations specify a petition commodity market regulatory agency, Response to Comment document, which process through which EPA may and thus we do not have expertise in is available in the docket for this action. this field. Claims of market approve the use of an aggregate X. Statutory and Executive Order compliance approach for planted crops manipulation prompted the EPA to Reviews and crop residue from foreign execute a memorandum of countries.165 On September 29, 2011, understanding (MOU) with the U.S. A. Executive Order 12866: Regulatory EPA approved such a petition from the Commodity Futures Trading Planning and Review and Executive Government of Canada. Commission (CFTC), which has the Order 13563: Improving Regulation and The total agricultural land in Canada authority and expertise to investigate Regulatory Review in 2017 is estimated at 117.8 million such claims. This action is an economically acres. This total agricultural land area In the meantime, the EPA has significant regulatory action that was includes 95.5 million acres of cropland continued to explore additional ways to submitted to the Office of Management and summer fallow, 12.5 million acres increase program transparency in order and Budget (OMB) for review. Any of pastureland and 9.8 million acres of to support the program and share data changes made in response to OMB agricultural land under conservation with all stakeholders. The EPA already recommendations have been practices. This acreage estimate is based publishes RFS program data on our Web documented in the docket. The EPA on the same methodology used to set the site, including data related to RIN prepared an analysis of illustrative costs 2007 baseline acreage for Canadian generation, sales and holdings, and associated with this action. This agricultural land in EPA’s response to annual compliance.166 We are interested analysis is presented in Section IV.E of Canada’s petition. The data used to in providing more information, to the this preamble. extent consistent with our obligations to make this calculation can be found in B. Executive Order 13771: Reducing the docket to this rule. protect confidential business information (CBI). The EPA sought Regulations and Controlling Regulatory C. RIN Market Operation comment on specific data elements and Costs Some stakeholders have expressed posting frequency that stakeholders This action is considered an concerns that the current regulatory believe would be useful to help with Executive Order 13771 regulatory provisions related to RIN trading render market transparency and liquidity. We action. Details on the estimated costs of the RFS program vulnerable to market received comments from stakeholders this final rule can be found in EPA’s manipulation. The EPA takes such suggesting a number of different types of analysis of the illustrative costs issues seriously. The RIN system was data that commenters suggested would associated with this action. This originally designed with an open be useful to the industry and public. analysis is presented in Section IV.E of trading market in order to maximize its The EPA will need to further evaluate this preamble. liquidity and ensure a robust each of these suggestions to determine C. Paperwork Reduction Act (PRA) marketplace for RINs. However, the EPA which information we can be post and, is interested in assessing whether and if so, whether we can post it at the This action does not impose any new how the current trading structure frequency that was suggested by the information collection burden under the provides an opportunity for market commenters. Our decisions with respect PRA. OMB has previously approved the manipulation. To that effect, the EPA to these suggestions must necessarily information collection activities sought comment and input on this strike a balance between achieving the contained in the existing regulations and has assigned OMB control numbers issue, including on potential changes to greatest transparency possible, while 2060–0637 and 2060–0640. The final the RIN trading system that might help working within the limitations of our standards will not impose new or address these concerns. We received authority and resources (including different reporting requirements on comments from stakeholders suggesting technology systems), and protecting regulated parties than already exist for a number changes to the RIN trading information that is claimed as CBI. the RFS program. system. While EPA received many IX. Public Participation comments that are helpful to highlight D. Regulatory Flexibility Act (RFA) opportunities for improvement to the Many interested parties participated I certify that this action will not have RIN system, we are not in a position to in the rulemaking process that a significant economic impact on a make significant changes to the RIN culminates with this final rule. This substantial number of small entities system at this time. However, we intend process provided opportunity for under the RFA. In making this to explore these suggested changes and submitting written public comments determination, the impact of concern is are open to suggestions for making following the proposal that we any significant adverse economic changes in the future that are within our published on July 21, 2017 (82 FR impact on small entities. An agency may authority and would help to improve 34206), and we also held a public certify that a rule will not have a the function and liquidity of the RIN hearing on August 1, 2017, at which significant economic impact on a system. many parties provided both verbal and substantial number of small entities if Separate from evaluating the RIN written testimony. All comments the rule relieves regulatory burden, has trading options in the RFS program, the received, both verbal and written, are no net burden, or otherwise has a EPA is working with appropriate market available in Docket ID No. EPA–HQ– positive economic effect on the small regulators to analyze targeted concerns OAR–2017–0091 and we considered entities subject to the rule. of some stakeholders. Although the EPA these comments in developing the final The small entities directly regulated rule. Public comments and EPA by the RFS program are small refiners, or approximately 376 million total acres of U.S. which are defined at 13 CFR 121.201. agricultural land in 2017. Omitting the GRP and 166 For public data on the RFS and other EPA fuel WRP data yields approximately the same 376 programs, refer to: https://www.epa.gov/fuels- We have evaluated the impacts of this million acres of U.S. agricultural land in 2017. registration-reporting-and-compliance-help/public- final rule on small entities from two 165 40 CFR 80.1457. data-and-registration-lists-fuel-programs. perspectives: As if the 2018 standards
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were a standalone action or if they are While the screening analysis the Clean Air Act in the absence of a part of the overall impacts of the RFS described above supports a certification waivers—which are the volumes that we program as a whole. that this rule would not have a assessed in the screening analysis that When evaluating the standards as if significant economic impact on small we prepared for implementation of the they were a standalone action separate refiners, we continue to believe that it full program. Regarding the BBD and apart from the original rulemaking is more appropriate to consider the standard, we are maintaining the which established the RFS2 program, standards as a part of ongoing volume requirement for 2019 at the then the standards could be viewed as implementation of the overall RFS same level as 2018. While this volume increasing the advanced and total program. When considered this way, the is an increase over the statutory renewable fuel volumes required of impacts of the RFS program as a whole minimum value of 1 billion gallons, the obligated parties by 10 million gallons on small entities were addressed in the BBD standard is a nested standard between 2017 and 2018. To evaluate the RFS2 final rule (75 FR 14670, March 26, within the advanced biofuel category, impacts of the volume requirements on 2010), which was the rule that which we are significantly reducing small entities relative to 2017, EPA has implemented the entire program from the statutory volume targets. As conducted a screening analysis 167 to required by the Energy Independence discussed in Section VI, we are setting and Security Act of 2007 (EISA 2007). the 2019 BBD volume requirement at a assess whether it should make a finding As such, the Small Business Regulatory level below what is anticipated will be that this action would not have a Enforcement Fairness Act (SBREFA) produced and used to satisfy the significant economic impact on a panel process that took place prior to reduced advanced biofuel requirement. substantial number of small entities. the 2010 rule was also for the entire RFS The net result of the standards being Currently available information shows program and looked at impacts on small established in this action is a reduction that the impact on small entities from refiners through 2022. in burden as compared to implementation of this rule would not For the SBREFA process for the RFS2 implementation of the statutory volume be significant. EPA has reviewed and final rule, EPA conducted outreach, targets, as was assumed in the RFS2 assessed the available information, fact-finding, and analysis of the final rule analysis. which shows that obligated parties, potential impacts of the program on While the rule will not have a including small entities, are generally small refiners, which are all described significant economic impact on a able to recover the cost of acquiring the in the Final Regulatory Flexibility substantial number of small entities, RINs necessary for compliance with the Analysis, located in the rulemaking there are compliance flexibilities in the RFS standards through higher sales docket (EPA–HQ–OAR–2005–0161). program that can help to reduce impacts prices of the petroleum products they This analysis looked at impacts to all on small entities. These flexibilities sell than would be expected in the refiners, including small refiners, include being able to comply through 168 169 absence of the RFS program. This through the year 2022 and found that RIN trading rather than renewable fuel is true whether they acquire RINs by the program would not have a blending, 20 percent RIN rollover purchasing renewable fuels with significant economic impact on a allowance (up to 20 percent of an attached RINs or purchase separated substantial number of small entities, obligated party’s RVO can be met using RINs. The costs of the RFS program are and that this impact was expected to previous-year RINs), and deficit carry- thus generally being passed on to decrease over time, even as the forward (the ability to carry over a consumers in the highly competitive standards increased. For gasoline and/or deficit from a given year into the marketplace. Even if we were to assume diesel small refiners subject to the following year, providing that the deficit that the cost of acquiring RINs were not standards, the analysis included a cost- is satisfied together with the next year’s recovered by obligated parties, and we to-sales ratio test, a ratio of the RVO). In the RFS2 final rule, we used the maximum values of the estimated annualized compliance costs discussed other potential small entity illustrative costs discussed in Section to the value of sales per company. From flexibilities that had been suggested by IV.E of this preamble and the gasoline this test, it was estimated that all the SBREFA panel or through and diesel fuel volume projections and directly regulated small entities would comments, but we did not adopt them, wholesale prices from the October 2017 have compliance costs that are less than in part because we had serious concerns version of EIA’s Short-Term Energy one percent of their sales over the life regarding our authority to do so. Outlook, and current wholesale fuel of the program (75 FR 14862, March 26, Additionally, as we realize that there prices, a cost-to-sales ratio test shows 2010). may be cases in which a small entity that the costs to small entities of the We have determined that this final may be in a difficult financial situation RFS standards are far less than 1 percent rule will not impose any additional and the level of assistance afforded by of the value of their sales. requirements on small entities beyond the program flexibilities is insufficient. those already analyzed, since the For such circumstances, the program 167 ‘‘Screening Analysis for the Final Renewable impacts of this rule are not greater or provides hardship relief provisions for Fuel Standard Program Renewable Volume fundamentally different than those small entities (small refiners), as well as Obligations for 2018,’’ memorandum from Dallas already considered in the analysis for for small refineries.170 As required by Burkholder, Nick Parsons, and Tia Sutton to EPA Air Docket EPA–HQ–OAR–2017–0091. the RFS2 final rule assuming full the statute, the RFS regulations include 168 For a further discussion of the ability of implementation of the RFS program. a hardship relief provision (at 40 CFR obligated parties to recover the cost of RINs see ‘‘A This rule establishes the 2018 advanced 80.1441(e)(2)) that allows for a small Preliminary Assessment of RIN Market Dynamics, and total renewable fuel volume refinery to petition for an extension of RIN Prices, and Their Effects,’’ Dallas Burkholder, requirements at levels 10 million its small refinery exemption at any time Office of Transportation and Air Quality, US EPA. May 14, 2015, EPA Air Docket EPA–HQ–OAR– gallons higher than the 2017 volume based on a showing that compliance 2015–0111. requirements, and significantly below with the requirements of the RFS 169 Knittel, Christopher R., Ben S. Meiselman, and the statutory volume targets. This program would result in the refinery James H. Stock. ‘‘The Pass-Through of RIN Prices exercise of EPA’s waiver authority experiencing a ‘‘disproportionate to Wholesale and Retail Fuels under the Renewable Fuel Standard.’’ Working Paper 21343. NBER reduces burdens on small entities, as economic hardship.’’ EPA regulations Working Paper Series. Available online at http:// compared to the burdens that would be www.nber.org/papers/w21343.pdf. imposed under the volumes specified in 170 See CAA section 211(o)(9)(B).
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provide similar relief to small refiners Order 13175. This final rule will be or the environment by applicable air that are not eligible for small refinery implemented at the Federal level and quality standards. This action does not relief (see 40 CFR 80.1442(h)). EPA affects transportation fuel refiners, relax the control measures on sources evaluates these petitions on a case-by- blenders, marketers, distributors, regulated by the RFS regulations and case basis and may approve such importers, exporters, and renewable fuel therefore will not cause emissions petitions if it finds that a producers and importers. Tribal increases from these sources. disproportionate economic hardship governments would be affected only to L. Congressional Review Act (CRA) exists. In evaluating such petitions, EPA the extent they produce, purchase, and consults with the U.S. Department of use regulated fuels. Thus, Executive This action is subject to the CRA, and Energy, and takes the findings of DOE’s Order 13175 does not apply to this the EPA will submit a rule report to 2011 Small Refinery Study and other action. each House of the Congress and to the economic factors into consideration. Comptroller General of the United EPA successfully implemented these H. Executive Order 13045: Protection of States. This action is a ‘‘major rule’’ as provisions by evaluating petitions for Children From Environmental Health defined by 5 U.S.C. 804(2). exemption from 14 small refineries for Risks and Safety Risks XI. Statutory Authority the 2016 RFS standards.171 The EPA interprets Executive Order Given that this final rule would not 13045 as applying only to those Statutory authority for this action impose additional requirements on regulatory actions that concern comes from section 211 of the Clean Air small entities, would decrease burden environmental health or safety risks that Act, 42 U.S.C. 7545. Additional support via a reduction in required volumes as the EPA has reason to believe may for the procedural and compliance compared to statutory volume targets, disproportionately affect children, per related aspects of this final rule comes would not change the compliance the definition of ‘‘covered regulatory from sections 114, 208, and 301(a) of the flexibilities currently offered to small action’’ in section 2–202 of the Clean Air Act, 42 U.S.C. 7414, 7542, and entities under the RFS program Executive Order. This action is not 7601(a). (including the small refinery hardship subject to Executive Order 13045 List of Subjects in 40 CFR Part 80 provisions we continue to successfully because it implements specific implement), and available information standards established by Congress in Environmental protection, shows that the impact on small entities statutes (CAA section 211(o)) and does Administrative practice and procedure, from implementation of this rule would not concern an environmental health Air pollution control, Diesel fuel, Fuel not be significant viewed either from the risk or safety risk. additives, Gasoline, Imports, Oil perspective of it being a standalone imports, Petroleum, Renewable fuel. action or a part of the overall RFS I. Executive Order 13211: Actions Concerning Regulations That Dated: November 30, 2017. program, we have therefore concluded E. Scott Pruitt, that this action would have no net Significantly Affect Energy Supply, Administrator. regulatory burden for directly regulated Distribution, or Use For the reasons set forth in the small entities. This action is not a ‘‘significant preamble, EPA amends 40 CFR part 80 energy action’’ because it is not likely to E. Unfunded Mandates Reform Act as follows: have a significant adverse effect on the (UMRA) supply, distribution, or use of energy. PART 80—REGULATION OF FUELS This action does not contain an This action establishes the required AND FUEL ADDITIVES unfunded mandate of $100 million or renewable fuel content of the more as described in UMRA, 2 U.S.C. transportation fuel supply for 2018, ■ 1. The authority citation for part 80 1531–1538, and does not significantly or consistent with the CAA and waiver continues to read as follows: uniquely affect small governments. This authorities provided therein. The RFS action implements mandates Authority: 42 U.S.C. 7414, 7521, 7542, program and this rule are designed to 7545, and 7601(a). specifically and explicitly set forth in achieve positive effects on the nation’s CAA section 211(o) and we believe that transportation fuel supply, by increasing Subpart M—Renewable Fuel Standard this action represents the least costly, energy independence and lowering most cost-effective approach to achieve lifecycle GHG emissions of ■ 2. Section 80.1405 is amended by the statutory requirements of the rule. transportation fuel. adding paragraph (a)(9) to read as follows: F. Executive Order 13132: Federalism J. National Technology Transfer and This action does not have federalism Advancement Act (NTTAA) § 80.1405 What are the Renewable Fuel implications. It will not have substantial This rulemaking does not involve Standards? direct effects on the states, on the technical standards. (a) * * * relationship between the national (9) Renewable Fuel Standards for government and the states, or on the K. Executive Order 12898: Federal 2018. distribution of power and Actions To Address Environmental (i) The value of the cellulosic biofuel responsibilities among the various Justice in Minority Populations and standard for 2018 shall be 0.159 percent. levels of government. Low-Income Populations (ii) The value of the biomass-based G. Executive Order 13175: Consultation The EPA believes that this action does diesel standard for 2018 shall be 1.74 and Coordination With Indian Tribal not have disproportionately high and percent. Governments adverse human health or environmental (iii) The value of the advanced biofuel effects on minority populations, low- standard for 2018 shall be 2.37 percent. This action does not have tribal income populations, and/or indigenous (iv) The value of the renewable fuel implications as specified in Executive peoples, as specified in Executive Order standard for 2018 shall be 10.67 percent. 12898 (59 FR 7629, February 16, 1994). * * * * * 171 EPA is currently evaluating 2 additional 2016 petitions, bringing the total number of petitions for This final rule does not affect the level [FR Doc. 2017–26426 Filed 12–11–17; 8:45 am] 2016 to 16. of protection provided to human health BILLING CODE 6560–50–P
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Part III
The President
Proclamation 9684—National Pearl Harbor Remembrance Day, 2017
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Federal Register Presidential Documents Vol. 82, No. 237
Tuesday, December 12, 2017
Title 3— Proclamation 9684 of December 7, 2017
The President National Pearl Harbor Remembrance Day, 2017
By the President of the United States of America
A Proclamation On National Pearl Harbor Remembrance Day, we honor those who perished in defense of our homeland and the veterans who selflessly answered the call to freedom during World War II. In our Nation’s history, few events have been as pivotal as the ‘‘date which will live in infamy.’’ Seventy-six years ago today, on the morning of December 7, 1941, Japanese air and naval forces carried out an unprovoked surprise attack on American military installations in Oahu, Hawaii. Horrific sounds of war shattered that peaceful Sunday morning, and our Nation was forever changed. More than 2,400 Americans lost their lives, and more than 1,000 service members and civilians were wounded in the attack. This horrific act of aggression galvanized the Nation and propelled us into World War II. Americans would not awaken to another peaceful dawn for nearly 4 long years. In our darkest hours, the greatness of America emerged. Throughout the long and difficult war, our citizens remained courageous and resilient. Thou- sands answered the call to arms, left family and loved ones behind, and embarked on long and onerous journeys to fight America’s enemies abroad. On the home front, American industry, ingenuity, and innovation increased our warfighting capacity and helped turn the tide in both the Atlantic and the Pacific theaters. The war effort motivated soldier and civilian alike. Families and communities came together, sacrificing personal comfort and prosperity for the greater good. Our country also solidified partnerships with like-minded nations committed to the promise of freedom. The spirit and soul of our Nation were tested in the fires of adversity, and we emerged even more determined, confident, and resolute. The USS Arizona Memorial in Honolulu, Hawaii, is a sacred resting place for many of the ship’s 1,177 sailors and Marines who perished on that fateful December morning. Even though these American patriots are entombed in a watery grave within the sunken hull of a battleship, their names are etched into the marble wall in the structure above. Just last month the First Lady and I had the distinct honor of visiting this hallowed site to pay our respects to the American heroes that were taken from us on that infamous day. The rusted wreckage is a haunting and sober reminder of the sacrifice of these heroes and their families, while the iconic, striking white memorial stands as a somber reminder of what we lost and also what we must fight to preserve. Today, a new generation of brave men and women in uniform stand ready to oppose any threat to our Nation and the civilized world. Though the decades have passed, we are careful to never forget the lessons of Pearl Harbor. Our Armed Forces must be strong and vigilant, prepared to fight and preserve all we hold dear. It is our greatest obligation—our most solemn duty—to ensure our Nation remains the land of the free and the home of the brave. The day after the attack on Pearl Harbor, President Franklin Roosevelt told the Congress that ‘‘With confidence in our Armed Forces— with the unbounding determination of our people—we will gain the inevi- table triumph.’’ That confidence and determination is undiminished today as we combat the ever-changing threats to freedom.
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On this National Pearl Harbor Remembrance Day, we pray for all who died on the island of Oahu that dreadful Sunday morning, and for those who perished around the world in the battles of World War II. May we never forget their bravery, their selflessness, and their sacrifice for the noble causes of liberty and peace. The Congress, by Public Law 103–308, as amended, has designated December 7 of each year as ‘‘National Pearl Harbor Remembrance Day.’’ NOW, THEREFORE, I, DONALD J. TRUMP, President of the United States of America, do hereby proclaim December 7, 2017, as National Pearl Harbor Remembrance Day. I encourage all Americans to observe this solemn day of remembrance and to honor our military, past and present, with appropriate ceremonies and activities. I urge all Federal agencies and interested organiza- tions, groups, and individuals to fly the flag of the United States at half- staff in honor of those American patriots who died as a result of their service at Pearl Harbor. IN WITNESS WHEREOF, I have hereunto set my hand this seventh day of December, in the year of our Lord two thousand seventeen, and of the Independence of the United States of America the two hundred and forty-second.
[FR Doc. 2017–26948 Filed 12–11–17; 11:15 am] Billing code 3295–F8–P
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Reader Aids Federal Register Vol. 82, No. 237 Tuesday, December 12, 2017
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING DECEMBER
Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 1112...... 57119 Presidential Documents 3 CFR 1250...... 57119 Proclamations: Executive orders and proclamations 741–6000 Proposed Rules: The United States Government Manual 741–6000 6920 (Amended by Proc. 9682) ...... 58089 315...... 57889 Other Services 9558 (Amended by 19 CFR Electronic and on-line services (voice) 741–6020 Proc. 9681) ...... 58081 4...... 57821 Privacy Act Compilation 741–6050 9679...... 57533 12...... 57346 Public Laws Update Service (numbers, dates, etc.) 741–6043 9680...... 57535 9681...... 58081 20 CFR 9682...... 58089 ELECTRONIC RESEARCH 9683...... 58331 641...... 56869 9684...... 58531 World Wide Web 21 CFR 7 CFR Proposed Rules: Full text of the daily Federal Register, CFR and other publications Ch. 1 ...... 57560 is located at: www.fdsys.gov. 3...... 57331 12...... 58333 884...... 57174 Federal Register information and research tools, including Public 900...... 58097 Inspection List, indexes, and Code of Federal Regulations are 1200...... 58097 24 CFR located at: www.ofr.gov. Proposed Rules: 5...... 58335 891...... 58335 E-mail 906...... 57164 966...... 58133 960...... 58335 FEDREGTOC (Daily Federal Register Table of Contents Electronic 985...... 56922 982...... 58335 Mailing List) is an open e-mail service that provides subscribers 986...... 57106 with a digital form of the Federal Register Table of Contents. The 1006...... 58135 27 CFR digital form of the Federal Register Table of Contents includes 9...... 57657, 57659 HTML and PDF links to the full text of each document. 8 CFR 24...... 57351 To join or leave, go to https://public.govdelivery.com/accounts/ 1240...... 57336 27...... 57351 USGPOOFR/subscriber/new, enter your email address, then 10 CFR Proposed Rules: follow the instructions to join, leave, or manage your 24...... 57392, 57688 72...... 57819 subscription. 27...... 57392 710...... 57105 PENS (Public Law Electronic Notification Service) is an e-mail 28 CFR service that notifies subscribers of recently enacted laws. 12 CFR Proposed Rules: To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Proposed Rules: 16...... 57181 and select Join or leave the list (or change settings); then follow 201...... 57886 29 CFR the instructions. 13 CFR 2550...... 57664 FEDREGTOC and PENS are mailing lists only. We cannot 300...... 57034 respond to specific inquiries. 301...... 57034 Proposed Rules: 531...... 57395 Reference questions. Send questions and comments about the 302...... 57034 Federal Register system to: [email protected] 303...... 57034 30 CFR 304...... 57034 The Federal Register staff cannot interpret specific documents or 305...... 57034 950...... 57664 regulations. 307...... 57034 32 CFR CFR Checklist. Effective January 1, 2009, the CFR Checklist no 309...... 57034 longer appears in the Federal Register. This information can be 314...... 57034 9...... 57825 found online at http://bookstore.gpo.gov/. 10...... 57825 14 CFR 11...... 57825 FEDERAL REGISTER PAGES AND DATE, DECEMBER 39 ...... 56859, 56865, 57340, 12...... 57825 57343, 57537, 57539, 58098, 13...... 57825 56859–57104...... 1 58102, 58107, 58110 14...... 57825 57105–57330...... 4 71...... 57541, 58334 15...... 57825 57331–57536...... 5 97...... 57115, 57117 16...... 57825 17...... 57825 57537–57656...... 6 Proposed Rules: 27...... 57685 57657–57818...... 7 33 CFR 29...... 57687 57819–58096...... 8 39 ...... 57172, 57383, 57390, 117 ...... 56886, 57353, 57674, 58097–58332...... 11 57552, 58137, 58140, 58362 57825, 58113 58333–58532...... 12 71 ...... 57554, 57556, 57558, 165 ...... 57354, 57826, 57828, 57888, 58142, 58144 58113 Proposed Rules: 16 CFR 117...... 57561, 58145 312...... 58076 165 ...... 57413, 58147, 58149,
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58151 81...... 57853, 57854 44 CFR 636...... 58351 82...... 58122 637...... 58351 37 CFR 64...... 57680 174...... 57135, 57137 642...... 58350 6...... 56887 180 ...... 57140, 57144, 57149, 45 CFR 652...... 58351 201...... 56890 57151, 57367, 57854, 57860, 1149...... 58348 202...... 56890 57867, 57872 1158...... 58348 49 CFR Proposed Rules: 300...... 56890 Proposed Rules: 801...... 58354 201...... 56926, 58153 770...... 57874 1304...... 57905 1104...... 57370 1601...... 57875 38 CFR 46 CFR 1109...... 57370 Proposed Rules: 1111...... 57370 3...... 57830 52 ...... 57183, 57415, 57418, 296...... 56895 1114...... 57370 39 CFR 57689, 57694, 57892 356...... 56899 1130...... 57370 80...... 58364 393...... 56902 20...... 57356 81...... 57892 47 CFR 50 CFR Proposed Rules: 82...... 58154 3010...... 58280 131...... 58156 1...... 57876 622...... 56917 3020...... 58280 180...... 57193 10...... 57158 635...... 57543, 57885 3050...... 58280 300...... 56939 11...... 57158 648...... 57382 3055...... 58280 51...... 57161 665...... 57551, 58129 64...... 56909 679...... 57162 40 CFR 42 CFR 69...... 57161 Proposed Rules: 52 ...... 57123, 57125, 57126, 510...... 57066 73...... 57684, 57876 17...... 57562, 57698 57130, 57132, 57133, 57362, 512...... 57066 Proposed Rules: 223...... 57565 57677, 57835, 57836, 57848, 76...... 58365 224...... 57565 57849, 57853, 57854, 58115, 95...... 58374 Ch. III ...... 57699 58116, 58118, 58341, 58342, 43 CFR 600...... 57419 58347 3160...... 58050 48 CFR 648...... 58164 80...... 58486 3170...... 58050 604...... 58350 679 ...... 57906, 57924, 58374
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