Vol. 76 Tuesday, No. 114 June 14, 2011

Pages 34573–34844

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 76, No. 114

Tuesday, June 14, 2011

Actuaries, Joint Board for Enrollment Coast Guard See Joint Board for Enrollment of Actuaries RULES Special Local Regulations: Agency for International Development Monongahela River, Morgantown, WV, 34606–34608 RULES NOTICES Drug-Free Workplace Requirements, 34573–34575 Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 34737–34738 Applications: National Boating Safety Advisory Committee; Vacancies, Title II Non-Emergency Food Aid Programs Targeting 34738–34739 Pastoral Areas in Ethiopia, 34639 Commerce Department Agricultural Marketing Service See Foreign–Trade Zones Board PROPOSED RULES See Industry and Security Bureau Marketing Orders: See National Institute of Standards and Technology Domestic Dates Produced or Packed in Riverside County, See National Oceanic and Atmospheric Administration See National Telecommunications and Information CA, 34618–34625 Administration Agriculture Department Commodity Futures Trading Commission See Agricultural Marketing Service NOTICES See Federal Crop Insurance Corporation Joint Public Roundtable on Proposed Dealer and Major See Forest Service Participant Definitions of Title VII of the Dodd–Frank NOTICES Wall Street Reform and Consumer Protection Act, Agency Information Collection Activities; Proposals, 34667–34668 Submissions, and Approvals: Advisory Committee and Research and Promotion Defense Department Background Information, 34639 PROPOSED RULES Federal Acquisition Regulations: Antitrust Division Prioritizing Sources of Supplies and Services for Use by NOTICES the Government, 34634–34635 Proposed Final Judgments: United States et al. v. Comcast Corp., et al., 34750–34761 Education Department NOTICES Centers for Disease Control and Prevention Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 34668–34670 Agency Information Collection Activities; Proposals, Applications for New Awards: Submissions, and Approvals, 34705–34706 Gaining Early Awareness and Readiness for Privacy Act; Systems of Records, 34706–34711 Undergraduate Programs, 34670–34683 Withdrawal of Invitations for Applications for New Awards Centers for Medicare & Medicaid Services for Fiscal Year 2011, 34683 PROPOSED RULES Election Assistance Commission Medicare Programs: Proposed Changes to the Hospital Inpatient Prospective NOTICES Payment Systems for Acute Care Hospitals and the Meetings; Sunshine Act, 34683–34684 Long Term Care Hospital Prospective Payment Energy Department System and Fiscal Year 2012 Rates; Corrections, See Energy Efficiency and Renewable Energy Office 34633–34634 See Federal Energy Regulatory Commission NOTICES Hearing: Energy Efficiency and Renewable Energy Office Reconsideration of Disapproval of Colorado State Plan NOTICES Amendments, 34711–34712 Meetings: Medicare Program; Pioneer Accountable Care Organization Offshore Renewable Energy; Needs for Resource Model: Assessment and Design Conditions, 34684–34685 Extension of the Submission Deadlines for the Letters of Waiver of Commercial Package Air Conditioner and Heat Intent and Applications, 34712–34713 Pump Test Procedures: Proposed Establishment of a Federally Funded Research Daikin AC (Americas) Inc., 34685–34689 and Development Center, 34713–34714 Environmental Protection Agency Children and Families Administration RULES NOTICES Approval and Promulgation of Air Quality Implementation Agency Information Collection Activities; Proposals, Plans: Submissions, and Approvals, 34714–34715 California; Interstate Transport, 34608–34611

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PROPOSED RULES Federal Motor Carrier Safety Administration Approvals and Promulgations of Implementation Plans: PROPOSED RULES New Hampshire; Prevention of Significant Deterioration; Extension of Certificate Retention Requirements: Greenhouse Gas Permitting Authority and Tailoring Medical Certification Requirements as Part of the Rule, 34630–34633 Commercial Driver’s License, 34635–34638 NOTICES California State Motor Vehicle Pollution Control Standards: Federal Railroad Administration Amendments to Greenhouse Gas Regulations, 34693– NOTICES 34700 Applications for Approval of Discontinuance or Protection of Stratospheric Ozone: Modification of a Railroad Signal System, 34801 Request for Methyl Bromide Critical Use Exemption Petition for Modification of Single Car Air Brake Test Applications for 2014, 34700–34703 Procedures, 34801–34802 Request for Nominations for Human Studies Review Board Petitions for Waivers of Compliance, 34802–34803 Advisory Committee, 34703–34704 Fish and Wildlife Service Executive Office of the President NOTICES See Presidential Documents Species Proposals for Consideration at Sixteenth Regular Meeting of Conference of Parties, etc., 34746–34749

Farm Credit Administration Food and Drug Administration NOTICES NOTICES Meetings; Sunshine Act, 34704 Draft Guidances for Industry; Availability: Considering Whether an FDA-Regulated Product Involves Federal Aviation Administration the Application of Nanotechnology, 34715–34716 RULES Washington, DC Metropolitan Area Special Flight Rules Foreign–Trade Zones Board Area: NOTICES OMB Approval of Information Collection, 34576 Application for Reorganization under Alternative Site Amendments of Class E Airspace: Framework: Waynesboro, VA, 34576–34577 Foreign–Trade Zone 119 – Minneapolis–St. Paul, PROPOSED RULES Minnesota, 34649–34650 Airworthiness Directives: Boeing Co. Model 747–100, 747–100B, 747–100B SUD, Forest Service 747–200B, etc., Series Airplanes, 34625–34627 NOTICES Modifications of Offshore Airspace Areas: Meetings: Norton Sound Low, Control 1234L and Control 1487L; Tehama County Resource Advisory Committee, 34648– Alaska, 34627–34629 34649

General Services Administration Federal Communications Commission PROPOSED RULES NOTICES Federal Acquisition Regulations: Agency Information Collection Activities; Proposals, Prioritizing Sources of Supplies and Services for Use by Submissions, and Approvals, 34704–34705 the Government, 34634–34635

Federal Crop Insurance Corporation Health and Human Services Department NOTICES See Centers for Disease Control and Prevention Funding Availabilities: See Centers for Medicare & Medicaid Services Risk Management Education and Outreach Partnerships See Children and Families Administration Program, 34639–34648 See Food and Drug Administration See National Institutes of Health Federal Emergency Management Agency Homeland Security Department RULES Suspension of Community Eligibility, 34611–34615 See Coast Guard See Federal Emergency Management Agency See U.S. Citizenship and Immigration Services Federal Energy Regulatory Commission See U.S. Customs and Border Protection NOTICES PROPOSED RULES Agency Information Collection Activities; Proposals, Privacy Act; Implementation of Exemptions: Submissions, and Approvals, 34689–34690 Chemical Facility Anti-Terrorism Standards Personnel Applications: Surety Program, 34616–34618 Placer County Water Agency, 34690–34691 NOTICES Complaints: Agency Information Collection Activities; Proposals, Astoria Generating Company, L.P. et al., v. New York Submissions, and Approvals: Independent System Operator, Inc., 34692 Chemical Facility Anti-Terrorism Standards Personnel Edison Mission Energy v. Midwest Independent Surety Program, 34720–34732 Transmission System Operator, Inc., 34691–34692 Privacy Act; Systems of Records Preliminary Permit Applications: Chemical Facility Anti-Terrorism Standards Personnel Inside Passage Electric Cooperative, 34692–34693 Surety Program, 34732–34736

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Housing and Urban Development Department National Highway Traffic Safety Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals, 34803–34805 Communities Challenge Planning Grant, 34745 Continuum of Care Check-up Assessment Tool, 34744– National Institute of Standards and Technology 34745 NOTICES Entitlement and State Community Development Block Meetings: Program, 34741–34743 Information Security and Privacy Advisory Board, 34650 Funding Availability for Fiscal Year 2010 Limited Models for a Governance Structure for the National Strategy English Proficiency Initiative Program, 34743–34744 for Trusted Identities in Cyberspace, 34650–34653 Delegations of Authority to Chief Operating Officer, 34745– National Conference on Weights and Measures 2011 34746 Annual Meeting, 34653–34654

Industry and Security Bureau National Institutes of Health RULES NOTICES Wassenaar Arrangement 2010 Plenary Agreements Meetings: Implementation: Center for Scientific Review, 34716–34720 Commerce Control List, Definitions, Reports; Correction, National Institute of Diabetes and Digestive and Kidney 34577–34579 Diseases, 34717–34718 National Institute of Mental Health, 34717 Interior Department National Institute of Neurological Disorders and Stroke, See Fish and Wildlife Service 34716 See Land Management Bureau National Institute on Aging, 34720 See Surface Mining Reclamation and Enforcement Office National Institute on Alcohol Abuse and Alcoholism, 34718–34719 Internal Revenue Service NOTICES National Oceanic and Atmospheric Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 34806–34811 Environmental Impact Statements; Availability, etc.: Renewal Charters and Filing Letters, 34811 Atlantic Large Whale Take Reduction Plan, 34654–34656 Meetings: International Trade Commission Fisheries of the Caribbean; Southeast Data, Assessment, NOTICES and Review, 34656 Investigations: Taking and Importing Marine Mammals: Ammonium Nitrate from Russia, 34749–34750 Geological and Geophysical Exploration of Mineral and Energy Resources on the Outer Continental Shelf in Joint Board for Enrollment of Actuaries the Gulf of Mexico, 34656–34658 NOTICES National Telecommunications and Information Meetings: Administration Advisory Committee, 34750 NOTICES Justice Department Internet Assigned Numbers Authority Functions, 34658– See Antitrust Division 34667

Land Management Bureau Nuclear Regulatory Commission NOTICES NOTICES Filings of Plats of Survey: Agency Information Collection Activities; Proposals, Arizona, 34749 Submissions, and Approvals, 34762–34763 Applications and Amendments to Facility Operating Legal Services Corporation Licenses, etc., 34763–34770 NOTICES Environmental Assessments; Availability, etc.: Meetings; Sunshine Act, 34761 Rensselaer Polytechnic Institute Critical Experiments Facility, Schenectady County, NY, 34770–34773 Marine Mammal Commission Final Safety Culture Policy Statement, 34773–34778 NOTICES Meetings: Classified National Security Information, 34761–34762 Advisory Committee On Reactor Safeguards on Materials, Metallurgy & Reactor Fuels, 34778–34779 National Aeronautics and Space Administration Advisory Committee On Reactor Safeguards on Radiation PROPOSED RULES Protection And Nuclear Materials, 34779 Federal Acquisition Regulations: Advisory Committee On Reactor Safeguards Prioritizing Sources of Supplies and Services for Use by Subcommittee On Fukushima, 34778 the Government, 34634–34635 Meetings; Sunshine Act, 34779–34780

National Credit Union Administration Overseas Private Investment Corporation NOTICES NOTICES Meetings; Sunshine Act, 34762 Meetings; Sunshine Act, 34780

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Pension Benefit Guaranty Corporation See National Highway Traffic Safety Administration RULES See Surface Transportation Board Bankruptcy Filing Date Treated as Plan Termination Date for Certain Purposes; Guaranteed Benefits; Allocation Treasury Department of Plan Assets; Pension Protection Act of 2006, 34590– See Internal Revenue Service 34606 See United States Mint NOTICES Presidential Documents Designation of Three Entities and One Individual Pursuant EXECUTIVE ORDERS to Executive Order 13553, 34805–34806 Committees; Establishment, Renewal, Termination, etc.: White House Rural Council; Establishment (EO 13575), U.S. Citizenship and Immigration Services 34839–34843 NOTICES Agency Information Collection Activities; Proposals, Securities and Exchange Commission Submissions, and Approvals, 34739–34740 RULES Beneficial Ownership Reporting Requirements and U.S. Customs and Border Protection Security-Based Swaps, 34579–34590 NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals, 34780–34781 Application for Waiver of Passport and/or Visa, 34740 Joint Public Roundtable on Proposed Dealer and Major Automated Clearinghouse, 34740–34741 Participant Definitions of Title VII of the Dodd–Frank Wall Street Reform and Consumer Protection Act, United States Mint 34667–34668 NOTICES Meetings; Sunshine Act, 34781 Meetings: Self-Regulatory Organizations; Proposed Rule Changes: Citizens Coinage Advisory Committee, 34811 EDGA Exchange, Inc., 34794–34795 EDGX Exchange, Inc., 34792–34794 Veterans Affairs Department NASDAQ OMX BX, Inc., 34785–34786, 34796–34797 NOTICES NASDAQ OMX PHLX LLC, 34798–34799 Agency Information Collection Activities; Proposals, NASDAQ Stock Market LLC, 34781–34788 Submissions, and Approvals: NYSE Arca, Inc., 34788–34791 Joint Application for Comprehensive Assistance and Support Services for Family Caregivers, 34812–34813 Small Business Administration Report of Medical, Legal, and Other Expenses Incident to NOTICES Recovery for Injury or Death, 34812 Disaster Declarations: Oklahoma, 34799

Surface Mining Reclamation and Enforcement Office Separate Parts In This Issue RULES Part II Wyoming Regulatory Program, 34816–34837 Interior Department, Surface Mining Reclamation and Surface Transportation Board Enforcement Office, 34816–34837 NOTICES Trackage Rights Exemptions: Part III Arkansas Midland Railroad Co., Inc., and Caddo Valley Presidential Documents, 34839–34843 Railroad Co., 34805

Tennessee Valley Authority Reader Aids NOTICES Consult the Reader Aids section at the end of this page for Permanent Dam Safety Modification at Cherokee, Fort phone numbers, online resources, finding aids, reminders, Loudoun, Tellico, and Watts Bar Dams, Tennessee, and notice of recently enacted public laws. 34799–34801 To subscribe to the Federal Register Table of Contents Transportation Department LISTSERV electronic mailing list, go to http:// See Federal Aviation Administration listserv.access.gpo.gov and select Online mailing list See Federal Motor Carrier Safety Administration archives, FEDREGTOC-L, Join or leave the list (or change See Federal Railroad Administration settings); then follow the instructions.

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CFR PARTS AFFECTED IN THIS ISSUE

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

2 CFR 782...... 34573 3 CFR Executive Orders: 13575...... 34841 6 CFR Proposed Rules: 5...... 34616 7 CFR Proposed Rules: 987...... 34618 14 CFR 1...... 34576 71...... 34576 93...... 34576 Proposed Rules: 39...... 34625 71...... 34627 15 CFR 740...... 34577 743...... 34577 774...... 34577 17 CFR 240...... 34579 22 CFR 210...... 34573 29 CFR 4001...... 34590 4022...... 34590 4044...... 34590 30 CFR 950...... 34816 33 CFR 100...... 34606 40 CFR 52...... 34608 Proposed Rules: 52...... 34630 42 CFR Proposed Rules: 412...... 34633 413...... 34633 476...... 34633 44 CFR 64...... 34611 48 CFR Proposed Rules: 8...... 34634 9...... 34634 52...... 34634 49 CFR Proposed Rules: 391...... 34635

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Rules and Regulations Federal Register Vol. 76, No. 114

Tuesday, June 14, 2011

This section of the FEDERAL REGISTER DC 20523, e-mail wide guidance with policies and contains regulatory documents having general [email protected], fax (202) 567– procedures to implement drug-free applicability and legal effect, most of which 4695. workplace requirements for financial are keyed to and codified in the Code of FOR FURTHER INFORMATION CONTACT: assistance. The guidance requires each Federal Regulations, which is published under agency to replace the common rule on 50 titles pursuant to 44 U.S.C. 1510. Melita E. Yearwood, Procurement Analyst, Office of Acquisition and drug-free workplace requirements that The Code of Federal Regulations is sold by Assistance, Policy Division at (202) the agency previously issued in its own the Superintendent of Documents. Prices of 567–4672. CFR title with a brief regulation in 2 new books are listed in the first FEDERAL CFR adopting the Government-wide SUPPLEMENTARY INFORMATION: REGISTER issue of each week. policies and procedures. One advantage Background of this approach is that it reduces the The Drug-Free Workplace Act of 1988 total volume of drug-free workplace AGENCY FOR INTERNATIONAL [Pub. L. 100–690, Title V, Subtitle D; 41 regulations. A second advantage is that DEVELOPMENT U.S.C. 701, et seq.] was enacted as a part it collocates OMB’s guidance and all of the agencies’ implementing regulations 2 CFR Part 782 of omnibus drug legislation on November 18, 1988. Federal agencies in 2 CFR. 22 CFR Part 210 issued an interim final common rule to The Current Regulatory Actions implement the act as it applied to grants RIN 0412–AA66 As the OMB guidance requires, [53 FR 4946, January 31, 1989]. The rule USAID is taking two regulatory actions. was a subpart of the Government-wide First, we are removing the drug-free Implementation of OMB Guidance on common rule on non-procurement Drug-Free Workplace Requirements workplace common rule from 22 CFR suspension and debarment. The Part 210. Second, to replace the AGENCY: U.S. Agency for International agencies issued a final common rule common rule, we are issuing a brief Development. after consideration of public comments regulation in 2 CFR Part 182 to adopt [55 FR 21681, May 25, 1990]. ACTION: Final rule. the Government-wide policies and The agencies proposed an update to procedures in the OMB guidance. SUMMARY: The U.S. Agency for the drug-free workplace common rule in International Development (USAID) is 2002 [67 FR 3266, January 23, 2002] and Invitation to Comment removing its regulation implementing finalized it in 2003 [68 FR 66534, Taken together, these regulatory the Government-wide common rule on November 26, 2003]. The updated actions are solely an administrative drug-free workplace requirements for common rule was redrafted in plain simplification and are not intended to financial assistance, currently located language and adopted as a separate part, make any substantive change in policies within Part 210 of Title 22 of the Code independent from the common rule on or procedures. In soliciting comments of Federal Regulations (CFR), and non-procurement suspension and on these actions, we therefore are not issuing a new regulation to adopt the debarment. Based on an amendment to seeking to revisit substantive issues that Office of Management and Budget the drug-free workplace requirements in were resolved during the development (OMB) guidance at 2 CFR part 182. This 41 U.S.C. 702 [Pub. L. 105–85, div. A, of the final common rule in 2003. We regulatory action implements the OMB’s title VIII, Sec. 809, Nov. 18, 1997, 111 are inviting comments specifically on initiative to streamline and consolidate Stat. 1838], the update also allowed any unintended changes in substantive into one title of the CFR all federal multiple enforcement options from content that the new part in 2 CFR regulations on drug-free workplace which agencies could select, rather than would make relative to the common rule requirements for financial assistance. requiring use of a certification in all at 22 CFR Part 210. cases. These changes constitute an Administrative Procedure Act administrative simplification that would When it established Title 2 of the CFR make no substantive change in USAID as the new central location for OMB Under the Administrative Procedure policy or procedures for drug-free guidance and agency implementing Act (5 U.S.C. 553), agencies generally workplace. regulations concerning grants and propose a regulation and offer interested agreements [69 FR 26276, May 11, parties the opportunity to comment DATES: This final rule is effective on 2004], OMB announced its intention to before it becomes effective. However, as August 15, 2011 without further action. replace common rules with OMB described in the ‘‘Background’’ section Submit comments by July 14, 2011 on guidance that agencies could adopt in of this preamble, the policies and any unintended changes this action brief regulations. OMB began that procedures in this regulation have been makes in USAID policies and process by proposing [70 FR 51863, proposed for comment two times—one procedures for drug-free workplace. All August 31, 2005] and finalizing [71 FR time by federal agencies as a common comments on unintended changes will 66431, November 15, 2006] rule in 2002 and a second time by OMB be considered and, if warranted, USAID Government-wide guidance on non- as guidance in 2008—and adopted each will revise the rule. procurement suspension and debarment time after resolution of the comments ADDRESSES: You may submit comments, in 2 CFR part 180. received. identified by RIN 0412–AA66 in the As the next step in that process, OMB This direct final rule is solely an subject line to Ms. M. E. Yearwood, proposed for comment [73 FR 55776, administrative simplification that would USAID—M/OAA/P, SA–44, 867B, 1300 September 26, 2008] and finalized [74 make no substantive change in USAID’s Pennsylvania Ave., NW., Washington, FR 28149, June 15, 2009] Government- policy or procedures for drug-free

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workplace. We therefore believe that the administration, Grant programs, Subpart F—Definitions rule is noncontroversial and do not Reporting and recordkeeping 782.605 Award (USAID Supplement to expect to receive adverse comments, requirements, Government Government Wide Definition at 2 CFR although we are inviting comments on procurement. 182.605). any unintended substantive change this 22 CFR Part 210 rule makes. Authority: 41 U.S.C. 701–707. Accordingly, we find that the Administrative practice and solicitation of public comments on this procedure, Drug abuse, Grant § 782.10 What does this part do? direct final rule is unnecessary and that administration, Grant programs, This part requires that the award and ‘‘good cause’’ exists under 5 U.S.C. Reporting and recordkeeping administration of USAID grants and 553(b)(B) and 553(d) to make this rule requirements, Government cooperative agreements comply with effective on August 15, 2011 without procurement. Office of Management and Budget further action, unless we receive Accordingly, for the reasons set forth (OMB) guidance implementing the adverse comment by July 14, 2011. If in the preamble, and under the portion of the Drug-Free Workplace Act any comment on unintended changes is authority of 5 U.S.C. 301, the USAID of 1988 (41 U.S.C. 701–707, as received, it will be considered and, if amends the Code of Federal warranted, we will publish a timely amended, hereafter referred to as ‘‘the Regulations, Title 2, Subtitle B, chapter Act’’) that applies to grants. It thereby— revision of the rule. VII, Part 782, and Title 22, chapter II, as (a) Gives regulatory effect to the OMB Executive Order 12866 follows: guidance (Subparts A through F of 2 OMB has determined this rule to be Title 2—Grants and Agreements CFR Part 182) for USAID’s grants and not significant for purposes of E.O. cooperative agreements; and 12866. ■ 1. Add part 782 in Subtitle B, Chapter VII, to read as follows: (b) Establishes USAID policies and Regulatory Flexibility Act of 1980 (5 procedures for compliance with the Act U.S.C. 605(b)) PART 782—REQUIREMENTS FOR that are the same as those of other This proposed regulatory action will DRUG-FREE WORKPLACE Federal agencies, in conformance with not have a significant adverse impact on (FINANCIAL ASSISTANCE) the requirement in 41 U.S.C. 705 for a substantial number of small entities. Government wide implementing Sec. regulations. Unfunded Mandates Act of 1995 (Sec. 782.10 What does this part do? 202, Pub. L. 104–4) 782.20 Does this part apply to me? § 782.20 Does this part apply to me? This proposed regulatory action does 782.30 What policies and procedures must not contain a Federal mandate that will I follow? This part and, through this part, pertinent portions of the OMB guidance result in the expenditure by State, local, Subpart A—Purpose and Coverage and tribal governments, in aggregate, or [Reserved] in Subparts A through F of 2 CFR part by the private sector of $100 million or 182 (see table at 2 CFR 182.115(b)) Subpart B—Requirements for Recipients apply to you if you are a— more in any one year. Other Than Individuals (a) Recipient of a USAID grant or Paperwork Reduction Act of 1995 (44 782.225 Whom in USAID does a recipient U.S.C., Chapter 35) other than an individual notify about a cooperative agreement; or criminal drug conviction? This regulatory action will not impose (b) USAID awarding official. any additional reporting or Subpart C—Requirements for Recipients § 782.30 What policies and procedures Who Are Individuals recordkeeping requirements under the must I follow? Paperwork Reduction Act. 782.300 Whom in USAID does a recipient who is an individual notify about a (a) General. You must follow the Federalism (Executive Order 13132) criminal drug conviction? policies and procedures specified in This proposed regulatory action does Subpart D—Responsibilities of Agency applicable sections of the OMB not have Federalism implications, as set Awarding Officials guidance in Subparts A through F of 2 forth in Executive Order 13132. It will CFR part 182, as implemented by this not have substantial direct effects on the 782.400 What method do I use as an agency awarding official to obtain a recipient’s part. States, on the relationship between the agreement to comply with the OMB (b) Specific sections of OMB guidance national government and the States, or guidance? on the distribution of power and that this part supplements. In responsibilities among the various Subpart E—Violations of This Part and implementing the OMB guidance in 2 levels of government. Consequences CFR part 182, this part supplements 782.500 Who in USAID determines that a four sections of the guidance, as shown List of Subjects recipient other than an individual in the following table. For each of those 2 CFR Part 782 violated the requirements of this part? sections, you must follow the policies 782.505 Who in USAID determines that a and procedures in the OMB guidance, as Administrative practice and recipient who is an individual violated procedure, Drug abuse, Grant the requirements of this part? supplemented by this part.

Section in this Section of OMB guidance part where sup- What the supplementation clarifies plemented

(1) 2 CFR 182.225(a) ...... § 782.225 Whom in USAID a recipient other than an individual must notify if an employee is convicted for a violation of a criminal drug statute in the workplace.

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Section in this Section of OMB guidance part where sup- What the supplementation clarifies plemented

(2) 2 CFR 182.300(b) ...... § 782.300 Whom in USAID a recipient who is an individual must notify if he or she is con- victed of a criminal drug offense resulting from a violation occurring during the conduct of any award activity. (3) 2 CFR 182.500 ...... § 782.500 Who in USAID is authorized to determine that a recipient other than an individual is in violation of the requirements of 2 CFR part 182, as implemented by this part. (4) 2 CFR 182.505 ...... § 782.505 Who in USAID is authorized to determine that a recipient who is an individual is in violation of the requirements of 2 CFR part 182, as implemented by this part.

(c) Sections of the OMB guidance that approved for these purposes by a § 782.505 Who in USAID determines that a this part does not supplement. For any Federal, State or local health, law recipient who is an individual violated the section of OMB guidance in Subparts A enforcement, or other appropriate requirements of this part? through F of 2 CFR part 182 that is not agency. The Director of the Office of listed in paragraph (b) of this section, Acquisition and Assistance is the USAID policies and procedures are the Subpart C—Requirements for official authorized to make the same as those in the OMB guidance. Recipients Who Are Individuals determination under 2 CFR 182.505. Subpart A—Purpose and Coverage § 782.300 Whom in USAID does a recipient Subpart F—Definitions [Reserved] who is an individual notify about a criminal drug conviction? § 782.605 Award USAID supplement to Government-wide definition at 2 CFR Subpart B—Requirements for A recipient who is an individual and 182.605 Recipients Other Than Individuals is required under 2 CFR 182.300(b) to Award means an award of financial § 782.225 Whom in USAID does a recipient notify Federal agencies about a assistance by the U.S. Agency for other than an individual notify about a conviction for a criminal drug offense International Development or other criminal drug conviction? must notify each USAID office from Federal agency directly to a recipient. A recipient other than an individual which it currently has an award. (a) The term award includes: that is required under 2 CFR 182.225(a) (1) A Federal grant or cooperative to notify Federal agencies about an Subpart D—Responsibilities of Agency agreement, in the form of money or employee’s conviction for a criminal Awarding Officials property in lieu of money. drug offense must notify— (2) A block grant or a grant in an § 782.400 What method do I use as an (a) Federal agencies if an employee entitlement program, whether or not the agency awarding official to obtain a who is engaged in the performance of an recipient’s agreement to comply with the grant is exempted from coverage under award informs you about a conviction, OMB guidance? the Government-wide rule that or you otherwise learn of the conviction. implements OMB Circular A–102 (for Your notification to the Federal agencies To obtain a recipient’s agreement to availability, see 5 CFR 1310.3) and must— comply with applicable requirements in specifies uniform administrative (1) Be in writing; the OMB guidance at 2 CFR part 182, requirements. (2) Include the employee’s position you must include the following term or (b) The term award does not include: title; condition in the award: (1) Technical assistance that provides (3) Include the identification Drug-free workplace. You as the services instead of money. number(s) of each affected award; recipient must comply with drug-free (2) Loans. (4) Be sent within ten calendar days (3) Loan guarantees. workplace requirements in Subpart B after you learn of the conviction; and (4) Interest subsidies. (or Subpart C, if the recipient is an (5) Be sent to every Federal agency on (5) Insurance. individual) of 782, which adopts the whose award the convicted employee (6) Direct appropriations. Government-wide implementation (2 was working. It must be sent to every (7) Veterans’ benefits to individuals CFR part 182) of sec. 5152–5158 of the awarding official or his or her official (i.e., any benefit to veterans, their Drug-Free Workplace Act of 1988 (Pub. designee, unless the Federal agency has families, or survivors by virtue of the L. 100–690, Title V, Subtitle D; 41 specified a central point for the receipt service of a veteran in the Armed Forces of the notices. U.S.C. 701–707). of the United States). (b) Within 30 calendar days of (c) Notwithstanding paragraph (a)(2) learning about an employee’s Subpart E—Violations of This Part and Consequences of this section, this paragraph is not conviction, you must either— applicable to AID. (1) Take appropriate personnel action § 782.500 Who in USAID determines that a ■ 2. In title 22, chapter II, remove Part against the employee, up to and recipient other than an individual violated 210 including termination, consistent with the requirements of this part? the requirements of the Rehabilitation Dated: March 24, 2011. Act of 1973 (29 U.S.C. 794), as The Director of the Office of M.E. Yearwood, amended; or Acquisition and Assistance is the Acquisitions and Assistance Policy Analyst, (2) Require the employee to official authorized to make the USAID. participate satisfactorily in a drug abuse determination under 2 CFR 182.500. [FR Doc. 2011–14243 Filed 6–13–11; 8:45 am] assistance or rehabilitation program BILLING CODE 6116–01–P

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DEPARTMENT OF TRANSPORTATION International Flight Plans collection. submitting written comments on the Thus, the flight plans required for the proposal to the FAA. No comments Federal Aviation Administration Washington, DC Metropolitan Area were received. Special Flight Rules Area are covered by Subsequent to publication, the FAA 14 CFR Parts 1 and 93 information collection control #2120– found the geographic coordinates for the [Docket No. FAA–2004–17005; Amdt. No. 0026. As a result, the FAA is airport were not rounded down. This 1–63 and 93–90] withdrawing and discontinuing OMB action will make that correction. Except control #2120–0706. for editorial changes, and the changes RIN 2120–AI17 This document is being published to noted above, this rule is the same as inform affected parties of this change. published in the NPRM. Washington, DC Metropolitan Area Class E airspace designations are Issued in Washington, DC, on June 7, 2011. Special Flight Rules Area; OMB published in paragraph 6005 of FAA Approval of Information Collection Dennis R. Pratte, Order 7400.9U dated August 18, 2010, Acting Director, Office of Rulemaking. AGENCY: Federal Aviation and effective September 15, 2010, which [FR Doc. 2011–14552 Filed 6–13–11; 8:45 am] Administration, DOT. is incorporated by reference in 14 CFR BILLING CODE 4910–13–P Part 71.1. The Class E airspace ACTION: Change of OMB approval designations listed in this document number for information collection. will be published subsequently in the DEPARTMENT OF TRANSPORTATION SUMMARY: This document notifies the Order. public of a change in the Office of Federal Aviation Administration The Rule Management and Budget’s approval This amendment to Title 14, Code of control number for certain information 14 CFR Part 71 collection. The rule titled ‘‘Washington, Federal Regulations (14 CFR) part 71 DC Metropolitan Area Special Flight [Docket No. FAA–2010–1232; Airspace amends Class E5 airspace extending Rules Area’’ was published on Docket No. 10–AEA–28] upward from 700 feet above the surface December 16, 2008. At that time, the to accommodate new standard Amendment of Class E Airspace; instrument approach procedures final rule identified OMB Control Waynesboro, VA Number 2120–0706 as the approval developed at Eagle’s Nest Airport, Waynesboro, VA. This action is document for the flight plans and other AGENCY: Federal Aviation information collected under that rule. Administration (FAA), DOT. necessary for the safety and management of IFR operations at the That information collection, however, is ACTION: Final rule. accounted for under OMB Control airport. Additionally, the geographic Number 2120–0026. SUMMARY: This action amends the Class coordinates for the airport will be rounded down to read ‘‘(lat. 38°04′37″ DATES: E Airspace at Waynesboro, VA, to The rule, including the N., long. 78°56′39″ W.)’’ information collection requirements in accommodate the additional airspace need for the Standard Instrument The FAA has determined that this §§ 93.335, 93.339, 93.341, and 93.343, regulation only involves an established became effective on February 14, 2009. Approach Procedures developed for Eagle’s Nest Airport. This action body of technical regulations for which This document announces that the OMB frequent and routine amendments are approval for Domestic and International enhances the safety and management of Instrument Flight Rules (IFR) operations necessary to keep them operationally Flight Plans, #2120–0026, accounts for current, is non-controversial and the paperwork burden in that rule. at the airport. Also, the geographic coordinates for the airport will be unlikely to result in adverse or negative CONTACT FOR FURTHER INFORMATION: For corrected. comments. It, therefore, (1) is not a questions about this document, contact ‘‘significant regulatory action’’ under DATES: Ellen Crum, Airspace and Rules Group, Effective 0901 UTC, August 25, Executive Order 12866; (2) is not a Office of System Operations Airspace 2011. The Director of the Federal ‘‘significant rule’’ under DOT and AIM, 800 Independence Ave., SW., Register approves this incorporation by Regulatory Policies and Procedures (44 Washington, DC 20591; telephone (202) reference action under title 1, Code of FR 11034; February 26, 1979); and (3) 267–8783. Federal Regulations, part 51, subject to does not warrant preparation of a SUPPLEMENTARY INFORMATION: On the annual revision of FAA Order Regulatory Evaluation as the anticipated December 16, 2008, the final rule 7400.9 and publication of conforming impact is so minimal. Since this is a ‘‘Washington, DC Metropolitan Area amendments. routine matter that will only affect air Special Flights Rules Area’’ was FOR FURTHER INFORMATION CONTACT: John traffic procedures and air navigation, it published in the Federal Register (75 Fornito, Operations Support Group, is certified that this rule, when FR 76195). In that rule, the FAA Eastern Service Center, Federal Aviation promulgated, will not have a significant codified special flight rules and airspace Administration, P.O. Box 20636, economic impact on a substantial and flight restrictions for certain aircraft Atlanta, Georgia 30320; telephone (404) number of small entities under the operations in the Washington, DC 305–6364. criteria of the Regulatory Flexibility Act. Metropolitan Area. SUPPLEMENTARY INFORMATION: The FAA’s authority to issue rules In the Paperwork Reduction Act regarding aviation safety is found in section of the final rule, the FAA noted History Title 49 of the United States Code. that the flight plans and other On March 18, 2011, the FAA Subtitle I, Section 106 describes the information collection that the rule published in the Federal Register a authority of the FAA Administrator. required had been approved by OMB. It notice of proposed rulemaking (NPRM) Subtitle VII, Aviation Programs, said that ‘‘OMB approved the collection to amend Class E airspace at Eagle’s describes in more detail the scope of the of this information and assigned OMB Nest Airport, Waynesboro, VA (75 FR agency’s authority. Control Number 2120–0706.’’ 14820) Docket No. FAA–2010–1232. This rulemaking is promulgated OMB information collection control Interested parties were invited to under the authority described in #2120–0026 covers Domestic and participate in this rulemaking effort by Subtitle VII, Part A, Subpart I, Section

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40103. Under that section, the FAA is DEPARTMENT OF COMMERCE diameter between 25 and 100 mm; and charged with prescribing regulations to c. A width between 10 and 20 mm.’’ assign the use of airspace necessary to Bureau of Industry and Security Therefore, BIS is adding a new Export ensure the safety of aircraft and the Control Classification Number (ECCN) efficient use of airspace. This regulation 15 CFR Parts 740, 743, and 774 2A101 to the Commerce Control List is within the scope of that authority as [Docket No. 110124056–1301–02] (CCL) (Supplement No. 1 to part 774) to it amends controlled airspace at Eagle’s control the export and reexport of these RIN 0694–AF11 Nest Airport, Waynesboro, VA. ball bearings. ECCN 2A101 is controlled for Missile Technology (MT) and Anti- Lists of Subjects in 14 CFR Part 71 Wassenaar Arrangement 2010 Plenary terrorism (AT) reasons, more Agreements Implementation: specifically MT column 1 and AT Airspace, Incorporation by reference, Commerce Control List, Definitions, column 1. A license is required under Navigation (air). Reports; Correction MT Column 1 of the Commerce Country Adoption of the Amendment AGENCY: Bureau of Industry and Chart (Supplement No. 1 to part 738) for Security, Commerce. export or reexport of ball bearings classified under ECCN 2A101 to all In consideration of the foregoing, the ACTION: Correcting amendments. Federal Aviation Administration destinations, except Canada. License amends 14 CFR Part 71 as follows: SUMMARY: This document corrects errors requirements and license review policy in a final rule published by the Bureau for MT controlled items are set forth in PART 71—DESIGNATION OF CLASS A, of Industry and Security (BIS) in the § 742.5 of the EAR. License B, C, D AND E AIRSPACE AREAS; AIR Federal Register on Friday, May 20, requirements and license review policy TRAFFIC SERVICE ROUTES; AND 2011 that revised the Export for AT controlled items are set forth in REPORTING POINTS Administration Regulations (EAR) by §§ 742.8 Iran, 742.9 Syria, 742.10 amending entries for certain items that Sudan, and 742.19 North Korea. ■ 1. The authority citation for Part 71 are controlled for national security To harmonize with the addition of ECCN 2A101, this rule adds 2A101 to continues to read as follows: reasons in Categories 1, 2, 3, 4, 5 Parts I & II, 6, 7, 8, and 9; adding and the list of ECCNs in § 740.2(a)(5)(ii) that Authority: 49 U.S.C. 106(g); 40103, 40113, amending definitions to the EAR; and are MT controlled, but may be exported 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– revising reporting requirements. That or reexported under §§ 740.9(a)(2)(ii) 1963 Comp., p. 389. final rule contained errors concerning (License Exception TMP) or 740.10 (License Exception RPL) as one-for-one § 71.1 [Amended] radial ball bearings, as well as editorial mistakes. replacements for equipment previously ■ 2. The incorporation by reference in DATES: Effective Date: This rule is legally exported or reexported. To harmonize with the text of the WA 14 CFR 71.1 of Federal Aviation effective: June 14, 2011. list, this rule removes the word ‘‘the’’ in Administration Order 7400.9U, FOR FURTHER INFORMATION CONTACT: For the phrase ‘‘For the ‘multiple channel Airspace Designations and Reporting general questions contact Sharron Cook, ADCs’ ’’ that appears in Technical Note Points, dated August 18, 2010, effective Office of Exporter Services, Bureau of 4 following paragraph 3A001.a.5.a.5. September 15, 2010, is amended as Industry and Security, U.S. Department To harmonize with the text of the WA follows: of Commerce at (202) 482–2440 or by list, this rule removes the word e-mail: [email protected]. Paragraph 6005 Class E airspace extending ‘‘converter’’ from the phrase ‘‘ADC SUPPLEMENTARY INFORMATION: upward from 700 feet or more above the converter units’’ in Technical Note 9 surface of the earth. Background following paragraph 3A001.a.5.a.5. To harmonize with the text of the WA * * * * * On May 20, 2011, the final rule, list, this rule removes the Technical AEA VA E5 Waynesboro, VA [Amended] ‘‘Wassenaar Arrangement 2010 Plenary Note in the Items paragraph of ECCN Agreements Implementation: Commerce Eagle’s Nest Airport, VA 3E001. Control List, Definitions, Reports’’ was This rule removes the Notes to (Lat. 38°04′37″ N., long. 78°56′39″ W.) published in the Federal Register (76 paragraph (c)(1)(vi) in Section 743.1, That airspace extending upward from 700 FR 29610). The May 20th rule removed because these notes relate to paragraphs feet above the surface within a 6.2 mile paragraph 2A001.b, ‘‘Other ball bearings 6A002.a.3 and 6A006.d, which were radius of Eagle’s Nest Airport, and within 2 and solid roller bearings, having all ° removed from Wassenaar reporting miles either side of the 052 bearing from the tolerances specified by the manufacturer requirements in the May 20th rule. airport extending from the 6.2-mile radius to in accordance with ISO 492 Tolerance This rule also removes paragraphs 15.1 miles northeast of the airport, and Class 2 (or ANSI/ABMA Std 20 ° 6A005.a.1 and 6A006.g and .h from the within 2 miles either side of the 232 bearing Tolerance Class ABEC–9 or RBEC–9, or limited restrictions under the TSR from the airport extending from the 6.2-mile other national equivalents), or better.’’ paragraph of the License Exception radius to 15.1 miles southwest of the airport. However, there is a subset of these ball section of ECCNs 6E001 and 6E002. Issued in College Park, Georgia, on May 25, bearings that are listed on the Missile Paragraph 6A005.a.1 is removed 2011. Technology Control Regime Annex because it is not listed on the Wassenaar Mark D. Ward, under 3.A.7, which provides: ‘‘Radial Arrangement Sensitive or Very Sensitive Manager, Operations Support Group, Eastern ball bearings having all tolerances Lists. Paragraph 6A006.g and .h are no Service Center, Air Traffic Organization. specified in accordance with ISO 492 longer in existence, as these paragraphs [FR Doc. 2011–14590 Filed 6–13–11; 8:45 am] Tolerance Class 2 (or ANSI/ABMA Std were removed from the CCL on July 15, 20 Tolerance Class ABEC–9 or other 2005 (70 FR 41094, 41099). BILLING CODE 4910–13–P national equivalents), or better and This rule also removes paragraph having all the following characteristics: 6A008.l.3 from Supplement No. 1 to a. An inner ring bore diameter between part 740.11 ‘‘Additional Restrictions on 12 and 50 mm; b. An outer ring outside Use of License Exception GOV.’’ The

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May 20th rule removed and reserved and of promoting flexibility. This rule items. The Wassenaar Arrangement paragraph 6A008.l.3. The Wassenaar has been determined to be not consists of 40 member countries that act Arrangement (WA) inadvertently left significant for purposes of Executive on a consensus basis, and the changes this paragraph on the Sensitive and Order 12866. set forth in this rule implement Very Sensitive Lists, but in the Spring 2. Notwithstanding any other agreements reached at the December of 2011 the WA agreed to correct this provision of law, no person is required 2010 plenary session of the WA. Since error. In addition, this rule removes to respond to, nor shall any person be the United States is a significant 6A008.l.3 from the limited restrictions subject to a penalty for failure to comply exporter of the items in this rule, under the TSR paragraph of the License with a collection of information subject implementation of this provision is Exception section of ECCNs 6D001, to the requirements of the Paperwork necessary for the WA to achieve its 6E001 and 6E002. Reduction Act of 1995 (44 U.S.C. 3501 purpose. Any delay in implementation This rule also replaces the double et seq.) (PRA), unless that collection of will create a disruption in the quotes with single quotes around the information displays a currently valid movement of affected items globally term ‘‘Active noise reduction or Office of Management and Budget because of disharmony between export cancellation systems’’ in paragraph (OMB) Control Number. This rule control measures implemented by WA 8A002.o.3.b and the Technical Note of involves two collections of information members, resulting in tension between that paragraph. Single quotes are used to subject to the PRA. One collection has member countries. Export controls work indicate the term is defined in the ECCN been approved by OMB under control best when all countries implement the entry and double quotes are used when number 0694–0088, ‘‘Multi Purpose same export controls in a timely the term is defined in Section 772.1. Application,’’ and carries a burden hour manner. If this rulemaking was delayed estimate of 58 minutes for a manual or Export Administration Act to allow for notice and comment, it electronic submission. The other would prevent the United States from Since August 21, 2001, the Export collection has been approved by OMB fulfilling its commitment to the WA in Administration Act of 1979, as under control number 0694–0106, a timely manner and would injure the amended, has been in lapse. However, ‘‘Reporting and Recordkeeping credibility of the United States in this the President has continued the EAR in Requirements under the Wassenaar and other multilateral regimes. effect under the International Arrangement,’’ and carries a burden Because a notice of proposed Emergency Economic Powers Act (50 hour estimate of 21 minutes for a rulemaking and an opportunity for U.S.C. 1701 et seq.) through Executive manual or electronic submission. Send public comment are not required to be Order 13222 of August 17, 2001 (3 CFR comments regarding these burden given for this rule under the 2001 Comp. 783 (2002)), which has been estimates or any other aspect of these Administrative Procedure Act or by any extended by successive Presidential collections of information, including other law, the analytical requirements of Notices, the most recent being that of suggestions for reducing the burden, to the Regulatory Flexibility Act (5 U.S.C. August 12, 2010, 75 FR 50681 (August OMB Desk Officer, New Executive 601 et seq.) are not applicable. 16, 2010). Office Building, Washington, DC 20503; Therefore, this regulation is issued in and to Jasmeet Seehra, OMB Desk Saving Clause final form. Although there is no formal Officer, by e-mail at comment period, public comments on Shipments of items removed from [email protected] or by this regulation are welcome on a license exception eligibility or eligibility fax to (202) 395–7285; and to the Office continuing basis. Comments should be for export without a license as a result of Administration, Bureau of Industry submitted to Sharron Cook, Office of of this regulatory action that were on and Security, Department of Commerce, Exporter Services, Bureau of Industry dock for loading, on lighter, laden 14th and Pennsylvania Avenue, NW., and Security, Department of Commerce, aboard an exporting carrier, or en route Room 6622, Washington, DC 20230. aboard a carrier to a port of export, on 3. This rule does not contain policies 14th and Pennsylvania Ave., NW., June 14, 2011, pursuant to actual orders with Federalism implications as that Room 2099, Washington, DC 20230. for export to a foreign destination, may term is defined under Executive Order List of Subjects proceed to that destination under the 13132. previous license exception eligibility or 4. The provisions of the 15 CFR Part 740 without a license so long as they have Administrative Procedure Act (5 U.S.C. Administrative practice and been exported from the United States 553) requiring notice of proposed procedure, Exports, Reporting and before August 15, 2011. Any such items rulemaking, the opportunity for public recordkeeping requirements. not actually exported before midnight, participation, and a delay in effective on August 15, 2011, require a license in date, are inapplicable because this 15 CFR Part 743 accordance with this regulation. regulation involves a military and Administrative practice and foreign affairs function of the United procedure, Reporting and recordkeeping Rulemaking Requirements States (5 U.S.C. 553(a)(1)). Immediate requirements. 1. Executive Orders 13563 and 12866 implementation of these amendments direct agencies to assess all costs and fulfills the United States’ international 15 CFR Part 774 benefits of available regulatory obligation to the Wassenaar Exports, Reporting and recordkeeping alternatives and, if regulation is Arrangement on Export Controls for requirements. necessary, to select regulatory Conventional Arms and Dual-Use Goods Accordingly, Parts 740, 743 and 774 approaches that maximize net benefits and Technologies. The Wassenaar of the Export Administration (including potential economic, Arrangement (WA) contributes to Regulations (15 CFR parts 730–774) are environmental, public health and safety international security and regional amended as follows: effects, distributive impacts, and stability by promoting greater equity). Executive Order 13563 responsibility in transfers of PART 740—[AMENDED] emphasizes the importance of conventional arms and dual use goods quantifying both costs and benefits, of and technologies, thus preventing ■ 1. The authority citation for Part 740 reducing costs, of harmonizing rules, destabilizing accumulations of such continues to read as follows:

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Authority: 50 U.S.C. app. 2401 et seq.; 50 2A101 Radial Ball Bearings Having all Supplement No. 1 to Part 774 U.S.C. 1701 et seq.; 22 U.S.C. 7201 et seq.; Tolerances Specified in Accordance With [Amended] E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., ISO 492 Tolerance Class 2 (or ANSI/ABMA p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Std 20 Tolerance Class ABEC-9 or Other ■ 11. Supplement No. 1 to Part 774 (the Comp., p. 783; Notice of August 12, 2010, National Equivalents), or Better and Having all the Following Characteristics (see List of Commerce Control List), Category 6— 75 FR 50681 (August 16, 2010). Items Controlled). Sensors and ‘‘Lasers’’, ECCN 6E001 is amended by: § 740.2 [Amended] License Requirements ■ a. Removing 6A005.a.1, 6A006.g, Reason for Control: MT, AT0 6A006.h, and 6A008.l.3 from paragraph ■ 2. Section 740.2 is amended by (4)(a) of the TSR paragraph in the removing the phrase ‘‘ECCN 2A001’’ Control(s) Country chart License Exceptions section; and and adding in its place ‘‘ECCNs 2A001 ■ MT applies to entire entry MT Column 1. b. Removing the phrase ‘‘6A008.l.3 or 2A101’’ in paragraph (a)(5)(ii). AT applies to entire entry .. AT Column 1. or’’ from paragraph (4)(c) of the TSR paragraph in the License Exceptions § 740.11 [Amended] License Exceptions section. ■ 3. In § 740.11, Supplement No. 1 to LVS: N/A Supplement No. 1 to Part 774 § 740.11 is amended by: GBS: N/A [Amended] CIV: N/A ■ a. Removing ‘‘6A008.l.3,’’ from the List of Items Controlled ■ 12. Supplement No. 1 to Part 774 (the following paragraphs: Unit: $ value Related Controls: See ECCN 2A001. Commerce Control List), Category 6— 1. (a)(1) introductory text; Related Definitions: N/A Sensors and ‘‘Lasers’’, ECCN 6E002 is 2. (a)(1)(vii)(D) and (E); Items: amended by removing 6A005.a.1, a. An inner ring bore diameter between 12 6A006.g, 6A006.h, and 6A008.l.3 from 3. (b)(1) introductory text; and and 50 mm; paragraph (3)(a) of the TSR paragraph in 4. (b)(1)(vii)(D) and (E); and b. An outer ring outside diameter between the License Exceptions section. 25 and 100 mm; and ■ b. Removing ‘‘6A008.l.3 or’’ from c. A width between 10 and 20 mm. Supplement No. 1 to Part 774 paragraphs (a)(1)(vi)(C) and (b)(1)(vi)(C). * * * * * [Amended] PART 743—[AMENDED] Supplement No. 1 to Part 774 ■ 13. In Supplement No. 1 to Part 774 [Amended] (the Commerce Control List), Category ■ 4. The authority citation for Part 743 8—Marine, ECCN 8A002 is amended by ■ 8. In Supplement No. 1 to Part 774 continues to read as follows: removing the double quotes around the (the Commerce Control List), Category 3 term ‘‘Active noise reduction or Authority: 50 U.S.C. app. 2401 et seq.; 50 Electronics, ECCN 3A001, List of Items cancellation systems’’ in paragraph o.3.b U.S.C. 1701 et seq.; E.O. 13222, 66 FR 44025, Controlled section the Items paragraph 3 CFR, 2001 Comp., p. 783; Notice of August and the Technical Note of that is amended by: 12, 2010, 75 FR 50681 (August 16, 2010). ■ a. Removing the phrase ‘‘For the paragraph and adding in its place single ‘multiple channel ADCs’’’ from quotes. § 743.1 [Amended] paragraph 4 of the Technical Notes Dated: June 8, 2011. ■ 5. Section 743.1 is amended by following paragraph a.5.a.5 and adding Bernard Kritzer, removing the notes to paragraph in its place ‘‘For ‘multiple channel Director, Office of Exporter Services. ADCs’ ’’; and [FR Doc. 2011–14667 Filed 6–13–11; 8:45 am] (c)(1)(vi). ■ b. Removing the phrase ‘‘multiple BILLING CODE 3510–33–P PART 774—[AMENDED] ADC converter units’’ from paragraph 9 of the Technical Notes following paragraph a.5.a.5 and adding in its place ■ 6. The authority citation for Part 774 SECURITIES AND EXCHANGE ‘‘multiple ADC units’’. continues to read as follows: COMMISSION Supplement No. 1 to Part 774 Authority: 50 U.S.C. app. 2401 et seq.; 50 [Amended] 17 CFR Part 240 U.S.C. 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C. 7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 et [Release No. 34–64628; File No. S7–10–11] ■ 9. In Supplement No. 1 to Part 774 seq., 22 U.S.C. 6004; 30 U.S.C. 185(s), 185(u); (the Commerce Control List), Category 3 42 U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. RIN 3235–AK98 Electronics, ECCN 3E001, List of Items 1354; 15 U.S.C. 1824a; 50 U.S.C. app. 5; 22 Beneficial Ownership Reporting U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. Controlled section the Items paragraph is amended by removing the Technical Requirements and Security-Based 13026, 61 FR 58767, 3 CFR, 1996 Comp., Swaps p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Note. Comp., p. 783; Notice of August 12, 2010, Supplement No. 1 to Part 774 AGENCY: Securities and Exchange 75 FR 50681 (August 16, 2010). [Amended] Commission. ACTION: Final rule; confirmation. ■ 7. Supplement No. 1 to Part 774 (the ■ 10. Supplement No. 1 to Part 774 (the Commerce Control List), Category 2— Commerce Control List), Category 6— SUMMARY: We are readopting without Materials Processing is amended by Sensors and ‘‘Lasers’’, ECCN 6D001 is change the relevant portions of Rules adding ECCN 2A101, to read as follows: amended by removing the phrase 13d–3 and 16a–1. Readoption of these ‘‘6A008.d, h, k, or 1.3, ’’ and adding in provisions will preserve the application Supplement No. 1 to Part 774—The its place ‘‘6A008.d, h, or k, ’’ in of our existing beneficial ownership Commerce Control List paragraph 3 of the TSR paragraph in the rules to persons who purchase or sell * * * * * License Exceptions section. security-based swaps after the effective

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date of new Section 13(o) of the 1. When the Rules We Readopt Already become possible for an investor to use Securities Exchange Act of 1934. Apply to Persons Who Purchase or Sell a security-based swap to accumulate an Section 13(o) provides that a person Security-Based Swaps influential or control position in a shall be deemed a beneficial owner of 2. If the Rules We Readopt Did Not Already public company without public Apply to Persons Who Purchase or Sell an equity security based on the Security-Based Swaps disclosure. Similarly, a person who purchase or sale of a security-based C. Costs and the Impact on Efficiency, holds a security-based swap that confers swap only to the extent we adopt rules Competition and Capital Formation beneficial ownership of the referenced after making certain determinations 1. When the Rules We Readopt Already equity securities under Section 13 and with respect to the purchase or sale of Apply to Persons Who Purchase or Sell Rule 13d–3, or otherwise conveys such security-based swaps. After making the Security-Based Swaps beneficial ownership through an necessary determinations, we are 2. If the Rules We Readopt Did Not Already understanding or relationship based Apply to Persons Who Purchase or Sell upon the purchase or sale of the readopting the relevant portions of Security-Based Swaps Rules 13d–3 and 16a–1 to confirm that, V. Regulatory Flexibility Act Certification security-based swap, may no longer be following the July 16, 2011 statutory VI. Statutory Authority considered a ten percent holder subject effective date of Section 13(o), persons to Section 16 of the Exchange Act.7 who purchase or sell security-based I. Overview and Background Further, an insider may no longer be swaps will remain within the scope of A. Overview subject to Section 16 reporting and short-swing profit recovery through these rules to the same extent as they Section 766 of the Dodd-Frank Act are now. transactions in security-based swaps amends the Exchange Act by adding that confer a right to receive either the DATES: Effective Date: The effective date Section 13(o), which provides that ‘‘[f]or of this confirmation is July 16, 2011. underlying equity securities or cash. In purposes of this section and section 16, addition, private parties may have FOR FURTHER INFORMATION CONTACT: a person shall be deemed to acquire Nicholas Panos, Senior Special Counsel, difficulty making, or exercising private beneficial ownership of an equity rights of action to seek to have made, at (202) 551–3440, or Anne Krauskopf, security based on the purchase or sale Senior Special Counsel, at (202) 551– determinations of beneficial ownership of a security-based swap, only to the arising from the purchase or sale of a 3500, Division of Corporation Finance, extent that the Commission, by rule, U.S. Securities and Exchange security-based swap. determines after consultation with the On March 17, 2011, we proposed to Commission, 100 F Street, NE., prudential regulators and the Secretary readopt the portions of Rules 13d–3 and Washington, DC 20549–3628. of the Treasury, that the purchase or 16a–1(a) that relate to determinations of SUPPLEMENTARY INFORMATION: We are sale of the security-based swap, or class beneficial ownership as they pertain to readopting without change portions of of security-based swap, provides persons who use security-based swaps.8 1 2 Rules 13d–3 and 16a–1 under the incidents of ownership comparable to To preserve the application of our Securities Exchange Act of 1934 direct ownership of the equity security, beneficial ownership rules to persons (‘‘Exchange Act’’).3 and that it is necessary to achieve the who purchase or sell security-based Table of Contents purposes of this section that the swaps after the effective date of Section purchase or sale of the security-based 13(o), we proposed to readopt without I. Overview and Background swaps, or class of security-based swap, change the relevant portions of Rules A. Overview be deemed the acquisition of beneficial B. Sections 13(d) and 13(g) and Rule 13d– 13d–3 and 16a–1. Readoption of the ownership of the equity security.’’ existing rules was proposed in order to 36 4 C. Application of the Section 13 Beneficial Section 766 and Section 13(o) become ensure their continued application by Ownership Regulatory Provisions to effective on July 16, 2011.5 the Commission on the same basis that Persons Who Purchase or Sell Security- The reason for this rulemaking, as they currently apply to persons who use Based Swaps discussed in more detail below, is to security-based swaps.9 While this D. Section 16 and Rules 16a–1(a)(1) and preserve the existing scope of our rules 16a–1(a)(2) relating to beneficial ownership after ‘‘security-based swap,’’ and ‘‘security-based swap E. Application of the Section 16 Beneficial Section 766 of the Dodd-Frank Act agreement,’’ and regulations regarding mixed swaps Ownership Regulatory Provisions to becomes effective. Absent rulemaking also are expected to be the subject of a separate Holdings and Transactions in Security- rulemaking by the Commission and the CFTC. In Based Swaps under Section 13(o), Section 766 may be addition, Section 721(c) and 761(b) of the Dodd- II. Discussion of the Readopted Rules and interpreted to render the beneficial Frank Act provide the CFTC and the Commission Commission Confirmation ownership determinations made under with the authority to define the terms ‘‘swap’’ and A. Beneficial Ownership Determinations Rule 13d–3 inapplicable to a person ‘‘security-based swap,’’ among other terms, to Under Section 13 include transactions that have been structured to who purchases or sells a security-based evade the requirements of subtitles A and B of Title 1. Rule 13d–3(a) swap.6 In that circumstance, it could 2. Rule 13d–3(b) VII, respectively, of the Dodd-Frank Act. To assist the Commission and the CFTC in further defining 3. Rule 13d–3(d)(1) 4 Public Law 111–203, 124 Stat. 1797. the terms specified above, the Commission and the B. Section 16 Beneficial Ownership Rules 5 See Section 774 of the Dodd-Frank Act, Public CFTC have sought comment from interested parties. 1. Rule 16a–1(a)(1) Law 111–203, 124 Stat 1376 (2010), which states See Definitions Contained in Title VII of Dodd- 2. Rule 16a–1(a)(2) that Section 766 becomes effective ‘‘360 Days after Frank Wall Street Reform and Consumer Protection III. Paperwork Reduction Act the date of enactment.’’ Act, Release No. 34–62717 (Aug. 13, 2010) [75 FR A. Background 6 A ‘‘security-based swap’’ is defined in Section 51429] (advance joint notice of proposed B. Burden and Cost Estimates Related to 3(a)(68) [15 U.S.C. 78c(a)(68), added by Section rulemaking regarding definitions); See also Further the Readoption 761(a) of the Dodd-Frank Act]. Section 712(d) of the Definition of ‘‘Swap,’’ ‘‘Security-Based Swap,’’ and IV. Economic Analysis Dodd-Frank Act provides that the Commission and ‘‘Security-Based Swap Agreement’’; Mixed Swaps; A. Introduction the Commodity Futures Trading Commission Security-Based Swap Agreement Recordkeeping, (‘‘CFTC’’), in consultation with the Board of Release No. 34–64372 (Apr. 29, 2011) [76 FR 29818] B. Benefits and the Impact on Efficiency, (proposing product definitions for swaps). Competition and Capital Formation Governors of the Federal Reserve System (‘‘Federal Reserve’’), shall jointly further define, among 7 15 U.S.C. 78p. others, the terms ‘‘swap,’’ ‘‘security-based swap,’’ 8 See Release No. 34–64087 (March 17, 2011) [76 1 17 CFR 240.13d–3. and ‘‘security-based swap agreement.’’ These terms FR 15874] (the ‘‘Proposing Release’’). 2 17 CFR 240.16a–1. are defined in Sections 721 and 761 of the Dodd- 9 In addition, the readoption of the relevant 3 15 U.S.C. 78a et seq. Frank Act. The definitions of the terms ‘‘swap,’’ portions of Rules 13d–3 and 16a–1(a) is neither

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rulemaking is only intended to preserve Application of the standards within holding significant positions in public the existing application of the beneficial Rule 13d–3 allows for case-by-case companies, such as the identity of the ownership rules as they relate to determinations as to whether a person is beneficial owners, the amount of security-based swaps, our staff is or becomes a beneficial owner, beneficial ownership, the existence of a engaged in a separate project to develop including a person who uses a security- beneficial owner group, and in the case proposals to modernize reporting under based swap. of persons who file a Schedule 13D, Exchange Act Sections 13(d) 10 and If beneficial ownership, as determined plans or proposals regarding the issuer. 13(g).11 in accordance with Rule 13d–3, exceeds The disclosures made in Schedules 13D We received five comment letters, all the designated thresholds, beneficial and 13G have been viewed as of which supported the proposal to owners are required to provide specified contributing to the information available readopt the relevant provisions of our disclosures. The disclosures are to help investors make fully informed rules. The commentators believed that intended to be required of persons who investment decisions with respect to the proposal, if adopted, would meet have the potential to influence or gain their securities.20 An additional our objective of preserving the control of the issuer.15 Specifically, regulatory objective served by these regulatory status quo.12 Consistent with Section 13(d) and the rules thereunder disclosures is to provide management of the proposal, we are readopting without require that a person file with the the issuer with information to change the relevant portions of Rules Commission, within ten days after ‘‘appropriately protect the interests of 13d–3 and 16a–1. acquiring, directly or indirectly, its security holders.’’ 21 In enacting the beneficial ownership of more than five B. Sections 13(d) and 13(g) and Rule original Section 13(d) legislation, percent of a class of equity securities, a 13d–3 Congress made clear that it intended to disclosure statement on Schedule avoid ‘‘tipping the balance of regulation Sections 13(d) and 13(g) require a 13D,16 subject to certain exceptions.17 either in favor of management or in person who is the beneficial owner of Section 13(g) and the rules thereunder favor of the person [potentially] making more than five percent of certain equity enable certain persons who are the the takeover bid.’’ 22 In addition to securities 13 to disclose information beneficial owners of more than five providing information to issuers and relating to such beneficial ownership. percent of a class of certain equity security holders, Section 13(d) was While these statutory sections do not securities to instead file a short form adopted with a view toward alerting define the term ‘‘beneficial owner,’’ the Schedule 13G,18 assuming certain ‘‘the marketplace to every large, rapid Commission has adopted rules that conditions have been met.19 These aggregation or accumulation of determine the circumstances under statutory provisions and corresponding securities, regardless of technique which a person is or may be deemed to rules also impose obligations on employed, which might represent a be a beneficial owner. In order to beneficial owners to report changes in potential shift in corporate control.’’ 23 provide objective standards for the information filed. determining when a person is or may be The beneficial ownership disclosure 20 See Computer Network Corp. v. Spohler [1982 deemed to be a beneficial owner subject requirements of Schedules 13D and 13G Transfer Binder] Fed Sec. L. Rep (CCH) ¶ 98,623 at to Section 13(d), the Commission were designed to provide disclosures to 93,087 (D.D.C. March 23, 1982). See also, San 14 Francisco Real Estate Investors v. REIT of America, adopted Exchange Act Rule 13d–3. security holders regarding persons [1982 Transfer Binder] Fed. Sec. L. Rep. (CCH) ¶ 98,874, at 94,557 (D. Mass. Nov. 19, 1982), aff’d intended nor expected to change any existing 15 S. Rep. No. 550, at 7 (1967); H.R. Rep. No. 1711, in part, rev’d in part 701 F.2d 1000 (1st Cir. 1983). administrative or judicial application or at 8 (1968); Full Disclosure of Corporate Equity The Commission also has recognized that Section interpretation of the rules. Ownership and in Corporate Takeover Bids, 13(d) was enacted primarily to provide ‘‘adequate 10 15 U.S.C. 78m(d). Hearings on S. 510 before the S. Banking and disclosure to stockholders in connection with any 11 15 U.S.C. 78m(g). Currency Comm., 90th Cong. 16 (1967) (‘‘The bill substantial acquisition of securities within a 12 The comment letters were submitted by the now before you has a much closer relationship to relatively short time.’’ Adoption of Beneficial Business Law Section of the American Bar existing provisions of the Exchange Act regulating Ownership Disclosure Requirements, Release No. Association (Federal Regulation of Securities solicitation of proxies, since acquisitions of blocks 34–13291, (Feb. 24, 1977) [42 FR 12342] citing S. Committee), the American Business Conference, the of voting securities are typically alternatives to Rep. No. 550, at 7 (1967). Managed Funds Association, Chris Barnard, and the proxy solicitations, as methods of capturing or 21 H.R. Rep. No. 1655, at 3 (1970); see, e.g., law firm of Wachtell, Lipton, Rosen & Katz, which preserving control.’’); Takeover Bids, Hearings on Additional Consumer Protection in Corporate described this action as ‘‘both timely and H.R. 14475 and S. 510 before the Subcomm. on Takeovers and Increasing the Sec. Act Exemptions necessary.’’ The commentators also provided their Commerce and Fin. of the H. Comm. on Interstate for Small Businessmen, Hearing Before the Sec. views on possible future rulemaking to modernize and Foreign Commerce, 90th Cong. (1968). Subcomm. of the S. Banking and Currency Comm. reporting under Exchange Act Sections 13(d) and 16 17 CFR 240.13d–101. on S. 336 and S. 343, 91st Cong. (1970). See also 13(g). 17 See Section 13(d)(6) and Rule 13d–1(b) and (d). Bath Indus. v. Blot, 427 F.2d 97, 113 (7th Cir. 1970). 13 Section 13(d)(1) applies to any equity security 18 17 CFR 240.13d–102. Disclosures made in compliance with Sections of a class that is registered pursuant to Section 12 19 See Amendments to Beneficial Ownership 13(d) and 13(g) also provide issuers that file of the Exchange Act, any equity security issued by Reporting Requirements, Release No. 34–39538 registration statements, annual reports, proxy a ‘‘native corporation’’ pursuant to Section 37(d)(6) (Jan. 12, 1998) [63 FR 2854] for a description of the statements and other disclosure documents with the of the Alaska Native Claims Settlement Act, and types of persons eligible to file a Schedule 13G. The information they use to disclose all beneficial any equity security described in Exchange Act Rule investors eligible to report beneficial ownership on owners of more than five percent of certain classes 13d–1(i) [17 CFR 240.13d–1(i)]. Rule 13d–1(i) Schedule 13G are commonly referred to as qualified of the issuer’s equity securities as required by Item explains that for purposes of Regulation 13D–G, institutional investors under Rule 13d–1(b), passive 403 of Regulation S–K. [17 CFR 229.403]. See ‘‘the term ‘equity security’ means any equity investors under Rule 13d–1(c), and exempt generally H.R. Rep. No. 1655. security of a class which is registered pursuant to investors under Rule 13d–1(d). Unlike Section 22 H.R. Rep. No. 1711, at 4 (1968); S. Rep. No. 550, section 12 of that Act, or any equity security of any 13(d), Section 13(g) applies regardless of whether at 3 (1968). Both the House and Senate reports insurance company which would have been beneficial ownership has been ‘‘acquir[ed]’’ within emphasized that Section 13(d) was enacted ‘‘to required to be so registered except for the the meaning of Section 13(d) or is viewed as not require full and fair disclosure for the benefit of exemption contained in section 12(g)(2)(G) of the having been acquired for purposes of Section 13(d). investors while at the same time providing the Act, or any equity security issued by a closed-end For example, persons who obtain all their securities offeror and management equal opportunity to fairly investment company registered under the before the issuer registers the subject securities present their case.’’ Investment Company Act of 1940; Provided, Such under the Exchange Act are not subject to Section 23 GAF Corp. v. Milstein, 453 F.2d 709, 717 (2d. term shall not include securities of a class of non- 13(d) and persons who acquire not more than two Cir. 1971), cert. denied, 406 U.S. 910 (1972), cited voting securities.’’ percent of a class of subject securities within a 12- by the Commission at note 16 in the following 14 Adoption of Beneficial Ownership Disclosure month period are exempt from Section 13(d) by administrative proceeding: In the Matter of Harvey Requirements, Release No. 34–13291 (Feb. 24, 1977) Section 13(d)(6)(B), but in both cases are subject to Katz, Release No. 34–20893 (April 25, 1984). A [42 FR 12342]. Section 13(g). Continued

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On the basis of the information First, under Rule 13d–3(a), to the about securities transactions and disclosed, the market would ‘‘value the extent a security-based swap provides a holdings of every person who is the shares accordingly’’ 24 due to the person, directly or indirectly, with beneficial owner of more than ten increased prospects for price exclusive or shared voting and/or percent of a class of equity security discovery.25 investment power over the equity registered under Exchange Act Section security through a contractual term of 12 29 (‘‘ten percent holder’’), and each C. Application of the Section 13 the security-based swap or otherwise, officer and director (collectively, Beneficial Ownership Regulatory the person becomes a beneficial owner ‘‘insiders’’) of the issuer of such a Provisions to Persons Who Purchase or of that equity security. Under Rule 13d– security, and to deter such insiders from Sell Security-Based Swaps 3(a), a person may become a beneficial profiting from short-term trading in As noted above, the term ‘‘security- owner even though the person has not issuer securities while in possession of based swap’’ is defined in Section acquired the equity security.28 material, non-public information. Upon 3(a)(68) of the Exchange Act.26 As Second, Rule 13d–3(b) generally becoming an insider, or upon Section 12 explained in more detail below, in cases provides that a person is deemed to be registration of the class of equity where a security-based swap confers a beneficial owner if that person uses security, Section 16(a) 30 requires an voting and/or investment power (or a any contract, arrangement, or device as insider to file an initial report with the person otherwise acquires such power part of a plan or scheme to evade the Commission disclosing his or her based on the purchase or sale of a beneficial ownership reporting beneficial ownership of all equity security-based swap), grants a right to requirements. To the extent a security- securities of the issuer.31 Section 16(a) acquire an equity security, or is used based swap is used with the purpose or also requires insiders to report with the purpose or effect of divesting effect of divesting a person of beneficial subsequent changes in such or preventing the vesting of beneficial ownership or preventing the vesting of ownership.32 To prevent misuse of ownership as part of a plan or scheme beneficial ownership as part of a plan or inside information by insiders, Section to evade the reporting requirements, our scheme to evade Sections 13(d) or 13(g), 16(b) 33 provides the issuer (or existing regulatory regime may require the security-based swap may be viewed shareholders suing on the issuer’s the reporting of beneficial ownership.27 as a contract, arrangement or device behalf) a strict liability private right of within the meaning of those terms as action to recover any profit realized by measure of what Congress considered to be large used in Rule 13d–3(b). A person using an insider from any purchase and sale and rapid acquisitions is Section 13(d)(6)(B), which a security-based swap, therefore, may be (or sale and purchase) of any equity exempts acquisitions of two percent or less in the deemed a beneficial owner under Rule security of the issuer within a period of preceding twelve months. 34 24 General Aircraft Corp. v. Lampert, 556 F.2d 90, 13d–3(b) in this context. less than six months. 94 (1st Cir. 1977); see also S. Rep. No. 550, at 3 Finally, under Rule 13d–3(d)(1), a As applied to ten percent holders, (‘‘But where no information is available about the person is deemed a beneficial owner of Congress intended Section 16 to reach persons seeking control, or their plans, the an equity security if the person has a persons presumed to have access to shareholder is forced to make a decision on the information because they can influence basis of a market price which reflects an evaluation right to acquire the equity security of the company based on the assumption that the within 60 days or holds the right with or control the issuer as a result of their present management and its policies will continue. the purpose or effect of changing or equity ownership.35 Because Section The persons seeking control, however, have influencing control of the issuer of the 13(d) specifically addresses these information about themselves and about their plans relationships, the Commission adopted which, if known to investors, might substantially security for which the right is change the assumptions on which the market price exercisable, regardless of whether the Rule 16a–1(a)(1) to define ten percent is based.’’). right to acquire originates in a security- holders under Section 16 as persons 25 Takeover Bids, Hearings on 14475 and S. 510 based swap or an understanding in deemed ten percent beneficial owners before the Subcomm. on Commerce and Fin. of the connection with a security-based swap. under Section 13(d) and the rules H. Comm. on Interstate and Foreign Commerce, thereunder.36 The Section 13(d) 90th Cong. 12 (1968) (statement of Hon. Manuel F. This type of right to acquire an equity Cohen, Chairman, U.S. Securities and Exchange security, if obtained through the analysis, such as counting beneficial Commission, ‘‘But I might ask, how can an investor purchase or sale of a security-based ownership of the equity securities evaluate the adequacy of the price if he cannot swap, is treated the same as any other underlying derivative securities assess the possible impact of a change in control? right to acquire an equity security. exercisable or convertible within 60 Certainly without such information he cannot judge 37 its adequacy by the current or recent market price. Acquisition of such a right, regardless of days, is imported into the ten percent That price presumably reflects the assumption that its origin, results in a person being holder determination for Section 16 the company’s present business, control and deemed a beneficial owner under Rule purposes. The application of Rule 16a– management will continue. If that assumption is 13d–3(d)(1). 1(a)(1) is straightforward; if a person is changed, is it not likely that the market price might a ten percent beneficial owner as change?’’). D. Section 16 and Rules 16a–1(a)(1) and 26 See note 6 above. determined pursuant to Section 13(d) 27 Except with respect to the discussion of Section 16a–1(a)(2) 16 (text accompanying notes 45–47), and the Section 16 was designed both to 29 15 U.S.C. 78l. statements contained in note 54, this release does provide the public with information 30 15 U.S.C. 78p(a). not address whether, or under what circumstances, 31 Insiders file these reports on Form 3 [17 CFR an agreement, contract, or transaction that is labeled 249.103]. securities on a fixed or contingent basis, unless the a security-based swap (including one which confers 32 Insiders file transaction reports on Form 4 [17 agreement, contract, or transaction predicates the voting and/or investment power, grants a right to CFR 249.104] and Form 5 [17 CFR 249.105]. acquire one or more equity securities, or is used purchase or sale on the occurrence of a bona fide 33 15 U.S.C. 78p(b). with the purpose or effect of divesting or preventing contingency that might reasonably be expected to 34 the vesting of beneficial ownership as part of a plan affect or be affected by the creditworthiness of a In addition, insiders are subject to the short or scheme to evade the beneficial ownership party other than a party to the agreement, contract, sale prohibitions of Section 16(c) [15 U.S.C. 78p(c)]. reporting requirements) would be a purchase or sale or transaction. See Sections 1a(47)(B)(v) and (vi) of 35 See S. Rep. No. 1455, at 55, 68 (1934); See also of the underlying securit(ies) and treated as such for the Commodity Exchange Act, 7 U.S.C. 1a(47)(B)(v) S. Rep. No. 792, at 20–1 (1934); S. Rep. No. 379, purposes of the Federal securities laws, instead of and (vi). at 21–2 (1963). a security-based swap. In this regard, among other 28 Exchange Act Section 13(d)(1) applies after a 36 Ownership Reports and Trading By Officers, things, the definition of ‘‘swap’’ (and therefore the person directly or indirectly acquires beneficial Directors and Principal Security Holders, Release definition of ‘‘security-based swap’’) specifically ownership, regardless of whether the person has No. 34–28869 (Feb. 21, 1991) [56 FR 7242]. excludes the purchase or sale of one or more made an acquisition of the equity securities. 37 Rule 13d–3(d).

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and the rules thereunder, the person is equity security.43 Just as an insider’s E. Application of the Section 16 deemed a ten percent holder under opportunity to profit begins upon Beneficial Ownership Regulatory Section 16.38 purchasing or selling issuer common Provisions to Holdings and Transactions For purposes of Section 16(a) stock, the opportunity to profit begins in Security-Based Swaps reporting obligations and Section 16(b) when an insider engages in transactions As described above, solely for short-swing profit recovery, Rule 16a– in derivative securities that provide an purposes of determining who is subject opportunity to obtain or dispose of the 1(a)(2) uses a different definition of to Section 16 as a ten percent holder, stock at a fixed price.44 Establishing or ‘‘beneficial owner.’’ Once a person is Rule 16a–1(a)(1) uses the beneficial increasing a call equivalent position 45 subject to Section 16, for reporting and ownership tests applied under Section (or liquidating or decreasing a put 13(d) and its implementing rules, profit recovery purposes, Rule 16a– equivalent position 46) is deemed a 1(a)(2) defines ‘‘beneficial owner’’ based including Rules 13d–3(a), 13d–3(b), and purchase of the underlying security, and Rule 13d–3(d)(1). As a result, for on whether the person has or shares a establishing or increasing a put direct or indirect pecuniary interest in example, a person who has the right to equivalent position (or liquidating or acquire securities that would cause the the securities. A ‘‘pecuniary interest’’ in decreasing a call equivalent position) is any class of equity securities means ‘‘the person to own more than ten percent of deemed a sale of the underlying a class of equity securities through a opportunity, directly or indirectly, to security.47 security-based swap that confers a right profit or share in any profit derived Rule 16a–1(a)(2) and the related rules to receive equity at settlement or from a transaction in the subject described above recognize the securities.’’ 39 An ‘‘indirect pecuniary functional equivalence of derivative otherwise would be subject to Section interest’’ in any class of equity securities securities and the underlying equity 16 as a ten percent holder under Rule includes, but is not limited to ‘‘a securities by providing that transactions 16a–1(a)(1). Once a person is subject to person’s right to acquire equity in derivative securities are reportable, Section 16, in order to determine what securities through the exercise or and matchable with transactions in securities are subject to Section 16(a) reporting and Section 16(b) short-swing conversion of any derivative security, other derivative securities and in the profit recovery for any insider (whether whether or not presently exercisable.’’ 40 underlying equity.48 For example, short- an officer, director or ten percent ‘‘Derivative securities’’ are ‘‘any option, swing profits obtained by buying call holder), Rule 16a–1(a)(2) looks to the warrant, convertible security, stock options and selling the underlying insider’s pecuniary interest (i.e., appreciation right, or similar right with stock, or buying the underlying stock opportunity to profit) in the securities. an exercise or conversion privilege at a and buying put options, are recoverable. This concept includes an indirect price related to an equity security, or This functional equivalence extends to pecuniary interest in securities similar securities with a value derived all fixed-price derivative securities, whether issued by the issuer or a third underlying fixed-price derivative from the value of an equity security, but securities, including security-based shall not include [* * *] rights with an party, and whether the form of settlement is cash or stock.49 swaps, whether settled in cash or stock. exercise or conversion privilege at a Consistent with the derivative securities price that is not fixed.’’ 41 Equity 43 analysis, the Commission has stated that securities of an issuer are ‘‘any equity For example, the Futures Interpretive Release, at Q&A Nos. 8–13, explains the status of a security Section 16 consequences would arise security or derivative security relating to future as a derivative security for purposes of from an equity swap transaction where an issuer, whether or not issued by that Section 16(a) reporting and Section 16(b) short- either party to the transaction is a issuer.’’ 42 swing profit recovery. 44 Ownership Reports and Trading By Officers, Section 16 insider with respect to a This framework recognizes that Directors and Principal Security Holders, Release security to which the swap agreement holding derivative securities is No. 34–28869, at Section III.A (Feb. 21, 1991) [56 relates.50 The Commission has provided functionally equivalent to holding the FR 7242]. interpretive guidance regarding how 45 Rule 16a–1(b) provides that a ‘‘call equivalent underlying equity securities for Section position’’ is ‘‘a derivative security position that equity swap transactions should be 16 purposes because the value of the increases in value as the value of the underlying reported,51 and adopted transaction derivative securities is a function of or equity security increases, including, but not limited related to the value of the underlying to, a long convertible security, a long call option, employment.’’ As a corollary to adopting a broader and a short put option position.’’ Rule 16b–3 exemption, the Commission rescinded 46 Rule 16a–1(h) provides that a ‘‘put equivalent former Rule 16a–1(c)(3) in 1996, stating that 38 For example, the Commission applied an position’’ is ‘‘a derivative security position that ‘‘because the opportunity for profit based on price analysis derived from Rule 13d–3(d)(1) in increases in value as the value of the underlying movement in the underlying stock embodied in a publishing its views regarding when equity equity decreases, including, but not limited to, a cash-only instrument is the same as for an securities underlying a security future that requires long put option and a short call option.’’ instrument settled in stock, cash-only instruments physical settlement should be counted for purposes 47 Rule 16b–6(a). should be subject to Section 16 to the same extent of determining whether the purchaser of the 48 Rule 16b–6(b) generally exempts from Section as other issuer equity securities.’’ Ownership security future is subject to Section 16 as a ten 16(b) short-swing profit recovery the exercise or Reports and Trading by Officers, Directors and percent holder by operation of Rule 16a–1(a)(1). conversion of a fixed-price derivative security, Principal Security Holders, Release No. 34–37260, Commission Guidance on the Application of provided that it is not out-of-the-money. Rule 16b– at Section III.A (May 31, 1996) [61 FR 30376]. Certain Provisions of the Securities Act of 1933, the 6(c) provides guidance for determining short-swing 50 Ownership Reports and Trading by Officers, Securities Exchange Act of 1934, and Rules profit recoverable from transactions involving the Directors and Principal Security Holders, Release thereunder to Trading in Security Futures Products, purchase and sale or sale and purchase of derivative No. 34–34514, at Section III.G (Aug. 10, 1994) [59 Release No. 34–46101 (June 21, 2002) [67 FR 43234] and other securities. FR 42449]; Ownership Reports and Trading by (‘‘Futures Interpretive Release’’) at Q 7. 49 Former Rule 16a–1(c)(3), adopted in Release Officers, Directors and Principal Security Holders, 39 Rule 16a–1(a)(2)(i). No. 34–28869, excluded from the definition of Release No. 34–37260, at Section IV.H (May 31, 40 Rule 16a–1(a)(2)(ii)(F). ‘‘derivative securities’’ ‘‘securities that may be 1996) [61 FR 30376]. 41 Rule 16a–1(c)(6). redeemed or exercised only for cash and do not 51 Each report must provide the following 42 Rule 16a–1(d). Further, Rule 16a–4(a) [17 CFR permit the receipt of equity securities in lieu of information: (1) The date of the transaction; (2) the 240.16a–4(a)] provides that for purposes of Section cash, if the securities either: (i) Are awarded term; (3) the number of underlying shares; (4) the 16, both derivative securities and the underlying pursuant to an employee benefit plan satisfying the exercise price (i.e., the dollar value locked in); (5) securities to which they relate are deemed to be the provisions of [former] § 240.16b–3(c); or (ii) may be the non-exempt disposition (acquisition) of shares same class of equity securities, except that the redeemed or exercised only upon a fixed date or at the outset of the term; (6) the non-exempt acquisition or disposition of any derivative security dates at least six months after award, or upon death, acquisition (disposition) of shares at the end of the must be separately reported. retirement, disability or termination of Continued

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code ‘‘K’’ to be used in addition to any determinations of beneficial ownership A. Beneficial Ownership Determinations other applicable code in reporting that they do today. Readoption of these Under Section 13 equity swap and similar transactions so rule provisions is intended to confirm Section 13(o) provides that a person 52 that they can be easily identified. An that persons who use security-based shall be deemed to acquire beneficial equity swap involving a single security, swaps remain subject to the Section ownership of an equity security based or a narrow-based security index, is a 13(d), Section 13(g) and Section 16 on the purchase or sale of a security- security-based swap as defined in regulatory regimes to the same extent based swap only to the extent that the Section 3(a)(68). such persons were prior to readoption. Commission meets certain conditions II. Discussion of the Readopted Rules Moreover, the rulemaking is designed to and adopts a rule. Although readoption and Commission Confirmation preserve the private right of action of Rule 13d–3(a), Rule 13d–3(b), and provided by Section 16(b) and not Rule 13d–3(d)(1) is being made in part New Section 13(o) provides that a disturb any other existing right of pursuant to Section 13(o), we are not person shall be deemed a beneficial action. making any revision to the existing rule owner of an equity security based on the Section 13(o), once effective, will not text. The rules we are readopting are the purchase or sale of a security-based render the existing beneficial ownership same as the existing rules in all respects. swap only to the extent we adopt rules regulatory provisions inapplicable to after making certain determinations persons who obtain beneficial 1. Rule 13d–3(a) with respect to security-based swaps ownership independently from a We are readopting without change and consulting with the prudential security-based swap. For example, Rule Rule 13d–3(a) to address any regulators and the Secretary of the 13d–3(d)(1) will continue to apply to uncertainty with regard to the Treasury. The regulatory provisions persons who obtain a right to acquire application of Rule 13d–3(a) to a person under which beneficial ownership equity securities if the right does not who purchases or sells a security-based determinations have been made to date arise from the purchase or sale of a swap. Under readopted Rule 13d–3(a), a with respect to security-based swaps security-based swap. Rights, options, determination may continue to be made were enacted or adopted before Section warrants, or conversion or certain that a beneficial owner of equity 13(o). Accordingly, we are readopting revocation privileges, if acquired or held securities includes any person who, the relevant portions of Rules 13d–3 and by persons under circumstances that do directly or indirectly, through any 16a–1 following consultation with the not arise from the purchase or sale of a contract, arrangement, understanding, prudential regulators and the Secretary security-based swap, will remain subject relationship or otherwise, has or shares of Treasury to assure that these to Sections 13(d), 13(g) and 16 and may voting power and/or investment power provisions continue to apply to a person continue to be treated under Rule 13d– over the securities based on the who purchases or sells a security-based 3(d)(1) as the acquisition of beneficial purchase or sale of a security-based swap upon effectiveness of Section ownership,54 and Rules 16a–1(a)(1) and swap. 13(o). Following consultation with the The purpose of this rulemaking is 16a–1(a)(2) will continue to apply. Furthermore, Schedule 13D will prudential regulators 56 and the solely to preserve the regulatory status Secretary of the Treasury, we believe quo and provide the certainty and continue to require certain disclosures relating to the purchase or sale of that: protection that market participants have • A person’s possession of voting come to expect with the existing security-based swaps notwithstanding Section 13(o).55 and/or investment power in an equity disclosures required by the rules security based on the purchase or sale promulgated under Sections 13(d), 13(g) 54 These rights to acquire beneficial ownership of a security-based swap is no different and 16(a). While the use of security- are not security-based swaps within the meaning of from voting or investment power in an based swaps has not been frequently Section 13(o); rather, they are purchases and sales equity security that exists disclosed in Schedule 13D and 13G of securities. In this regard, the definition of ‘‘swap’’ in Section 721 of the Dodd-Frank Act (and therefore independently from a security-based filings, we are readopting Rules 13d– swap when (1) a security-based swap 3(a), (b) and (d)(1) and the relevant the definition of ‘‘security-based swap’’) excludes purchases and sales of securities, whether on a confers, or (2) an arrangement, portions of Rules 16a–1(a)(1) and (a)(2) fixed or contingent basis. Under the Dodd-Frank understanding or relationship based on to further the policy objectives of, and Act, the term ‘‘security’’ is as defined in the the purchase or sale of the security- foster compliance with, these rules Securities Act and the Exchange Act, which based swap conveys, voting and/or upon the effectiveness of Section 13(o). includes options, warrants, and rights to subscribe to or purchase a security and any convertible investment power in an equity security. Given the language in Section 13(o), securities as well as the securities issuable upon as well as the newly amended Sections Security-based swaps therefore can exercise or conversion of such securities. In provide incidents of ownership 13(d) and 13(g),53 we are readopting addition, Section 721 of the Dodd-Frank Act these rules to remove any doubt that excludes from the definition of ‘‘swap’’ any put, comparable to direct ownership of the they will continue to allow for the same call, straddle, option or privilege on any security, underlying equity security within the certificate of deposit, or group or index of meaning of Section 13(o) to the extent securities, including any interest therein or based term (and at such earlier dates, if any, where events on the value thereof, that is subject to the Securities that the security-based swap confers, or under the equity swap cause a change in a call or Act of 1933 and the Exchange Act. Furthermore, put equivalent position); (7) the total number of Section 13(o) does not affect the treatment of swap’s terms. In addition, beneficial owners who shares held after the transaction; and (8) any other ‘‘security-based swap agreements’’ as defined in the file a Schedule 13G pursuant to Rule 13d–1(b) or material terms. Release No. 34–37260, at Section Dodd-Frank Act. For example, Section 762(d)(5) of otherwise rely upon Rule 13d–1(b) to govern a IV.H. the Dodd-Frank Act clarifies that Section 16 future reporting obligation may be required to make 52 General Instruction 8 to Form 4 [17 CFR continues to apply to security-based swap disclosures on Schedule 13D instead of based upon 249.104] (U.S. SEC 1475 (08–07)) and Form 5 [17 agreements. their purchase or sale of a security-based swap. See CFR 249.105] (U.S. SEC 2270 (1–05)), as amended 55 For example, beneficial owners who file a In the Matter of Perry Corp., Release No. 34–60351 in Release No. 34–37260, at Section IV.I. Schedule 13D and use a security-based swap will (July 21, 2009). 53 See Section 766(b) of the Dodd-Frank Act, remain subject to the obligation to comply with 56 Our staff has consulted with the Federal which amends Sections 13(d) and 13(g) to provide Items 6 (‘‘Contracts, Arrangements, Understandings Reserve, the Office of the Comptroller of the that a person ‘‘becomes or is deemed to become a or Relationships With Respect to Securities of the Currency, the Farm Credit Administration, the beneficial owner * * * upon the purchase or sale Issuer’’) and 7 (‘‘Material To Be Filed as Exhibits’’) Federal Housing Finance Agency, and the Federal of a security-based swap that the Commission may and provide disclosures relating to the security- Deposit Insurance Corporation. Our staff also define by rule * * *.’’ based swap depending upon the security-based consulted with the CFTC.

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an arrangement, understanding or contract, arrangement or device that August 30, 1968,57 approximately one relationship based upon the purchase or exists independently from a security- month after Congress enacted Section sale of the security-based swap conveys, based swap. In this context, a person 13(d).58 The Commission also has voting and/or investment power in an would be deemed to have beneficial treated futures contracts for equity equity security; and ownership, and thus incidents of securities the same as options, warrants, • Retaining the existing regulatory ownership comparable to direct or rights for purposes of determining treatment of security-based swaps in ownership within the meaning of beneficial ownership.59 When a right to Rule 13d–3(a) is necessary to achieve Section 13(o), but for the plan or scheme acquire may be exercised within 60 days the purpose of Section 13 so that based in whole or in part upon the or less, or if a right has been acquired Sections 13(d) and 13(g) continue to purchase or sale of a security-based for the purpose or with the effect of require the filing of beneficial swap; and changing or influencing control of the ownership reports that produce • Retaining the existing regulatory issuer of securities, we believe that disclosure by persons who have the treatment of security-based swaps in treating the holder of the right as if the ability or potential to change or Rule 13d–3(b) is necessary to achieve person is a beneficial owner under Rule influence control of the issuer. In the purpose of Section 13 so that 13d–3(d)(1) is necessary to achieve the addition, these persons may have the Sections 13(d) and 13(g) continue to regulatory purpose of Section 13 given means to acquire significant amounts of require the filing of beneficial the person’s potential to influence or equity securities wholly or partly based ownership reports that produce change control of the issuer.60 upon the purchase or sale of a security- disclosure by persons who have the Following consultation with the based swap. As a result, these persons ability or potential to change or prudential regulators and the Secretary may have the potential to effect a influence control of the issuer. In of the Treasury, we believe that: change of control transaction or addition, these persons may have the • A person’s right to acquire an preserve or influence control of an means to acquire significant amounts of equity security within 60 days based on issuer. In the case of Schedule 13D equity securities based in whole or in the purchase or sale of a security-based filers, these persons would be required part upon the purchase or sale of a swap is no different from a right to to disclose their plans or proposals. security-based swap, and therefore the acquire the underlying equity security Disclosures made in beneficial potential to effect a change of control that exists independently from a ownership reports are in the public transaction or preserve or influence security-based swap. A right to acquire interest and necessary for the protection control of an issuer. In the case of an equity security within 60 days is of investors because they provide Schedule 13D filers, these persons comparable to direct ownership of the information about certain transactions would be required to disclose their equity security because direct and related acquisitions of beneficial plans or proposals. Disclosures made in ownership is contingent, in some cases, ownership that: Could disclose a beneficial ownership reports are in the only upon the exercise of that right and potential shift in corporate control; public interest and necessary for the may result in the potential to change or impact the transparency and efficiency protection of investors because they influence control of the issuer upon of our capital markets; and contribute to provide information about certain acquisition of the equity security for price discovery. transactions and related acquisitions of which the right is exercisable. Security- beneficial ownership that: Could 2. Rule 13d–3(b) based swaps, therefore, can provide disclose a potential shift in corporate incidents of ownership comparable to We are readopting without change control; impact the transparency and direct ownership of the underlying Rule 13d–3(b) to address any efficiency of our capital markets; and equity security within the meaning of uncertainty with regard to the continued contribute to price discovery. Section 13(o) to the extent that the application of Rule 13d–3(b) to a person 3. Rule 13d–3(d)(1) security-based swap confers a right to who purchases or sells a security-based acquire an equity security within 60 swap. Rule 13d–3(b) provides that a We are readopting without change days; person is deemed to be a beneficial Rule 13d–3(d)(1) to address any • A person who acquires or holds, owner if that person uses any contract, uncertainty with regard to the continued with the purpose or effect of changing arrangement, or device as a means to application of Rule 13d–3(d)(1) to a or influencing control of an issuer, a divest or prevent the vesting of person who purchases or sells a right to acquire an equity security based beneficial ownership as part of a plan or security-based swap. Rule 13d–3(d)(1) on the purchase or sale of a security- scheme to evade the beneficial provides that a person will be deemed based swap is no different from a person ownership reporting requirements. to be a beneficial owner of equity who acquires or holds a right to acquire Under readopted Rule 13d–3(b), any securities if the person has the right to an equity security with the purpose of person that uses a security-based swap acquire beneficial ownership of the changing or influencing control of the as part of a plan or scheme to evade securities within 60 days, or at any time issuer that exists independently from a reporting beneficial ownership if the right is held for the purpose of security-based swap. Rights acquired or continues to be subject to the changing or influencing control. requirement to disclose the Readopted Rule 13d–3(d)(1) continues 57 Acquisitions, Tender Offers, and Solicitations, accumulation of an influential or to apply to any person that obtains such Release No 34–8392 (Aug. 30, 1968) [33 FR 14109]. control position in a public issuer. a right based on the purchase or sale of 58 See Williams Act, Public Law 90–439, 82 Stat. Following consultation with the a security-based swap. 454 (July 29, 1968). 59 prudential regulators and the Secretary The Commission has long recognized The Futures Interpretive Release provides two examples at Q & A No. 17 that explain when equity of the Treasury, we believe that: the importance of having the beneficial securities underlying a security future that requires • A person’s use of a security-based ownership reporting regime account for physical settlement should be counted for purposes swap to divest or prevent the vesting of contingent interests in equity securities of determining whether the purchaser of the beneficial ownership as part of a plan or arising from investor use of derivatives, security future is subject to Regulation 13D–G by operation of Rule 13d–3(d)(1). scheme to evade the application of such as options, warrants or rights. The 60 See Filing and Disclosure Requirements Sections 13(d) or 13(g) is no different Commission adopted Rule 13d–3, the Relating to Beneficial Ownership, Release No. 34– from a plan or scheme that uses a predecessor to Rule 13d–3(d)(1), on 14692 (Apr. 21, 1978) [43 FR 18484].

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held in this context may be used in preserve, solely for purposes of preserve the existing Section 16(a) furtherance of a plan or proposal to determining whether a person is a ten reporting of security-based swap change control of the issuer, and such percent holder, the application of the holdings and transactions and, rights to acquire equity securities may relevant provisions within Rule 13d–3 correspondingly, to prevent the otherwise influence an issuer if held by to a person who uses a security-based potential use of security-based swaps to a person intending to effect a change of swap. Readoption of Rule 16a–1(a)(1) engage in short-swing trading outside control transaction or preserve or does not change the rule’s provision that the scope of Section 16(b) short-swing influence control of an issuer. Security- shares held by institutions eligible to profit recovery. Readoption does not based swaps, therefore, can provide file beneficial ownership reports on change or otherwise affect any aspect of incidents of ownership comparable to Schedule 13G that are held for clients in the pecuniary interest analysis and direct ownership of the underlying a fiduciary capacity in the ordinary treatment of derivative securities under equity security within the meaning of course of business are not counted for Section 16. Section 13(o) to the extent that the purposes of determining ten percent Following consultation with the security-based swap confers a right to holder status.62 prudential regulators and the Secretary acquire an equity security to a person Following consultation with the of the Treasury, we believe that: • that holds the right with the purpose or prudential regulators and the Secretary Because an insider’s opportunity to with the effect of changing or of the Treasury, we believe that: profit through a security-based swap is • influencing control of the issuer or For the same reasons and in the no different from the opportunity to otherwise in connection with or as a same circumstances as described above profit through transactions in any other participant in any transaction having for Rule 13d–3(a), Rule 13d–3(b) and fixed-price derivative security, and such purpose or effect; and Rule 13d–3(d)(1), solely for purposes of hence no different from the opportunity • Retaining the existing regulatory determining whether a person is a ten to profit through transactions in the treatment of security-based swaps under percent holder subject to Section 16, the underlying equity security, holdings Rule 13d–3(d)(1) is necessary to achieve purchase or sale of a security-based and transactions in security-based the purpose of Section 13 so that swap, or class of security-based swap, swaps that are fixed-price derivative Sections 13(d) and 13(g) continue to can provide incidents of ownership securities can provide incidents of require the filing of beneficial comparable to direct ownership of the ownership comparable to direct ownership reports that disclose certain equity security within the meaning of ownership of the underlying equity transactions by persons who have the Section 13(o); and security within the meaning of Section • The inclusion of equity securities 13(o); and ability or potential to change or • influence control of the issuer. These based on the purchase or sale of a Retaining the existing treatment of persons may have the means to acquire security-based swap, or class of security-based swaps is necessary to significant amounts of equity securities security-based swap, for purposes of achieve the purpose of Section 16 so based in whole or in part upon the calculating ten percent holder status is that Section 16 continues to reach purchase or sale of a security-based necessary to achieve the purpose of holdings and transactions that insiders swap, and therefore the potential to Section 16, so that Section 16 continues can potentially use to profit based on effect a change of control transaction or to reach all persons that, under the misuse of inside information. Section 16 regime, are presumptively preserve or influence control of an III. Paperwork Reduction Act issuer. In the case of Schedule 13D deemed to have access to inside information based on influence or The readopted rules affect ‘‘collection filers, these persons would be required of information’’ requirements within the to disclose their plans or proposals. control of the issuer through ownership of equity securities. meaning of the Paperwork Reduction Disclosures made in beneficial Act of 1995.64 An agency may not ownership reports are in the public 2. Rule 16a–1(a)(2) conduct or sponsor, and a person is not interest and necessary for the protection We are readopting without change a required to respond to, a collection of of investors because they provide portion of Rule 16a–1(a)(2) 63 solely to information unless it displays a information about certain transactions currently valid OMB control number. and related acquisitions of beneficial to section 13(d) of the Act and the rules thereunder. We already have control numbers for ownership that: Could disclose a * * *’’ Schedules 13D (OMB Control No. 3235– 62 potential shift in corporate control; Securities not held in such a fiduciary capacity, 0145) and 13G (OMB Control No. 3235– impact the transparency and efficiency however, must be counted in determining whether a Schedule 13G qualified institutional investor is a 0145) and Forms 3 (OMB Control No. of our capital markets; and contribute to ten percent holder. This exclusion applies only to 3235–0104), 4 (OMB Control No. 3235– price discovery. qualified institutions who acquire or hold securities 0287), and 5 (OMB Control No. 3235– of the issuer in the ordinary course of business B. Section 16 Beneficial Ownership without the purpose or effect of influencing or 0362). These schedules and forms Rules changing control, and thereby qualify to use contain item requirements that outline Schedule 13G pursuant to Rule 13d–1(b)(1)(i). The the information a reporting person must 1. Rule 16a–1(a)(1) exclusion does not apply to persons who qualify to disclose. use Schedule 13G as passive investors pursuant to We are readopting without change a Rule 13d–1(c), or as exempt investors pursuant to 61 A. Background portion of Rule 16a–1(a)(1) to Rule 13d–1(d). 63 We are readopting the portion of Rule 16a– We are readopting without change 61 We are readopting the portion of Rule 16a– 1(a)(2) that precedes subparagraph (ii). The relevant portions of the rules enabling 1(a)(1) that precedes the proviso applicable to portion of Rule 16a–1(a)(2) we are readopting reads determinations of beneficial ownership qualified institutions. The relevant portion of Rule as follows: ‘‘(2) Other than for purposes of to be made for purposes of Sections 16a–1(a)(1) that we are readopting reads as follows: determining whether a person is a beneficial owner ‘‘(a) The term beneficial owner shall have the of more than ten percent of any class of equity following applications: (1) Solely for purposes of securities registered under Section 12 of the Act, to the following: (i) The term pecuniary interest in determining whether a person is a beneficial owner the term beneficial owner shall mean any person any class of equity securities shall mean the of more than ten percent of any class of equity who, directly or indirectly, through any contract, opportunity, directly or indirectly, to profit or share securities registered pursuant to section 12 of the arrangement, understanding, relationship or in any profit derived from a transaction in the Act, the term ‘‘beneficial owner’’ shall mean any otherwise, has or shares a direct or indirect subject securities.’’ person who is deemed a beneficial owner pursuant pecuniary interest in the equity securities, subject 64 44 U.S.C. 3501 et seq.

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13(d), 13(g) and 16 of the Exchange Act. readoption compared to the status quo, reports contain disclosure that relates to Readoption is intended to confirm that in which the rules already apply to a security-based swaps, the potential following the effective date of Section person who purchases or sells a effect of this rulemaking should be 13(o), persons who use security-based security-based swap. Second, we minimal. Shareholders, issuers, market swaps will remain within the scope of analyze the impact as if our rules did participants and any other persons who these rules to the same extent as they not already apply to persons who rely upon the disclosures being made as were before the readoption. We did not purchase or sell security-based swaps. a result of application of the rules receive any comments concerning our We believe the economic effect will be similarly will receive little, if any, new Paperwork Reduction Act Reduction minimal. Commentators supported the benefit and are unlikely to experience Analysis in the proposing release. readopted rules on the grounds that they any new impact on efficiency, competition or capital formation B. Burden and Cost Estimates Related to preserved the regulatory status quo. because the regulatory environment will the Readoption They did not identify any cost that would result from the rulemaking. remain the same as before readoption. Preparing and filing a report on any of these schedules or forms is a B. Benefits and the Impact on Efficiency, 2. If the Rules We Readopt Did Not collection of information. The hours and Competition and Capital Formation Already Apply to Persons Who Purchase or Sell Security-Based Swaps costs associated with preparing the 1. When the Rules We Readopt Already disclosure, filing the schedules or forms Apply to Persons Who Purchase or Sell If one were to analyze the effect of and retaining records required by these Security-Based Swaps readopting these rules as if they did not rules constitute reporting and cost already apply to a person who burdens imposed by each collection of Readoption of certain provisions of purchases or sells a security-based information. Readoption of the rules Rule 13d–3 and Rule 16a–1 preserves swap, there would be new benefits, as ensures that reporting persons will the continued administration of existing well as a beneficial effect on efficiency, remain obligated to disclose the same rules adopted to improve the competition and capital formation. information that they were previously transparency of information available to These benefits could extend to persons required to report on these schedules or investors, issuers and the marketplace. relying upon these disclosures, forms. We therefore believe that the Readoption is intended to preserve that including prospective investors, overall information collection burden transparency regarding beneficial shareholders, issuers, and other market will remain the same because beneficial ownership positions and the intentions participants. These benefits also may ownership will remain reportable on the of persons who hold such positions, as extend to beneficial owners required to same basis as before the readoption. well as the holdings of and transactions comply with disclosure requirements as by Section 16 insiders. We are a result of the application of the rules IV. Economic Analysis readopting, without change, rules that, we readopt. Any such benefits, if A. Introduction when applied, may result in disclosure realized, would be attributable both to of beneficial ownership and insiders’ Section 23(a)(2) of the Exchange Act the removal of any regulatory holdings and transactions in equity requires us, when adopting rules under uncertainty and to the resulting securities. In addition, one of the the Exchange Act, to consider the preservation of transparency. readopted rules, Rule 16a–1(a)(2), also impact on competition that the rules we Applying the rules to a person who identifies transactions that may be adopt would have, and prohibits us purchases or sells a security-based swap subject to the private right of action to from adopting any rule that would confers a benefit to market participants recover short-swing profit for the issuer impose a burden on competition not by providing market transparency and provided by Section 16(b). necessary or appropriate in furtherance removing, in some cases, information The rules are readopted solely to of that Act.65 Further, Section 3(f) of the asymmetry. Prospective investors, preserve the regulatory status quo Exchange Act 66 and Section 2(c) of the shareholders, issuers and other market regarding beneficial ownership Investment Company Act 67 require us, participants benefit from the reporting under Sections 13(d) and (g), when engaging in rulemaking where we transparency provided through Section 16 insider status as a ten are required to consider or determine disclosure made available by persons percent holder, insider holding and whether an action is necessary or subject to Sections 13 and 16. For transaction reporting under Section appropriate in the public interest, to example, a Schedule 13D filing may 16(a), and insider short-swing profit consider, in addition to the protection of disclose a potential change of control liability under Section 16(b). Continued investors, whether the action will transaction and assist a shareholder in promote efficiency, competition and application of the rules also will making an investment decision that capital formation. We have considered provide certainty regarding the Section would maximize the return on an and discussed below the effects of the 16(b) private right of action to recover investment. Disclosures made on readopted rules on efficiency, insiders’ short-swing profits for the Schedule 13G may identify for the competition, and capital formation, as issuer. Because the rules we readopt are marketplace important investment well as the benefits and costs associated already in place and will remain decisions made by institutional with the rulemaking. unchanged, readoption and investors and other large shareholders In order to more fully analyze the effectiveness of these rules should have or may provide notice to investors, potential effects of readopting portions minimal benefits, and little, if any, new issuers and the market regarding voting of our rules to preserve the regulatory effect on efficiency, competition, or blocks of securities that have the status quo upon the effectiveness of capital formation or on the persons potential to affect or influence control of Section 13(o), we have performed the required to make the disclosures as a an issuer. analysis below in two separate ways. result of the application of the rules. Applying the rules to a person who First, we analyze the impact of the Beneficial owners who use security- purchases or sells a security-based swap based swaps are already subject to these assures that Section 16 will reach a 65 15 U.S.C. 78w(a)(2). rules and are required to make any person that, under the Section 16 66 15 U.S.C. 78c(f). applicable disclosures. Because only a regime, is presumptively deemed to 67 15 U.S.C. 80a–2(c). limited number of beneficial ownership have access to inside information based

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on influence or control of the issuer swaps. In such circumstances, the swaps prevents the development of a through equity ownership. In addition, application of the rules we readopt trading market potentially favoring any applying the rules to a person who would have the benefit of eliminating insider (whether an officer, director, or purchases or sells a security-based swap this incentive while increasing the ten percent holder) to the extent that: means that an insider (whether an quality of information available to price • Holdings and transactions involving officer, director, or ten percent holder) securities. security-based swaps may not be is required to report beneficial Public availability of information reported, thereby depriving investors of ownership with respect to transactions about the existence of persons who use potentially useful information; and and holdings in a security-based swap security-based swaps and have the • Insiders have the opportunity to that confers an indirect pecuniary potential to change or influence control misuse their potential informational interest in issuer equity securities. of the issuer affects competition in the advantages in trading without regard to These reports, like other Section 16(a) market for corporate control. If bidders potential short-swing profit liability. reports, may provide shareholders and that use securities-based swaps comply Making information publicly available other market participants with useful with the beneficial ownership generally lowers an issuer’s cost of information regarding insiders’ views of disclosure requirements, the balance capital and facilitates capital formation, the performance or prospects of the Congress sought to strike between in comparison to what the cost of issuer. issuers and prospective bidders will not capital otherwise might be if the rules Transparency of trading by persons tip away from issuers.68 Providing equal did not already apply to a person who covered by Sections 13 and 16, and access to information regarding persons purchases or sells a security-based transparency of accumulations of who use security-based swaps and have swap. If the rules apply to a person who material ownership blocks or voting the ability to change or influence purchases or sells a security-based power based on the purchase or sale of control of an issuer reinforces a swap, the resulting transparency could a security-based swap, would increase legislative objective of Section 13(d) by favorably affect investor confidence in informational efficiency in securities assuring that a person will not be able the capital markets and thereby not markets in particularly important areas, to implement a change of control compromise capital formation.69 If our especially where a Schedule 13D filing transaction by means of a large, rules require persons who use security- may be the first required disclosure of undisclosed position. Applying our based swaps to provide disclosures in an intended change of control of an rules to persons who purchase or sell Schedules 13D and 13G and Forms 3, 4 issuer. Transparency confers a benefit security-based swaps enables issuers to and 5, investors will not insist on a by assuring the availability of consider information about competitors higher risk premium in publicly-traded information upon which investors may in the market for corporate control, equity securities and consequently rely to make informed investment and including those who may be able to reduce capital formation. Informed voting decisions. offer a new or competing strategic investor decisions generally promote The level of transparency provided by alternative. Schedule 13D and 13G capital formation.70 Rules 13d–1(a) and 16a–1 also may filings also may deliver greater certainty In addition, market participants contribute to market efficiency because to market participants who make would benefit from the predictability it could help facilitate the accurate strategic, voting, or investment associated with a regulatory pricing of securities. If the rules did not decisions wholly or partly based upon environment in which all persons who apply to a person who purchases or sells the information disclosed, and could have the potential to influence or a security-based swap, investors and reduce speculation about future plans or change control of an issuer are market participants, such as financial proposals relating to an issuer. For definitively subject to the same analysts and broker dealers, would not example, market participants may not beneficial ownership reporting rules. If have information regarding the use of be discouraged from introducing there were questions as to whether our security-based swaps by persons subject strategic plans or proposals to an issuer rules applied to persons who purchase to Sections 13 and 16, including major out of concern that an undisclosed or sell security-based swaps, market investors. The transparency provided by interest in the issuer derived from a participants would have to accept more the application of our rules should help security-based swap could interrupt operational and legal risk because of the the market accurately price securities execution of their plan or proposal. potentially unregulated treatment of and may enable purchasers and sellers Section 16 is intended to provide the persons who use security-based swaps of securities to receive a benefit by public with information about the with incidents of ownership comparable avoiding costs, if any, associated with securities transactions and holdings of to direct ownership, as well as persons participation in transactions based on officers, directors, and ten percent who have arrangements, mispriced securities. For example, holders, and to mitigate informational understandings, or relationships market efficiency should increase advantages they may have in trading concerning voting and/or investment because the market will have readily issuer securities. Applying Rule 16a– power, the opportunity to acquire equity available information about acquisitions 1(a)(1) to beneficial ownership based on securities, or a plan or scheme to evade of securities that involve the potential to the purchase or sale of a security-based change or influence control of an issuer swap discourages persons from unfairly 69 See Luigi Guiso et al., Trusting the Stock in connection with the purchase or sale profiting in trades based on the ability Market, 63 J. Fin. 2557 (2008) (finding that trust in of a security-based swap. If persons who to become a ten percent holder partly or the fairness of the financial system is correlated purchase or sell security-based swaps wholly based on the use of security- with higher levels of stock market participation). were excluded from this regulatory based swaps without becoming subject 70 See Merritt B. Fox, Randall Morck, Bernard Yeung & Artyom Durnev, Law, Share Price scheme, an incentive could arise to use to Section 16. Applying Rule 16a- Accuracy, and Economic Performance: the New security-based swaps to affect or 1(a)(2), which defines ‘‘beneficial Evidence, 102 Mich L. Rev. 331 (2003) (empirical influence the outcome of a change of ownership’’ based on pecuniary interest study of the value of disclosure requirements in control transaction. In addition, the in issuer equity securities, to persons enhancing investment efficiency); see also Studies in Resource Allocation Processes at p. 413 (Kenneth pricing of a security would not readily who purchase or sell security-based J. Arrow & Leonid Hurwicz eds., 2007) (explaining reflect, if at all, ownership interests in the relationship between informational efficiency the issuer derived from security-based 68 See note 22 above. and Pareto efficiency of resource allocation).

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Sections 13(d) and 13(g) in connection regulatory provisions. Similarly, Section required to be reported on these with the purchase or sale of a security- 16 applies to any person that acquires schedules or forms. We therefore believe based swap. By applying our rules to all or is deemed to acquire more than ten that the overall compliance burden of persons who have the potential to percent of certain classes of equity the rules will remain the same. In influence or change control of the securities, and the readoption of Rule addition, we do not believe that issuer, market participants would have 16a–1(a)(1) will not result in any change compliance costs, or the disclosure assurance that securities pricing may in determining whether a person is provided to effect compliance, will reflect information derived from subject to Section 16 as a ten percent affect competition among filers. security-based swaps when Sections holder. Further, for all insiders, the We also believe that shareholders, 13(d), 13(g), and 16 require reporting. requirements for Section 16(a) reporting issuers, market participants and any The certainty provided by this and Section 16(b) liability are based on other persons who rely upon the consistent regulatory treatment should whether the insider has a pecuniary disclosures being made as a result of foster investor confidence and interest in the securities, including application of the rules similarly will participation in the capital markets indirectly through ownership of and not be subjected to any new cost, or generally, and should not impair capital transactions in fixed-price derivative experience any new impact on formation. securities, such as security-based swaps, efficiency, competition or capital The rules we readopt also would whether settled in cash or stock. formation because the rules we readopt provide the Commission access to Accordingly, the readoption of Rule are already in place and will remain ownership and transaction information 16a–1(a)(2) will not result in any change unchanged. that would not be available if the rules in determining reportable holdings and 2. If the Rules We Readopt Did Not did not already apply to a person who transactions, or transactions subject to Already Apply to Persons Who purchases or sells a security-based short-swing profit recovery. Purchase or Sell Security-Based Swaps swap. The availability of this data Because the rules we readopt already should enhance the ability of the apply in determining whether a person Costs could increase for a person who Commission and its staff to study and is required to report beneficial purchases or sells a security-based swap address issues that relate to this ownership and insiders’ holdings and and immediately or eventually incurs information. Ready access to this transactions on Schedules 13D and 13G the cost of filing or amending a information also will continue to enable and Forms 3, 4 and 5, we do not believe beneficial ownership report if the person did not already determine that a the Commission to exercise efficiently the readopted rules will alter the costs reporting obligation existed based on his its enforcement mandate in this market associated with compliance. These or her purchase or sale of a security- segment, and thereby confer a benefit to schedules and forms already prescribe based swap. Further, an insider could all market participants by offering beneficial ownership information that a incur costs from potential short-swing assurance that the integrity of security reporting person must disclose, and the profit recovery arising out of a pricing is protected, and is otherwise rulemaking does not broaden the scope of the information required to be transaction in a security-based swap. consistent with the legislative purpose Application of our rules to a person of Sections 13(d), 13(g), 13(o), and 16. reported on the respective schedules and forms. The compliance burden who purchases or sells a security-based C. Costs and the Impact on Efficiency, associated with completion of the swap may affect competition. For Competition and Capital Formation relevant schedule or form may be example, a person who becomes a ten percent holder partly or wholly based 1. When the Rules We Readopt Already greater or lesser depending on the relative simplicity of the beneficial on the use of a security-based swap Apply to Persons Who Purchase or Sell would not be in a position to profit in Security-Based Swaps ownership interest. We recognize that the cost of complying with the trades prompted by a statutorily We believe that the rules we readopt beneficial ownership reporting regime presumed informational advantage will not, as a practical matter, impose can include the cost of analyzing accentuated by the absence of a any new costs on market participants, whether the particular interest requires reporting requirement. In addition, given that the rulemaking is intended reporting. If it is determined that the beneficial owners who compete in the only to preserve the regulatory status interest held constitutes beneficial market for corporate control would lose quo. Although it is difficult to ownership, and the amount of the a competitive advantage upon the determine the number of entities and beneficial ownership interest exceeds required disclosure of their beneficial the costs to entities that are required to the relevant threshold, the owner must ownership positions and any plans or comply with the rules we readopt, we complete and file a schedule and/or proposals. believe that readoption of the rules will form. The compliance burden associated Upon application of the rules we result in minimal, if any, costs to any with the readopted rules, however, readopt, beneficial owners may person or entity (either small or large) including costs associated with legal accomplish certain objectives with less and will have little, if any, burden on and other professional fees, may efficiency. For example, the completion efficiency, competition or capital decrease because of the regulatory of change of control transactions may be formation because the regulatory certainty that readoption provides. delayed due to potential interruptions environment will remain unchanged. Furthermore, the persons incurring this that may arise or alternatives that might Regulation 13D–G currently applies to compliance burden may already be emerge as a result of public disclosures. any person that acquires or is deemed subject to a reporting obligation based If our rules did not already apply to a to acquire or hold beneficial ownership on an earlier application of these rules, person who purchases or sells a of more than five percent of certain and may not be reporting beneficial security-based swap, that person could classes of equity securities. The ownership for the first time as a direct accumulate a large beneficial ownership readoption of the relevant provisions of result of the purchase or sale of security- position through the use of a security- Rule 13d–3 will not result in any change based swaps. based swap without public disclosure. to the beneficial ownership reporting Under the readopted rules, reporting This beneficial ownership position obligations of the persons previously persons will remain obligated to otherwise could have been used to subject to the beneficial ownership disclose the information currently implement or influence the outcome of

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a change of control transaction without PART 240—GENERAL RULES AND amendments, when a plan terminates alerting an issuer or the marketplace of REGULATIONS, SECURITIES while the sponsor is in bankruptcy, the these intentions. We believe, however, EXCHANGE ACT OF 1934 amount of benefits guaranteed by PBGC that the benefits of our readopted rules and the amount of benefits in priority justify these costs. ■ 1. The general authority citation for category 3 are fixed at the date of the Part 240 is revised and the following bankruptcy filing rather than at the plan The impact, if any, of the rule citations are added in numerical order termination date. In most cases, this readoption on capital formation should to read as follows: reduces the amount of guaranteed be insignificant. Compliance costs benefits and the amount of benefits in arising under the beneficial ownership Authority: 15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z–2, 77z–3, 77eee, 77ggg, 77nnn, priority category 3. reporting regime based on the purchase 77sss, 77ttt, 78c, 78d, 78e,78f, 78g, 78i, 78j, DATES: Effective July 14, 2011. See or sale of a security-based swap are not 78j–1, 78k, 78k–1, 78l, 78m, 78n, 78n–1, 78o, Applicability in SUPPLEMENTARY expected to redirect capital that 78o–4, 78p, 78q, 78s, 78u–5, 78w, 78x, 78ll, INFORMATION. otherwise could have been allocated to 78mm, 80a–20, 80a–23, 80a–29, 80a–37, 80b– capital formation. Capital formation 3, 80b–4, 80b–11, and 7201 et seq.; 18 U.S.C. FOR FURTHER INFORMATION CONTACT: John should not be affected by a possible 1350; and 12 U.S.C. 5221(e)(3), unless H. Hanley, Director, or Gail Sevin, otherwise noted. decline in the use of security-based Manager, Legislative and Regulatory Department; or James J. Armbruster, swaps resulting from the application of * * * * * Assistant Chief Counsel, Office of Chief our rules to a person who purchases or Section 240.13d–3 is also issued Counsel; 1200 K Street, NW., sells a security-based swap, given that under Public Law 111–203 § 766, 124 Stat. 1799 (2010). Washington, DC 20005–4026. Mr. capital formation ordinarily is not Section 240.16a–1(a) is also issued Hanley and Ms. Sevin may be reached dependent upon the proceeds from under Public Law 111–203 § 766, 124 at 202–326–4024; Mr. Armbruster at transactions in security-based swaps. Stat. 1799 (2010). 202–326–4020, extension 3068. (TTY/ V. Regulatory Flexibility Act * * * * * TDD users may call the Federal relay Certification service toll-free at 1–800–877–8339 and Dated: June 8, 2011. ask to be connected to 202–326–4024 or We certified pursuant to 5 U.S.C. By the Commission. 202–326–4020.) 605(b) that this readoption of our rules Elizabeth M. Murphy, SUPPLEMENTARY INFORMATION: would not have a significant economic Secretary. Background impact on a substantial number of small [FR Doc. 2011–14572 Filed 6–13–11; 8:45 am] entities. This rulemaking relates to BILLING CODE 8011–01–P The Pension Benefit Guaranty beneficial ownership reporting and Corporation (‘‘PBGC’’) administers the reporting by insiders of their single-employer pension plan transactions and holdings. Readoption PENSION BENEFIT GUARANTY termination insurance program under does not amend existing rules or CORPORATION Title IV of the Employee Retirement Income Security Act of 1974 (‘‘ERISA’’). introduce new rules, and relates only to 29 CFR Parts 4001, 4022, and 4044 The program covers private-sector, the readoption of existing rules. For this single-employer defined benefit plans, RIN 1212–AA98 reason, it does not change the regulatory for which premiums are paid to PBGC status quo and therefore should not Bankruptcy Filing Date Treated as Plan each year. Covered plans that are have a significant economic impact on underfunded may terminate either in a a substantial number of small entities. Termination Date for Certain Purposes; Guaranteed Benefits; Allocation of distress termination under section The proposing release encouraged Plan Assets; Pension Protection Act of 4041(c) of ERISA or in an involuntary written comment regarding this 2006 termination (one initiated by PBGC) certification. None of the commentators under section 4042 of ERISA. When addressed the certification or described AGENCY: Pension Benefit Guaranty such a plan terminates, PBGC typically any impact that this readoption would Corporation. is appointed statutory trustee of the have on small entities. ACTION: Final rule. plan, and becomes responsible for paying benefits in accordance with the VI. Statutory Authority SUMMARY: This final rule implements provisions of Title IV. section 404 of the Pension Protection The amount of benefits paid by PBGC The readoption of rules contained in Act of 2006. Section 404 amended Title under a terminated, trusteed plan is this release is made under the authority IV of ERISA to provide that when an determined by several factors. The set forth in Sections 3(a)(11), 3(b), 13, underfunded, PBGC-covered, single- starting point is the plan itself: PBGC 16, 23(a) of the Exchange Act and employer pension plan terminates while pays only those benefits that were Sections 30 and 38 of the Investment its contributing sponsor is in provided under the plan and that have Company Act of 1940. bankruptcy, sections 4022 and been earned by the participant under List of Subjects in 17 CFR Part 240 4044(a)(3) of ERISA are applied by the plan’s terms. treating the date the sponsor’s But PBGC does not guarantee all Reporting and recordkeeping bankruptcy petition was filed as the benefits earned under a terminated plan. requirements, Securities. termination date of the plan. Section There are statutory and regulatory limits 4022 determines which benefits are on PBGC’s guarantee, which are Text of the Amendments guaranteed by PBGC, and section discussed below. On the other hand, a 4044(a)(3) determines which benefits participant may sometimes receive from For the reasons set out in the are entitled to priority in ‘‘priority PBGC more than his guaranteed preamble, the Commission amends Title category 3’’ in the statutory hierarchy benefits, if either the allocation under 17, chapter II, of the Code of Federal for allocating the assets of a terminated section 4044 of ERISA of the plan’s Regulations as follows: plan. Thus, under the 2006 assets or the allocation under section

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4022(c) of PBGC’s recoveries, or both, petition was filed (the ‘‘bankruptcy • A participant’s guaranteed benefit is results in additional benefits being filing date’’) rather than as of the based on the amount of his service and payable. termination date. This means, for the amount of his compensation (if When a plan terminates, a termination example, that benefits earned by applicable) as of the bankruptcy filing date must be established in accordance participants after the bankruptcy filing date. with section 4048 of ERISA. If the plan date are not guaranteed. The changes • The Title IV guarantee limits—the is underfunded and terminates in a generally reduce the amount of benefits maximum guaranteeable benefit, the distress or involuntary termination, the guaranteed by PBGC and the amount of phase-in limit, and the accrued-at- termination date is the date agreed upon benefits receiving priority treatment in normal limit—are all determined as of by the plan administrator and PBGC or, the section 4044 asset allocation. By the bankruptcy filing date. if they do not agree, the date set by a protecting PBGC from growth in its • Only benefits that are nonforfeitable United States district court. liabilities during bankruptcy as of the bankruptcy filing date are The termination date is a critical date proceedings, these changes reduce guaranteed. Thus, for example, early for many purposes under Title IV of claims on PBGC’s funds and thereby retirement subsidies and disability ERISA. For example, it is the date as of strengthen the PBGC insurance program. benefits to which a participant became which a plan sponsor’s liability to the The changes are described more fully entitled after the bankruptcy filing date PBGC for a terminated plan’s unfunded below. are not guaranteed. benefit liabilities is determined under PPA 2006 provided that the changes • Participants who retired under a section 4062(b) of ERISA. Most relevant made by section 404 of PPA 2006 are subsidized early retirement benefit (or a to this final regulation, the termination effective for plan terminations that disability or other benefit) to which they date—under prior law—was the date occur during the bankruptcy of the plan became entitled between the bankruptcy that governed the amount of benefits sponsor, if the bankruptcy filing date filing date and the termination date will participants in the terminated plan was on or after September 16, 2006 (the continue in pay status, or may go into would receive. The amount of benefits date that is 30 days after PPA’s pay status if they are not already guaranteed by PBGC under section 4022 enactment). The terminations to which receiving a benefit, but the amount of of ERISA and the amount of any the changes apply are referred to in this the benefit is reduced to reflect that the additional benefits payable from the preamble and in the final regulation as subsidy (or other benefit) is not plan’s assets under section 4044 or from ‘‘PPA 2006 bankruptcy terminations.’’ guaranteed. PBGC’s recoveries under section 4022(c) Of course, if a plan’s termination date is • The benefits in priority category 3 were all determined as of the the same as the bankruptcy filing date, under section 4044(a) of ERISA are termination date. then the plan is unaffected by the benefits in pay status, or that could have Many single-employer pension plans changes made by section 404. been in pay status, three years before the that terminate in a distress or On July 1, 2008 (at 73 FR 37390), bankruptcy filing date, generally taking involuntary termination do so while the PBGC published in the Federal Register into account only benefit increases that plan sponsor is in bankruptcy. Indeed, a proposed rule to implement section were in effect throughout the period two of the criteria for a distress 404 of PPA 2006. PBGC received beginning five years before the termination are based on the sponsor’s comments on the proposed rule from bankruptcy filing date and ending on liquidating or reorganizing in four commenters—three labor the termination date. bankruptcy. See ERISA section organizations and one individual. The • Benefits under section 4022(c) of 4041(c)(2)(B)(i), (ii). individual commenter opposed the ERISA are based on (among other A persistent problem for the PBGC proposed rule changes in their entirety things) the value of a plan’s unfunded insurance program has been that the on the ground that PBGC ‘‘should not nonguaranteed benefits. Because section funded status of plans often deteriorates shore up its finances on the backs of 404 of PPA 2006 has changed significantly while the plan sponsor is workers.’’ Rather, the commenter stated, guaranteed benefits and benefits in in bankruptcy. Many sponsors have Congress has a responsibility to address priority category 3, the unfunded failed to make minimum funding the solvency of the PBGC insurance nonguaranteed benefits are changed and contributions to their plans during the program either by raising taxes or therefore the section 4022(c) benefits are bankruptcy, while the plan continues to increasing PBGC premiums, or by also changed. pay retiree benefits as usual and forcing employers to fully fund their • Where a plan has more than one employees continue to earn additional pensions. This comment should be contributing sponsor and all benefits. Because the termination date addressed to Congress; PBGC has no contributing sponsors did not file for often comes after the sponsor has been authority to disregard the statutory bankruptcy on the same date, PBGC in bankruptcy for some time, the result changes made by PPA 2006. The other determines the date to treat as the has been that PBGC’s losses often comments are discussed below with the bankruptcy filing date, based on the increase substantially during the course topics to which they relate. facts and circumstances. of a bankruptcy proceeding. Although the bankruptcy filing date Congress sought to address this Overview of Final Rule Changes thus displaces a plan’s termination date problem in the Pension Protection Act The final regulation implements the as the controlling date for certain of 2006 (‘‘PPA 2006’’), which was statutory changes, described above, purposes, the termination date signed into law on August 17, 2006. made by section 404 of PPA 2006. continues to be important for other Section 404 of PPA 2006 provides The final regulation amends PBGC’s purposes. For example, although the generally that, if a PBGC-insured plan regulations on Terminology, 29 CFR monthly amount of benefits guaranteed terminates while its contributing part 4001; Benefits Payable in and the monthly amount of benefits in sponsor is in bankruptcy, PBGC’s Terminated Single-Employer Plans, 29 priority category 3 will be determined guarantees and the amount of benefits CFR part 4022; and Allocation of Assets by reference to the bankruptcy filing entitled to priority in ‘‘priority category in Single-Employer Plans, 29 CFR part date, the value of those benefits is 3’’ in the ERISA section 4044 allocation 4044. The amendments establish rules determined—as before PPA 2006—as of of the plan’s assets are determined as of for PPA 2006 bankruptcy terminations, the plan’s termination date. The value of the date that the sponsor’s bankruptcy the most important of which are: a terminated plan’s assets, too, is

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determined as of the termination date. from PBGC, and on the form in which PPA 2006 Changes Also, determinations under sections the benefit is paid. For example, the Section 404 of PPA 2006 changed the 4062(a) and (b) of ERISA of the parties maximum guaranteeable benefit is lower way in which the amount of guaranteed liable for a plan’s unfunded benefit if the participant begins receiving benefits is determined in PPA 2006 liabilities and the amount of those benefits from PBGC before age 65, or if bankruptcy terminations. Section 404(a) liabilities are made as of the termination the benefit form will provide a survivor of PPA 2006 added a new subsection (g) date. benefit after the participant dies. to section 4022 of ERISA. New section The final regulation is nearly the same The phase-in limit under sections 4022(g) provides as follows: as the proposed regulation, with only a 4022(b)(1) and 4022(b)(7) of ERISA few minor differences. Those Bankruptcy Filing Substituted for provides that PBGC’s guarantee of a Termination Date.—If a contributing sponsor differences are discussed below with the benefit increase resulting from of a plan has filed or has had filed against topics to which they relate. And, like amendment of an existing plan or such person a petition seeking liquidation or the proposed regulation, the final adoption of a new plan is phased in reorganization in a case under title 11, regulation makes some minor changes over a five-year period. PBGC’s United States Code, or under any similar unrelated to PPA 2006. guarantee is equal to the number of full Federal law or law of a State or political A detailed discussion of the final years before the termination date that subdivision, and the case has not been regulation follows. dismissed as of the termination date of the the increase was in effect multiplied by plan, then this section shall be applied by Guaranteed Benefits the greater of (i) 20% of the monthly treating the date such petition was filed as increase or (ii) $20 per month (but the the termination date of the plan. Prior Law guarantee is never more than the The ‘‘section’’ referred to is section 4022 amount of the increase). For example, PBGC’s guarantee is limited, under of ERISA, which as explained above PBGC would guarantee $50 of a $125 section 4022(a) of ERISA, to determines the amount of a participant’s nonforfeitable benefits under a monthly benefit increase that was in guaranteed benefit. Thus, for a plan that terminated plan. Before PPA 2006, the effect more than two years but less than terminates while its contributing crucial date for determining guaranteed three years before the termination date sponsor is in bankruptcy, section benefits was the plan’s termination date, (40% of $125 = $50, which is greater 4022(g) requires that a participant’s established under section 4048 of than $40). A benefit increase is guaranteed benefit be determined by ERISA. PBGC had to determine the considered to be in effect beginning on treating the date the sponsor’s amount of benefits participants had the later of its adoption date or its bankruptcy petition was filed (the earned under the plan, and whether effective date. ‘‘bankruptcy filing date’’) as if it were those benefits were nonforfeitable, as of There is a third limitation on PBGC’s the termination date of the plan. the termination date. guarantee that the agency adopted when This change has a number of In addition, PBGC’s guarantee is it issued its initial guaranteed-benefits important consequences. First, it means subject to two important limitations regulation. (40 Fed. Reg. 43509, Sept. that a participant’s guaranteed benefit under section 4022(b) of ERISA: The 22, 1975.) Under § 4022.21 of PBGC’s can be no greater than the amount of his maximum guaranteeable benefit regulation, PBGC’s guarantee is plan benefit as of the bankruptcy filing (sometimes referred to as the maximum generally limited to the amount of the date. Even though the plan in many guarantee limit or the maximum participant’s benefit payable as a cases will have continued after the insurance limit) under section straight-life annuity commencing at bankruptcy filing date and (in the 4022(b)(3), and the phase-in limit under normal retirement age. The effect of this absence of a plan freeze) participants sections 4022(b)(1) and 4022(b)(7). The provision, often referred to as the will have continued to accrue benefits maximum guaranteeable benefit ‘‘accrued-at-normal’’ limit, is that PBGC after that date, those post-bankruptcy essentially places a ceiling, or cap, on generally does not guarantee temporary accruals are not guaranteed. Thus, the amount of a participant’s guaranteed supplemental benefits payable to a under the change, a participant’s benefit. The maximum monthly participant who retires before normal guaranteed benefit is calculated by guaranteeable benefit under section retirement age. Consider, for example, a reference to the amount of his service 4022(b)(3)(B) was $750 per month for a participant who was entitled under his and the amount of his compensation (or 65-year-old participant receiving a plan to receive $1,000 per month as a the amount of the plan’s benefit straight-life annuity in a plan that straight-life annuity starting at his ‘‘multiplier,’’ depending on how the terminated in 1974. (The maximum normal retirement date but who could plan calculates benefits) as of the guaranteeable benefit may be lower, retire early under certain conditions bankruptcy filing date. under section 4022(b)(3)(A), depending with an unreduced benefit of $1,000 Second, only benefits that were on the participant’s average monthly plus a supplement of $400 per month nonforfeitable as of the bankruptcy gross income, but this limitation rarely payable until age 62. If the participant filing date are guaranteed. For example, applies, and the discussion and retires early, PBGC generally will not in a plan that has five-year ‘‘cliff’’ examples in this regulation assume that guarantee more than $1,000 per month. vesting, a participant with less than five it does not apply.) The $750 monthly Before PPA 2006, the maximum years of service as of the bankruptcy figure is adjusted each year based on the guaranteeable benefit, the phase-in filing date has no guaranteed benefit, contribution and wage base under the limit, and the accrued-at-normal limit even if his benefit becomes vested by Social Security Act; for example, for a were all calculated as of the termination the section 4048 termination date. plan whose termination date was in date of a plan. Accordingly, before PPA Similarly, if a participant becomes 2005 the maximum monthly amount at 2006, a participant’s guaranteed benefit entitled to a disability retirement benefit age 65 payable as a straight-life annuity would be the amount of the or an early retirement subsidy after the was $3,801.14. The maximum nonforfeitable plan benefit to which the bankruptcy filing date but before the guaranteeable benefit for an individual participant was entitled as of the termination date, that disability benefit participant depends on his age at the termination date, subject to the or subsidy is not guaranteed. later of the plan’s termination date or guarantee limits applicable as of that One commenter suggested that PBGC the date he begins receiving his benefit date. should not apply the rule described in

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the previous paragraph to participants few minor items discussed below, the that an individual is receiving so many who become disabled after the regulations are unchanged for plans to dollars per month at termination and bankruptcy filing date but before the which the PPA 2006 amendments do that no survivor benefit is payable; they termination date. The commenter noted not apply (‘‘non-PPA 2006 bankruptcy may not show whether the person that the effects could be especially harsh termination’’; the final rule adds this receiving that benefit is the original plan in the case of disability, and that a term to the definitions in § 4001.2). participant or a beneficiary. An different rule ought to apply because The final regulation contains one additional example has been added to becoming disabled is not a choice over refinement that was not addressed in § 4022.23(g) to illustrate this principle. which a participant has control and is the proposed regulation. The proposed subject to verification. PBGC has not regulation provided that PBGC would Aggregate Limit on Benefits Guaranteed adopted this suggestion. Under ERISA determine the guarantee limits based on Title IV of ERISA includes an and PBGC’s rules, disability retirement the age of the participant and the form additional limitation on PBGC’s benefits are treated the same as other of benefit that was being paid at the guarantee that applies only when a benefits in determining later of the bankruptcy filing date and participant receives benefits under two nonforfeitability: They are the date the participant begins to receive or more trusteed plans. Section 4022B of nonforfeitable (and thus guaranteed) his benefit from PBGC. The final ERISA provides that, in such a situation, only if the condition for entitlement, regulation adopts this rule, but with a the sum of the guaranteed benefits such as the disabling event, occurred on slight modification that applies payable from PBGC funds with respect or before the termination date. PPA primarily in cases in which there has to all such plans may not exceed the 2006 changed the date for determining been a death before termination that maximum guaranteeable benefit payable entitlement to a guaranteed benefit from affects the form of benefit being paid at ‘‘as of the date of the last plan the termination date to the bankruptcy termination. PBGC has decided that the termination.’’ filing date, but did not otherwise change guarantee limits should be applied PPA 2006 made no change to this the guarantee rules. Thus, PBGC based on the form of benefit that was provision. PBGC therefore is making no believes it would not be appropriate to being paid (or was payable) and the change to part 4022B of its regulations, make the suggested change. person who was receiving or was and will continue to calculate the Third, the PBGC guarantee limits—the entitled to receive a benefit from PBGC aggregate limit by reference to a maximum guaranteeable benefit, the as of the termination date, not the participant’s maximum guaranteeable phase-in limit, and the accrued-at- bankruptcy filing date. For example, if benefit as of the section 4048 normal limit—will all be determined as as of the bankruptcy filing date a termination date of the latest- of the bankruptcy filing date (subject to participant was receiving a benefit in terminating plan. the refinement described below). For the form of a joint-and-survivor annuity, example, if the sponsor’s bankruptcy but by the termination date the Benefits Payable Under the Section filing date is in 2008 and the plan’s participant has died and his spouse is 4044 Allocation termination date is in 2010, the receiving a survivor annuity, PBGC will Prior Law maximum guaranteeable benefit for all determine the maximum guaranteeable plan participants will be based on the benefit for the surviving spouse based PPA 2006 also made an important 2008 limit. Also, an individual on the spouse’s age as of the bankruptcy change to the allocation of a terminated participant’s maximum guaranteeable filing date but based on the straight-life plan’s assets under section 4044 of benefit will be based on his age and benefit form being paid to the spouse at ERISA. To understand this change, it is form of benefit as of the later of the the termination date rather than on the important to understand how the bankruptcy filing date or the date he joint-and-survivor benefit form that was section 4044 allocation worked before begins to receive his benefit. Similarly, being paid as of the bankruptcy filing the PPA 2006 amendment. the phase-in rule will be applied by date. Similarly, if the benefit in pay As noted above, a participant may counting the number of full years before status as of the bankruptcy filing date receive more than his guaranteed benefit the bankruptcy filing date that a benefit was a ‘‘pop up’’ annuity (a joint-and- from PBGC, depending on the amount of increase has been in effect. The accrued- survivor annuity under which the the plan’s assets and whether his at-normal limit, too, will be determined benefit amount ‘‘pops up’’ to the benefits are entitled to priority under based on the facts as of the bankruptcy straight-life amount if the beneficiary ERISA’s allocation scheme. Section filing date. dies before the participant) and the 4044 of ERISA specifies how a plan’s The final rule modifies PBGC’s beneficiary dies before the termination assets are to be allocated among various regulations to reflect the changes date, PBGC will determine the classes of guaranteed and described above for PPA 2006 maximum guaranteeable benefit based nonguaranteed benefits of participants. bankruptcy terminations. In most cases, on the participant’s age as of the Part 4044 of PBGC’s existing regulations the final regulation (like the proposed bankruptcy filing date but based on the provides detail about how assets and regulation) simply provides that in a straight-life benefit form being paid to benefits are valued, and how the assets PPA 2006 bankruptcy termination, the participant at the termination date are allocated to the benefits. (Section ‘‘bankruptcy filing date’’ is substituted rather than on the joint-and-survivor 4022(c) of ERISA may provide for ‘‘termination date’’ each place that ‘‘pop up’’ form that was being paid as additional benefits, as discussed below.) ‘‘termination date’’ appears in a of the bankruptcy filing date. The first step in the section 4044 specified section or paragraph of the The final rule adopts this refinement, allocation is to assign each participant’s regulation. The final regulation provides which will generally increase plan benefits to one or more of six a number of examples to clarify what guaranteed benefits for the affected ‘‘priority categories’’ that are described this means in various situations. In individuals, to reduce the complexity in paragraphs (1) through (6) of section response to a comment, the final and difficulty of computing benefits. 4044(a) of ERISA. Before PPA 2006, the regulation provides a second example When a plan terminates, the plan benefits in each priority category were (in addition to the one in the proposed records often do not reflect the full as follows: rule) to illustrate the workings of the history of a specific benefit. For Priority category 1: The portion of a accrued-at-normal limit. Except for a example, the records may show only participant’s accrued benefit derived

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from the participant’s voluntary After the plan benefits and assets are date, but generally taking into account contributions. valued, the assets are ‘‘poured through’’ only benefit increases that were Priority category 2: The portion of a the priority categories, beginning with effective throughout the five-year period participant’s accrued benefit derived priority category 1. If the assets are ending on the bankruptcy filing date. from the participant’s mandatory sufficient to pay all benefits in priority (The proposed rule also stated that the contributions. category 1, then they pour into priority exception in § 4044.13(b)(5) for certain Priority category 3: The portion of a category 2, and so on until either all ‘‘automatic’’ benefit increases would participant’s benefit that was in pay benefits in all categories have been apply to applicable benefit increases in status as of the beginning of the three- covered or until the assets are the fourth and fifth years preceding the year period ending on the termination insufficient to pay all benefits within a bankruptcy filing date.) date of the plan, or that would have category. Where assets are insufficient The final rule adopts these proposals, been in pay status at the beginning of to pay all benefits within a category, but with a slight modification that will such three-year period if the participant they are allocated among the benefits in apply only in limited circumstances. had retired before the beginning of the that category according to the rules in The three-year period, as under the three-year period and had commenced part 4044 of PBGC’s regulations. proposed rule, is the three-year period receiving benefits (in the normal form of It is important to note that benefits in before the bankruptcy filing date. But annuity under the plan) as of the priority category 3—which may or may for the five-year period, PBGC realized beginning of such period. In either case, not be guaranteed—come ahead of that it would not be appropriate to however, the benefits in this category guaranteed benefits in priority category simply substitute the bankruptcy filing are limited to the lowest annuity benefit 4 in the section 4044 asset allocation. date for the termination date. Although payable under the plan provisions at Thus, for example, if a terminated plan’s that formulation would present no any time during the five-year period assets are sufficient to cover all benefits problems in the case of a benefit that ending on the termination date (e.g., in priority category 3, those benefits will increased during the years before a disregarding benefit increases in the be paid, regardless of whether they are bankruptcy filing, it could have five-year period). guaranteed. anomalous results in the case of a Priority category 4: All other benefit that decreased between the guaranteed benefits, and benefits that PPA 2006 Changes bankruptcy filing date and the would be guaranteed but for the Section 404 of PPA 2006 made an termination date. (A benefit might aggregate limit of section 4022B of important change to priority category 3 decrease, for example, due to the ERISA and the stricter phase-in limit in the asset allocation, similar to the expiration of a temporary supplement or that applies to business owners. change to guaranteed benefits. Section a plan amendment eliminating an Priority category 5: All other 404(b) added a new subsection (e) to ancillary benefit that is not protected by nonforfeitable benefits under the plan. section 4044, which provides as follows: section 411(d)(6) of the Internal Priority category 6: All other benefits Bankruptcy Filing Substituted for Revenue Code.) Not taking account of under the plan. such a decrease could mean that a PBGC’s regulations make a distinction Termination Date.—If a contributing sponsor of a plan has filed or has had filed against participant’s priority category 3 benefit between a participant’s ‘‘gross’’ benefit such person a petition seeking liquidation or would be larger than the participant’s in a priority category and his ‘‘net’’ reorganization in a case under title 11, total benefit as of the termination date. benefit in that category (although the United States Code, or under any similar It makes no sense to provide priority regulations do not use these terms). The Federal law or law of a State or political treatment for an amount larger than the gross benefit is the total amount of the subdivision, and the case has not been amount of the participant’s entire participant’s benefit that would be in a dismissed as of the termination date of the benefit as of termination. priority category, if benefits in higher plan, then subsection (a)(3) shall be applied To address that anomaly, the final priority (i.e., lower numbered) by treating the date such petition was filed rule creates a new term in as the termination date of the plan. categories were not subtracted. The net § 4044.13(c)(1)—the ‘‘applicable pre- benefit is the amount in the priority Subsection (a)(3) of section 4044 termination period’’—to describe the category after subtracting amounts in describes the benefits assigned to period that includes the five years higher priority categories. For example, priority category 3. As explained above, before the bankruptcy filing date plus a participant’s net benefit in priority before PPA 2006 the benefits in priority the additional time between the category 4 generally excludes any category 3 were the benefits that were in bankruptcy filing date and the portion of his guaranteed benefit that pay status as of the beginning of the termination date. The final rule was allocated to priority categories 2 or three-year period ending on the provides that the benefit in priority 3. See 29 CFR 4044.10(c). Descriptions termination date, or that would have category 3 is limited to the lowest of benefits in a priority category usually been in pay status as of that date if the annuity benefit payable under the plan refer to the net benefits in that category, participant had retired—but based on provisions at any time during the and the discussion below generally the plan provisions during the five years applicable pre-termination period. follows that usage, unless otherwise before the termination date under which In addition, the changes made by PPA indicated. the benefit would be the least. See 29 2006 section 404(a) to the way Once the benefits of each participant CFR 4044.13. In the proposed rule, guaranteed benefits are determined have been assigned to the applicable PBGC stated that it interpreted new necessarily affect the gross benefits that priority category or categories, the section 4044(e) to mean that these three- are assigned to priority category 4. As benefits of all participants are valued, year and five-year periods are the three- explained above, the gross benefits using the rules in PBGC’s valuation year and five-year periods before the assigned to priority category 4 are regulation, 29 CFR part 4044, subpart B. bankruptcy filing date rather than before guaranteed benefits (and benefits that The terminated plan’s assets are also the termination date. The proposed rule would be guaranteed but for the valued (at fair market value). The stated that the benefits in priority aggregate limit of section 4022B and the valuation of both the plan benefits and category 3 will be benefits in pay status, stricter phase-in limit that applies to the plan assets is done as of the or that could have been in pay status, business owners). Because section termination date. three years before the bankruptcy filing 404(a) of PPA 2006 has modified

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PBGC’s guarantee, the gross benefits termination date. No change in the benefit, and a change in the guaranteed assigned to priority category 4 in a PPA regulation is needed to embody this benefit in some cases affects the 2006 bankruptcy termination are those interpretation.) expected retirement age.) A terminated benefits guaranteed under new section Like the changes to the guarantee plan’s assets, too, will still be valued as 4022(g), not the benefits that would be provisions, the PPA 2006 changes to the of the termination date under guaranteed absent that provision. In ERISA section 4044 asset allocation § 4044.3(b). other words, the guaranteed benefits in apply to PPA 2006 bankruptcy priority category 4 will be the plan terminations—plan terminations Benefits Payable Under Section 4022(c) benefits that were both accrued and occurring during a bankruptcy of ERISA nonforfeitable as of the bankruptcy proceeding initiated on or after Prior Law September 16, 2006. filing date, based on the guarantee limits Under section 4022(c) of ERISA, as of that date. In addition, the PPA The PPA 2006 changes, as explained above, require PBGC to determine the PBGC pays additional benefits to 2006 changes to benefits in priority participants and beneficiaries, beyond category 3 necessarily affect the net amount of a participant’s monthly guaranteed benefits and benefits benefits in priority category 4 as well; benefit in priority category 3 and provided by the plan’s assets. The some guaranteed benefits that priority category 4 by reference to the amount of section 4022(c) benefits previously would have been in priority bankruptcy filing date rather than the depends on PBGC’s recoveries of category 3 will now fall into priority termination date. Valuing benefits in the unfunded benefit liabilities under category 4. The final rule reflects this priority categories is a different matter. section 4062 (or, in some circumstances, treatment. PBGC has always valued benefits and PPA 2006 did not amend the other plan assets as of the plan’s termination under sections 4063 or 4064). Sections priority categories of section 4044. date, and section 4044(e) does not 4062(a) and (b) of ERISA provide that, Therefore, the gross amount of a dictate a change to that approach for when a plan terminates in a distress participant’s benefit in those categories priority category 3. Although section termination or an involuntary will be unaffected by the changes 4044(e) might be read to suggest that a termination, the contributing sponsor of discussed above. For example, the gross valuation should be done as of the the plan and all members of the amount of a participant’s benefit in bankruptcy filing date for purposes of contributing sponsor’s controlled group priority category 5 is all of the priority category 3, PBGC believes that are liable to PBGC for the ‘‘total amount participant’s benefit that is the better interpretation is that the of the unfunded benefit liabilities (as of nonforfeitable as of the plan’s valuation should still be done as of the the termination date) to all participants termination date. See ERISA section termination date. Subsection (a)(3) of and beneficiaries under the plan.’’ The 4044(a)(5); 29 CFR 4044.15. Thus, a section 4044, which is to be ‘‘applied’’ amount of unfunded benefit liabilities, benefit that is not guaranteed because it by treating the bankruptcy filing date as defined in section 4001(a)(18) of ERISA, was forfeitable as of the bankruptcy the termination date, describes only the is the excess of the value of the plan’s filing date will be treated as kind of benefits that fall into priority benefit liabilities over the value of the nonforfeitable for purposes of priority category 3, not the time or manner of plan’s assets—i.e., the amount of the category 5 if the participant satisfied the valuing those benefits or plan assets. shortfall in the plan’s assets. conditions for entitlement to the benefit Moreover, because section 4044(e) PBGC seeks to recover from between the bankruptcy filing date and applies only to priority category 3, contributing sponsors and members of the plan’s termination date. benefits and plan assets will still be their controlled groups as much as it The net amount of a participant’s valued as of the termination date for all can of terminated plans’ unfunded benefit in priority category 5, however, other categories. Using a different benefit liabilities. A portion of those is necessarily affected by the changes to valuation date for priority category 3 recoveries is paid to participants and the benefits in priority categories 3 and than for all the other priority categories beneficiaries of a terminated plan in 4. For example, benefits that are not would be complex to administer, accordance with the provisions of guaranteed because they became difficult to explain to participants, and section 4022(c) of ERISA. Section nonforfeitable between the sponsor’s anomalous in its results. In the absence 4022(c) provides for determination of a bankruptcy filing date and the plan’s of a clear statutory mandate of that ‘‘recovery ratio,’’ which is then termination date will not be in priority intricate approach, PBGC is taking the multiplied by the total value of the category 4 but will be in priority simpler and more coherent approach of plan’s unfunded nonguaranteed benefits category 5. Thus, a participant in that valuing benefits and assets as of the to determine the total amount allocable situation will have a smaller guaranteed termination date for all priority to participants in the plan who have benefit in priority category 4 and categories. unfunded nonguaranteed benefits. It is therefore a larger net benefit in priority Accordingly, PBGC is making no allocated to those unfunded category 5. (Benefits in priority category change to PBGC’s existing rules in this nonguaranteed benefits beginning in the 5 are divided into subcategories, based regard. Under § 4044.10(c), benefits in a section 4044 priority category where the on whether they would have been trusteed plan will still be valued as of plan’s assets ran out, but none of it is payable based on the plan provisions in the termination date. The tables in allocated to guaranteed benefits—i.e., effect five years before the plan’s Appendix D to part 4044 used to this section 4022(c) allocation ‘‘skips termination date, or became payable due determine a participant’s expected over’’ guaranteed benefits in the priority to subsequent plan amendments. See retirement age are also unchanged, and categories. ERISA section 4044(b)(4) (before PPA continue to be based on the year in The recovery ratio is described in 2006, section 4044(b)(3)); 29 CFR which the plan’s termination date section 4022(c)(3) of ERISA. For a large 4044.10(e). Because PPA 2006 did not occurs. (PBGC’s determination of a plan, it equals the value of PBGC’s amend this provision, PBGC interprets participant’s expected retirement age recovery of unfunded liabilities for that the five-year period in section may be affected by the new PPA 2006 plan divided by the amount of that 4044(b)(4) of ERISA—and in rules, however, because, as explained plan’s unfunded benefit liabilities ‘‘as of § 4044.10(e) of PBGC’s regulation—as above, those rules may change the the termination date.’’ For a small plan, still being the five-year period before the amount of a participant’s guaranteed the ratio is based on an average of

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PBGC’s recoveries over a five-year liabilities as of the termination date, one Other Issues period. For this purpose, a small plan is might conclude that in a PPA 2006 Reduction of Benefits to Title IV Levels any plan in which the value of bankruptcy termination the unfunded unfunded nonguaranteed benefits is benefit liabilities should be determined In a distress termination, the plan equal to or less than $20 million. for this purpose as of the bankruptcy administrator is required, beginning on (Section 408 of PPA 2006 changed the filing date. The final regulation does not the proposed termination date, to five-year period over which the recovery adopt that approach. The numerator of reduce benefits in pay status to the estimated levels payable under Title IV. ratio is determined for small plans; that the recovery ratio—PBGC’s recoveries— change generally applies to plans in See ERISA section 4041(c)(3)(D)(ii); 29 is based on PBGC’s statutory claim for CFR §§ 4041.42(c), 4022.61–4022.63. which termination was initiated on or unfunded benefit liabilities, which, after September 16, 2006.) The final regulation provides that for A plan’s unfunded nonguaranteed under section 4062(b) of ERISA, must be any PPA 2006 bankruptcy termination, benefits, as the term suggests, are those determined as of the termination date. those estimated benefits are based on benefits that are neither funded by the Because section 4062(b) was not the rules described above relating to the plan’s assets under the section 4044 amended by PPA 2006, PBGC’s bankruptcy filing date. allocation nor guaranteed by PBGC. recoveries will still be based on that PPA 2006 did not change the (PBGC generally uses the term termination-date-computed claim. PBGC provision in section 4041 of ERISA ‘‘unfunded nonguaranteed benefits,’’ believes that the general language of about when these benefit reductions are because that term is more descriptive section 4022(g) should not be to be made. Accordingly, the final than ‘‘outstanding amount of benefit interpreted to require a separate regulation does not change the rule in liabilities,’’ the term used in section determination of unfunded benefit § 4041.42(c) of the regulations that the 4001(a)(19) of ERISA.) Stated liabilities to be made as of the reductions are made beginning on the differently, the unfunded bankruptcy filing date, when PBGC proposed termination date. nonguaranteed benefits are the benefits recoveries will be based on a Recoupment of Overpayments lost by participants on account of their determination of unfunded benefit plan’s termination, a portion of which is PBGC’s current regulations provide liabilities as of the termination date. that the agency recoups benefit made up by the section 4022(c) Thus, the amount of a plan’s unfunded allocation. overpayments if it determines that net benefit liabilities, as in a non-PPA 2006 benefits paid exceed the amount to PPA 2006 Changes bankruptcy termination, will be which a participant is entitled under New section 4022(g) instructs PBGC determined based on the value of the Title IV of ERISA. See 29 CFR 4022.81. to apply section 4022 by treating the plan’s assets and benefit liabilities as of For example, if a retiree is paid an bankruptcy filing date as the plan’s the termination date. See ERISA estimated termination benefit of $3,100 termination date. Section 4022(c), of sections 4001(a)(18), 4062(b). per month while PBGC is processing the course, is part of section 4022. PBGC The final rule adds a new § 4022.51 to termination of the plan, and PBGC later interprets this statutory language, for PBGC’s regulations to incorporate the determines that the participant is section 4022(c) benefits, to mean that in above interpretations. It provides, for entitled to a termination benefit of only determining a plan’s unfunded example, that in computing section $3,000 per month, the agency generally nonguaranteed benefits, PBGC must take 4022(c) benefits in a PPA 2006 recoups the net overpayment (the $100 difference times the number of months into account the changes to guaranteed bankruptcy termination, the benefits benefits under new section 4022(g) and the benefit was overpaid) from future included in a plan’s unfunded the changes to the asset allocation under benefit payments. The amount recouped nonguaranteed benefits take into new section 4044(e). For example, a is determined by multiplying future account the provisions of sections benefit that became nonforfeitable benefit payments by a fraction the between the bankruptcy filing date and 4022(g) and 4044(e) of ERISA, and the numerator of which is the net the termination date is not guaranteed corresponding provisions of PBGC’s overpayment and the denominator of and thus (if not funded) is included in regulations. The value of unfunded which is the present value of the benefit the unfunded nonguaranteed benefits. nonguaranteed benefits will be to which the participant is entitled The final regulation also provides multiplied by the recovery ratio, as in a under Title IV. The final rule (like the that, as in a non-PPA 2006 bankruptcy non-PPA 2006 bankruptcy termination, proposed rule) amends § 4022.82(a) to termination, PBGC will value the to determine the total dollar amount to provide that the denominator is unfunded nonguaranteed benefits as of be allocated for the plan. That dollar determined taking into account the the termination date. For reasons similar amount will be allocated to the changes to participants’ benefits made to those explained above regarding unfunded nonguaranteed benefits of by section 404 of PPA 2006. priority category 3 benefits, PBGC participants in the same manner as In computing the net overpayment, believes that the statutory provision before PPA 2006, but the result of the the current regulation provides that should not be interpreted to require a allocation will be different because of PBGC takes into account only different valuation date for this purpose. the changes made by section 404 of PPA overpayments made on or after the latest The final regulation similarly 2006 to guaranteed benefits and the of the proposed termination date, the provides that the other elements that go benefits in priority category 3. For termination date, or, if no notice of into calculation of section 4022(c) example, a benefit that would have been intent to terminate was issued, the date benefits are unaffected by the PPA 2006 guaranteed under prior law but is not on which proceedings to terminate the changes. The recovery ratio described in guaranteed under PPA 2006 and is not plan are instituted pursuant to section section 4022(c)(3)(A), as explained 4042 of ERISA. See 29 CFR funded under the section 4044 above, is based on PBGC’s recoveries of 4022.81(c)(1). Thus, for example, in a allocation is an unfunded unfunded benefit liabilities. Because case where a plan is terminated under that section provides that the nonguaranteed benefit that might be section 4042 and the termination date is denominator of the recovery ratio is the paid under the section 4022(c) before the date on which PBGC initiated amount of the plan’s unfunded benefit allocation. termination proceedings, PBGC does not

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recoup overpayments made before their plan to subsidized early retirement would be appropriate to offer a choice initiation of the termination proceedings benefits or other benefits between the to come out of pay status in these even though those overpayments were bankruptcy filing date and the situations. made after (what later became) the termination date would be continued in A commenter also suggested that termination date. pay status or, if they were not already PBGC specify in the regulations how it In the preamble to the proposed rule, receiving a benefit, would be allowed to will determine the amount of the PBGC proposed not to make any change go into pay status. The amount of such reduction in the benefit in these to this rule. As under prior law, the a benefit, however, would be reduced to situations. The final rule does not adopt preamble stated, in determining the reflect that the subsidy or other benefit this suggestion. There are quite a amount to be recouped (or otherwise is not guaranteed. number of different situations that may recovered, if there are no future benefits PBGC received several comments on arise, and different rules may be needed from which to recoup), PBGC would this proposal. One commenter suggested for each. For example, in one case a include only overpayments made on or that PBGC should give a choice to participant who is not entitled to a fully after the latest of the proposed participants who became entitled to a subsidized early retirement benefit termination date, the termination date, subsidized early retirement or other because he had not satisfied the or, if no notice of intent to terminate benefit between the bankruptcy filing conditions for it by the bankruptcy was issued, the date on which date and the termination date and went filing date may not be entitled to any proceedings to terminate the plan are into pay status with that benefit. The other early retirement benefit. In that instituted pursuant to section 4042 of choice would be either to remain in pay case a full actuarial reduction from the ERISA. Several commenters applauded status but with the benefit reduced to accrued benefit would be appropriate. this aspect of the proposed rule. They reflect that the subsidy or other benefit In another case, although a participant stated that this was a fair proposal that is not guaranteed, or to come out of pay might not be entitled to the fully would moderate the hardship that status with the ability to resume benefit subsidized benefit he had been would otherwise result if PBGC were to payments at a later date. receiving, he might be entitled to a treat as overpayments subject to The final rule does not adopt this different, partially subsidized benefit for recoupment benefit payments made suggestion. In the situations in question, which he had satisfied the conditions by after the bankruptcy filing date that the participant was entitled under the the bankruptcy filing date. In that case, exceeded the Title IV limitations. These plan to the subsidized or other benefit the reduction would not be a full commenters asked only that PBGC make at the time he was put into pay status actuarial reduction from the accrued this treatment explicit in the regulation and the benefit was nonforfeitable as of benefit but rather would take into itself. To avoid any doubt about this the termination date. Even though the account the partially subsidized benefit matter, PBGC has accepted this benefit is not guaranteed because of to which the participant was entitled. suggestion. PBGC has thus included a section 4022(g), some or all of it may be Also, the plan may or may not have new § 4022.81(c)(3) in the regulation paid by PBGC in priority category 5, actuarial reduction factors for the explicitly stating that the rules regarding depending on the level of the plan’s participant’s age (since under the plan the overpayments and underpayments assets and PBGC’s recoveries on its they may not have been needed). PBGC that will be taken into account in claims for unfunded benefit liabilities believes that specifying reduction determining any amount to be recouped under section 4062(b) of ERISA. factors in this regulation for a wide or reimbursed by PBGC apply regardless Moreover, the Title IV limits on PBGC’s range of theoretical scenarios would add of whether the termination is a PPA guarantee have often resulted in more complexity than clarity. 2006 bankruptcy termination. substantial reductions to retirees’ Finally, a commenter noted that the benefits, but PBGC historically has not proposed rule had described how PBGC Continuation of Payments; Entry Into offered a choice to such retirees to come will treat participants who become Pay Status out of pay status and resume benefits entitled to a benefit between the As explained above, under new later.1 If PBGC were to allow such a bankruptcy filing date and the section 4022(g) of ERISA, PBGC will not choice in the situations addressed in termination date only in an example guarantee a benefit that was forfeitable this regulation, it might seem unfair not about subsidized early retirement as of the bankruptcy filing date even if to allow a similar choice to any retiree benefits. Because this treatment applies it became nonforfeitable by the whose benefit is reduced because of to any benefit to which a participant termination date. This includes, for Title IV limits. But allowing a becomes entitled between the example, a subsidized early retirement potentially large number of participants bankruptcy filing date and the benefit or disability benefit to which a to come out of pay status and resume termination date, the commenter participant became entitled between the benefits later would create suggested that PBGC include it in a two dates. complications, including how to separate paragraph rather than merely as Because the plan normally will have account for the benefits previously part of an example. This suggestion is a been ongoing as of the bankruptcy filing received and possible disputes about good one and has been adopted in date, participants who became entitled entitlement if, for example, the § 4022.3(b)(2). to subsidized early retirement benefits participant in the interim has divorced or other benefits after the bankruptcy and remarried or a spouse has died. For Sufficiency for Guaranteed Benefits filing date but before the termination these reasons, PBGC does not believe it In a distress termination, the plan’s date may have retired and been put into enrolled actuary must certify, among pay status by the plan administrator. It 1 PBGC in the past has allowed participants the other things, whether the plan is would impose a hardship on such option to come out of pay status (and resume sufficient for guaranteed benefits as of benefits later) in very limited circumstances, such participants to take them out of pay as where a participant was mistakenly put into pay the proposed termination date and as of status, likely depriving them of all or status by the plan administrator at a time when the the proposed distribution date. (See most of their retirement income. participant was not entitled to any benefit under the section 4041(c)(2)(A) of ERISA.) In To address this situation, the plan. Relatively few participants have taken making those determinations, the advantage of this option in any event, and for the proposed regulation proposed that reasons stated in the text PBGC is not inclined to actuary must take into account participants who became entitled under expand the group to whom such a choice is offered. nonguaranteed benefits to which the

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plan’s assets must be allocated under If no change were made to the Chapter 7. The final regulation clarifies section 4044—notably, nonguaranteed definition of basic-type benefit in a PPA that, in such a situation, the date of the benefits in priority category 3. PBGC 2006 bankruptcy termination, benefits original bankruptcy petition is the must determine whether it agrees that that accrued, or to which a participant bankruptcy filing date. This is the plan is sufficient for guaranteed otherwise became entitled, between the consistent with section 348 of the benefits. (See section 4041(c)(3)(A) of sponsor’s bankruptcy filing date and the Bankruptcy Code, which provides that ERISA.) If PBGC agrees that the plan is plan’s termination date would become conversion of a case from one chapter to sufficient for guaranteed benefits, it so nonbasic-type benefits (because they another under the Bankruptcy Code notifies the plan administrator and the would not be guaranteed but not due to does not change the date of the filing of administrator then proceeds to the limitations in §§ 4022.22 through the petition. distribute the plan’s assets and carry out 4022.27) and thus subject to the The second situation involves plans the termination of the plan. (See section different treatment currently accorded that have more than one contributing 4041(c)(3)(B)(ii) of ERISA.) One purpose temporary supplements. Such benefits sponsor. Section 404 of PPA 2006 of the determinations under section would, absent this regulatory change, applies where a plan terminates during 4041 of the plan’s sufficiency for receive less favorable treatment in the bankruptcy proceeding of ‘‘a’’ guaranteed benefits is to avoid PBGC priority category 5, a technical result contributing sponsor of a plan. trusteeship of a plan that has enough that PBGC believes was not intended by Although most terminating single- assets to pay all the benefits that PBGC the statutory change. Not amending the employer plans have only a single would pay if it took over the plan. (Any regulation would also require PBGC to contributing sponsor, some plans have additional benefits that may be payable follow the more complex allocation more than one contributing sponsor. under section 4022(c) of ERISA are not procedures in part 4044 for nonbasic- The final regulation provides that if a considered for purposes of whether a type benefits even where a plan has no plan with multiple contributing plan is sufficient for guaranteed temporary supplements. Accordingly, sponsors terminates during the benefits.) the final regulation modifies the sponsors’ bankruptcy proceedings and if The final regulation provides that in definition of ‘‘basic-type benefits’’ to the various sponsors all filed for a PPA 2006 bankruptcy termination, the provide that benefits not guaranteed bankruptcy on the same date, that date determination of sufficiency for solely because they accrued or became is the bankruptcy filing date. guaranteed benefits is made taking into nonforfeitable, or the participant However, if the various contributing account the amendments made by became entitled to them, after the sponsors filed for bankruptcy on section 404 of PPA 2006. That is, the bankruptcy filing date will be different dates, or if not all of them have plan actuary and PBGC must determine considered basic-type benefits. This filed for bankruptcy, it is not obvious sufficiency for guaranteed benefits change to the regulatory definition of what date should be treated as the based on whether, as of the termination basic-type benefits requires a bankruptcy filing date. PBGC believes date and the distribution date, the plan conforming change to § 4044.14 of the that it would be impracticable to use has sufficient assets to pay the benefits regulations, to ensure that these more than one bankruptcy filing date in that are guaranteed as of the bankruptcy nonguaranteed benefits are not placed determining benefits under a single filing date and the benefits that are in in priority category 4, which (with plan. But PBGC also believes that it priority category 3 as of three years limited exceptions for benefits of would be unwise to attempt to establish before the bankruptcy filing date (based business owners and of participants in a mechanical rule on what date to use generally on the plan provisions as of more than one terminated plan) is that would apply in all cases. Thus, five years before the bankruptcy filing reserved for guaranteed benefits. date). It would make little sense to treat where a plan has more than one as insufficient for guaranteed benefits— Determination of the Bankruptcy Filing contributing sponsor and not all and thus require PBGC to trustee—a Date sponsors filed for bankruptcy on the plan that has enough assets to provide Section 404 of PPA 2006 requires same date, the proposed regulation all the benefits that PBGC would pay if treating the date that a contributing provided that PBGC would determine it became statutory trustee of the plan. sponsor of a plan has filed or has had the date to treat as the bankruptcy filing filed against it ‘‘a petition seeking date for determining guaranteed benefits Amendment of Definition of Basic-Type liquidation or reorganization in a case and benefits in priority category 3. Benefit under title 11, United States Code, or PBGC’s determination would be based PBGC’s regulations define the term under any similar Federal law or law of on the facts and circumstances, which ‘‘basic-type benefit’’ in § 4001.2 to mean a State or political subdivision’’ as the might include such things as the relative any benefit that is guaranteed under part termination date of the plan, for the sizes of the various contributing 4022 or that would be guaranteed if the purposes discussed above. The final sponsors, the relative amounts of their guarantee limits in §§ 4022.22 through regulation uses the term ‘‘bankruptcy minimum required contributions to the 4022.27 (primarily the maximum filing date’’ to describe the date when a plan, the timing of the different guaranteeable benefit and the phase-in bankruptcy petition has been filed, and bankruptcies, and the expectations of limit) did not apply. A ‘‘nonbasic-type PBGC does not anticipate difficulty participants. benefit’’ is any benefit provided by a determining what that date is in most One commenter suggested a change to plan other than a basic-type benefit. The cases. the proposal described in the previous effect of this distinction is to treat However, three situations may arise in paragraph regarding plans that have temporary supplements, which as which there could be ambiguity about more than one contributing sponsor that explained above are generally not the bankruptcy filing date. The first filed for bankruptcy on different dates. guaranteed due to the accrued-at-normal involves conversion of a bankruptcy Noting the importance to participants of limit in § 4022.21, as nonbasic-type case—for example, where a bankruptcy the date chosen as the bankruptcy filing benefits. Nonbasic-type benefits are case began with the filing of a petition date, the commenter urged that the final treated differently from basic-type for reorganization under Chapter 11 of rule provide that PBGC either— benefits in the section 4044 allocation. the Bankruptcy Code but was later • Obtain a court determination of the See, e.g., §§ 4044.10(c) and 4044.12. converted to a liquidation case under appropriate bankruptcy filing date; or

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• Issue a notification of its person a petition seeking liquidation or so by deleting or rewording determination of the bankruptcy filing reorganization.’’ (Emphasis added.) anachronistic language in part 4044; no date to participants, relevant labor Moreover, under the Bankruptcy Code, substantive change in part 4044 is unions, and other affected parties and both a voluntary bankruptcy case and an intended. It also removes the no-longer- exempt this determination from PBGC’s involuntary case are commenced by the needed prefatory note in part 4044 (and administrative review process under filing of a ‘‘petition.’’ (Compare 11 does not include a prefatory note that § 4003.1 of its regulations, thereby U.S.C. 301(a) with 11 U.S.C. 303(a).) the proposed rule would have added to allowing speedier judicial review of the Thus, Congress evidently intended that part 4022). determination. the relevant date under sections 4022(g) Coordination With Other PPA 2006 The final rule does not adopt either of and 4044(e) be the date on which the Amendments these suggestions, and adopts the bankruptcy petition was filed, procedure described in the proposed regardless of whether it is a voluntary or Section 404 was only one of a number rule. PBGC believes that obtaining a involuntary petition. of provisions of PPA 2006 that affect the court order or issuing notification to determination of benefits under Title IV. potentially thousands of participants Changes Unrelated to PPA 2006 PBGC’s regulations therefore must could be onerous and unduly delay The final regulation adopts a few coordinate the various provisions, PBGC’s processing of a terminated plan. minor changes unrelated to the PPA where necessary. Below is a description Moreover, such situations are likely to 2006 amendments, most of which were of certain PPA 2006 amendments that be rare; if future experience reveals proposed in the proposed regulation. interrelate with the changes made by problems with the position adopted in For example, in §§ 4022.4(a)(1), 4044.2, section 404. and 4044.13, the final regulation this regulation, PBGC may consider Shutdown Benefits and Other changes the words ‘‘date of termination’’ amending the regulation to address such Unpredictable Contingent Event or ‘‘date of plan termination’’ to problems based on that experience. Benefits The third situation in which there ‘‘termination date’’ to conform to the could be ambiguity about the current phrasing in section 4048(a) of One situation requiring coordination bankruptcy filing date involves ERISA. The regulation amends involves section 403 of PPA 2006, liquidation or reorganization cases that § 4022.4(a)(2) to codify PBGC’s practice which added new section 4022(b)(8) to are filed, not under the U.S. Bankruptcy of allowing a participant who has the guarantee provisions of Title IV. Code, but under a ‘‘similar * * * law of elected an optional life-annuity form of Section 4022(b)(8) provides a special a State or political subdivision.’’ Some benefit (not a lump sum) at any time up phase-in rule for shutdown benefits and states have insolvency statutes similar until the date that PBGC is appointed other ‘‘unpredictable contingent event to the U.S. Bankruptcy Code and statutory trustee of the plan to receive benefits.’’ In cases to which that include provisions similar to 11 U.S.C. his benefit in that form, even if it is not provision applies, PBGC is to apply the 301(a), 302(a), and 303(b) under which one of the PBGC optional forms under phase-in rules of section 4022 as if a a case is commenced by the filing of a § 4022.8(c) of the regulations. The plan amendment had been adopted on petition in court. The date on which regulation also corrects the reference in the date that the unpredictable such a petition is filed will be treated as § 4022.22 to the provision of the Internal contingent event occurred. For example, the bankruptcy filing date under the Revenue Code defining ‘‘earned in a case in which new section 4022(g) final rule. Other, perhaps more income’’; the definition has been moved does not apply, if an unpredictable informal, proceedings, such as from section 911(b) to section 911(d)(2) contingent event occurred more than assignments for the benefit of creditors, of the Code since PBGC’s original two years but less than three years may have different procedures for regulation was adopted. before the termination date, this would commencing cases, which may vary A new § 4022.62(b)(5) has been added mean that the guarantee of a benefit from state to state. For such to clarify that the rules in § 4022.62(b), increase arising from the unpredictable proceedings, PBGC will make case-by- which generally apply to the calculation contingent event would be 40% phased case determinations on what date is of estimated benefits pending PBGC’s in. most analogous to the date of the filing determination of final benefits, do not But if section 4022(g) also applies to of a bankruptcy petition and would treat override the requirements of subparts A such a case, PBGC believes that, as with that date as the bankruptcy filing date. or B of part 4022 with respect to the other benefit increases, the five-year PBGC received a comment on an issue requirements for a benefit to be phase-in period must be measured by that was not addressed in the proposed guaranteed by PBGC. reference to the bankruptcy filing date, rule concerning determination of the In addition to these changes that were not the termination date. Thus, bankruptcy filing date. This comment in the proposed regulation, the final continuing the above example, if the proposed that in a case in which an regulation incorporates some other sponsor’s bankruptcy filing date were involuntary bankruptcy petition is filed minor changes unrelated to PPA 2006. one year before the plan’s termination against a contributing sponsor and the The final rule makes non-substantive, date, then the guarantee of the sponsor timely contests the petition, clarifying changes to § 4044.13, unpredictable contingent event benefit PBGC should use the date on which the including examples designed to remove would be only 20% rather than 40% bankruptcy court enters an order for any ambiguity about the dates on which phased in, because the unpredictable relief, rather than the date on which the the relevant periods begin and end. contingent event would have occurred petition was filed, as the bankruptcy Also, certain provisions of existing more than one year but less than two filing date. (See 11 U.S.C. 303(h).) The part 4044 have been superseded by years before the bankruptcy filing date. final rule does not adopt this proposal. legislative changes, and some provisions Section 4022(b)(8) applies to benefits Sections 4022(g) and 4044(e) make no of the existing regulation include that become payable as a result of an distinction between voluntary and anachronistic language. The existing unpredictable contingent event that involuntary bankruptcies. In describing regulation contains a prefatory note to occurs after July 26, 2005. when they apply, both provisions refer the effect that PBGC intends to amend PBGC intends to issue a separate to cases in which a contributing sponsor part 4044 to conform it to current proposed rule to implement section ‘‘has filed or has had filed against such statutory provisions. The final rule does 4022(b)(8).

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Commercial Airlines made by section 404 of PPA 2006. PBGC material way the economy, a sector of Another provision that raises intends to do so in a future rulemaking. the economy, productivity, competition, jobs, the environment, public health or coordination issues is PPA 2006 section Applicability 402(g)(2)(A), which added new section safety, or State, local, or Tribal Section 404(c) of PPA 2006 provided 4022(h) to Title IV. Section 4022(h) governments or communities. The PBGC that the changes made by section 404 modifies the guarantee and asset has determined that this final rule does apply to any plan whose termination allocation rules primarily for plans of not cross the $100 million threshold for date occurs while bankruptcy economic significance and is not commercial airlines that make an proceedings are pending with respect to otherwise economically significant. election under section 402(a)(1) of PPA the contributing sponsor of the plan, if As discussed above, the economic 2006 (relating to special minimum the bankruptcy proceedings were effect of the final rule is attributable funding rules) and that terminate within initiated on or after September 16, 2006. almost entirely to the economic effect of 10 years of such election. Section Bankruptcy proceedings are pending, section 404(c) of PPA 2006. 4022(h) provides that when those for this purpose, if the contributing Accordingly, PBGC bases its conditions are met, section 4022 is to be sponsor has filed or has had filed determination on its experience with applied by treating the first day of the against it a petition seeking liquidation plans subject to the statutory provision. first applicable plan year (for the special or reorganization in a case under title As stated above in Applicability, the airline funding rules) as the termination 11, United States Code, or under any statutory provision applies to any plan date of the plan. It also provides similar Federal law or law of a State or whose termination date occurs while generally that the plan’s assets are to be political subdivision, and the case has bankruptcy proceedings are pending allocated first to the benefits that would not been dismissed as of the termination with respect to the contributing sponsor have been guaranteed but for this date of the plan. Accordingly, the final of the plan, if the bankruptcy provision (i.e., ahead of benefits in all regulation, which implements the proceedings were initiated on or after other priority categories under section statutory changes, likewise applies to September 16, 2006. 4044). Section 4022(h) applies to plan terminations occurring during a PBGC estimates that, to date, the total years ending after August 17, 2006. bankruptcy proceeding of the effect of section 404(c) of PPA—in terms The final regulation does not address contributing sponsor that was initiated of lower benefits paid to participants implementation of section 4022(h) or on or after September 16, 2006. and associated savings for PBGC—is how it interrelates with the amendments between $10 and $15 million. Many of made by section 404 of PPA 2006. PBGC Compliance With Rulemaking the plans subject to the statutory intends to do so in a future rulemaking. Guidelines provision had frozen benefit accruals Substantial-Owner Benefits Executive Order 12866 before the date of bankruptcy filing, which resulted in the statutory Section 407 of PPA 2006 amended PBGC has determined, in consultation provision having minimal, if any, effect. section 4022(b)(5) of ERISA, which with the Office of Management and For those plans for which the statutory previously provided a special phase-in Budget, that this final rule is a provision did significantly affect rule for PBGC’s guarantee of the benefits ‘‘significant regulatory action’’ under benefits, the effect was lessened because of ‘‘substantial owners,’’ who were Executive Order 12866. The Office of the date of bankruptcy filing was less generally defined as those owning more Management and Budget has therefore than a year (and sometimes much less) than 10% of the business. Under the reviewed this final rule under that before the date of plan termination. amendment, a special phase-in rule executive order. For various reasons, it is difficult to applies only to benefits of ‘‘majority Section 404 of PPA 2006 made predict the future effect of the statutory owners,’’ generally defined as those significant changes to provisions of Title provision and related regulatory owning 50% or more of the business. IV of ERISA relating to the guarantee of changes. For example, PBGC cannot The amendment also completely benefits under section 4022 and the predict with certainty which plans will revamped the way in which the special allocation of a terminated plan’s assets terminate during the bankruptcy of the phase-in rule works. Previously, the under section 4044. This final rule plan sponsor, how long the plan substantial-owner phase-in rule was implements those statutory changes sponsor will be in bankruptcy before the used in lieu of the usual phase-in rule and, as described in this preamble, plan terminates, whether the plan will for benefits of substantial owners. The clarifies the implications of those be frozen, the funding level of the plan, new majority-owner phase-in rule, by changes in areas where there might be or what benefits will be affected by the contrast, applies in addition to the usual ambiguity in the absence of a regulation. guarantee limits. However, given the phase-in rule, but the additional The final rule provides guidance to relatively low estimate of the effect of limitation looks back only 10 years participants and beneficiaries of the statutory provision to date, PBGC rather than 30 years. Finally, section terminated plans about their benefits has determined that the annual effect of 407 of PPA 2006 amended section 4044 paid by PBGC. It will also assist PBGC the final rule will be less than $100 of ERISA to change the treatment in staff in making benefit determinations. million. priority category 4 of benefits subject to Except for a few minor housekeeping the majority-owner phase-in. These items described above under ‘‘Changes Regulatory Flexibility Act section 407 amendments are effective Unrelated to PPA 2006,’’ the final rule PBGC certifies under section 605(b) of for distress terminations in which is limited to implementing and the Regulatory Flexibility Act (5 U.S.C. notices of intent to terminate are clarifying the changes made by section 601 et seq.) that the amendments in this provided on or after January 1, 2006, 404. final regulation will not have a and for involuntary terminations in Under Section 3(f)(1) of Executive significant economic impact on a which notices of determination are Order 12866, a regulatory action is substantial number of small entities. provided on or after January 1, 2006. economically significant if ‘‘it is likely The amendments implement and in The final regulation does not address to result in a rule that may * * * [h]ave some cases clarify statutory changes implementation of these changes or how an annual effect on the economy of $100 made in PPA 2006; they do not impose they interrelate with the amendments million or more or adversely affect in a new burdens on entities of any size.

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Virtually all of the statutory changes if not all contributing sponsors are in ■ b. Redesignate paragraphs (a), (b), and affect only PBGC and persons who bankruptcy), PBGC will determine the (c) as paragraphs (1), (2), and (3). receive benefits from PBGC. date that will be treated as the ■ c. Add new paragraph (b) to read as Accordingly, as provided in section 605 bankruptcy filing date based on the facts follows: of the Regulatory Flexibility Act, and circumstances, which may include § 4022.3 Guaranteed benefits. sections 603 and 604 do not apply. such things as the relative sizes of the * * * * * List of Subjects contributing sponsors, the relative amounts of their minimum required (b) PPA 2006 bankruptcy termination. 29 CFR Part 4001 contributions to the plan, the timing of (1) Substitution of bankruptcy filing date. In a PPA 2006 bankruptcy Pensions. the different bankruptcies, and the expectations of participants. termination, ‘‘bankruptcy filing date’’ is 29 CFR Part 4022 Basic-type benefit * * * In a PPA substituted for ‘‘termination date’’ each place that ‘‘termination date’’ appears in Pension insurance, Pensions, 2006 bankruptcy termination, it also includes a benefit accrued by a paragraph (a) of this section. Reporting and recordkeeping (2) Condition for entitlement satisfied participant, or to which a participant requirements. between bankruptcy filing date and otherwise became entitled, on or before termination date. If a participant 29 CFR Part 4044 the plan’s termination date but that is becomes entitled to a subsidized early Pension insurance, Pensions. not guaranteed solely because of the retirement or other benefit before the For the reasons given above, PBGC is provisions of §§ 4022.3(b) or 4022.4(c). termination date (or on or before the amending 29 CFR parts 4001, 4022, and * * * * * termination date, in the case of a 4044 as follows. Non-PPA 2006 bankruptcy requirement that a participant attain a termination means a plan termination PART 4001—TERMINOLOGY particular age, earn a particular amount that is not a PPA 2006 bankruptcy of service, become disabled, or die) but ■ 1. The authority citation for part 4001 termination. on or after the bankruptcy filing date (or continues to read as follows: * * * * * after the bankruptcy filing date, in the Sufficient for guaranteed benefits Authority: 29 U.S.C. 1301, 1302(b)(3). case of a requirement that a participant * * * In a PPA 2006 bankruptcy attain a particular age, earn a particular ■ 2. In § 4001.2: termination, the determination whether amount of service, become disabled, or ■ a. Amend the definition of basic-type a plan is sufficient for guaranteed die), the subsidy or other benefit is not benefit by adding a sentence at the end. benefits is made taking into account the ■ guaranteed because the participant had b. Amend the definition of sufficient limitations in sections 4022(g) and not satisfied the conditions for for guaranteed benefits by adding two 4044(e) of ERISA (and corresponding entitlement by the bankruptcy filing sentences at the end. provisions of these regulations). The date. In such a case, the participant may ■ c. Add definitions for bankruptcy determinations of which benefits are have been put into pay status with the filing date and non-PPA 2006 guaranteed and which benefits are in subsidized early retirement or other bankruptcy termination in alphabetical priority category 3 under section benefit by the plan administrator, order. 4044(a)(3) of ERISA are made by The additions read as follows: because the plan was ongoing at the reference to the bankruptcy filing date, time. Even though the subsidy or other § 4001.2 Definitions but the present values of those benefits benefit is not guaranteed, the participant * * * * * are determined as of the proposed may be entitled to another benefit from Bankruptcy filing date means, with termination date and the date of PBGC (at that time or in the future). If respect to a plan, the date on which a distribution. so, PBGC will continue paying the petition commencing a case under the * * * * * participant a benefit, but in an amount United States Bankruptcy Code is filed, reduced to reflect that the subsidy or or the date on which any similar filing PART 4022—BENEFITS PAYABLE IN other benefit is not guaranteed. PBGC is made commencing a case under any TERMINATED SINGLE-EMPLOYER will also allow a similarly situated similar Federal law or law of a State or PLANS participant who had not started political subdivision, with respect to the receiving a subsidized early retirement ■ contributing sponsor of the plan, if such 3. The authority citation for part 4022 or other benefit before PBGC became case has not been dismissed as of the continues to read as follows: trustee of the plan to begin receiving a termination date of the plan. If a Authority: 29 U.S.C. 1302, 1322, 1322b, benefit (if the participant would have bankruptcy petition is filed under one 1341(c)(3)(D), and 1344. been allowed under the plan to begin receiving benefits and has reached his chapter of the United States Bankruptcy § 4022.2 [Amended] Code, or under one chapter or provision Earliest PBGC Retirement Date, as of any such similar law, and the case is ■ 4. In § 4022.2, amend the introductory defined in § 4022.10), but in an amount converted to a case under a different text by removing the words ‘‘annuity, that does not include the subsidy or chapter or provision of such Code or Code’’ and adding in their place other benefit. similar law (for example, a Chapter 11 ‘‘annuity, bankruptcy filing date, Code’’; (3) Examples. (i) Vesting. A plan reorganization case is converted to a and by removing the words provides for 5-year ‘‘cliff’’ vesting—i.e., Chapter 7 liquidation case), the date of ‘‘nonforfeitable benefit, normal benefits become 100% vested when the the original petition is the bankruptcy retirement age’’ and adding in their participant completes five years of filing date. If such a plan has more than place ‘‘nonforfeitable benefit, non-PPA service; before the five-year mark, one contributing sponsor: 2006 bankruptcy termination, normal benefits are 0% vested. The contributing (1) If all contributing sponsors entered retirement age’’. sponsor of the plan files a bankruptcy bankruptcy on the same date, that date ■ 5. In § 4022.3: petition on November 15, 2006. The is the bankruptcy filing date; ■ a. Designate the introductory text as plan terminates with a termination date (2) If all contributing sponsors did not paragraph (a) with the heading of December 4, 2007, and PBGC enter bankruptcy on the same date (or ‘‘General.’’ becomes statutory trustee of the plan. A

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participant had four years and six plan or, if later, the date on which PBGC benefit of $1,930: His $1,530 accrued months of service at the bankruptcy became statutory trustee of the plan. benefit plus the $400 temporary filing date and became vested in May * * * * * supplement. The plan terminates six 2007. None of the participant’s benefit (c) In a PPA 2006 bankruptcy months later, during the sponsor’s is guaranteed because none of the termination, ‘‘bankruptcy filing date’’ is bankruptcy. No Title IV limitations benefit was nonforfeitable as of the substituted for ‘‘termination date’’ each apply to the participant’s benefit, other bankruptcy filing date. place that ‘‘termination date’’ appears in than the limitation in paragraph (a)(1) of (ii) Subsidized early retirement paragraphs (a)(1) and (3) of this section. this section. PBGC will guarantee benefit. The facts regarding the plan are In making this substitution for purposes $1,500, the amount of the participant’s the same as in Example (i) (paragraph of paragraph (a)(3) of this section, the accrued benefit (as a straight-life (b)(3)(i) of this section), but the plan rule in § 4022.3(b)(2) (dealing with the annuity) as of the bankruptcy filing also provides that a participant may situation where the condition for date. retire from active employment at any entitlement was satisfied between the (ii) Joint-and-survivor annuity. The age with a fully subsidized (i.e., not bankruptcy filing date and the facts are the same as Example (i) actuarially reduced) early retirement termination date) shall apply. (paragraph (e)(2)(i) of this section), benefit if he has completed 30 years of except that the participant elects to ■ 7. In § 4022.6: service. The plan also provides that a ■ a. Amend paragraph (a) by removing receive his benefit as a 50% joint-and- participant who is age 60 and has ‘‘provided in paragraph (b) of’’ and survivor annuity. Before plan completed 20 years of service may retire adding in its place ‘‘otherwise provided termination, the participant was receiving a total benefit of $1,777: His from active employment with an early in’’. retirement benefit, reduced by three ■ b. Add new paragraph (d) to read as $1,530 accrued benefit, reduced by 10% percent for each year by which the follows: for the survivor benefit, plus the $400 participant’s age at benefit temporary supplement. From the commencement is less than 65. A § 4022.6 Annuity payable for total termination date until the participant participant was age 61 and had 29 years disability. reaches age 62, PBGC will guarantee and 6 months of service at the * * * * * $1,500: The $1,500 accrued benefit (as bankruptcy filing date. The participant (d) PPA 2006 bankruptcy termination. a straight-life annuity) as of the continued working for another six In a PPA 2006 bankruptcy termination, bankruptcy filing date, reduced to months, then retired as of June 1, 2007, ‘‘bankruptcy filing date’’ is substituted $1,350 to reflect the 10% reduction for and immediately began receiving from for ‘‘termination date’’ in paragraph (a) the survivor benefit, plus $150 of the the plan the fully subsidized ‘‘30-and- of this section. temporary supplement that, in out’’ early retirement benefit. PBGC will ■ 8. In § 4022.21: combination with the $1,350, does not continue paying the participant a ■ a. Amend paragraph (a)(1) by exceed the $1,500 accrued-at-normal benefit, but PBGC’s guarantee does not removing ‘‘(b), (c) and (d)’’ in the first limit. When the participant reaches age include the full subsidy for the ‘‘30-and- sentence and adding in its place ‘‘(b), 62, his guaranteed benefit is reduced to out’’ benefit, because the participant (c), (d), and (e).’’ $1,350, because under plan provisions satisfied the conditions for that benefit ■ b. Add new paragraph (e) to read as the temporary supplement ceases at that after the bankruptcy filing date. The follows: time. ■ guarantee does include, however, the § 4022.21 Limitations; in general. 9. Revise § 4022.22 to read as follows: partial subsidy associated with the ‘‘60/ 20’’ early retirement benefit, because the * * * * * § 4022.22 Maximum guaranteeable benefit. participant satisfied the conditions for (e) PPA 2006 bankruptcy termination. (a) In general. Subject to section that benefit before the bankruptcy filing (1) Substitution of bankruptcy filing 4022B of ERISA and part 4022B of this date. date. In a PPA 2006 bankruptcy chapter, and except as provided in (iii) Accruals after bankruptcy filing termination, ‘‘bankruptcy filing date’’ is paragraph (b) of this section, benefits date. The facts regarding the plan are substituted for ‘‘termination date’’ each payable with respect to a participant the same as in Example (i) (paragraph place that ‘‘termination date’’ appears in under a plan shall be guaranteed only to (b)(3)(i) of this section). A participant paragraph (a)(1) of this section. the extent that such benefits do not has a vested, accrued benefit of $500 per (2) Examples. (i) Straight-life annuity. exceed the actuarial value of a benefit in month as of the bankruptcy filing date. A plan provides for normal retirement at the form of a life annuity payable in At the plan’s termination date, the age 65. If a participant terminates monthly installments, commencing at participant has a vested, accrued benefit employment at or after age 55 with 25 age 65, equal to the lesser of— of $512 per month. His guaranteed years of service, the plan will pay an (1) One-twelfth of the participant’s benefit is limited to $500 per month— unreduced early retirement benefit, plus average annual gross income from his the accrued, nonforfeitable benefit as of a temporary supplement of $400 per employer during either his highest-paid the bankruptcy filing date. month until the participant reaches age five consecutive calendar years in 62. When the plan’s contributing which he was an active participant ■ 6. In § 4022.4: sponsor files a bankruptcy petition in ■ a. Amend paragraph (a)(1) by under the plan, or if he was not an 2008, a participant who is still working removing ‘‘date of the termination’’ and active participant throughout the entire has a vested, accrued benefit of $1,500 adding in its place ‘‘termination date’’. such period, the lesser number of ■ b. Revise paragraph (a)(2) and add per month (as a straight-life annuity) calendar years within that period in paragraph (c) to read as follows: and has satisfied the age and service which he was an active participant requirements for the unreduced early under the plan; or § 4022.4 Entitlement to a benefit. retirement benefit. The participant (2) $750 multiplied by the fraction x/ (a) * * * retires eight months later, when his $13,200 where ‘‘x’’ is the Social Security (2) The benefit is payable in an vested, accrued benefit is $1,530 per contribution and benefit base optional life-annuity form of benefit that month (as a straight-life annuity). He determined under section 230 of the the participant or beneficiary elected on elects to receive his benefit as a straight- Social Security Act in effect at the or before the termination date of the life annuity, and begins receiving a total termination date of the plan.

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(b) PPA 2006 bankruptcy termination. termination date in July 2008. At the § 4022.24 Benefit increases. In a PPA 2006 bankruptcy termination— bankruptcy filing date: * * * * * (1) The five-year period described in (A) Participant A was age 64 and (f) PPA 2006 bankruptcy termination. paragraph (a)(1) of this section shall not receiving a benefit from the plan in the In a PPA 2006 bankruptcy termination, include any calendar years that end form of a 10-year certain-and- except as provided in the next sentence, after the bankruptcy filing date. continuous annuity, with 4 years ‘‘bankruptcy filing date’’ is substituted (2) ‘‘Bankruptcy filing date’’ is remaining in the certain period. for ‘‘termination date’’ each place that substituted for ‘‘termination date of the (B) Participant B was age 60 and ‘‘termination date’’ appears in plan’’ in paragraph (a)(2) of this section. 6 months and was still working. She paragraphs (a) and (c) of this section. In Example: A contributing sponsor files a began receiving a benefit from the plan any case in which an event (such as the bankruptcy petition in 2007. The in the form of a 50% joint-and-survivor death of a participant or beneficiary sponsor’s plan terminates in a distress annuity when she turned 61 in January who was alive on the bankruptcy filing termination with a termination date in 2008. Her spouse was the same age as date) that affects who is receiving or 2008. PBGC will compute participants’ she. will receive a benefit from PBGC has maximum guaranteeable benefits based (C) Participant C was age 60 and was occurred on or before the termination on the amount determined under receiving a $3,000/month benefit from date, PBGC will compute the benefit paragraph (a)(2) for 2007 ($4,125.00 as the plan in the form of a 50% joint-and- based on the form of benefit that was a straight-life annuity starting at age 65). survivor annuity, with his spouse, age being paid (or was payable) and the (c) Gross income. For purposes of 58, as his beneficiary. Participant C he person who was receiving or was paragraph (a)(1) of this section— died in February 2008 and in March entitled to receive the benefit from (1) Gross income means ‘‘earned 2008 his spouse began receiving a 50% PBGC as of the termination date, income’’ as defined in section 911(d)(2) survivor annuity of $1,500/month. consistent with § 4022.23(g). of the Code, determined without regard (D) Participant D was age 59 and was ■ 12. In § 4022.25, add paragraph (f) to to any community property laws. still working; he began receiving a read as follows: (2) If the plan is one to which more straight-life annuity from the PBGC in than one employer contributes, and § 4022.25 Five-year phase-in of benefit July 2010 when he was 62 years old. guarantee for participants other than during any calendar year the participant (ii) Conclusions. In accordance with substantial owners. received gross income from more than § 4022.22(b)(2), PBGC computes the one such contributing employer, then * * * * * maximum guaranteeable monthly (f) PPA 2006 bankruptcy termination. the amounts so received shall be benefit for Participants A, B, and D and aggregated in determining the In a PPA 2006 bankruptcy termination, for the spouse of Participant C based on ‘‘bankruptcy filing date’’ is substituted participant’s gross income for the the $4,125.00 amount determined under calendar year. for ‘‘termination date’’ each place that § 4022.22(a)(2) for 2007. (The gross- ‘‘termination date’’ appears in ■ 10. In § 4022.23, add paragraph (g) to income-based limitation in paragraphs (c) and (d) of this section. read as follows: § 4022.22(a)(1) does not apply to any of Example: A plan amendment that was these participants.) § 4022.23 Computation of maximum adopted and effective in February 2007 guaranteeable benefits. (A) Participant A’s maximum increased a participant’s benefit by $300 guaranteeable monthly benefit is * * * * * per month (as computed under $3,759.53 [$4,125.00 × .93 (7% (g) PPA 2006 bankruptcy termination. § 4022.24). The contributing sponsor of reduction for a benefit starting at age 64) the plan filed a bankruptcy petition in (1) In a PPA 2006 bankruptcy × .98 (2% reduction for a certain-and- termination, except as provided in the March 2009 and the plan has a continuous annuity with 4 years termination date in April 2010. PBGC’s next sentence, ‘‘bankruptcy filing date’’ remaining in the certain period)]. is substituted for ‘‘termination date’’ guarantee of the participant’s benefit (B) Participant B’s maximum × and ‘‘date of plan termination’’ each increase is limited to $120 ($300 guaranteeable monthly benefit is place that ‘‘termination date’’ or ‘‘date of 40%), because the increase was made $2,673.00 [$4,125.00 × .72 (28% plan termination’’ appears in paragraphs more than 2 years but less than 3 years reduction for a benefit starting at age 61) (c), (d), and (f) of this section. In any before the bankruptcy filing date. × .90 (10% reduction due to the 50% case in which an event (such as the joint-and-survivor feature)]. Subpart C—Section 4022(c) Benefits death of a participant or beneficiary (C) Participant C’s spouse’s maximum who was alive on the bankruptcy filing ■ guaranteeable monthly benefit is 13. Revise the heading for subpart C date) that affects who is receiving or × to read as set forth above. will receive a benefit from PBGC has $2,351.25 [$4,125.00 .57 (43% reduction for a benefit starting at age 58; ■ 14. Add new § 4022.51 under subpart occurred on or before the termination C to read as follows: date, PBGC will determine the factors in no reduction for the form of benefit paragraphs (d), (e), and (f) based on the because the spouse’s survivor benefit is § 4022.51 Determination of section 4022(c) form of benefit that was being paid (or a straight-life annuity)]. Because that benefits in a PPA 2006 bankruptcy was payable) and the person who was amount exceeds the spouse’s $1,500 termination. receiving or was entitled to receive the monthly survivor benefit, the spouse’s (a) Amount of unfunded benefit from PBGC as of the termination benefit is not reduced by the maximum nonguaranteed benefits. For purposes of date. (The case of Participant C in the guaranteeable benefit limitation. this section, and subject to paragraph (b) example below illustrates this (D) Participant D’s maximum of this section, a plan’s amount of exception.) guaranteeable monthly benefit is unfunded nonguaranteed benefits × (2) Example. (i) Facts. The $3,258.75 [$4,125.00 .79 (21% means the plan’s outstanding amount of contributing sponsor of a plan files a reduction for a benefit starting at age benefit liabilities, as defined in section bankruptcy petition in July 2007, and 62)]. 4001(a)(19) of ERISA, determined as of the sponsor’s plan terminates in a ■ 11. In § 4022.24, add paragraph (f) to the plan’s termination date. A plan’s PBGC-initiated termination with a read as follows: amount of unfunded nonguaranteed

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benefits is multiplied by the applicable § 4022.62 Estimated guaranteed benefits. § 4022.63 Estimated title IV benefits. recovery ratio to determine the aggregate * * * * * * * * * * amount to be allocated with respect to (b) * * * (b) * * * participants of the plan under section (1) Non-PPA 2006 bankruptcy (3) PPA 2006 bankruptcy termination. 4022(c)(1) of ERISA. termination. In a non-PPA 2006 In a PPA 2006 bankruptcy termination, (b) Benefits included in unfunded bankruptcy termination: ‘‘bankruptcy filing date’’ is substituted nonguaranteed benefits. For purposes of (i) For benefits payable with respect to for ‘‘proposed termination date’’ in the computing benefits under section a participant who is in pay status on or first sentence of paragraph (b)(2) of this 4022(c) of ERISA in a PPA 2006 before the proposed termination date, section. bankruptcy termination, unfunded the plan administrator shall use the (c) * * * nonguaranteed benefits are benefits participant’s age and benefit payable (2) PPA 2006 bankruptcy termination. In a PPA 2006 bankruptcy termination, under a plan as of the plan’s termination under the plan as of the proposed ‘‘bankruptcy filing date’’ is substituted date that are neither guaranteed by termination date. for ‘‘proposed termination date’’ each PBGC (taking into account section (ii) For benefits payable with respect place that ‘‘proposed termination date’’ 4022(g) of ERISA) nor funded by the to a participant who enters pay status appears in paragraph (c)(1) of this plan’s assets (taking into account after the proposed termination date, the section. section 4044(e) of ERISA). plan administrator shall use the (c) Determination of recovery ratio. In participant’s age as of the benefit * * * * * a PPA 2006 bankruptcy termination, the commencement date and his service and (e) * * * Example 1. *** recovery ratio under section 4022(c)(3) compensation as of the proposed of ERISA is determined as follows. The termination date. * * * * * numerator is based on PBGC’s (2) PPA 2006 bankruptcy termination. PPA 2006 bankruptcy termination. In recoveries under section 4062, 4063, or In a PPA 2006 bankruptcy termination: a PPA 2006 bankruptcy termination, the methodology would be the same, but 4064, valued as of the plan’s (or plans’) (i) For benefits payable with respect to ‘‘bankruptcy filing date’’ would be termination date (or dates). The a participant who is in pay status on or substituted for ‘‘proposed termination denominator of the recovery ratio is before the bankruptcy filing date, the date’’ each place that ‘‘proposed based on the amount of unfunded plan administrator shall use the termination date’’ appears in the benefit liabilities, as defined in section participant’s age and benefit payable example, and the numbers would 4001(a)(18) of ERISA, as of the plan’s (or under the plan as of the bankruptcy change accordingly. plans’) termination date (or dates). filing date. ■ 15. In § 4022.61: (ii) For benefits payable with respect * * * * * ■ a. Amend paragraph (c) by removing to a participant who enters pay status ■ 18. In § 4022.81: ■ ‘‘4022.22(b)’’ and adding in its place after the bankruptcy filing date, the plan a. Redesignate paragraphs (c)(3) and ‘‘4022.22(a)(2)’’ and by adding a administrator shall use the participant’s (4) as paragraphs (c)(4) and (5). ■ sentence at the end. age as of the benefit commencement b. Add new paragraph (c)(3) to read as ■ b. Amend paragraph (f) introductory date and his service and compensation follows: text by removing ‘‘:’’ and adding in its as of the bankruptcy filing date. § 4022.81 General rules. place ‘‘.’’ and by adding a parenthetical * * * * * * * * * * reference at the end. (5) Nothing in this paragraph (b) (c) * * * The additions read as follows: overrides the provisions of subparts A (3) PPA 2006 bankruptcy termination. § 4022.61 Limitations on benefit payments and B of part 4022 with respect to the The provisions of paragraphs (c)(1) and by plan administrator. requirements necessary for a benefit to (2) of this section regarding the * * * * * be guaranteed by PBGC. overpayments and underpayments that (c) * * * In a PPA 2006 bankruptcy * * * * * will be included in the account balance termination, the maximum (e) PPA 2006 bankruptcy termination. apply regardless of whether the guaranteeable benefit is determined as In a PPA 2006 bankruptcy termination, termination is a PPA 2006 bankruptcy of the bankruptcy filing date, in ‘‘bankruptcy filing date’’ is substituted termination. accordance with §§ 4022.22(b) and for ‘‘proposed termination date’’ each * * * * * 4022.23(g). place that ‘‘proposed termination date’’ ■ 19. In § 4022.82, revise paragraph * * * * * appears in paragraph (c) of this section. (a)(1) to read as follows: (f) * * * (For an example addressing (f) * * * (For examples addressing § 4022.82 Method of recoupment. issues specific to a PPA 2006 issues specific to a PPA 2006 (a) * * * bankruptcy termination, see bankruptcy termination, see § 4022.25(f).). (1) Computation. The PBGC will §§ 4022.21(e), 4022.22(b), and determine the fractional multiplier by 4022.23(g).) * * * * * dividing the amount of the net * * * * * ■ 17. In § 4022.63: overpayment by the present value of the ■ 16. In § 4022.62: ■ a. Redesignate the introductory text of benefit payable with respect to the ■ a. Redesignate paragraph (e) as paragraph (c) as paragraph (c)(1) with participant under title IV of ERISA. paragraph (f). the heading ‘‘In general.’’ (i) Non-PPA 2006 bankruptcy ■ b. Amend the introductory text of ■ b. Redesignate paragraph (c)(1) as termination. In a non-PPA bankruptcy newly redesignated paragraph (f) by paragraph (c)(1)(i) and redesignate termination, the PBGC will determine removing ‘‘:’’ and adding in its place ‘‘.’’ paragraph (c)(2) as paragraph (c)(1)(ii). the present value of the benefit to which and by adding a parenthetical reference ■ c. Add new paragraphs (b)(3) and a participant or beneficiary is entitled at the end. (c)(2). under title IV of ERISA as of the ■ c. Revise paragraphs (b)(1) and (b)(2), ■ d. In paragraph (e), amend Example 1 termination date, using the PBGC and add paragraph (b)(5) and new by adding a paragraph at the end. interest rates and factors in effect on paragraph (e) to read as follows: The additions read as follows: that date.

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(ii) PPA 2006 bankruptcy termination. ■ c. In paragraph (e), remove the § 4022.2, that were in effect throughout In a PPA 2006 bankruptcy termination, definition of ‘‘qualifying bid’’. the 5-year period ending on the PBGC will determine the amount of termination date, including automatic benefit payable with respect to the § 4044.3 [Amended] benefit increases during that period to participant under title IV of ERISA ■ 23. In § 4044.3(b): the extent provided in paragraph (b)(5) taking into account the limitations in ■ a. Remove ‘‘pursuant to a Notice of of this section, shall be included in sections 4022(g) and 4044(e) (and Sufficiency under the provisions of determining the priority category 3 corresponding provisions of these subpart C of part 2617 of this chapter’’ benefit. For example, in a plan with a regulations), and will determine the and add in its place ‘‘under § 4041.28 or termination date of September 1, 2012, present value of that amount as of the § 4041.50’’. a benefit increase that was in effect termination date, using PBGC interest ■ b. Remove ‘‘(See Note at beginning of throughout the 5-year period from rates and factors in effect on the part 4044.)’’. September 2, 2007, to September 1, termination date. § 4044.10 [Amended] 2012, is included in priority category 3. (iii) Facts and circumstances. The Benefits are primarily basic-type ■ PBGC may, however, utilize a different 24. In § 4044.10, amend the last benefits, although nonbasic-type date of determination if warranted by sentence of paragraph (b) by adding benefits will be included if any portion the facts and circumstances of a before the period at the end: ‘‘, but, in of a participant’s priority category 3 particular case. a PPA 2006 bankruptcy termination, benefit is not guaranteeable under the subject to the limitations in sections * * * * * provisions of subpart A of part 4022 and 4022(g) and 4044(e) of ERISA (and § 4022.21 of this chapter. corresponding provisions of these PART 4044—ALLOCATION OF * * * * * regulations)’’. ASSETS IN SINGLE-EMPLOYER (c) PPA 2006 bankruptcy termination. PLANS ■ 25. In § 4044.13: ■ In a PPA 2006 bankruptcy termination: a. Paragraph (a) is revised. (1) For purposes of this paragraph (c), ■ ■ b. Amend paragraph (b)(2)(i) by 20. The authority citation for part ‘‘applicable pre-termination period’’ removing ‘‘Except as provided in the 4044 is revised to read as follows (note means the period— next sentence,’’ and adding in its place is removed): (i) Beginning on the first day of the 5- ‘‘Except as provided in paragraph Authority: 29 U.S.C. 1301(a), 1302(b)(3), year period ending on the bankruptcy (b)(3),’’ and by removing the second 1341, 1344, 1362. filing date; and sentence. (ii) Ending on the termination date. § 4044.1 [Amended] ■ c. Amend paragraph (b)(2)(ii) by removing the word ‘‘For’’ and adding For example, if the bankruptcy filing ■ 21. In § 4044.1: ‘‘Except as provided in paragraph (b)(3), date is January 15, 2008, and the ■ a. Amend paragraph (b)(1) by for’’ in its place at the beginning of the termination date is March 22, 2009, the removing from the second sentence the first sentence. applicable pre-termination period is the words ‘‘receive or that expect to receive ■ d. Paragraph (c) is added. period beginning on January 16, 2003, a Notice of Inability to Determine The revision and addition read as and ending on March 22, 2009. Sufficiency from PBGC and,’’ and by follows: (2) ‘‘Applicable pre-termination removing from the end of the paragraph period’’ is substituted for ‘‘5-year period the parenthetical ‘‘(See Note at § 4044.13 Priority category 3 benefits. ending on the termination date’’ each beginning of part 4044.)’’. (a) Definition. The benefits in priority place that ‘‘5-year period ending on the ■ b. Amend paragraph (b)(2) by category 3 are those annuity benefits termination date’’ appears in paragraphs removing ‘‘received a Notice of that were in pay status before the (a) and (b) of this section. Sufficiency issued by PBGC pursuant to beginning of the 3-year period ending (3) Except as provided in paragraph part 2617 and has’’ and by removing on the termination date, and those (a)(2) of this section, ‘‘bankruptcy filing ‘‘(See Note at beginning of part 4044.)’’. annuity benefits that could have been in date’’ is substituted for ‘‘termination pay status (then or as of the next date’’ and ‘‘date of the plan § 4044.2 [Amended] payment date under the plan’s rules for termination’’ each place that ■ 22. In § 4044.2: starting benefit payments) for ‘‘termination date’’ and ‘‘date of the ■ a. Amend paragraph (a) by removing participants who, before the beginning plan termination’’ appear in paragraphs ‘‘annuity, basic-type benefit’’ and of the 3-year period ending on the (a) and (b) of this section. In paragraph adding in its place ‘‘annuity, bankruptcy termination date, had reached their (b)(5) of this section, ‘‘the bankruptcy filing date, basic-type benefit’’ and by Earliest PBGC Retirement Date (as filing date’’ is substituted for removing ‘‘nonforfeitable benefit, determined under § 4022.10 of this ‘‘termination’’ in the phrase ‘‘during the normal retirement age’’ and adding in chapter) based on plan provisions in fourth and fifth years preceding its place ‘‘nonforfeitable benefit, non- effect on the day before the beginning of termination.’’ PPA 2006 bankruptcy termination, the 3-year period ending on the (4) Example: A plan provides for normal retirement age’’. termination date. For example, in a plan normal retirement at age 65 and has ■ b. In paragraph (b), amend the with a termination date of September 1, only one early retirement benefit: a definition of ‘‘non-trusteed plan’’ by 2012, the benefits in priority category 3 subsidized early retirement benefit for removing ‘‘receives a Notice of are those annuity benefits that were in participants who terminate employment Sufficiency from PBGC and’’ and ‘‘in pay status on or before September 1, on or after age 60 with 20 years of accordance with part 2617 of this 2009, and those annuity benefits that service. These plan provisions have chapter. (See Note at the beginning of could have been in pay status for been unchanged since 1990. The part 4044.);’’; remove the definition of participants who, on or before contributing sponsor of the plan files a ‘‘notice of sufficiency’’; and amend the September 1, 2009, had reached their bankruptcy petition in June 2008, and definition of ‘‘valuation date’’ by Earliest PBGC Retirement Date based on the plan terminates during the removing ‘‘date of termination’’ and plan provisions in effect on September bankruptcy with a termination date in adding in its place ‘‘termination date’’. 1, 2009. Benefit increases, as defined in September 2010. A participant retired in

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July 2007, at which time he was age 60 DEPARTMENT OF HOMELAND of the Administrative Procedure Act and had 20 years of service, and began SECURITY (APA) (5 U.S.C. 553(b)). This provision receiving the subsidized early authorizes an agency to issue a rule retirement benefit. The participant has Coast Guard without prior notice and opportunity to no benefit in priority category 3, comment when the agency for good because he was not eligible to retire 33 CFR Part 100 cause finds that those procedures are ‘‘impracticable, unnecessary, or contrary three or more years before the June 2008 [Docket No. USCG–2011–0235] bankruptcy filing date. to the public interest.’’ Under 5 U.S.C. RIN 1625–AA08 553(b)(B), the Coast Guard finds that § 4044.14 [Amended] good cause exists for not publishing a Special Local Regulation; notice of proposed rulemaking (NPRM). ■ 26. Amend § 4044.14 by removing Monongahela River, Morgantown, WV Publishing a NPRM would be ‘‘basic-type benefits that do not exceed impracticable with respect to this rule the guarantee limits set forth in subpart AGENCY: Coast Guard, DHS. based on the short notice given the B of part 4022 of this chapter’’ and ACTION: Temporary final rule. Coast Guard for this event. Immediate adding in its place ‘‘guaranteed action is needed to safeguard benefits’’. SUMMARY: The Coast Guard is participants during the Mountaineer establishing a temporary special local Triathlon marine event from the hazards § 4044.41 [Amended] regulation from mile marker 101.0 imposed by marine traffic. ■ 27. Amend § 4044.41, paragraph (Morgantown Highway Bridge) to mile Under 5 U.S.C. 553(d)(3), the Coast (a)(2), by removing from the second marker 102.0 (Morgantown Lock and Guard finds that good cause exists for sentence the words ‘‘with respect to Dam) on the Monongahela River, making this rule effective less than 30 which PBGC has issued a Notice of extending the entire width of the river. days after publication in the Federal Sufficiency’’ and removing from the end The special local regulation is being Register. Publishing an NPRM and the parenthetical ‘‘(See Note at established to safeguard participants of delaying its effective date would be beginning of part 4044.)’’. the Mountaineer Triathlon from the impracticable based on the short notice hazards of marine traffic. Entry into, received for the event. Immediate action § 4044.71 [Amended] movement within, and departure from is needed to provide safety and this Coast Guard regulated area is protection during the Mountaineer ■ 28. Amend § 4044.71 by removing prohibited unless authorized by the ‘‘under the qualifying bid’’. Triathlon marine event that will occur Captain of the Port or a designated in the city of Morgantown, WV. representative. § 4044.72 [Amended] Basis and Purpose DATES: This proposed rule is effective ■ 29. Amend § 4044.72, paragraph from 5:45 a.m. until 10 a.m. on June 26, The Coast Guard is establishing a (a)(2), by removing ‘‘pursuant to 2011. temporary special local regulation from § 2617.4(c) of this chapter’’ and ‘‘(See mile marker 101.0 (Morgantown ADDRESSES: Documents indicated in this Note at beginning of part 4044.)’’. Highway Bridge) to mile marker 102.0 preamble as being available in the (Morgantown Lock and Dam) on the docket are part of docket USCG–2011– § 4044.73 [Amended] Monongahela River, extending the 0235 and are available online by going entire width of the river. The special ■ 30. In § 4044.73: to http://www.regulations.gov, inserting local regulation is being established to ■ USCG–2011–0235 in the ‘‘Keyword’’ a. In paragraph (b), first sentence, safeguard participants of the box, and then clicking ‘‘Search.’’ They remove ‘‘pursuant to § 2617.12 of part Mountaineer Triathlon from the hazards are also available for inspection or 2617 of this chapter’’. of marine traffic. copying at the Docket Management ■ b. At the end of the section, remove Facility (M–30), U.S. Department of Discussion of Rule ‘‘(See Note at beginning of part 4044.)’’. Transportation, West Building Ground The Captain of the Port Pittsburgh is § 4044.75 [Amended] Floor, Room W12–140, 1200 New Jersey establishing a temporary special local Avenue, SE., Washington, DC 20590, ■ regulation from mile marker 101.0 31. In 4044.75: between 9 a.m. and 5 p.m., Monday (Morgantown Highway Bridge) to mile ■ a. In paragraph (a), remove through Friday, except Federal holidays. marker 102.0 (Morgantown Lock and ‘‘qualifying bid’’ and add in its place FOR FURTHER INFORMATION CONTACT: If Dam) on the Monongahela River, ‘‘irrevocable commitment’’. you have questions on this proposed extending the entire width of the river. ■ b. At the end of the section, remove rule, call or e-mail ENS Robyn Hoskins, The special local regulation is being ‘‘(See Note at beginning of part 4044.)’’. Marine Safety Unit Pittsburgh, Coast established to safeguard participants of Guard; telephone 412–644–5808 Ext. the Mountaineer Triathlon from the Issued in Washington, DC, this 3rd day of 2140, e-mail hazards of marine traffic that will occur June 2011. [email protected]. If you have in the city of Morgantown, WV. Persons Joshua Gotbaum, questions on viewing or submitting or vessels shall not enter into, depart Director, Pension Benefit Guaranty material to the docket, call Renee V. from, or move within the regulated area Corporation. Wright, Program Manager, Docket without permission from the Captain of Issued on the date set forth above pursuant Operations, telephone 202–366–9826. the Port Pittsburgh or his authorized to a resolution of the Board of Directors SUPPLEMENTARY INFORMATION: representative. They may be contacted authorizing publication of this final rule. on VHF–FM Channel 13 or 16, or Judith R. Starr, Regulatory Information through Coast Guard Sector Ohio Valley Secretary, Board of Directors, Pension Benefit The Coast Guard is issuing this at 1–800–253–7465. This rule is Guaranty Corporation. temporary final rule without prior effective from 5:45 a.m. to 10 a.m. on [FR Doc. 2011–14241 Filed 6–13–11; 8:45 am] notice and opportunity to comment June 26, 2011. The Captain of the Port BILLING CODE 7709–01–P pursuant to authority under section 4(a) Pittsburgh will inform the public

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through broadcast notices to mariners of please submit a comment (see Order 12630, Governmental Actions and the enforcement period for the special ADDRESSES) explaining why you think it Interference with Constitutionally local regulation as well as any changes qualifies and how and to what degree Protected Property Rights. in the planned schedule. this rule would economically affect it. Civil Justice Reform Regulatory Analyses Assistance for Small Entities This rule meets applicable standards We developed this rule after Under section 213(a) of the Small in sections 3(a) and 3(b)(2) of Executive considering numerous statutes and Business Regulatory Enforcement Order 12988, Civil Justice Reform, to executive orders related to rulemaking. Fairness Act of 1996 (Pub. L. 104–121), minimize litigation, eliminate Below we summarize our analyses we offer to assist small entities in ambiguity, and reduce burden. based on 13 of these statutes or understanding the rule so that they can Protection of Children executive orders. better evaluate its effects on them and We have analyzed this rule under Regulatory Planning and Review participate in the rulemaking process. Small businesses may send comments Executive Order 13045, Protection of This rule is not a significant on the actions of Federal employees Children from Environmental Health regulatory action under section 3(f) of who enforce, or otherwise determine Risks and Safety Risks. This rule is not Executive Order 12866, Regulatory compliance with, Federal regulations to an economically significant rule and Planning and Review, as supplemented the Small Business and Agriculture does not create an environmental risk to by Executive Order 13563, Improving Regulatory Enforcement Ombudsman health or risk to safety that may Regulation and Regulatory Review, and and the Regional Small Business disproportionately affect children. does not require an assessment of Regulatory Fairness Boards. The Indian Tribal Governments potential costs and benefits under Ombudsman evaluates these actions section 6(a)(3) of that Executive Order annually and rates each agency’s This rule does not have Tribal 12866 or under section 1 of Executive responsiveness to small business. If you implications under Executive Order Order 13563. The Office of Management wish to comment on actions by 13175, Consultation and Coordination and Budget has not reviewed it under employees of the Coast Guard, call with Indian Tribal Governments, those Orders. This rule will only be in 1–888–REG–FAIR (1–888–734–3247). because it does not have a substantial effect for less than one day and The Coast Guard will not retaliate direct effect on one or more Indian notifications to the marine community against small entities that question or Tribes, on the relationship between the will be made through broadcast notice complain about this rule or any policy Federal Government and Indian Tribes, to mariners. The impacts on routine or action of the Coast Guard. or on the distribution of power and navigation are expected to be minimal. responsibilities between the Federal Collection of Information Government and Indian Tribes. Small Entities This rule calls for no new collection Energy Effects Under the Regulatory Flexibility Act of information under the Paperwork (5 U.S.C. 601–612), we have considered Reduction Act of 1995 (44 U.S.C. 3501– We have analyzed this rule under whether this rule would have a 3520). Executive Order 13211, Actions significant economic impact on a Concerning Regulations That substantial number of small entities. Federalism Significantly Affect Energy Supply, The term ‘‘small entities’’ comprises A rule has implications for federalism Distribution, or Use. We have small businesses, not-for-profit under Executive Order 13132, determined that it is not a ‘‘significant organizations that are independently Federalism, if it has a substantial direct energy action’’ under that order because owned and operated and are not effect on State or local governments and it is not a ‘‘significant regulatory action’’ dominant in their fields, and would either preempt State law or under Executive Order 12866 and is not governmental jurisdictions with impose a substantial direct cost of likely to have a significant adverse effect populations of less than 50,000. compliance on them. We have analyzed on the supply, distribution, or use of The Coast Guard certifies under 5 this rule under that Order and have energy. The Administrator of the Office U.S.C. 605(b) that this rule will not have determined that it does not have of Information and Regulatory Affairs a significant economic impact on a implications for federalism. has not designated it as a significant substantial number of small entities. energy action. Therefore, it does not This rule will affect the following Unfunded Mandates Reform Act require a Statement of Energy Effects entities, some of which may be small The Unfunded Mandates Reform Act under Executive Order 13211. entities: the owners or operators of of 1995 (2 U.S.C. 1531–1538) requires Technical Standards vessels intending to transit that portion Federal agencies to assess the effects of of the waterways from mile marker their discretionary regulatory actions. In The National Technology Transfer 101.0 (Morgantown Highway Bridge) to particular, the Act addresses actions and Advancement Act (NTTAA) (15 mile marker 102.0 (Morgantown Lock that may result in the expenditure by a U.S.C. 272 note) directs agencies to use and Dam) on the Monongahela River, State, local, or Tribal government, in the voluntary consensus standards in their from 5:45 a.m. to 10 a.m. on June 26, aggregate, or by the private sector of regulatory activities unless the agency 2011. The special local regulation will $100,000,000 (adjusted for inflation) or provides Congress, through the Office of not have a significant economic impact more in any one year. Though this rule Management and Budget, with an on a substantial number of small entities will not result in such an expenditure, explanation of why using these because this rule will only be in effect we do discuss the effects of this rule standards would be inconsistent with for less than one day. elsewhere in this preamble. applicable law or otherwise impractical. If you think that your business, Voluntary consensus standards are organization, or governmental Taking of Private Property technical standards (e.g., specifications jurisdiction qualifies as a small entity This rule will not cause a taking of of materials, performance, design, or and that this rule would have a private property or otherwise have operation; test methods; sampling significant economic impact on it, taking implications under Executive procedures; and related management

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systems practices) that are developed or Captain of the Port Pittsburgh or a Act section 110(a)(2)(D)(i) for the State adopted by voluntary consensus designated representative will inform of California’’ (‘‘2007 Transport SIP’’), standards bodies. This rule does not use the public through broadcast notices to submitted by California on November technical standards. Therefore, we did mariners of the enforcement period for 16, 2007, as meeting the requirements of not consider the use of voluntary the regulated area as well as any CAA Section 110(a)(2)(D)(i)(II) regarding consensus standards. changes in the planned schedule. interference with other states’ measures (c) Regulations. (1) In accordance with to protect visibility for the 1997 8-hour Environment the general regulations in § 100.35 of ozone and 1997 particulate matter We have analyzed this rule under this part, entry into this regulated area (PM2.5) National Ambient Air Quality Department of Homeland Security is prohibited unless authorized by the Standards (NAAQS). EPA proposed to Management Directive 023–01 and Captain of the Port Pittsburgh. approve these SIP revisions on March Commandant Instruction M16475.lD, (2) Persons or vessels requiring entry 15, 2011 (76 FR 13944). which guide the Coast Guard in into, departure from, or passage through DATES: Effective Date: This rule is complying with the National a regulated area must request effective on July 14, 2011. Environmental Policy Act of 1969 permission from the Captain of the Port ADDRESSES: EPA has established docket (NEPA) (42 U.S.C. 4321–4370f), and Pittsburgh or a designated number EPA–R09–OAR–2011–0131 for have concluded this action is one of a representative. They may be contacted this action. Generally, documents in the category of actions that do not on VHF–FM Channel 13 or 16, or docket for this action are available individually or cumulatively have a through Coast Guard Sector Ohio Valley electronically at http:// significant effect on the human at 1–800–253–7465. www.regulations.gov or in hard copy at environment. This rule is categorically (3) All persons and vessels shall EPA Region IX, 75 Hawthorne Street, excluded, under figure 2–1, paragraph comply with the instructions of the San Francisco, California. While all (34)(h), of the Instruction. This rule Captain of the Port Pittsburgh and documents in the docket are listed at involves establishing a special local designated on-scene U.S. Coast Guard http://www.regulations.gov, some regulation, requiring a permit wherein patrol personnel. On-scene U.S. Coast information may be publicly available an analysis of the environmental impact Guard patrol personnel includes only at the hard copy location (e.g., of the regulations was performed. Under Commissioned, Warrant, and Petty copyrighted material, large maps, multi- figure 2–1, paragraph (34)(h.), of the Officers of the U.S. Coast Guard. volume reports), and some may not be Instruction, an environmental analysis Dated: May 9, 2011. available at either location (e.g., checklist and a categorical exclusion R.V. Timme, confidential business information determination are not required for this (CBI)). To inspect the hard copy rule. Commander, U.S. Coast Guard, Captain of the Port Pittsburgh. materials, please schedule an List of Subjects in 33 CFR Part 100 [FR Doc. 2011–14624 Filed 6–13–11; 8:45 am] appointment during normal business hours with the contact listed in the FOR Marine safety, Navigation (water), BILLING CODE 9110–04–P FURTHER INFORMATION CONTACT section. Reporting and recordkeeping requirements, Waterways. FOR FURTHER INFORMATION CONTACT: Jerry Wamsley, U.S. Environmental For the reasons discussed in the ENVIRONMENTAL PROTECTION Protection Agency, Region 9, Air preamble, the Coast Guard amends 33 AGENCY Division, Planning Office, Air-2, 75 CFR part 100 as follows: 40 CFR Part 52 Hawthorne Street, San Francisco, CA PART 100—SAFETY OF LIFE ON [EPA–R09–OAR–2011–0131, FRL–9317–9] 94105; via telephone at (415) 947–4111; NAVIGABLE WATERS or via electronic mail at Approval and Promulgation of Air [email protected]. ■ 1. The authority citation for part 100 Quality Implementation Plans; State of SUPPLEMENTARY INFORMATION: continues to read as follows: California; Interstate Transport Throughout this document, ‘‘we,’’ ‘‘us,’’ or ‘‘our,’’ refer to EPA. Authority: 33 U.S.C. 1233. AGENCY: Environmental Protection ■ 2. Add § 100.T08–0235 to read as Agency (EPA). Table of Contents follows: ACTION: Final rule. I. Background A. The Regional Haze Problem § 100.T08–0235 Special Local Regulation; SUMMARY: EPA is approving the B. The CAA Requirements and EPA’s Monongahela River, Morgantown, WV. California Regional Haze Plan Regional Haze Rule (a) Location. The following area is a (‘‘CRHP’’), a revision to the California C. Interstate Transport Pollution and regulated area: All waters of the State Implementation Plan (‘‘SIP’’) Visibility Requirements Monongahela River, from surface to addressing Clean Air Act (‘‘CAA’’ or D. Our Proposed Action bottom, from mile marker 101.0 ‘‘Act’’) requirements and EPA’s rules for II. Public Comments and EPA Responses (Morgantown Highway Bridge) to mile states to prevent and remedy future and III. EPA Action marker 102.0 (Morgantown Lock and existing anthropogenic impairment of IV. Statutory and Executive Order Reviews Dam) on the Monongahela River, visibility in mandatory Class I areas I. Background extending the entire width of the river. through a regional haze program. These markings are based on the Regional haze is caused by emissions of A. The Regional Haze Problem USACE’s Monongahela River air pollutants from many sources Regional haze is visibility impairment Navigation Charts (Chart 1, January located over a wide geographic area. produced by many sources and 2004) using North American Datum of Also, EPA is approving certain portions activities located across a broad 1983 (NAD 1983). of the CRHP and the ‘‘Interstate geographic area that emit fine particles (b) Periods of enforcement. This rule Transport State Implementation Plan (PM2.5) (e.g., sulfates, nitrates, organic will only be enforced from 5:45 a.m. (SIP) for 8-hour Ozone and PM2.5 to carbon, elemental carbon, and soil dust), through 10 a.m. on June 26, 2011. The satisfy the Requirements of Clean Air and their precursors (e.g., sulfur dioxide

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(SO2), oxides of nitrogen (NOX) and in of visibility in mandatory Class I The ‘‘good neighbor’’ provisions in some cases, ammonia (NH3) and volatile Federal areas which impairment results section 110(a)(2)(D)(i) of the CAA organic compounds (VOC)). Fine from manmade air pollution.’’ On require each state to have a SIP that particle precursors react in the December 2, 1980, EPA promulgated prohibits emissions that adversely affect atmosphere to form fine particulate regulations to address visibility other states in the ways contemplated in matter that impairs visibility by impairment in Class I areas that is the statute. Section 110(a)(2)(D)(i) scattering and absorbing light, thereby ‘‘reasonably attributable’’ to a single contains four distinct requirements reducing the clarity, color, and visible source or small group of sources, i.e., related to the impacts of interstate distance that one can see. Also, PM2.5 ‘‘reasonably attributable visibility transport. The SIP must contain can cause serious health effects and impairment’’ (RAVI) (45 FR 80084). adequate provisions prohibiting sources mortality in humans and contributes to These regulations represented the first in the state from emitting air pollutants environmental impacts, such as acid phase in addressing visibility in amounts which will: (1) Contribute deposition and eutrophication of water impairment. EPA deferred action on significantly to nonattainment of the bodies. regional haze that emanates from a NAAQS in any other state; (2) interfere Data from the existing visibility variety of sources until monitoring, with maintenance of the NAAQS in any monitoring network, the ‘‘Interagency modeling, and scientific knowledge other state; (3) interfere with provisions Monitoring of Protected Visual about the relationships between to prevent significant deterioration of air Environments’’ (IMPROVE) monitoring pollutants and visibility impairment quality in any other state; or, (4) network, show that visibility were improved. interfere with efforts to protect visibility impairment caused by air pollution With the CAA Amendments of 1990, in any other state. occurs nearly all the time at most Congress added section 169B to address The regional haze program, as national park and wilderness areas. The regional haze issues. EPA promulgated reflected in the RHR, recognizes the average visual range in many Class I a rule to address regional haze on July importance of addressing the long-range areas (i.e., national parks and memorial 1, 1999, the Regional Haze Rule (RHR) transport of pollutants for visibility and parks, wilderness areas, and (64 FR 35713). The RHR revised the encourages states to work together to international parks meeting certain size existing visibility regulations to develop plans to address haze. The criteria) in the western United States is integrate provisions addressing regional regulations explicitly require each state 100–150 kilometers, or about one-half to haze impairment and to establish a to address its ‘‘share’’ of the emission two-thirds of the visual range that comprehensive visibility protection reductions needed to meet the would exist without anthropogenic air program for Class I areas. The reasonable progress goals for pollution.1 In most of the eastern Class requirements for regional haze, found at neighboring Class I areas. Working I areas of the United States, the average 40 CFR 51.308 and 51.309, are included together through a regional planning visual range is less than 30 kilometers, in EPA’s visibility protection process, states are required to address or about one-fifth of the visual range regulations at 40 CFR 51.300–309. The an agreed upon share of their that would exist under estimated requirement to submit a regional haze contribution to visibility impairment in natural conditions. 64 FR 35715 (July 1, plan revision to the SIP applies to all 50 the Class I areas of their neighbors. 40 1999). states, the District of Columbia and the CFR 51.308(d)(3)(ii). Given these Virgin Islands.3 requirements, we anticipate that B. The CAA Requirements and EPA’s For a more detailed discussion of the regional haze SIPs will contain Regional Haze Rule CAA and RHR requirements, please see measures that will achieve these In section 169A(a)(1) of the CAA sections II and III of our March 15, 2011 emissions reductions, and that these Amendments of 1977, Congress created proposal (76 FR 13944). Our evaluation measures will meet the requirements of a program to protect visibility in the of the California Regional Haze Plan can section 110(a)(2)(D)(i). nation’s national parks and wilderness be found in Section IV of the same California’s 2007 Transport SIP states areas.2 This section of the CAA proposal. that the Regional Haze SIP would establishes as a national goal the address interstate regional haze impacts. C. Interstate Transport Pollution and ‘‘prevention of any future, and the We interpreted this to mean that Visibility Requirements remedying of any existing, impairment California intended for the Regional On July 18, 1997, EPA promulgated Haze Plan to address the interstate 1 Visual range is the greatest distance, in new NAAQS for 8-hour ozone and for visibility requirement of section kilometers or miles, at which a dark object can be PM2.5 (62 FR 38856; 62 FR 38652). 110(a)(2)(D)(i) for the 1997 8-hour ozone viewed against the sky. Section 110(a)(1) requires each state to 2 Areas designated as mandatory Class I Federal and 1997 PM2.5 NAAQS. Accordingly, areas consist of national parks exceeding 6000 submit a plan to address certain our evaluation of the 2007 Transport SIP acres, wilderness areas and national memorial parks requirements for a new or revised and whether it meets these CAA section exceeding 5000 acres, and all international parks NAAQS within three years after that were in existence on August 7, 1977. 42 U.S.C. 110(a)(2)(D)(i) visibility requirements 7472(a). In accordance with section 169A of the promulgation of such standards, or relied on our evaluation of relevant CAA and after consulting with the Department of within such shorter time as EPA may information from the CRHP. Interior, EPA promulgated a list of 156 areas where prescribe. Section 110(a)(2) lists the For a more detailed discussion of the visibility is identified as an important value. 44 FR elements that such new plan 69122 (November 30, 1979). The extent of a requirements of CAA section mandatory Class I area includes subsequent changes submissions must address, as 110(a)(2)(D)(i) and our evaluation of in boundaries, such as park expansions. 42 U.S.C. applicable, including section how the 2007 Transport SIP and 7472(a). Although states and Tribes may designate 110(a)(2)(D)(i), which pertains to the relevant portions of the CRHP meet as Class I additional areas which they consider to interstate transport of certain emissions. have visibility as an important value, the these requirements, please see sections requirements of the visibility program set forth in II.D and V of our March 15, 2011 section 169A of the CAA apply only to ‘‘mandatory 3 Albuquerque/Bernalillo County in New Mexico proposal (76 FR 13944). Class I Federal areas.’’ Each mandatory Class I must also submit a regional haze SIP to completely Federal area is the responsibility of a ‘‘Federal Land satisfy the requirements of section 110(a)(2)(D) of D. Our Proposed Action Manager.’’ 42 U.S.C. 7602(i). When we use the term the CAA for the entire State of New Mexico under ‘‘Class I area’’ in this action, we mean a ‘‘mandatory the New Mexico Air Quality Control Act (section On March 15, 2011, EPA proposed to Class I Federal area.’’ 74–2–4). approve: (i) The California Regional

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Haze Plan (CRHP) as meeting the We proposed to approve the CRHP IV. Statutory and Executive Order relevant requirements of CAA section and the 2007 Transport SIP because we Reviews 169B and the Regional Haze Rule; and determined that they complied with the Under the Clean Air Act, the (ii) the 2007 Transport SIP and certain relevant CAA requirements. Our Administrator is required to approve a portions of the CRHP as meeting the proposed action provides more SIP submission that complies with the requirements of CAA section information about the relevant CAA provisions of the Act and applicable 110(a)(2)(D)(i)(II) regarding interference requirements, EPA guidance, the state’s Federal regulations. 42 U.S.C. 7410(k); with other states’ measures to protect submittals, and our review and 40 CFR 52.02(a). Thus, in reviewing SIP visibility for the 1997 evaluation of these SIP revisions. submissions, EPA’s role is to approve 8-hour ozone and 1997 PM2.5 NAAQS II. Public Comments and EPA state choices, provided that they meet (76 FR 13944). the criteria of the Clean Air Act. Regarding our proposed approval of Responses Accordingly, this action merely the CRHP, we proposed to find that EPA’s proposed action provided a approves state law as meeting Federal California met the following Regional 30-day public comment period. We requirements and does not impose Haze Rule requirements: The State received no comments. additional requirements beyond those established baseline visibility imposed by state law. For that reason, conditions and reasonable progress III. EPA Action this action: goals for each of its Class I areas; the • Is not a ‘‘significant regulatory State developed a long-term strategy Under section 110(k)(3) of the CAA, action’’ subject to review by the Office with enforceable measures ensuring EPA is fully approving the California of Management and Budget under reasonable progress towards meeting the Regional Haze Plan as satisfying all of Executive Order 12866 (58 FR 51735, reasonable progress goals for the first the relevant requirements of Section 169B and the Regional Haze Rule. October 4, 1993); ten-year planning period, through 2018; • Does not impose an information Specifically, we find that California has the State adequately addressed the collection burden under the provisions met the following Regional Haze Rule application of Best Available Retrofit of the Paperwork Reduction Act requirements: The State established Technology to specific stationary (44 U.S.C. 3501 et seq.); baseline visibility conditions and sources; the State has an adequate • Is certified as not having a regional haze monitoring strategy; the reasonable progress goals for each of its significant economic impact on a State provided for consultation and Class I areas; the State developed a long- substantial number of small entities coordination with Federal land term strategy with enforceable measures under the Regulatory Flexibility Act managers in producing its regional haze ensuring reasonable progress towards (5 U.S.C. 601 et seq.); plan; and, the State provided for the meeting the reasonable progress goals • Does not contain any unfunded regional haze plan’s future revisions. for the first ten-year planning period, mandate or significantly or uniquely Regarding our proposed approval of through 2018; the State has adequately affect small governments, as described California’s 2007 Transport SIP, we addressed the application of Best in the Unfunded Mandates Reform Act proposed to find that the following Available Retrofit Technology to of 1995 (Pub. L. 104–4); specific elements of the CRHP satisfied specific stationary sources; the State has • Does not have Federalism the CAA Section 110(a)(2)(D)(i)(II) an adequate regional haze monitoring implications as specified in Executive requirement to prohibit emissions that strategy; the State provided for Order 13132 (64 FR 43255, August 10, will interfere with measures to protect consultation and coordination with 1999); visibility in another state for the 1997 Federal land managers in producing its • Is not an economically significant 8-hour ozone and 1997 PM2.5 NAAQS: regional haze plan; and, the State regulatory action based on health or Chapter 3 (Emissions Inventory), provided for the regional haze plan’s safety risks subject to Executive Order chapter 4 (California 2018 Progress future revisions. 13045 (62 FR 19885, April 23, 1997); Strategy), and chapter 8 (Consultation). In addition, under section 110(k)(3) of • Is not a significant regulatory action For the portion of today’s final action subject to Executive Order 13211 (66 FR related to the 2007 Transport SIP, we the CAA, we are fully approving the 2007 Transport SIP and the following 28355, May 22, 2001); are taking final action only with regard • specific elements of the CRHP as Is not subject to requirements of to the section 110(a)(2)(D)(i)(II) Section 12(d) of the National requirement that the SIP must contain satisfying the CAA Section 110(a)(2)(D)(i)(II) requirement to Technology Transfer and Advancement adequate provisions prohibiting any Act of 1995 (15 U.S.C. 272 note) because source or other type of emissions prohibit emissions that will interfere with measures to protect visibility in application of those requirements would activity in California from emitting be inconsistent with the Clean Air Act; pollutants that will interfere with another state for the 1997 8-hour ozone and 1997 PM NAAQS: Chapter 3 and another state’s measures to protect 2.5 • (Emissions Inventory), chapter 4 Does not provide EPA with the visibility. EPA intends to act in separate discretionary authority to address rulemakings on other portions of (California 2018 Progress Strategy), and, chapter 8 (Consultation). disproportionate human health or California’s 2007 Transport SIP that environmental effects with practical, address the remaining elements of CAA any other State; and, (c) interfere with any other appropriate, and legally permissible section 110(a)(2)(D)(i) for the 1997 methods under Executive Order 12898 4 State’s measures required under Part C of the CAA 8-hour ozone and PM2.5 NAAQS. to prevent significant deterioration of air quality. (59 FR 7629, February 16, 1994). On March 17, 2011, we proposed to approve 4 The other elements of CAA section California’s 2007 Transport SIP as meeting the CAA In addition, this rule does not have 110(a)(2)(D)(i) require that the California SIP section 110(a)(2)(D)(I) requirements that the tribal implications as specified by contain adequate provisions prohibiting emission California SIP contain adequate provisions to Executive Order 13175 (65 FR 67249, sources within the State from emitting any air ensure that emissions from California do not November 9, 2000), because the SIP is pollutant in amounts which will: (a) Contribute significantly contribute to nonattainment of, or significantly to nonattainment of the 1997 interfere with maintenance of, the 1997 8-hour not approved to apply in Indian country 8-hour ozone and PM2.5 NAAQS in any other State; ozone and 1997 PM2.5 standards in other states (76 located in the State, and EPA notes that (b) interfere with maintenance of these standards by FR 14616). it will not impose substantial direct

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costs on tribal governments or preempt (c) * * * submitted the ‘‘Interstate Transport tribal law. (386) The following plan was State Implementation Plan (SIP) for the The Congressional Review Act, 5 submitted on November 16, 2007, by the 1997 8-hour Ozone Standard and PM2.5 U.S.C. 801 et seq., as added by the Small Governor’s Designee. to satisfy the Requirements of Clean Air Business Regulatory Enforcement (i) [Reserved]. Act section 110(a)(2)(D)(i) for the State Fairness Act of 1996, generally provides (ii) Additional materials. of California (September 21, 2007)’’ (A) California Air Resources Board that before a rule may take effect, the (‘‘2007 Transport SIP’’). The 2007 (CARB). agency promulgating the rule must Transport SIP and the additional plan (1) CARB Resolution 07–28, dated submit a rule report, which includes a elements listed below meet the September 27, 2007, adopting the ‘‘2007 copy of the rule, to each House of the following specific requirements of Clean State Implementation Plan for the 1997 Congress and to the Comptroller General Air Act section 110(a)(2)(D)(i) for the ozone and PM2.5 National Ambient Air of the United States. EPA will submit a 1997 8-hour ozone and 1997 PM2.5 Quality Standards’’ (‘‘2007 State report containing this action and other NAAQS (‘‘1997 standards’’). Strategy’’). (1) The requirements of section required information to the U.S. Senate, (2) ‘‘Interstate Transport State the U.S. House of Representatives, and 110(a)(2)(D)(i)(II) regarding interference Implementation Plan (SIP) for the 1997 with other states’ measures to protect the Comptroller General of the United 8-hour Ozone Standard and PM to States prior to publication of the rule in 2.5 visibility for the 1997 standards are met satisfy the Requirements of Clean Air by chapter 3 (Emissions Inventory), the Federal Register. A major rule Act section 110(a)(2)(D)(i) for the State cannot take effect until 60 days after it chapter 4 (California 2018 Progress of California (September 21, 2007),’’ as Strategy), and chapter 8 (Consultation) is published in the Federal Register. modified by Attachment A and This action is not a ‘‘major rule’’ as of the ‘‘California Regional Haze Plan,’’ submitted as Appendix C to the 2007 adopted January 22, 2009. defined by 5 U.S.C. 804(2). State Strategy (‘‘2007 Transport SIP’’), at Under section 307(b)(1) of the Clean (2) [Reserved] page 5 (‘‘Evaluation of Interference with (b) [Reserved] Air Act, petitions for judicial review of Other States’ Measures Required to Meet this action must be filed in the United Regional Haze and Visibility SIP [FR Doc. 2011–14479 Filed 6–13–11; 8:45 am] States Court of Appeals for the Requirements’’). BILLING CODE 6560–50–P appropriate circuit by August 15, 2011. (387) The following plan was Filing a petition for reconsideration by submitted on March 16, 2009, by the the Administrator of this final rule does Governor’s Designee. DEPARTMENT OF HOMELAND not affect the finality of this action for (i) [Reserved]. SECURITY the purposes of judicial review nor does (ii) Additional materials. it extend the time within which a (A) California Air Resources Board Federal Emergency Management petition for judicial review may be filed, (CARB). Agency and shall not postpone the effectiveness (1) CARB Resolution 09–4, dated of such rule or action. This action may January 22, 2009, adopting the 44 CFR Part 64 not be challenged later in proceedings to ‘‘California Regional Haze Plan’’. enforce its requirements (see section [Docket ID FEMA–2011–0002; Internal (2) The ‘‘California Regional Haze Agency Docket No. FEMA–8183] 307(b)(2)). Plan’’, adopted on January 22, 2009, as amended and supplemented on List of Subjects in 40 CFR Part 52 Suspension of Community Eligibility September 8, 2009 in a ‘‘letter from Environmental protection, Air James N. Goldstene, CARB to Laura AGENCY: Federal Emergency pollution control, Incorporation by Yoshii, United States Environmental Management Agency, DHS. reference, Intergovernmental relations, Protection Agency’’, and as amended ACTION: Final rule. Nitrogen dioxide, Particulate matter, and supplemented on June 9, 2010 in a Reporting and recordkeeping ‘‘letter from James N. Goldstene, CARB SUMMARY: This rule identifies requirements, Sulfur oxides, Visibility, to Jared Blumenfeld, United States communities, where the sale of flood Volatile organic compounds. Environmental Protection Agency’’. insurance has been authorized under the National Flood Insurance Program Dated: May 9, 2011. * * * * * (NFIP), that are scheduled for Jared Blumenfeld, ■ 3. Section 52.281 is amended by suspension on the effective dates listed Regional Administrator, Region IX. adding paragraph (f) to read as follows: within this rule because of Part 52, Chapter I, Title 40 of the Code § 52.281 Visibility protection. noncompliance with the floodplain of Federal Regulations is amended as * * * * * management requirements of the follows: (f) Approval. On March 16, 2009, the program. If the Federal Emergency Management Agency (FEMA) receives PART 52 [AMENDED] California Air Resources Board submitted the ‘‘California Regional Haze documentation that the community has adopted the required floodplain ■ 1. The authority citation for Part 52 Plan’’ (‘‘CRHP’’). The CRHP, as management measures prior to the continues to read as follows: amended and supplemented on September 8, 2009 and June 9, 2010, effective suspension date given in this Authority: 42 U.S.C. 7401 et seq. meets the requirements of Clean Air Act rule, the suspension will not occur and a notice of this will be provided by Subpart F—California section 169B and the Regional Haze Rule in 40 CFR 51.308. publication in the Federal Register on a subsequent date. ■ 2. Section 52.220 is amended by ■ 4. Part 52 is amended by adding a new adding paragraphs (c)(386) and (c)(387) § 52.283 to read as follows: DATES: Effective Dates: The effective to read as follows: date of each community’s scheduled § 52.283 Interstate Transport. suspension is the third date (‘‘Susp.’’) § 52.220 Identification of plan. (a) Approval. On November 16, 2007, listed in the third column of the * * * * * the California Air Resources Board following tables.

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FOR FURTHER INFORMATION CONTACT: If Flood Insurance Rate Map (FIRM). The 1968, as amended, 42 U.S.C. 4022, you want to determine whether a date of the FIRM, if one has been prohibits flood insurance coverage particular community was suspended published, is indicated in the fourth unless an appropriate public body on the suspension date or for further column of the table. No direct Federal adopts adequate floodplain management information, contact David Stearrett, financial assistance (except assistance measures with effective enforcement Mitigation Directorate, Federal pursuant to the Robert T. Stafford measures. The communities listed no Emergency Management Agency, 500 C Disaster Relief and Emergency longer comply with the statutory Street, SW., Washington, DC 20472, Assistance Act not in connection with a requirements, and after the effective (202) 646–2953. flood) may legally be provided for date, flood insurance will no longer be SUPPLEMENTARY INFORMATION: The NFIP construction or acquisition of buildings available in the communities unless enables property owners to purchase in identified SFHAs for communities remedial action takes place. flood insurance which is generally not not participating in the NFIP and Regulatory Classification. This final otherwise available. In return, identified for more than a year, on rule is not a significant regulatory action communities agree to adopt and FEMA’s initial flood insurance map of under the criteria of section 3(f) of administer local floodplain management the community as having flood-prone Executive Order 12866 of September 30, aimed at protecting lives and new areas (section 202(a) of the Flood 1993, Regulatory Planning and Review, construction from future flooding. Disaster Protection Act of 1973, 42 58 FR 51735. Section 1315 of the National Flood U.S.C. 4106(a), as amended). This Executive Order 13132, Federalism. Insurance Act of 1968, as amended, 42 prohibition against certain types of This rule involves no policies that have U.S.C. 4022, prohibits flood insurance Federal assistance becomes effective for federalism implications under Executive coverage as authorized under the NFIP, the communities listed on the date Order 13132. 42 U.S.C. 4001 et seq.; unless an shown in the last column. The Executive Order 12988, Civil Justice appropriate public body adopts Administrator finds that notice and Reform. This rule meets the applicable adequate floodplain management public comment under 5 U.S.C. 553(b) standards of Executive Order 12988. measures with effective enforcement are impracticable and unnecessary Paperwork Reduction Act. This rule measures. The communities listed in because communities listed in this final does not involve any collection of this document no longer meet that rule have been adequately notified. information for purposes of the statutory requirement for compliance Each community receives 6-month, Paperwork Reduction Act, 44 U.S.C. with program regulations, 44 CFR part 90-day, and 30-day notification letters 3501 et seq. 59. Accordingly, the communities will addressed to the Chief Executive Officer be suspended on the effective date in stating that the community will be List of Subjects in 44 CFR Part 64 the third column. As of that date, flood suspended unless the required Flood insurance, Floodplains. insurance will no longer be available in floodplain management measures are Accordingly, 44 CFR part 64 is the community. However, some of these met prior to the effective suspension amended as follows: communities may adopt and submit the date. Since these notifications were required documentation of legally made, this final rule may take effect PART 64—[AMENDED] enforceable floodplain management within less than 30 days. measures after this rule is published but National Environmental Policy Act. ■ 1. The authority citation for part 64 prior to the actual suspension date. This rule is categorically excluded from continues to read as follows: These communities will not be the requirements of 44 CFR part 10, Authority: 42 U.S.C. 4001 et seq.; suspended and will continue their Environmental Considerations. No Reorganization Plan No. 3 of 1978, 3 CFR, eligibility for the sale of insurance. A environmental impact assessment has 1978 Comp.; p. 329; E.O. 12127, 44 FR 19367, notice withdrawing the suspension of been prepared. 3 CFR, 1979 Comp.; p. 376. the communities will be published in Regulatory Flexibility Act. The § 64.6 [Amended] the Federal Register. Administrator has determined that this In addition, FEMA has identified the rule is exempt from the requirements of ■ 2. The tables published under the Special Flood Hazard Areas (SFHAs) in the Regulatory Flexibility Act because authority of § 64.6 are amended as these communities by publishing a the National Flood Insurance Act of follows:

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

Region I Maine: Albion, Town of, Kennebec County ...... 230231 December 10, 1975, Emerg; September 27, June 16, 2011 .. June 16, 2011. 1985, Reg; June 16, 2011, Susp. Augusta, City of, Kennebec County ...... 230067 May 16, 1974, Emerg; April 1, 1981, Reg; ...... do * ...... Do. June 16, 2011, Susp. Belgrade, Town of, Kennebec County .. 230232 December 10, 1975, Emerg; January 16, ...... do ...... Do. 1987, Reg; June 16, 2011, Susp. Chelsea, Town of, Kennebec County ... 230234 October 1, 1975, Emerg; June 4, 1980, ...... do ...... Do. Reg; June 16, 2011, Susp. China, Town of, Kennebec County ...... 230235 August 6, 1975, Emerg; June 5, 1989, Reg; ...... do ...... Do. June 16, 2011, Susp. Clinton, Town of, Kennebec County ..... 230236 April 22, 1976, Emerg; May 3, 1990, Reg; ...... do ...... Do. June 16, 2011, Susp. Farmingdale, Town of, Kennebec Coun- 230164 April 17, 1975, Emerg; September 30, ...... do ...... Do. ty. 1980, Reg; June 16, 2011, Susp.

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

Fayette, Town of, Kennebec County ..... 230237 February 3, 2000, Emerg; October 1, 2002, ...... do ...... Do. Reg; June 16, 2011, Susp. Gardiner, City of, Kennebec County ..... 230068 February 27, 1975, Emerg; May 15, 1980, ...... do ...... Do. Reg; June 16, 2011, Susp. Hallowell, City of, Kennebec County ..... 230069 January 13, 1975, Emerg; November 15, ...... do ...... Do. 1979, Reg; June 16, 2011, Susp. Litchfield, Town of, Kennebec County .. 230238 February 18, 1976, Emerg; November 19, ...... do ...... Do. 1986, Reg; June 16, 2011, Susp. Manchester, Town of, Kennebec Coun- 230239 May 30, 1975, Emerg; October 15, 1980, ...... do ...... Do. ty. Reg; June 16, 2011, Susp. Monmouth, Town of, Kennebec County 230240 August 11, 1975, Emerg; September 3, ...... do ...... Do. 1980, Reg; June 16, 2011, Susp. Mount Vernon, Town of, Kennebec 230241 February 9, 1976, Emerg; August 19, 1985, ...... do ...... Do. County. Reg; June 16, 2011, Susp. Randolph, Town of, Kennebec County 230244 August 5, 1975, Emerg; September 5, ...... do ...... Do. 1979, Reg; June 16, 2011, Susp. Readfield, Town of, Kennebec County 230245 October 24, 1975, Emerg; December 16, ...... do ...... Do. 1980, Reg; June 16, 2011, Susp. Rome, Town of, Kennebec County ...... 230246 April 16, 1976, Emerg; May 17, 1988, Reg; ...... do ...... Do. June 16, 2011, Susp. Unity, Township of, Kennebec County .. 230602 April 25, 1975, Emerg; April 30, 1984, Reg; ...... do ...... Do. June 16, 2011, Susp. Vassalboro, Town of, Kennebec County 230248 July 24, 2005, Emerg; August 1, 2006, Reg; ...... do ...... Do. June 16, 2011, Susp. Waterville, City of, Kennebec County ... 230070 November 25, 1974, Emerg; February 17, ...... do ...... Do. 1988, Reg; June 16, 2011, Susp. Wayne, Town of, Kennebec County ..... 230188 May 9, 1975, Emerg; April 3, 1989, Reg; ...... do ...... Do. June 16, 2011, Susp. Windsor, Town of, Kennebec County ... 230251 January 29, 1976, Emerg; February 4, ...... do ...... Do. 1987, Reg; June 16, 2011, Susp. Winthrop, Town of, Kennebec County .. 230072 June 23, 1975, Emerg; August 15, 1980, ...... do ...... Do. Reg; June 16, 2011, Susp. Region III Virginia: Alexandria, City of, Independent City. ... 515519 May 8, 1970, Emerg; May 8, 1970, Reg; ...... do ...... Do. June 16, 2011, Susp. Dinwiddie County, Unincorporated 510187 January 16, 1974, Emerg; January 17, ...... do ...... Do. Areas. 1979, Reg; June 16, 2011, Susp. Hopewell, City of, Independent City ...... 510080 May 27, 1975, Emerg; September 5, 1979, ...... do ...... Do. Reg; June 16, 2011, Susp. Region IV Georgia: Hiawassee, City of, Towns County ...... 130447 September 15, 1992, Emerg; April 1, 1993, ...... do ...... Do. Reg; June 16, 2011, Susp. Towns County, Unincorporated Areas .. 130253 January 7, 1992, Emerg; July 6, 1998, Reg; ...... do ...... Do. June 16, 2011, Susp. Young Harris, City of, Towns County .... 130174 April 29, 1976, Emerg; May 4, 1988, Reg; ...... do ...... Do. June 16, 2011, Susp. Kentucky: Lawrence County, Unincorporated 210258 April 18, 1985, Emerg; April 18, 1985, Reg; ...... do ...... Do. Areas. June 16, 2011, Susp. Louisa, City of, Lawrence County...... 210241 August 8, 1975, Emerg; November 19, ...... do ...... Do. 1980, Reg; June 16, 2011, Susp. Mississippi: Wiggins, City of, Stone County 280401 June 27, 2006, Emerg; June 16, 2011, Reg; ...... do ...... Do. June 16, 2011, Susp. South Carolina: Bennettsville, City of, Marlboro County 450147 July 17, 1974, Emerg; August 19, 1987, ...... do ...... Do. Reg; June 16, 2011, Susp. Kershaw, Town of, Lancaster County... 450119 June 23, 1975, Emerg; September 30, ...... do ...... Do. 1976, Reg; June 16, 2011, Susp. Lancaster, City of, Lancaster County .... 450121 December 7, 1973, Emerg; July 5, 1982, ...... do ...... Do. Reg; June 16, 2011, Susp. Lancaster County, Unincorporated 450120 July 3, 1975, Emerg; January 6, 1983, Reg; ...... do ...... Do. Areas. June 16, 2011, Susp. Marlboro County, Unincorporated Areas 450146 N/A, Emerg; August 11, 1997, Reg; June ...... do ...... Do. 16, 2011, Susp. Region V Illinois: Blue Mound, Village of, Macon County 170946 November 1, 1979, Emerg; July 18, 1985, ...... do ...... Do. Reg; June 16, 2011, Susp.

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

Christian County, Unincorporated Areas 170926 May 27, 1993, Emerg; June 16, 2011, Reg; ...... do ...... Do. June 16, 2011, Susp. De Land, Village of, Piatt County ...... 170547 November 20, 1975, Emerg; September 4, ...... do ...... Do. 1987, Reg; June 16, 2011, Susp. Decatur, City of, Macon County ...... 170429 July 29, 1974, Emerg; August 1, 1979, Reg; ...... do ...... Do. June 16, 2011, Susp. Edinburg, Village of, Christian County .. 175422 July 3, 2003, Emerg; June 16, 2011, Reg; ...... do ...... Do. June 16, 2011, Susp. Forsyth, Village of, Macon County ...... 171017 June 24, 1986, Emerg; January 6, 1988, ...... do ...... Do. Reg; June 16, 2011, Susp. Kincaid, Village of, Christian County ..... 170858 April 7, 1976, Emerg; April 1, 1993, Reg; ...... do ...... Do. June 16, 2011, Susp. Long Creek, Village of, Macon County 171016 N/A, Emerg; December 16, 2002, Reg; ...... do ...... Do. June 16, 2011, Susp. Mansfield, Village of, Piatt County ...... 170549 May 11, 1995, Emerg; June 16, 2011, Reg; ...... do ...... Do. June 16, 2011, Susp. Monticello, City of, Piatt County ...... 170550 June 6, 1975, Emerg; May 15, 1991, Reg; ...... do ...... Do. June 16, 2011, Susp. Piatt County, Unincorporated Areas...... 170542 August 8, 1977, Emerg; September 1, ...... do ...... Do. 1986, Reg; June 16, 2011, Susp. Stonington, Village of, Christian County 170037 May 7, 1975, Emerg; September 28, 1979, ...... do ...... Do. Reg; June 16, 2011, Susp. Region VII Iowa: Beacon, City of, Mahaska County...... 190452 November 12, 1997, Emerg; March 1, ...... do ...... Do. 2001, Reg; June 16, 2011, Susp. Mahaska County, Unincorporated Areas 190888 March 5, 1994, Emerg; March 1, 1997, ...... do ...... Do. Reg; June 16, 2011, Susp. Oskaloosa, City of, Mahaska County.... 190638 N/A, Emerg; December 21, 2010, Reg; ...... do ...... Do. June 16, 2011, Susp. University Park, City of, Mahaska 190671 January 2, 2008, Emerg; June 16, 2011, ...... do ...... Do. County. Reg; June 16, 2011, Susp. Missouri: Bonne Terre, City of, St. Francois 290321 June 20, 1975, Emerg; August 19, 1985, ...... do ...... Do. County. Reg; June 16, 2011, Susp. Camden County, Unincorporated Areas 290789 June 18, 1993, Emerg; May 1, 1994, Reg; ...... do ...... Do. June 16, 2011, Susp. Desloge, City of, St. Francois County ... 290748 December 19, 1977, Emerg; August 24, ...... do ...... Do. 1984, Reg; June 16, 2011, Susp. Farmington, City of, St. Francois Coun- 290323 June 25, 1974, Emerg; January 16, 1981, ...... do ...... Do. ty. Reg; June 16, 2011, Susp. Greenville, City of, Wayne County...... 290450 November 19, 1975, Emerg; August 1, ...... do ...... Do. 1986, Reg; June 16, 2011, Susp. Iron Mountain Lake, City of, St. Fran- 290897 October 13, 1988, Emerg; November 7, ...... do ...... Do. cois County. 2001, Reg; June 16, 2011, Susp. Leadwood, City of, St. Francois County 290706 November 18, 1977, Emerg; December 21, ...... do ...... Do. 1984, Reg; June 16, 2011, Susp. Macks Creek, Village of, Camden 290054 August 25, 1975, Emerg; September 4, ...... do ...... Do. County. 1985, Reg; June 16, 2011, Susp. Osage Beach, City of, Camden and Mil- 290671 April 11, 2000, Emerg; June 16, 2011, Reg; ...... do ...... Do. ler Counties. June 16, 2011, Susp. Park Hills, City of, St. Francois County 290920 N/A, Emerg; March 22, 1995, Reg; June ...... do ...... Do. 16, 2011, Susp. Nebraska: Crawford, City of, Dawes County ...... 310056 June 27, 1975, Emerg; August 1, 1986, ...... do ...... Do. Reg; June 16, 2011, Susp. Dawes County, Unincorporated Areas .. 310055 June 26, 2007, Emerg; June 16, 2011, Reg; ...... do ...... Do. June 16, 2011, Susp. Region VIII Montana: Ennis, Town of, Madison County 300044 July 16, 1976, Emerg; June 1, 1986, Reg; ...... do ...... Do. June 16, 2011, Susp. Wyoming: Albany County, Unincorporated Areas .. 560001 June 21, 1984, Emerg; October 1, 1986, ...... do ...... Do. Reg; June 16, 2011, Susp. Laramie, City of, Albany County ...... 560002 May 28, 1976, Emerg; July 16, 1979, Reg; ...... do ...... Do. June 16, 2011, Susp. *do = Ditto. Code for reading third column: Emerg.—Emergency; Reg.—Regular; Susp.—Suspension.

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Dated: May 24, 2011. Sandra K. Knight, Deputy Federal Insurance and Mitigation Administrator, Mitigation. [FR Doc. 2011–14606 Filed 6–13–11; 8:45 am] BILLING CODE 9110–12–P

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Proposed Rules Federal Register Vol. 76, No. 114

Tuesday, June 14, 2011

This section of the FEDERAL REGISTER www.regulations.gov, including any government-maintained databases, contains notices to the public of the proposed personal information provided. which are unavailable to high-risk issuance of rules and regulations. The • Docket: For access to the docket to chemical facilities. Therefore, DHS is purpose of these notices is to give interested read background documents or implementing the CFATS Personnel persons an opportunity to participate in the comments received go to http:// Surety Program, which will allow rule making prior to the adoption of the final www.regulations.gov. rules. chemical facilities to comply with Instructions: All submissions received RBPS–12 by implementing ‘‘measures must include the agency name and designed to identify people with DEPARTMENT OF HOMELAND docket number for this notice. All terrorist ties.’’ SECURITY comments received will be posted The CFATS Personnel Surety Program without change to http:// will work with the DHS Transportation Office of the Secretary www.regulations.gov, including any Security Administration (TSA) to personal information provided. identify individuals who have terrorist 6 CFR Part 5 Docket: For access to the docket to ties by vetting information submitted by read background documents or [Docket No. DHS–2011–0033] each high-risk chemical facility against comments received, go to http:// the Terrorist Screening Database Privacy Act of 1974: Implementation of www.regulations.gov. (TSDB). The TSDB is the Federal Exemptions; Department of Homeland FOR FURTHER INFORMATION CONTACT: For government’s consolidated and Security/National Protection and general questions please contact: Emily integrated terrorist watchlist of known Programs Directorate—002 Chemical Andrew (703–235–2182), Privacy and suspected terrorists, maintained by Facility Anti-Terrorism Standards Officer, National Protection and the Department of Justice (DOJ) Federal Personnel Surety Program System of Programs Directorate, Department of Bureau of Investigation’s (FBI) Terrorist Records Homeland Security, Washington, DC Screening Center (TSC). For more 20528. For privacy issues please information on the TSDB, see DOJ/FBI— AGENCY: Privacy Office, DHS. contact: Mary Ellen Callahan (703–235– 019 Terrorist Screening Records System, ACTION: Notice of proposed rulemaking. 0780), Chief Privacy Officer, Privacy 72 FR 47073 (August 22, 2007). Office, Department of Homeland High-risk chemical facilities or their SUMMARY: The Department of Homeland Security, Washington, DC 20528. designees will submit the information Security is giving concurrent notice of a SUPPLEMENTARY INFORMATION: of: (1) Facility personnel who have or newly established system of records are seeking access, either unescorted or pursuant to the Privacy Act of 1974 for I. Background otherwise, to restricted areas or critical the Department of Homeland Security/ In accordance with the Privacy Act of assets; and (2) unescorted visitors who National Protection and Programs 1974, 5 U.S.C. 552a, the Department of have or are seeking access to restricted Directorate—002 Chemical Facility Homeland Security (DHS)/National areas or critical assets. These persons, Anti-Terrorism Standards Personnel Protection and Programs Directorate about whom high-risk chemical Surety Program System of Records and (NPPD) proposes to establish a DHS facilities and facilities’ designees will this proposed rulemaking. In this system of records titled, ‘‘DHS/NPPD— submit information to DHS, are referred proposed rulemaking, the Department 002 Chemical Facility Anti-Terrorism to in this notice as ‘‘affected proposes to exempt portions of the Standards Personnel Surety Program individuals.’’ Individual high-risk system of records from one or more System of Records.’’ facilities may classify particular provisions of the Privacy Act because of On October 4, 2006, the President contractors or categories of contractors criminal, civil, and administrative signed the DHS Appropriations Act of either as ‘‘facility personnel’’ or as enforcement requirements. 2007 (the Act), Public Law 109–295. ‘‘visitors.’’ This determination should be DATES: Comments must be received on Section 550 of the Act (Section 550) a facility-specific determination, and or before July 14, 2011. provides DHS with the authority to should be based on facility security, ADDRESSES: You may submit comments, regulate the security of high-risk operational requirements, and business identified by docket number DHS– chemical facilities. DHS has practices. 2011–0033, by one of the following promulgated regulations implementing Information will be submitted to methods: Section 550, the Chemical Facility Anti- DHS/NPPD through the Chemical • Federal e-Rulemaking Portal: Terrorism Standards (CFATS), 6 CFR Security Assessment Tool (CSAT), the http://www.regulations.gov. Follow the part 27. online data collection portal for CFATS. instructions for submitting comments. Section 550 requires that DHS The high-risk chemical facility or its • Fax: 703–483–2999. establish Risk Based Performance designees will submit the information of • Mail: Mary Ellen Callahan, Chief Standards (RBPS) as part of CFATS. affected individuals to DHS through Privacy Officer, Privacy Office, RBPS–12 (6 CFR 27.230(a)(12)(iv)) CSAT. The submitters of this Department of Homeland Security, requires that regulated chemical information (‘‘Submitters’’) for each Washington, DC 20528. facilities implement ‘‘measures high-risk chemical facility will also • Instructions: All submissions designed to identify people with affirm, to the best of their ability, that received must include the agency name terrorist ties.’’ The ability to identify the information is: (1) True, correct, and and docket number for this rulemaking. individuals with terrorist ties is an complete; and (2) collected and All comments received will be posted inherently governmental function and submitted in compliance with the without change to http:// requires the use of information held in facility’s Site Security Plan (SSP) or

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Alternative Security Program (ASP), as foreign, or international government 22, 2007). Therefore, some information reviewed and authorized and/or agencies. This sharing will only take contained in the DHS/NPPD—002 approved in accordance with 6 CFR place after DHS determines that the Chemical Facility Anti-Terrorism 27.245. The Submitter(s) of each high- receiving component or agency has a Standards Personnel Surety Program risk chemical facility will also affirm need to know the information to carry System of Records relates to national that, in accordance with their Site out national security, law enforcement, security, law enforcement, and Security Plans, notice required by the immigration, intelligence, or other intelligence. These exemptions are Privacy Act of 1974, 5 U.S.C. § 552a, has functions consistent with the routine needed to protect this information from been given to affected individuals before uses set forth in this system of records disclosure to subjects or others related their information is submitted to DHS. notice. to these activities. Specifically, the DHS will send a verification of receipt II. Privacy Act exemptions are required to preclude to the Submitter(s) of each high-risk subjects of these activities from chemical facility when a high-risk The Privacy Act embodies fair frustrating these activities; to avoid chemical facility: (1) Submits information principles in a statutory disclosure of activity techniques; to information about an affected individual framework governing the means by protect the identities and physical safety for the first time; (2) submits additional, which the United States government of confidential informants and law updated, or corrected information about collects, maintains, uses, and enforcement personnel; to ensure the an affected individual; and/or (3) disseminates personally identifiable Department’s ability to obtain notifies DHS that an affected individual information. The Privacy Act applies to information from third parties and other no longer has or is seeking access to that information that is maintained in a sources; to protect the privacy of third facility’s restricted areas or critical ‘‘system of records.’’ A ‘‘system of parties; to safeguard classified assets. records’’ is a group of any records under information; and to safeguard records. Upon receipt of each affected the control of an agency from which Disclosure of information to the subject individual’s information in CSAT, DHS/ information is retrieved by the name of of an inquiry could also permit the NPPD will send a copy of the the individual or by some identifying subject to avoid detection or information to DHS/TSA. Within DHS/ number, symbol, or other identifying apprehension. TSA, the Office of Transportation Threat particular assigned to the individual. The exemptions proposed here are Assessment and Credentialing (TTAC) Individuals may request their own standard law enforcement and national conducts vetting against the TSDB for records that are maintained in a system security exemptions exercised by a large several DHS programs. DHS/TSA/TTAC of records in the possession or under the number of Federal law enforcement and will compare the information of affected control of DHS by complying with DHS intelligence agencies. In appropriate individuals collected by DHS (via Privacy Act regulations, 6 CFR part 5. circumstances, where compliance CSAT) to information in the TSDB. The Privacy Act requires each agency would not appear to interfere with or DHS/TSA/TTAC will forward potential to publish in the Federal Register a adversely affect the law enforcement matches to the DOJ/FBI/TSC, which will description denoting of the type and purposes of this system and the overall make a final determination of whether character of each system of records that an individual’s information is identified the agency maintains, and the routine law enforcement process, the applicable as a match to a record in the TSDB. uses made of records in each system. exemptions may be waived on a case by In certain instances, DHS/NPPD may These requirements exist in order to case basis. contact a high-risk chemical facility to make agency recordkeeping practices A system of records notice for the request additional information (e.g., visa transparent, to notify individuals DHS/NPPD—002 Chemical Facility information) pertaining to particular regarding the uses to which personally Anti-Terrorism Standards Personnel individuals in order to clarify suspected identifiable information is put, and to Surety Program System of Records is data errors or resolve potential matches assist individuals in finding records also published in this issue of the (e.g., in situations where an affected containing information about them. Federal Register. individual has a common name). Such The Privacy Act allows government List of Subjects in 6 CFR Part 5 requests will not imply, and should not agencies to exempt certain records from be construed to indicate, that an the access and amendment provisions of Freedom of information; Privacy. individual’s information has been the Privacy Act. If an agency claims For the reasons stated in the confirmed as a match to a TSDB record. exemptions from Privacy Act preamble, DHS proposes to amend DHS/NPPD may also conduct data requirements, however, it must issue a Chapter I of Title 6, Code of Federal accuracy reviews and audits as part of Notice of Proposed Rulemaking Regulations, as follows: the CFATS Personnel Surety Program. (NPRM), followed by a Final Such reviews may be conducted on Rulemaking, to make clear to the public PART 5—DISCLOSURE OF RECORDS random samples of affected individuals. the reasons for claiming particular AND INFORMATION To assist with this activity, DHS/NPPD exemptions. 1. The authority citation for Part 5 may request information pertaining to DHS is claiming exemptions from continues to read as follows: affected individuals, previously certain requirements of the Privacy Act provided to DHS/NPPD by high-risk for the DHS/NPPD—002 Chemical Authority: 6 U.S.C. 101 et seq.; Pub. L. chemical facilities, in order to confirm Facility Anti-Terrorism Standards 107–296, 116 Stat. 2135; 5 U.S.C. 301. the accuracy of that information. Personnel Surety Program System of Subpart A also issued under 5 U.S.C. 552. Consistent with the Department’s Records. Some information in the DHS/ Subpart B also issued under 5 U.S.C. 552a. information sharing mission, NPPD—002 Chemical Facility Anti- 2. Add at the end of Appendix C to information stored in the DHS/NPPD— Terrorism Standards Personnel Surety Part 5, the following new paragraph 002 Chemical Facility Anti-Terrorism Program System of Records may contain ‘‘<54>’’: Standards Personnel Surety Program records or information recompiled from System of Records may be shared with or created from information contained Appendix C to Part 5—DHS Systems of other DHS components, as well as in the DOJ/FBI—019 Terrorist Screening Records Exempt From the Privacy Act appropriate Federal, state, local, Tribal, Records System, 72 FR 47073 (August * * * * *

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<54>. The DHS/NPPD—002 Chemical subject of an investigation of an actual or which regulates the handling of Facility Anti-Terrorism Standards Personnel potential criminal, civil, or regulatory domestic dates produced or packed in Surety Program System of Records consists of violation to the existence of that investigation Riverside County, California, were electronic and paper records and will be used and reveal investigative interest on the part proposed by the California Date by DHS. The DHS/NPPD—002 Chemical of DHS or another agency. Access to the Facility Anti-Terrorism Standards Personnel records could permit the individual who is Administrative Committee (CDAC or Surety Program System of Records is a the subject of a record to impede the committee), which is responsible for repository of information held by DHS in investigation, to tamper with witnesses or local administration of the order. These connection with its several and varied evidence, and to avoid detection or proposed amendments are intended to missions and functions including, but not apprehension. Amendment of the records improve administration of and limited to, the enforcement of civil and could interfere with ongoing investigations compliance with the order and reflect criminal laws; investigations, inquiries, and and law enforcement activities and would current industry practices. proceedings there under; national security impose an unreasonable administrative burden by requiring investigations to be In addition to the committee’s and intelligence activities. The DHS/NPPD— proposals, the Agricultural Marketing 002 Chemical Facility Anti-Terrorism continually reinvestigated. In addition, Standards Personnel Surety Program System permitting access and amendment to such Service (AMS) proposes to further of Records contains information that is information could disclose security-sensitive amend the order by providing for a collected by, on behalf of, in support of, or information that could be detrimental to continuance referendum every six years, in cooperation with DHS and its components homeland security. and by establishing term limits of up to and may contain personally identifiable (c) From subsection (e)(1) (Relevancy and six consecutive years for committee information collected by other Federal, state, Necessity of Information) because in the members. These proposals would allow local, Tribal, foreign, or international course of investigations into potential violations of Federal law, the accuracy of producers to indicate continued support government agencies. for the order and provide all interested The Secretary of Homeland Security is information obtained or introduced publishing a notice of proposed rulemaking, occasionally may be unclear, or the industry members the opportunity to proposing to exempt this system from the information may not be strictly relevant or serve on the committee. following provisions of the Privacy Act, necessary to a specific investigation. In the DATES: Comments must be received by subject to the limitation set forth therein: 5 interests of effective law enforcement, it is July 14, 2011. U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), appropriate to retain all information that may aid in establishing patterns of unlawful ADDRESSES: Written comments should (e)(4)(H), (e)(4)(I); and (f). These exemptions be submitted to the Docket Clerk, are made pursuant to 5 U.S.C. 552a(k)(1) and activity. (d) From subsections (e)(4)(G), (e)(4)(H), (k)(2). Marketing Order Administration and (e)(4)(I) (Agency Requirements) and (f) In addition to records under the control of Branch, Fruit and Vegetable Programs, (Agency Rules), because portions of this DHS, the DHS/NPPD—002 Chemical Facility AMS, USDA, 1400 Independence system are exempt from the individual access Anti-Terrorism Standards Personnel Surety Avenue, SW., STOP 0237, Washington, provisions of subsection (d) for the reasons Program System of Records may include noted above, and therefore DHS is not DC 20250–0237; Fax: (202) 720–8938; or records originating from systems of records of required to establish requirements, rules, or Internet: http://www.regulations.gov. All other law enforcement and intelligence procedures with respect to such access. comments should reference the agencies, which may be exempt from certain Providing notice to individuals with respect document number and the date and provisions of the Privacy Act. DHS does not, to existence of records pertaining to them in page number of this issue of the Federal however, assert exemption from any the system of records or otherwise setting up Register. All comments submitted in provisions of the Privacy Act with respect to procedures pursuant to which individuals information submitted by high-risk chemical response to this proposed rule will be may access and view records pertaining to included in the record and will be made facilities. themselves in the system would undermine To the extent the DHS/NPPD—002 investigative efforts and reveal the identities available for public inspection in the Chemical Facility Anti-Terrorism Standards of witnesses, and potential witnesses, and Office of the Docket Clerk during regular Personnel Surety Program System of Records confidential informants. business hours, or can be viewed at: contains records originating from other http://www.regulations.gov. Please be Dated: June 6, 2011. systems of records, DHS will rely on the advised that the identity of the exemptions claimed for those records in the Mary Ellen Callahan individuals or entities submitting the originating systems of records. Exemptions Chief Privacy Officer, Department of from these particular subsections are comments will be made public on the Homeland Security. Internet at the address provided above. justified, on a case-by-case basis to be [FR Doc. 2011–14386 Filed 6–13–11; 8:45 am] determined at the time a request is made, for To the extent practicable, all the following reasons: BILLING CODE 9110–9P–P documents filed with the Docket Clerk (a) From subsection (c)(3) (Accounting for should also be submitted electronically Disclosures) because release of the to Laurel May at the e-mail address accounting of disclosures could alert the DEPARTMENT OF AGRICULTURE noted for her in the FOR FURTHER subject of an investigation of an actual or INFORMATION CONTACT section. potential criminal, civil, or regulatory Agricultural Marketing Service FOR FURTHER INFORMATION CONTACT: violation to the existence of that investigation Laurel May, Senior Marketing and reveal investigative interest, on the part 7 CFR Part 987 of DHS as well as the recipient agency. Specialist, or Kathleen Finn, Disclosure of the accounting would therefore [Doc. No. AMS–FV–10–0025; FV10–987–1 Rulemaking Team Program Manager, present a serious impediment to law PR] Marketing Order Administration enforcement efforts and/or efforts to preserve Branch, Fruit and Vegetable Programs, national security. Disclosure of the Domestic Dates Produced or Packed in AMS, USDA; 1400 Independence accounting would also permit the individual Riverside County, CA; Proposed Avenue, SW., Stop 0237, Washington, who is the subject of a record to impede the Amendments to Marketing Order DC 20250–0237; Telephone: (202) 720– investigation, to tamper with witnesses or 2491, Fax: (202) 720–8938, or E-mail: evidence, and to avoid detection or AGENCY: Agricultural Marketing Service, apprehension, which would undermine the USDA. [email protected] or entire investigative process. ACTION: Proposed rule. [email protected]. (b) From subsection (d) (Access to Records) Small businesses may request because access to the records contained in SUMMARY: Five amendments to information on complying with this this system of records could inform the Marketing Agreement and Order No.987 regulation by contacting Antoinette

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Carter, Marketing Order Administration amend Federal fruit, vegetable, and nut amendment to the order that may result Branch, Fruit and Vegetable Programs, marketing agreements and orders if from this rulemaking action. AMS, USDA, 1400 Independence certain criteria are met. Proposal Number 1—Regulatory Avenue, SW., STOP 0237, Washington, AMS has considered the nature and Exemptions DC 20250–0237; Telephone: (202) 720– complexity of the proposed 2491, Fax: (202) 720–8938, or E-mail: amendments, the potential regulatory Section 987.5 of the order defines the [email protected]. and economic impacts on affected date varieties that are regulated under entities, and other relevant matters, and the order. Regulated varieties are subject SUPPLEMENTARY INFORMATION: This has determined that amending the order to the minimum grade, size, inspection, proposal is issued under Marketing as proposed by the committee could certification, volume control, Agreement and Order No. 987, both as appropriately be accomplished through interhandler transfer, container, amended (7 CFR part 987), regulating informal rulemaking. AMS will analyze reporting, and assessment requirements the handling of domestic dates any comments received on the authorized under §§ 987.39 through produced or packed in Riverside amendments proposed in this rule, and 987.51, §§ 987.61 through 987.68, and County, California, hereinafter referred if appropriate, AMS will conduct a § 987.72 of the order. to as the ‘‘order.’’ The order is effective producer referendum. If appropriate, a Currently, § 987.5 lists four date under the Agricultural Marketing final rule will then be issued to varieties for regulation under the order, Agreement Act of 1937, as amended effectuate the amendments favored by including the Deglet Noor, Zahidi, (7 U.S.C. 601–674), hereinafter referred producers participating in the Halawy, and Khadrawy varieties. At the to as the ‘‘Act.’’ The applicable rules of referendum. time the order was established, these practice and procedure governing the The proposed amendments were four varieties were produced or handled formulation of marketing agreements recommended by the committee in Riverside County in sufficient and orders (7 CFR part 900) authorize following deliberations at public quantities to warrant regulation. At amendment of the order through this meetings on October 30, 2008; October times, production of some varieties may informal rulemaking action. A producer 29, 2009; and February 25, 2010. The decline to the point that the committee referendum will be held in the future to proposed amendments were first believes that the cost to handlers of determine support for the proposed submitted to AMS on May 29, 2009. inspecting and reporting those varieties order amendments, if the amendments After further discussions with AMS, the outweighs the benefits of doing so. For are deemed appropriate. committee submitted revised proposals instance, the committee reports that the The Department of Agriculture to AMS on March 2, 2010. cost of regulating two date varieties (USDA) is issuing this rule in The committee’s proposed currently outweighs the benefit of doing conformance with Executive Order amendments would: (1) Authorize the so as very little assessment revenue is 12866. committee to recommend regulatory generated by the handling of those two This proposal has been reviewed exemptions for certain date varieties if varieties. In such cases, the committee under Executive Order 12988, Civil market conditions warrant such believes it should have the authority to Justice Reform. This rule is not intended exemption. Currently the order only recommend regulatory exemption of to have retroactive effect. provides for exemptions for handlers those varieties until such time as it is The Act provides that administrative who sell dates directly to consumers in again appropriate to regulate them. proceedings must be exhausted before limited market outlets; (2) Increase the To address this issue, the committee parties may file suit in court. Under terms of office for committee members proposed amending the order by section 608c(15)(A) of the Act, any and alternates from two to three years; temporarily suspending the varieties handler subject to an order may file (3) Authorize the committee to conduct currently produced in minimal with USDA a petition stating that the business by means of telephone or video quantities from inclusion in § 987.5— order, any provision of the order, or any conference technologies. Currently all DATES. However, AMS believes that the obligation imposed in connection with committee meetings must be assembled; committee would have greater flexibility the order is not in accordance with law (4) Authorize the committee to collect if it were authorized to recommend and request a modification of the order interest charges and late fees on regulatory exemptions for varieties or to be exempted therefrom. A handler delinquent assessment payments. produced, with the approval of the is afforded the opportunity for a hearing Currently, the order does not provide Secretary, through the informal on the petition. After the hearing, USDA authority for the collection of interest rulemaking process. In this way, any would rule on the petition. The Act and late fees; and (5) Authorize the future changes in production levels or provides that the district court of the committee to build and maintain an other market considerations for any United States in any district in which operating reserve not to exceed the variety could be addressed through the handler is an inhabitant, or has his average of one year’s average expenses. informal rulemaking. or her principal place of business, has Currently, the committee is authorized Section 987.52 authorizes the jurisdiction to review USDA’s ruling on to maintain an operating reserve not to committee to exempt handlers of dates the petition, provided an action is filed exceed 50 percent of an average year’s for sale in certain market outlets from not later than 20 days after the date of expenses. regulation if those sales are unlikely to the entry of the ruling. AMS further proposes to amend the interfere with the objectives of the Section 1504 of the Food, order by: (1) Requiring that a producer order. However, the section does not Conservation, and Energy Act of 2008 referendum be conducted every six authorize the exemption of dates sold (2008 Farm Bill) (Pub. L. 110–246) made years to determine continued support into regular markets by variety. Such changes to section 18c(17) of the Act, for the order; and (2) establishing term authority would allow the committee to which in turn required the addition of limits of no longer than two consecutive recommend, subject to approval of the supplemental rules of practice to 7 CFR terms of office or six consecutive years Secretary, that certain varieties be part 900 (73 FR 49307; August, 21, for committee members and alternates. exempted from the order’s regulations 2008). The additional supplemental Finally, AMS proposes to make through informal rulemaking. Such rules of practice authorize the use of conforming changes to the order as may authority should be broad enough to informal rulemaking (5 U.S.C. 553) to be necessary to conform to any include exemptions for a variety of

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reasons, including periods of minimal greater participation in committee The use of telephone conference and production. This flexibility would allow nominations. video conference capability has become the committee to respond to changes in Additionally, the number of date standard in the date industry, as well as the production and marketing producers and handlers in the in other marketing order programs. Use environment in a timely manner. As production area has declined over time, of such technology allows producers production and market conditions making it increasingly difficult to find and handlers to address urgent change, the committee could new candidates to serve as members and committee business with minimal recommend lifting the regulatory alternates on the nine-member disruption to their individual business exemptions, as appropriate. committee every other year. The responsibilities. Telephone and video For example, two varieties regulated committee believes that extending the conferences also bolster participation by under the order are currently being terms of office for one year would give other interested parties who would produced in very small quantities. New the industry more time to identify and otherwise be unable to participate in date garden plantings of those varieties recruit potential new committee industry meetings due to the constraints are still immature, and have not reached members between nomination periods. of time and distance. full production. Under the proposed The current committee was The committee believes that the use of amendment, the committee could nominated in 2010 and is expected to telephone and video conference recommend, through the informal serve until 2012. If this amendment is technology would be appropriate in rulemaking process, that those two adopted, terms of office of the current certain situations, such as when the varieties be exempted from the order’s committee members and alternates matters to be discussed are minor, or regulations. When the trees of each would be extended until 2014, or when emergencies demand immediate variety mature and are producing in whenever a new committee is selected decisions by the committee. The sufficient quantities to warrant by the Secretary. Thereafter, the three- committee also believes that some regulation, the committee could year terms of office would commence business matters should be addressed at recommend that the variety-specific with the new committee selected in assembled meetings, and that alternate exemptions be removed. 2014. This would coincide with the meeting formats would not be appropriate for all situations. The For the reasons stated above, it is commission’s nomination cycle. committee proposed that the proposed that § 987.52, Exemption, be For the reasons stated above, it is chairperson should have the discretion amended by designating the current text proposed that § 987.23 of the order be to determine the appropriate format for of that section as paragraph (a) and amended to change committee member any committee meeting. adding a new paragraph (b) providing and alternate terms of office from two to There could be some situations in authority for the committee to three years. The section should also which the chairperson determines that recommend that any variety may be specify that the terms of office of members may participate in assembled exempt from regulations established members and alternates serving at the meetings by telephone or other means of pursuant to §§ 987.39 through 987.50, time the amendment is effectuated communication. Although the member’s §§ 987.61 through 987.68, and § 987.72. would end on July 31, 2014. Further, alternate may be present at the same Section 987.24 should be amended to Proposal Number 2—Terms of Office assembled meeting, the committee specify that nominations for committee believes that the member should retain Section 987.23 of the order specifies positions are held by June 15 of every the right to vote on any issue that comes that the terms of office for committee third year rather than every other year. before the committee in that meeting, members and alternates are two years, Proposal Number 3—Committee even if he or she is participating via beginning on August 1. Section 987.24 Meetings telephone or videoconference. of the order specifies that nominations Therefore, the requirement that votes at for committee positions are held by June Section 987.31 of the order specifies assembled meetings shall be cast in 15, every other year. The committee procedures for conducting committee person should be removed. proposed amending the order to extend business. Quorum requirements are Nevertheless, the committee believes member and alternate terms of office defined, and the minimum voting that votes cast by telephone should from two to three years. requirements for various matters are continue to be confirmed in writing The terms of office for another specified. The section specifies that within two weeks of the meeting. California date industry program, the votes cast at assembled meetings shall Finally, because telegrams are no longer California Date Commission be cast in person. The section also in standard use, authority to vote by (commission), are three years. Some authorizes the committee to vote on any telegram should be removed. committee members may also serve on proposition by mail, telephone, or For the reasons stated above, it is the commission. Nominations for the telegram after all members and proposed that § 987.31, Procedure, be two programs occasionally, but not alternates acting as members have amended by: Revising paragraph (d) to always, take place within a few weeks received identical explanations about provide for participation in assembled of each other. Because nominations the proposition. Telephone votes must committee meetings as well as coincide in some years and don’t be confirmed in writing within two telephone, video conference, or other coincide in others, the committee weeks. Actions approved by mail, types of meetings; providing the believes that voters can become telephone, or telegram voting must be committee chairperson with discretion confused about whether or not they unanimous to be valid. to determine the appropriate meeting have submitted ballots, and thus are less Currently, the order does not format and whether members may likely to participate in the committee’s authorize the committee to conduct participate in assembled meetings by nomination process. The committee business meetings by telephone or other telephone or other means; clarifying that believes that extending terms of office to means of modern communication members attending assembled meetings three years and synchronizing technology, such as video conference. by alternate means of communication nominations with those of the The committee proposed amending the retain the same voting privileges they commission would improve the order to authorize the use of such would otherwise have; and removing nomination process and encourage technology in certain situations. the requirement that votes at assembled

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meetings shall be cast in person. time, interest rate, and late payment flexibility to respond to unexpected Paragraph (e) of § 987.31 would be charge shall be as recommended by the opportunities. The committee could amended by removing the words ‘‘or committee and approved by the recommend annual assessment rates. telegram.’’ Secretary. Over a number of years, the reserve could gradually increase until the Proposal Number 4—Interest and Late Proposal Number 5—Operating Reserve balance approximates one year’s average Payment Charges Paragraph (c) of § 987.72 currently expenses, as calculated using the five Section 987.72 requires date handlers authorizes the committee to establish most recent years’ actual expenses. to pay the committee assessments upon and maintain a monetary operating For the reasons stated above, it is merchantable and utility dates they reserve in an amount not to exceed 50 proposed that paragraph (c) of § 987.72, have certified as such. Funds to percent of an average year’s expenses. which would be redesignated paragraph administer the order are derived from The average year’s expenses are (d) as described under amendment such assessments. The committee, with calculated using the actual expenses of Proposal Number 4 above, be further USDA approval, formulates annual the five most recent crop years. Should amended to authorize the committee to budgets of expenses and recommends the existing reserve ever exceed the build and maintain an operating appropriate assessment rates. The recalculated average, there is no monetary reserve not to exceed one committee’s budgeted expenditures requirement to lower the reserve to meet year’s average expenses, based upon the include those for general administration that average. Funds in the reserve are actual expenses of the five most recent of the program, as well as the cost of available for use by the committee to crop years. promotional programs and marketing meet its financial obligations in and media consultants. connection with administration of the Proposal Number 6—Continuance Currently, the order does not order and its programs. Annual budgets Referenda authorize the committee to charge and assessment rates are revised as AMS proposes to amend the order by interest or late payment charges for appropriate in an effort to maintain the adding a provision for continuance delinquent assessment payments. The authorized operating reserve balance. referenda every six years. Provision for committee believes that adding such The committee occasionally uses periodic continuance referenda would authority would provide greater reserve funds when the assessment offer producers the opportunity to incentive for handlers to make revenues they have collected are not indicate ongoing support for the order assessment payments on time. This in sufficient to meet their budgeted and its programs. Experience has shown turn would help ensure that the expenses. This may happen when the that marketing order programs need committee is able to meet its financial date crop is smaller than expected, significant industry support to operate obligations and continue to fund its which reduces the total amount of effectively. Continuance of the date programs on a continuing basis. assessments paid by handlers. In other order would require the favorable vote Charging interest and late payment instances, the committee may desire of at least two-thirds of those voting, or charges on unpaid financial obligations later in the year to take advantage of a of those representing at least two-thirds is commonplace in the business world, promotional opportunity for which it of the production volume represented in and implementation of such charges had not budgeted at the beginning of the the referendum. This is the same would bring the committee’s financial year. With the approval of the Secretary, support that is typically required for operations in line with standard the committee could revise their budget issuance or amendment of an order. business practices. Such charges would to include the promotional program and The order was last amended on remove any financial advantage for use reserve funds to cover its costs February 1, 1978 (43 FR 4253). Since those who do not pay on time while without increasing the current that time, USDA has recommended that they benefit from committee programs, assessment rate. producers of commodities regulated creating a more level playing field for In crop years with unexpectedly high under Federal marketing orders be the industry. production, the approved assessment offered the opportunity to participate in The committee recommended rate may generate excess funds. Under periodic continuance referenda. The amending the order to authorize the the order’s current provisions, the California date marketing order does not collection of interest and late payment committee is only authorized to retain currently provide for continuance charges for delinquent payments. Such an amount not to exceed 50 percent of referenda. Therefore, it is recommended authority would allow the committee to an average year’s expenses. Any excess that § 987.82—Effective time, establish, through informal rulemaking, funds must be returned to handlers or suspension, or termination, be amended parameters for implementation, applied as a credit against their by redesignating paragraph (b)(3) as including timeframes and appropriate accounts for the upcoming year. paragraph (b)(4) and adding a new interest and late payment charges that The committee proposed raising the paragraph (b)(3) to provide that a would be imposed if necessary. This operating reserve limit from 50 percent continuance referendum shall be authority is intended to strengthen of an average year’s expenses to an conducted six years after the compliance with the order’s assessment amount not to exceed one year’s average amendment becomes effective and every requirements. expenses. This would allow the six years thereafter. The new paragraph For the reasons stated above, it is committee to retain more surplus (b)(3) of § 987.82 should further specify proposed that paragraphs (b) through (d) assessment revenues they may collect. A that continuation of the order would of § 987.72 be redesignated paragraphs larger operating reserve would require the approval of two-thirds of the (c) through (e), respectively, and that a strengthen the committee’s continuity producers participating in the new paragraph (b) be added to the order and confidence in managing committee referendum, or of voters representing to specify that any assessment not paid business. A larger reserve would two-thirds of the date production by a handler within a period of time provide sufficient funds to meet the represented in the referendum. specified by the committee may be committee’s budgeted financial In paragraph (b)(2) of § 987.82, the subject to an interest or late payment obligations, including the maintenance word ‘‘growers,’’ which appears in the charge, or both. The new paragraph of strategic marketing programs, in short heading and in the text of that would further specify that the period of crop years as well as provide the paragraph, should be replaced with the

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word ‘‘producers’’ to conform with the down. Any other service prior to the marketing order. The Small Business definition provided in § 987.7 of the order amendment would not count Administration (13 CFR 121.201) order; and the word ‘‘he,’’ in reference toward the term limit. defines small agricultural producers as to the Secretary, should be replaced by those having annual receipts of less than Conforming Changes to Administrative the words ‘‘he or she’’ to modernize the $750,000, and small agricultural service Rules and Regulations section. firms are defined as those having annual Adoption of two of the proposed Proposal Number 7—Term Limits receipts of less than $7,000,000. amendments to the order would require According to the National AMS proposes to amend the order by that conforming changes be made to Agricultural Statistics Service (NASS), establishing term limits on the number § 987.124 of the order’s administrative the 2010 crop yield was approximately of consecutive terms a person may serve rules and regulations. These changes 7,080 pounds, or 3.54 tons, of dates per on the committee. would not be voted upon by producers acre. NASS estimates that the 2010 Currently, the term of office for each in the referendum, but would be made grower price was approximately $0.585 member and alternate member of the as conforming changes if Proposal per pound, or $1,170 per ton. Thus, the committee is two years. Committee Number 2, to make terms of office three value of date production in 2010 members and alternates continue to years long, and/or Proposal Number 7, averaged about $4,142 per acre (7,080 serve until their successors have been to add term limits, are approved by pounds per acre times $0.585 per selected by the Secretary and have voters participating in the referendum. pound). At that average price, a qualified. The order does not specify Currently, paragraph (a) of § 987.124 producer would have to farm over 181 any term limits for members or specifies that nominations materials are acres to receive an annual income from alternates. Members and alternates may provided to producers and producer- dates of $750,000 ($750,000 divided by be selected to serve consecutive terms in handlers no later than June 15 of each $4,142 per acre equals 181.1 acres). those positions, as long as they continue even numbered year. If the order is According to committee staff, the to be eligible and willing to do so. amended to provide for three year terms As explained under Proposal number majority of California date producers of office as explained in Proposal farm fewer than 181 acres. Thus, it can 2 above, the committee has proposed to number 2 above, nominations would be amend the order to provide for three- be concluded that the majority of date conducted every three years, rather than producers could be considered small year terms of office. AMS’s is proposing every two years. Therefore, § 987.124(a) to further amend the order to specify entities. According to data from the should be changed to specify that ballot committee, the majority of handlers of that members may serve up to two materials are provided to producers and consecutive three-year terms, not to California dates may also be considered producer handlers no later than June 15 small entities. exceed six consecutive years. This of every third year. The amendments proposed by the proposal for a limitation on tenure Paragraph (a)(1) of § 987.124 currently committee would authorize the would not apply to alternates. Once a specifies that the ballots should contain committee to recommend regulatory member has served on the committee for the list of incumbents who are willing exemptions for dates by variety, provide two consecutive terms, or six years, the to continue to serve on the committee. for three years terms of office for member would be required to step down As explained above, some incumbents committee members, provide for for at least one year before being eligible may no longer be eligible to serve in committee meetings by telephone and to serve as a member again. The member their positions if the proposal to add other means of communication, could serve as an alternate during that term limits is adopted. Therefore, authorize an operating monetary reserve time. § 987.124(a)(1) should be revised to not to exceed one year’s average AMS’s experience with similar clarify that the names of incumbents expenses, and authorize the collection marketing programs is that establishing who are both willing and eligible to of interest and late payment charges on tenure limits is a means to increase continue serving should be listed on the delinquent assessment payments. industry participation on the committee ballots. and in its programs. By inviting Amendments proposed by AMS potential new members to serve, small Initial Regulatory Flexibility Analysis would provide for continuance and large entities who have not been Pursuant to requirements set forth in referenda every six years, and would actively involved previously may be the Regulatory Flexibility Act (RFA) specify term limits of not more than six encouraged to take part in the order’s (5 U.S.C. 601–612), the Agricultural consecutive years for committee activities and gain committee Marketing Service (AMS) has positions. Conforming changes to the experience. considered the economic impact of this order’s administrative rules and For the reasons stated above, it is action on small entities. Accordingly, regulations would be made as necessary proposed that § 987.23 be further AMS has prepared this initial regulatory to facilitate implementation of any amended by specifying that members flexibility analysis. amendments approved by voters in the may serve up to two consecutive three- The purpose of the RFA is to fit referendum. Specifically, the year terms, not to exceed six regulatory actions to the scale of committee’s nomination and polling consecutive years as members. There business subject to such actions in order procedures would be modified to would be no such limitation for that small businesses will not be unduly require that balloting materials be alternates. After serving for six or disproportionately burdened. provided to producers by June 15 of consecutive years, members would be Marketing orders issued pursuant to the every third year. required to step down for at least one Act, and rules issued thereunder, are The committee’s proposed year before being eligible to serve again. unique in that they are brought about amendments were unanimously If the order is amended to allow three- through group action of essentially recommended at public meetings held year terms of office, members who were small entities acting on their own on October 30, 2008; October 29, 2009; appointed in 2010 and continued to behalf. and February 25, 2010. The committee serve until 2014 would be allowed to There are approximately 85 producers believes that each of their proposed serve one additional three-year term of of dates in the production area and 8 amendments would benefit producers office before being required to step handlers subject to regulation under the and handlers of all sizes.

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If granted authority to temporarily During high production years, excess In addition, USDA has not identified exempt certain date varieties from assessments could be added to the any relevant Federal rules that regulation, the committee could reserve until the fund’s limit is reached. duplicate, overlap, or conflict with this determine whether the costs of The larger operating reserve would help rule. collecting assessments and reports on ensure that the committee has sufficient AMS is committed to complying with individual varieties are warranted. funds to meet its financial obligations the E-Government Act, to promote the Handler burden related to those and maintain critical marketing use of the Internet and other functions would be reduced for programs, even during short crop years. information technologies to provide exempted varieties. Decreases in Such stability is expected to allow the increased opportunities for citizen handler assessment obligation and committee to conduct programs that access to Government information and reporting costs could be passed on to will benefit all entities, regardless of services, and for other purposes. producers. Administrative costs related size. The committee’s meetings, at which to enforcing regulatory compliance for AMS’s proposal to add provision for these proposals were discussed, were those varieties would also be reduced. continuance referenda is expected to widely publicized throughout the date Producer and handler participation in afford producers the opportunity to industry. All interested persons were committee nominations is expected to indicate ongoing support for the order invited to attend the meetings and improve if member terms of office are and its programs. The proposal to add encouraged to participate in committee extended from two to three years. term limits is expected to encourage deliberations on all issues. Like all Extending the terms of office would participation on the committee by all committee meetings, the meetings were afford the committee more time to interested industry members. Support public, and all entities, both large and identify and develop potential new for the program, and active participation small, were encouraged to express their members between committee selections. on the committee by a diverse group of views on these proposals. Coordinating committee nomination industry members, are expected to Finally, interested persons are invited periods with those of other industry benefit all producers and handlers by to submit comments on the proposed programs is expected to reduce voter ensuring that the program continues to amendments to the order as well as on confusion and increase the number of meet the industry’s evolving needs. the proposed revisions to the ballots returned, thus improving Proposed changes to the order’s administrative rules and regulations that producer and handler representation on nomination and polling regulations are would be made if the amendments are the committee. administrative in nature and are Adding authority for alternative adopted, including comments on the intended to facilitate implementation of meeting formats is expected to improve regulatory and informational impacts of the proposed amendments, if adopted. participation in committee deliberations this action on small businesses. by industry members of all sizes. Such Where measurable, the costs outlined Following analysis of any comments authority would minimize the time that in this analysis are expected to be received on the amendments proposed committee members would be required proportional to the size of business, so in this rule, AMS would conduct a to be away from their individual smaller businesses should not be producer referendum, if appropriate. businesses. Authorizing the chairperson unduly burdened. Benefits associated Information about the referendum, to determine the format for each with improved efficiencies and greater including dates and voter eligibility meeting would ensure that critical representation on the committee should requirements, would be published in a committee business is addressed accrue to all entities, regardless of size. future issue of the Federal Register. If appropriately. By providing greater Alternatives to these proposals appropriate, a final rule would then be flexibility for meeting attendance and include making no changes at this time. issued to effectuate the amendments participation, the committee hopes to However, the proposed changes are favored by producers participating in benefit from the input of a greater necessary to update administration of the referendum and to finalize any number of interested persons whose the order to reflect current industry conforming changes necessary to reflect perspectives and ideas could improve practices, provide consistent funding amendments to the order. the marketing of California dates, which that will enable the committee to A small business guide on complying would in turn benefit both producers maintain valuable marketing programs, with fruit, vegetable, and specialty crop and handlers. and provide greater opportunity for marketing agreements and orders may Authorizing the committee to impose committee participation. be viewed at: http://www.ams.usda.gov/ interest and late payment charges on In accordance with the Paperwork MarketingOrdersSmallBusinessGuide. delinquent assessments is intended to Reduction Act of 1995 (44 U.S.C. Any questions about the compliance encourage handlers to make payments chapter 35), the order’s information guide should be sent to Antoinette on a timely basis. There would be no collection requirements have been Carter at the previously mentioned additional cost to handlers who comply previously approved by the Office of address in the FOR FURTHER INFORMATION with the order’s assessment Management and Budget (OMB) and CONTACT section. requirements. Timely assessment assigned OMB No. 0581–0178, General Findings payments allow the committee to make Vegetable and Specialty Crops. No and keep financial obligations with changes in those requirements as a The findings hereinafter set forth are regard to operation of its programs, result of this proceeding are anticipated. supplementary to the findings and including marketing and promotion, Should any changes become necessary, determinations which were previously which are intended to benefit all they would be submitted to OMB for made in connection with the issuance of producers and handlers. approval. the marketing agreement and order; and If authority to build and maintain an As with all Federal marketing order all said previous findings and operating reserve equal to one year’s programs, reports and forms are determinations are hereby ratified and average expenses is added to the order, periodically reviewed to reduce affirmed, except insofar as such findings the committee could recommend information requirements and and determinations may be in conflict increases to their assessment rate in duplication by industry and public with the findings and determinations set order to gradually build the reserve. sector agencies. forth herein.

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1. The marketing agreement and PART 987—DOMESTIC DATES voting privileges that they would order, as amended, and as hereby PRODUCED OR PACKED IN otherwise have. proposed to be further amended, and all RIVERSIDE COUNTY, CALIFORNIA (e) The Committee may vote upon any of the terms and conditions thereof, proposition by mail, or by telephone 1. The authority citation for 7 CFR would tend to effectuate the declared when confirmed in writing within two part 987 continues to read as follows: policy of the Act; weeks, upon due notice and full and Authority: 7 U.S.C. 601–674. identical explanation to all members, 2. The marketing agreement and including alternates acting as members, order, as amended, and as hereby 2. Revise § 987.23 to read as follows: but any such action shall not be proposed to be further amended, § 987.23 Term of office. considered valid unless unanimously regulate the handling of dates produced The term of office for members and approved. or packed in the production area alternate members shall be three years (Riverside County, California) in the * * * * * beginning August 1, except that such 5. Amend § 987.52 by designating the same manner as, and are applicable only term may be shorter if the Committee existing text as paragraph (a) and by to, persons in the respective classes of composition is changed in the interim adding a new paragraph (b) to read as commercial and industrial activity pursuant to § 987.21. Provided, That the follows: specified in the marketing agreement terms of office of all members and and order; alternates currently serving at the time § 987.52 [Amended] 3. The marketing agreement and of the amendment will end on July 31, (a) * * * order, as amended, and as hereby 2014. Commencing with the term of (b) The Committee may, with the proposed to be further amended, is office that begins on August 1, 2014, approval of the Secretary, recommend limited in its application to the smallest members may serve up to two that the handling of any date variety be regional production area which is consecutive three-year terms, not to exempted from regulations established practicable, consistent with carrying out exceed six consecutive years as pursuant to §§ 987.39 through 987.51 the declared policy of the Act, and the members: Provided, That members who and §§ 987.61 through 987.72. issuance of several orders applicable to were serving at the time of the 6. Amend § 987.72 by redesignating subdivisions of the production area amendment and who continued to serve paragraphs (b) through (d) as paragraphs would not effectively carry out the until 2014 may serve only one (c) through (e), respectively; by adding declared policy of the Act; additional three-year term of office. a new paragraph (b); and by revising Members who have served two redesignated paragraph (d) to read as 4. The marketing agreement and consecutive terms or six years may not follows: order, as amended, and as hereby serve as members for at least one year § 987.72 [Amended] proposed to be further amended, before becoming eligible to serve again. prescribes, insofar as practicable, such Except as provided above, the limitation * * * * * different terms applicable to different on consecutive terms of office and years (b) Delinquent payments. Any parts of the production area as are of service does not apply to service on assessment not paid by a handler within necessary to give due recognition to the the committee prior to enactment of the a period of time prescribed by the differences in the production and amendment, and does not apply to Committee may be subject to an interest marketing of dates produced or packed alternates. Each member and alternate or late payment charge, or both. The in the production area; and member shall, unless otherwise ordered period of time, rate of interest, and late 5. All handling of dates produced or by the Secretary, continue to serve until payment charge shall be as packed in the production area as his or her successor has been selected recommended by the Committee and defined in the marketing agreement and and has qualified. approved by the Secretary. (c) * * * order is in the current of interstate or 3. Revise paragraph (a) of § 987.24 to (d) Operating reserve. The Committee, foreign commerce or directly burdens, read as follows: with the approval of the Secretary, may obstructs, or affects such commerce. § 987.24 Nomination and selection. establish and maintain during one or A 30-day comment period is provided (a) Nomination for members and more crop years an operating monetary to allow interested persons to respond alternate members of the Committee reserve in an amount not to exceed the to these proposals. Thirty days is shall be made not later than June 15 of average of one year’s expenses incurred deemed appropriate because the every third year. during the most recent five preceding proposed changes have been widely * * * * * crop years, except that an established publicized, and implementation of the 4. Amend § 987.31 by revising reserve need not be reduced to conform changes, if adopted, would be desirable paragraphs (d) and (e) to read as follows: to any recomputed average. Funds in to benefit the industry as soon as reserve shall be available for use by the possible. All written comments timely § 987.31 [Amended] Committee for expenses authorized received will be considered, and a * * * * * pursuant to § 987.71. grower referendum will be conducted (d) At the discretion of the * * * * * before any of the proposed amendments chairperson, Committee meetings may 7. Amend § 987.82 by revising are implemented. be assembled or conducted by means of paragraph (b)(2), redesignating teleconference, video conference, or List of Subjects in 7 CFR Part 987 paragraph (b)(3) as paragraph (b)(4), and other means of communication that may adding a new paragraph (b)(3) to read as Dates, Marketing agreements, be developed. Assembled meetings may follows: also allow for participation by means of Reporting and recordkeeping § 987.82 [Amended] requirements. teleconference or video conference or other communication methods, at the * * * * * For the reasons set forth in the discretion of the chair. Members (b) * * * preamble, 7 CFR part 987 is proposed to participating in meetings via any of (2) When favored by producers. The be amended as follows: these alternative means retain the same Secretary shall terminate the provisions

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of this part at the end of any crop year Dated: June 6, 2011. https://www.myboeingfleet.com. You whenever he or she finds that such Ellen King, may review copies of the referenced termination is favored by a majority of Acting Administrator, Agricultural Marketing service information at the FAA, the producers of dates who, during that Service. Transport Airplane Directorate, 1601 crop year, have been engaged in the [FR Doc. 2011–14429 Filed 6–13–11; 8:45 am] Lind Avenue, SW., Renton, Washington. production for market of dates in the BILLING CODE 3410–02–P For information on the availability of area of production: Provided, That such this material at the FAA, call 425–227– majority have, during such period, 1221. produced for market more than 50 DEPARTMENT OF TRANSPORTATION Examining the AD Docket percent of the volume of such dates produced for market within said area; Federal Aviation Administration You may examine the AD docket on but such termination shall be effective the Internet at http:// only if announced on or before August 14 CFR Part 39 www.regulations.gov; or in person at the 1 of the then current crop year. Docket Management Facility between [Docket No. FAA–2011–0566; Directorate 9 a.m. and 5 p.m., Monday through Identifier 2010–NM–271–AD] (3) Continuance referendum. The Friday, except Federal holidays. The AD Secretary shall conduct a referendum RIN 2120–AA64 docket contains this proposed AD, the six years after the effective date of this regulatory evaluation, any comments section and every sixth year thereafter to Airworthiness Directives; The Boeing received, and other information. The ascertain whether continuance of this Company Model 747–100, 747–100B, street address for the Docket Office part is favored by producers. The 747–100B SUD, 747–200B, 747–200C, (phone: 800–647–5527) is in the Secretary may terminate the provisions 747–200F, 747–300, 747–400, 747– ADDRESSES section. Comments will be of this part at the end of any crop year 400D, 747–400F, 747SR, and 747SP available in the AD docket shortly after in which he or she has found that Series Airplanes receipt. continuance of this part is not favored FOR FURTHER INFORMATION CONTACT: by producers who, during a AGENCY: Federal Aviation Tung Tran, Aerospace Engineer, representative period determined by the Administration (FAA), DOT. Propulsion Branch, ANM–140S, Seattle Secretary, have been engaged in the ACTION: Notice of proposed rulemaking Aircraft Certification Office (ACO), production for market of dates in the (NPRM). FAA, 1601 Lind Avenue, SW., Renton, production area. SUMMARY: We propose to adopt a new Washington 98057–3356; phone: 425– * * * * * airworthiness directive (AD) for the 917–6505; fax: 425–917–6590; e-mail: 8. Revise § 987.124(a) to read as products listed above. This proposed [email protected]. follows: AD would require modification of the SUPPLEMENTARY INFORMATION: fluid drain path in the leading edge area § 987.124 Nomination and polling. of the wing. This proposed AD was Comments Invited (a) Date producers and producer- prompted by a design review following We invite you to send any written handlers shall be provided an a ground fire incident and reports of relevant data, views, or arguments about opportunity to nominate and vote for flammable fluid leaks from the wing this proposal. Send your comments to individuals to serve on the Committee. leading edge area onto the engine an address listed under the ADDRESSES For this purpose, the Committee shall, exhaust area. We are proposing this AD section. Include ‘‘Docket No. FAA– no later than June 15 of every third year, to prevent flammable fluid from leaking 2011–0566; Directorate Identifier 2010– provide date producers and producer- onto the engine exhaust nozzle, which NM–271–AD’’ at the beginning of your handlers nomination and balloting could result in a fire. comments. We specifically invite material by mail or equivalent electronic DATES: We must receive comments on comments on the overall regulatory, means, upon which producers and this proposed AD by July 29, 2011. economic, environmental, and energy producer-handlers may nominate ADDRESSES: You may send comments by aspects of this proposed AD. We will candidates and cast their votes for any of the following methods: consider all comments received by the members and alternate members of the • Federal eRulemaking Portal: Go to closing date and may amend this Committee in accordance with the http://www.regulations.gov. Follow the proposed AD because of those requirements in paragraphs (b)(1) and instructions for submitting comments. comments. • (b)(2) of this section, respectively. All Fax: 202–493–2251. We will post all comments we • ballots are subject to verification. Mail: U.S. Department of receive, without change, to http:// Balloting material should be provided to Transportation, Docket Operations, M– www.regulations.gov, including any voters at least two weeks before the due 30, West Building Ground Floor, Room personal information you provide. We date and should contain, at least, the W12–140, 1200 New Jersey Avenue, SE., will also post a report summarizing each following information: Washington, DC 20590. substantive verbal contact we receive • Hand Delivery: Deliver to Mail about this proposed AD. (1) The names of incumbents who are address above between 9 a.m. and willing and eligible to continue to serve 5 p.m., Monday through Friday, except Discussion on the Committee; Federal holidays. We have received a report of fuel (2) The names of other persons For service information identified in leaking from the wing leading edge area willing and eligible to serve; this proposed AD, contact Boeing at the inboard end of the number 5 (3) Instructions on how voters may Commercial Airplanes, Attention: Data leading edge slat of a Model 737 add write-in candidates; & Services Management, P.O. Box 3707, airplane. The leak was discovered MC 2H–65, Seattle, Washington 98124– during a post-flight inspection with a (4) The date on which the ballot is 2207; phone: 206–544–5000, extension fuel quantity of over 2,500 pounds. due to the Committee or its agent; and 1; fax: 206–766–5680; e-mail: Subsequent investigation found that the (5) How and where to return ballots. [email protected]; Internet: leak occurred in an area of the front spar

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that does not have a proper drain path. Relevant Service Information fluid dam assemblies at wing inboard This led to the fuel draining onto the leading edge station 770. We reviewed Boeing Special engine exhaust nozzle. The leak appears Attention Service Bulletin 747–57– FAA’s Determination to have been caused by a loose retaining 2332, dated November 9, 2010. This nut of the slat track down stop. We are We are proposing this AD because we service information divides the affected evaluated all the relevant information proposing this AD to prevent flammable airplanes into 10 groups. For all groups, fluid from leaking onto the engine and determined the unsafe condition this service information describes described previously is likely to exist or exhaust nozzle, which could result in a procedures for modifying the fluid drain fire. develop in other products of the same path in the leading edge area of the type design. A Model 747 design review revealed wing. The modification consists of that some of the design features in the changing fluid dam assemblies at the Proposed AD Requirements Model 737 wing leading edge area also wing outboard leading edge station This proposed AD would require exist in Model 747 airplanes. Additional (OLES) 1250, and installing seal accomplishing the actions specified in design reviews have led to similar assemblies at OLES 1185. Additionally, the service information described findings in Model 757 and Model 767 this service information specifies previously. airplanes. We have issued AD 2010–23– changing the lower leading edge wing 13 Amendment 39–16502 (75 FR 68688, panels through repairs, parts Costs of Compliance November 9, 2009), for Model 757 installation, and installing drain tube We estimate that this proposed AD airplanes, and are considering assemblies. will affect 258 airplanes of U.S. registry. rulemaking for Model 737 and Model For Groups 1 through 6, this service We estimate the following costs to 767 airplanes. information also specifies installing comply with this proposed AD:

ESTIMATED COSTS

Cost on U.S. Action Labor cost Parts cost Cost per product operators

Fluid drainage modification (Groups 1–6) 95 work-hours × $85 per hour = $8,075 $33,609 $41,684 $5,960,812 (143 airplanes). Fluid drainage modification (Groups 7–10) 90 work-hours × $85 per hour = $7,650 29,304 36,954 4,249,710 (115 airplanes).

According to the manufacturer, some Regulatory Findings the FAA proposes to amend 14 CFR part of the costs of this proposed AD may be We determined that this proposed AD 39 as follows: covered under warranty, thereby would not have federalism implications PART 39—AIRWORTHINESS reducing the cost impact on affected under Executive Order 13132. This DIRECTIVES individuals. We do not control warranty proposed AD would not have a coverage for affected individuals. As a substantial direct effect on the States, on 1. The authority citation for part 39 result, we have included all costs in our the relationship between the national continues to read as follows: cost estimate. Government and the States, or on the Authority: 49 U.S.C. 106(g), 40113, 44701. Authority for This Rulemaking distribution of power and responsibilities among the various § 39.13 [Amended] Title 49 of the United States Code levels of government. specifies the FAA’s authority to issue For the reasons discussed above, I 2. The FAA amends § 39.13 by adding rules on aviation safety. Subtitle I, certify this proposed regulation: the following new airworthiness section 106, describes the authority of (1) Is not a ‘‘significant regulatory directive (AD): action’’ under Executive Order 12866, the FAA Administrator. Subtitle VII: The Boeing Company: Docket No. FAA– (2) Is not a ‘‘significant rule’’ under Aviation Programs, describes in more 2011–0566; Directorate Identifier 2010– the DOT Regulatory Policies and detail the scope of the Agency’s NM–271–AD. authority. Procedures (44 FR 11034, February 26, 1979), Comments Due Date We are issuing this rulemaking under (3) Will not affect intrastate aviation (a) We must receive comments by July 29, the authority described in Subtitle VII, in Alaska, and 2011. Part A, Subpart III, Section 44701: (4) Will not have a significant ‘‘General requirements.’’ Under that economic impact, positive or negative, Affected ADs section, Congress charges the FAA with on a substantial number of small entities (b) None. promoting safe flight of civil aircraft in under the criteria of the Regulatory Applicability air commerce by prescribing regulations Flexibility Act. for practices, methods, and procedures (c) This AD applies to The Boeing List of Subjects in 14 CFR Part 39 the Administrator finds necessary for Company Model 747–100, 747–100B, 747– safety in air commerce. This regulation Air transportation, Aircraft, Aviation 100B SUD, 747–200B, 747–200C, 747–200F, is within the scope of that authority safety, Incorporation by reference, 747–300, 747–400, 747–400D, 747–400F, 747SR, and 747SP series airplanes, because it addresses an unsafe condition Safety. certificated in any category, as identified in that is likely to exist or develop on The Proposed Amendment Boeing Special Attention Service Bulletin products identified in this rulemaking Accordingly, under the authority 747–57–2332, dated November 9, 2010. action. delegated to me by the Administrator,

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Subject Issued in Renton, Washington, on June 7, supporting the views and suggestions (d) Joint Aircraft System Component 2011. presented are particularly helpful in (JASC)/Air Transport Association (ATA) of Ali Bahrami, developing reasoned regulatory America Code 57: Wings. Manager, Transport Airplane Directorate, decisions on the proposal. Comments Aircraft Certification Service. are specifically invited on the overall Unsafe Condition [FR Doc. 2011–14697 Filed 6–13–11; 8:45 am] regulatory, aeronautical, economic, (e) This AD was prompted by a design BILLING CODE 4910–13–P environmental, and energy-related review following a ground fire incident and aspects of the proposal. reports of flammable fluid leaks from the Communications should identify both wing leading edge area onto the engine DEPARTMENT OF TRANSPORTATION docket numbers (FAA Docket No. FAA– exhaust area. We are issuing this AD to 2011–0458 and Airspace Docket No. 11– prevent flammable fluid from leaking onto Federal Aviation Administration AAL–6) and be submitted in triplicate to the engine exhaust nozzle, which could the Docket Management Facility (see result in a fire. 14 CFR Part 71 ADDRESSES section for address and Compliance [Docket No. FAA–2011–0458; Airspace phone number). You may also submit (f) Comply with this AD within the Docket No. 11–AAL–6] comments through the Internet at http://www.regulations.gov. compliance times specified, unless already RIN 2120–AA66 done. Commenters wishing the FAA to acknowledge receipt of their comments Proposed Modification of Offshore Leading Edge Installation on this action must submit with those Airspace Areas: Norton Sound Low, comments a self-addressed, stamped (g) Within 60 months after the effective Control 1234L and Control 1487L; postcard on which the following date of this AD, modify the fluid drain path Alaska in the leading edge area of the wing, in statement is made: ‘‘Comments to FAA accordance with the Accomplishment AGENCY: Federal Aviation Docket No. FAA–2011–0458 and Instructions of Boeing Special Attention Administration (FAA), DOT. Airspace Docket No. 11–AAL–6.’’ The Service Bulletin 747–57–2332, dated ACTION: Notice of proposed rulemaking. postcard will be date/time stamped and November 9, 2010. returned to the commenter. All SUMMARY: communications received on or before Alternative Methods of Compliance This action proposes to (AMOCs) modify the Norton Sound Low, Control the specified closing date for comments 1234L, and Control 1487L Offshore will be considered before taking action (h)(1) The Manager, Seattle Aircraft Airspace Areas in Alaska. The airspace on the proposed rule. The proposal Certification Office, FAA, has the authority to floors would be lowered to provide contained in this action may be changed approve AMOCs for this AD, if requested controlled airspace beyond 12 miles in light of comments received. All using the procedures found in 14 CFR 39.19. comments submitted will be available In accordance with 14 CFR 39.19, send your from the coast of the United States given for examination in the public docket request to your principal inspector or local that there is a requirement to provide both before and after the closing date for Flight Standards District Office, as Instrument Flight Rules (IFR) en route appropriate. If sending information directly Air Traffic Control (ATC) services and comments. A report summarizing each to the manager of the ACO, send it to the within which the United States is substantive public contact with FAA attention of the person identified in the applying domestic ATC procedures. personnel concerned with this Related Information section of this AD. DATES: Comments must be received on rulemaking will be filed in the docket. Information may be e-mailed to: 9-ANM- or before July 29, 2011. Availability of NPRMs [email protected]. ADDRESSES: Send comments on this (2) Before using any approved AMOC, An electronic copy of this document proposal to the U.S. Department of may be downloaded through the notify your appropriate principal inspector, Transportation, Docket Operations, M– or lacking a principal inspector, the manager Internet at http://www.regulations.gov. 30, 1200 New Jersey Avenue, SE., West Recently published rulemaking of the local flight standards district office/ Building Ground Floor, Room W12–140, certificate holding district office. documents can also be accessed through Washington, DC 20590–0001; telephone: the FAA’s Web page at http:// Related Information (202) 366–9826. You must identify FAA www.faa.gov/air_traffic/publications/ (i) For more information about this AD, Docket No. FAA–2011–0458 and airspace_amendments/. contact Tung Tran, Aerospace Engineer, Airspace Docket No. 11–AAL–6 at the You may review the public docket Propulsion Branch, ANM–140S, Seattle beginning of your comments. You may containing the proposal, any comments Aircraft Certification Office (ACO), FAA, also submit comments through the received and any final disposition in 1601 Lind Avenue, SW., Renton, Washington Internet at http://www.regulations.gov. person in the Dockets Office (see 98057–3356; phone: 425–917–6505; fax: 425– FOR FURTHER INFORMATION CONTACT: Ken ADDRESSES section for address and 917–6590; e-mail: [email protected]. McElroy, Airspace, Regulations and phone number) between 9 a.m. and (j) For service information identified in this ATC Procedures Group, Office of 5 p.m., Monday through Friday, except AD, contact Boeing Commercial Airplanes, Airspace Services, Federal Aviation Federal holidays. An informal docket Attention: Data & Services Management, P.O. Administration, 800 Independence Box 3707, MC 2H–65, Seattle, Washington may also be examined during normal Avenue, SW., Washington, DC 20591; 98124–2207; phone: 206–544–5000, business hours at the office of the extension 1; fax: 206–766–5680; e-mail: telephone: (202) 267–8783. Alaskan Service Center, Operations [email protected]; Internet: https:// SUPPLEMENTARY INFORMATION: Support Group, Federal Aviation Administration, 222 West 7th Avenue, www.myboeingfleet.com. You may review Comments Invited copies of the referenced service information Box 14, Anchorage, AK 99513. at the FAA, Transport Airplane Directorate, Interested parties are invited to Persons interested in being placed on 1601 Lind Avenue, SW., Renton, participate in this proposed rulemaking a mailing list for future NPRMs should Washington. For information on the by submitting such written data, views, contact the FAA’s Office of Rulemaking, availability of this material at the FAA, call or arguments as they may desire. (202) 267–9677, for a copy of Advisory 425–227–1221. Comments that provide the factual basis Circular No. 11–2A, Notice of Proposed

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Rulemaking Distribution System, which procedures and air navigation, it is of a contracting state, derived from describes the application procedure. certified that this proposed rule, when ICAO. Annex 11 provisions apply when promulgated, will not have a significant air traffic services are provided and a The Proposal economic impact on a substantial contracting state accepts the The FAA is proposing an amendment number of small entities under the responsibility of providing air traffic to Title 14 Code of Federal Regulations criteria of the Regulatory Flexibility Act. services over high seas or in airspace of (14 CFR) part 71 to modify the Norton The FAA’s authority to issue rules undetermined sovereignty. A Sound Low, Control 1234L, and Control regarding aviation safety is found in contracting state accepting this 1487L Offshore Airspace Areas in Title 49 of the United States Code. responsibility may apply the Alaska. The Norton Sound Low Subtitle I, section 106 describes the International Standards and Offshore Airspace Area would be authority of the FAA Administrator. Recommended Practices that are modified by lowering the offshore Subtitle VII, Aviation Programs, consistent with standards and practices airspace floor to 1,200 feet mean sea describes in more detail the scope of the utilized in its domestic jurisdiction. level (MSL) within a 73-mile radius of agency’s authority. In accordance with Article 3 of the Port Clarence CGS Airport, excluding This rulemaking is promulgated Convention, state-owned aircraft are that airspace west of a line extending under the authority described in subtitle exempt from the Standards and ° ′ ″ ° ′ ″ from lat. 64 48 20 N., long. 169 31 27 VII, part A, subpart I, section 40103. Recommended Practices of Annex 11. W., to lat. 65°00′00″ N., long. 168°58′23″ Under that section, the FAA is charged ° ′ ″ ° ′ ″ The United States is a contracting state W., to lat. 66 05 44 N., long. 168 58 23 with prescribing regulations to assign to the Convention. Article 3(d) of the W.; and within 73 miles of the Savoonga the use of the airspace necessary to Convention provides that participating Airport excluding that airspace west of ensure the safety of aircraft and the state aircraft will be operated in a line from lat. 68°00′00″ N., long. efficient use of airspace. This regulation ° ′ ″ ° ′ ″ international airspace with due regard 168 58 23 W., to lat. 65 00 00 N., long. is within the scope of that authority as for the safety of civil aircraft. Since this 168°58′23″ W., to lat. 62°35′00″ N., long. it modifies offshore airspace areas in ° ′ ″ action involves, in part, the designation 175 00 00 W.; and within 73 miles of Alaska. of navigable airspace outside the United Platinum Airport excluding that Environmental Review States, the Administrator is consulting airspace west of a line from lat. with the Secretary of State and the 59°59′57″ N., long. 168°00′08″ W., to lat. The FAA has determined that this ° ′ ″ ° ′ ″ Secretary of Defense in accordance with 57 45 57 N., long. 161 46 08 W. action qualifies for categorical exclusion the provisions of Executive Order The Offshore Airspace Area Control under the National Environmental 10854. 1234L would be modified by lowering Policy Act in accordance with FAA the offshore airspace floor to 1,200 feet Order 1050.1E, Environmental Impacts: List of Subjects in 14 CFR Part 71 above the surface within a 10-mile Policies and Procedures, paragraph Airspace, Incorporation by reference, radius of the Casco Cove CGS Airport. 311a. This airspace action is not Navigation (air). Additionally, Control 1234L would be expected to cause any potentially further modified by lowering the significant environmental impacts, and The Proposed Amendment offshore airspace floor to 700 feet above no extraordinary circumstances exist In consideration of the foregoing, the the surface within an 8-mile radius of that warrant preparation of an Federal Aviation Administration St. Paul Island Airport, St. Paul Island, environmental assessment. proposes to amend 14 CFR part 71 as AK. follows: Control 1487L would be modified by ICAO Considerations lowering the offshore airspace floor to As part of this proposal relates to PART 71—DESIGNATION OF CLASS A, 1,200 feet above the surface within 75 navigable airspace outside the United B, C, D AND E AIRSPACE AREAS; AIR miles of the Yakutat VOR/DME. States, this notice is submitted in TRAFFIC SERVICE ROUTES; AND Offshore airspace areas are published accordance with the International Civil REPORTING POINTS in paragraph 2003 of FAA Order Aviation Organization (ICAO) 7400.9U dated August 18, 2010 and International Standards and 1. The authority citation for part 71 effective September 15, 2010, which is Recommended Practices. continues to read as follows: incorporated by reference in 14 CFR The application of International Authority: 49 U.S.C. 106(g), 40103, 40113, 71.1. The offshore airspace areas listed Standards and Recommended Practices 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– in this document will be published by the FAA, Office of Airspace Services, 1963 Comp., p. 389. subsequently in the Order. Airspace, Regulations and ATC The FAA has determined that this Procedures Group, in areas outside the § 71.1 [Amended] proposed regulation only involves an United States domestic airspace, is 2. The incorporation by reference in established body of technical governed by the Convention on 14 CFR 71.1 of FAA Order 7400.9U, regulations for which frequent and International Civil Aviation. Airspace Designations and Reporting routine amendments are necessary to Specifically, the FAA is governed by Points, dated August 18, 2010, and keep them operationally current. Article 12 and Annex 11, which pertain effective September 15, 2010, is Therefore, this proposed regulation: (1) to the establishment of necessary air amended as follows: Is not a ‘‘significant regulatory action’’ navigational facilities and services to under Executive Order 12866; (2) is not promote the safe, orderly, and Paragraph 6007—Offshore Airspace Areas a ‘‘significant rule’’ under Department of expeditious flow of civil air traffic. The * * * * * Transportation (DOT) Regulatory purpose of Article 12 and Annex 11 is Norton Sound Low, AK [Amended] Policies and Procedures (44 FR 11034; to ensure that civil aircraft operations That airspace extending upward from February 26, 1979); and (3) does not on international air routes are 14,500 feet MSL within an area bounded by warrant preparation of a regulatory performed under uniform conditions. a line beginning at lat. 56°42′59″ N., long. evaluation as the anticipated impact is The International Standards and 160°00′00″ W., then north by a line 12 miles so minimal. Since this is a routine Recommended Practices in Annex 11 from and parallel to the U.S. coastline to the matter that will only affect air traffic apply to airspace under the jurisdiction intersection with 164°00′00″ W. longitude

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near the outlet to Kotzebue Sound, then bounded by a line beginning at lat. 58°06′57″ of the 324° bearing from Borland NDB/DME, north to the intersection with a point 12 N., long. 160°00′00″ W., then south along AK, extending from the 6.4-mile radius of miles from the U.S. coastline, then north by 160°00′00″ W. longitude until it intersects the Sand Point Airport, AK, to 17 miles a line 12 miles from and parallel to the Anchorage Air Route Traffic Control Center northwest of Sand Point Airport, AK, and shoreline to lat. 68°00′00″ N., long. (ARTCC) boundary; then southwest, ° ′ ″ ° ′ ″ within a 6.6-mile radius of St. George 168 58 23 W., to lat. 65 00 00 N., long. northwest, north, and northeast along Airport, AK, and within an 8-mile radius of 168°58′23″ W., to lat. 62°35′00″ N., long. Anchorage ARTCC boundary to lat. 62°35′00″ St. Paul Island Airport, AK, and within a 6.4- 175°00′00″ W., to lat. 59°59′57″ N., long. N., long. 175°00′00″ W., to lat. 59°59′57″ N., 168°00′08″ W., to lat. 57°45′57″ N., long. ° ′ ″ ° ′ ″ mile radius of Unalaska Airport, AK, and long. 168 00 08 W., to lat. 57 45 57 N., ° 161°46′08″ W., to lat. 58°06′57″ N., long. long. 161°46′08″ W., to the point of within 2.9 miles each side of the 360 bearing 160°00′00″ W., to the point of beginning; and beginning; and that airspace extending from the Dutch Harbor NDB, AK, extending that airspace extending upward from 1,200 upward from 1,200 feet above the surface from the 6.4-mile radius of Unalaska Airport, feet MSL north of the Alaska Peninsula and within a 10-mile radius of Casco Cove CGS AK, to 9.5 miles north of Unalaska Airport, east of 160° W. longitude within 73 miles of Airport, AK, and within a 26.2-mile radius of AK; and that airspace extending upward from Port Heiden NDB/DME, AK, and north of the Eareckson Air Station, AK, within an 11-mile the surface within a 4.6-mile radius of Cold ° Alaska Peninsula and east of 160 W. radius of Adak Airport, AK, and within 16 Bay Airport, AK, and within 1.7 miles each longitude within an 81.2-mile radius of miles of Adak Airport, AK, extending side of the 150° bearing from Cold Bay ° ° Perryville Airport, AK, and north of the clockwise from the 033 bearing to the 081 Airport, AK, extending from the 4.6-mile Alaska Peninsula and east of 160° W. bearing from Mount Moffett NDB, AK, and radius to 7.7 miles southeast of Cold Bay longitude within a 72.8-mile radius of within a 10-mile radius of Atka Airport, AK, Airport, AK, and within 3 miles west and 4 Chignik Airport, AK, and within a 35-mile and within a 10.6-mile radius from Cold Bay ° ′ ″ ° ′ ″ miles east of the 335° bearing from Cold Bay radius of lat. 60 21 17 N., long. 165 04 01 Airport, AK, and within 9 miles east and 4.3 W., and within a 73-mile radius of Chevak miles west of the 321° bearing from Cold Bay Airport, AK, extending from the 4.6-mile Airport, AK, and within a 73-mile radius of Airport, AK, extending from the 10.6-mile radius to 12.2 miles northwest of Cold Bay Clarks Point Airport, AK, and within a 73- radius to 20 miles northwest of Cold Bay Airport, AK. mile radius of Elim Airport, AK, and within Airport, AK, and 4 miles each side of the * * * * * a 45-mile radius of Hooper Bay Airport, AK, 070° bearing from Cold Bay Airport, AK, and within a 73-mile radius of King Salmon extending from the 10.6-mile radius to 13.6 Control 1487L, Alaska [Amended] Airport, AK, and that airspace within a 73- miles northeast of Cold Bay Airport, AK, and That airspace extending upward from mile radius of Platinum Airport, AK, within a 26.2-mile radius of Eareckson Air 8,000 feet MSL within 149.5 miles of the excluding that portion of the airspace Station, AK, and west of 160° W. longitude extending west of a line from lat. 59°59′57″ Anchorage VOR/DME clockwise from the within an 81.2-mile radius of Perryville ° ° N., long. 168°00′08″ W., to lat 57°45′57″ N., 090 radial to the 185 radial of the Airport, AK, and within a 73-mile radius of long. 161°46′08″ W., and within a 73-mile Anchorage VOR/DME, AK; and that airspace the Nikolski Airport, AK, within a 74-mile radius of Kivalina Airport, AK, and within a extending upward from 5,500 feet MSL radius of Manokotak Airport, AK, and within 74-mile radius of Kotzebue VOR/DME, AK, within the area bounded by a line beginning a 73-mile radius of the Clarks Point Airport, and within a 73-mile radius of Kwethluk at lat. 58°19′58″ N., long. 148°55′07″ W., to AK, and west of 160° W. longitude within a Airport, AK, and within a 74-mile radius of lat. 59°08′35″ N., long. 147°16′04″ W., thence Manokotak Airport, AK, and within a 73-mile 73-mile radius of Port Heiden NDB/DME, AK, and within a 10-mile radius of St. George counterclockwise via the 149.5-mile radius of radius of Napakiak Airport, AK, and within the Anchorage VOR/DME, AK, to the a 77.4-mile radius of Nome VORTAC, AK, Airport, AK, and within a 73-mile radius of St. Paul Island Airport, AK, and within a 20- intersection with a point 12 miles from and and within a 73-mile radius of Savoonga parallel to the U.S. coastline, thence Airport, AK, excluding that airspace west of mile radius of Unalaska Airport, AK, ° southeast 12 miles from and parallel to the a line from lat. 68°00′00″ N., long. 168°58′23″ extending clockwise from the 305 bearing ° W.; to lat. 65°00′00″ N., long. 168°58′23″ W., from Dutch Harbor NDB, AK, to the 075 U.S. coastline to a point 12 miles offshore on to lat. 62°35′00″ N., long. 175°00′00″ W., and bearing from Dutch Harbor NDB, AK, and the Vancouver FIR boundary, to lat. ° ′ ″ ° ′ ″ within a 71NM radius of New Stuyahok west of 160° W. longitude within a 25-mile 54 32 57 N., long. 133 11 29 W., to lat. Airport, AK, and within a 73-mile radius of radius of Borland NDB/DME, AK, and west 54°00′00″ N., long. 136°00′00″ W., to lat. Noatak Airport, AK, and within a 72.5-mile of 160° W. longitude within a 72.8-mile 52°43′00″ N., long. 135°00′00″ W., to lat radius of Red Dog Airport, AK, and within radius of Chignik Airport, AK; and that 56°45′42″ N., long. 151°45′00″ W., to the a 73-mile radius of Scammon Bay Airport, airspace extending upward from 700 feet point of beginning; and that airspace AK, and within a 73-mile radius of above the surface within a 6.9-mile radius of extending upward from 1,200 feet MSL Shaktoolik Airport, AK, and within a 74-mile Eareckson Air Station, AK, and within a 7- within an 85-mile radius of the Biorka Island radius of Selawik Airport, AK, and within a mile radius of Adak Airport, AK, and within VORTAC, AK, and within a 43-mile radius of 73-mile radius of St. Michael Airport, AK, 5.2 miles northwest and 4.2 miles southeast ° the Middleton Island VOR/DME, AK, and and within a 73-mile radius of Toksook Bay of the 061 bearing from Mount Moffett NDB, within a 30-mile radius of the Glacier River Airport, AK, and within a 73-mile radius of AK, extending from the 7-mile radius of NDB, AK, and within a 149.5-mile radius of Port Clarence CGS Airport, AK excluding Adak Airport, AK, to 11.5 miles northeast of the Anchorage VOR/DME, AK, and within that airspace west of a line extending from Adak Airport, AK, and within a 6.5-mile lat. 64°48′20″ N., long. 169°31′27″ W., to lat. radius of King Cove Airport, and extending the 73-mile radius of Homer Airport, AK, and 65°00′00″ N., long. 168°58′23″ W., to 1.2 miles either side of the 103° bearing from within a 75-mile radius of the Yakutat VOR/ 66°05′44″ N., to long. 168°58′23″ W., and King Cove Airport from the 6.5-mile radius DME, AK, and that airspace extending within a 30-mile radius of lat. 66°09′58″ N., out to 8.8 miles, and within a 6.4-mile radius upward from 700 feet MSL within 14 miles long. 166°30′03″ W., and within a 30-mile of Atka Airport, AK, and within a 6.3-mile of the Biorka Island VORTAC, AK, and radius of lat. 66°19′55″ N., long. 165°40′32″ radius of Nelson Lagoon Airport, AK, and within 4 miles west and 8 miles east of the W.; and that airspace extending upward from within a 6.3-mile radius of the Nikolski Biorka Island VORTAC 209° radial extending 700 feet MSL within 8-miles west and 4- Airport, AK, and within a 6.4-mile radius of to 16 miles southwest of the Biorka Island miles east of the 339° bearing from Port Sand Point Airport, AK, and within 3 miles VORTAC, AK. Heiden NDB/DME, AK, extending from Port ° each side of the 172 bearing from Borland * * * * * Heiden NDB/DME, AK, to 20-miles north of NDB/DME, AK, extending from the 6.4-mile Port Heiden NDB/DME, AK, and within a 25- radius of Sand Point Airport, AK, to 13.9 Issued in Washington, DC, on June 6, 2011. mile radius of Nome Airport, AK. miles south of Sand Point Airport, AK, and Gary A. Norek, within 5 miles either side of the 318° bearing * * * * * Acting Manager, Airspace, Regulations and from Borland NDB/DME, AK, extending from ATC Procedures Group. Control 1234L, AK [Amended] the 6.4-mile radius of Sand Point Airport, That airspace extending upward from AK, to 17 miles northwest of Sand Point [FR Doc. 2011–14715 Filed 6–13–11; 8:45 am] 2,000 feet above the surface within an area Airport, AK, and within 5 miles either side BILLING CODE 4910–13–P

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ENVIRONMENTAL PROTECTION Environmental Protection Agency, EPA www.regulations.gov or in hard copy at AGENCY New England Regional Office, Office of the Office of Ecosystem Protection, U.S. Ecosystem Protection, Air Permits, Environmental Protection Agency, EPA 40 CFR Part 52 Toxics, and Indoor Programs Unit, 5 New England Regional Office, Office of [EPA–R01–OAR–2011–0346, FRL–9318–6] Post Office Square—Suite 100, (mail Ecosystem Protection, Air Permits, code OEP05–2), Boston, MA 02109– Toxics, and Indoor Programs Unit, 5 Approval and Promulgation of 3912. Such deliveries are only accepted Post Office Square—Suite 100, Boston, Implementation Plans; New during the Regional Office’s normal Massachusetts. EPA requests that if at Hampshire: Prevention of Significant hours of operation. The Regional all possible, you contact the person Deterioration; Greenhouse Gas Office’s official hours of business are listed in the FOR FURTHER INFORMATION Permitting Authority and Tailoring Rule Monday through Friday, 8:30 a.m. to CONTACT section to schedule your 4:30 p.m., excluding legal holidays. inspection. The Regional Office’s AGENCY: Environmental Protection Instructions: Direct your comments to official hours of business are Monday Agency (EPA). Docket ID No. ‘‘EPA–R01–OAR–2011– through Friday, 8:30 a.m. to 4:30 p.m., ACTION: Proposed rule. 0346.’’ EPA’s policy is that all excluding Federal holidays. comments received will be included in FOR FURTHER INFORMATION CONTACT: For SUMMARY: EPA is proposing to approve the public docket without change and a requested revision to New information regarding the New may be made available online at Hampshire SIP, contact Donald Dahl, Hampshire’s State Implementation Plan http://www.regulations.gov, including (SIP) under the Clean Air Act (CAA or U.S. Environmental Protection Agency, any personal information provided, EPA New England Regional Office, Act). The proposed SIP revision was unless the comment includes submitted by New Hampshire, through Office of Ecosystem Protection, Air information claimed to be Confidential Permits, Toxics, and Indoor Programs the New Hampshire Department of Business Information (CBI) or other Unit, 5 Post Office Square—Suite 100, Environmental Services (NH DES), Air information whose disclosure is (mail code OEP05–2), Boston, MA Resources Division, to EPA on February restricted by statute. Do not submit 02109—3912. Mr. Dahl’s telephone 7, 2011. The proposed SIP revision through http://www.regulations.gov or number is (617) 918–1657; e-mail modifies New Hampshire’s Prevention e-mail, information that you consider to address: [email protected]. of Significant Deterioration (PSD) be CBI or otherwise protected. The program to establish appropriate http://www.regulations.gov Web site is SUPPLEMENTARY INFORMATION: emission thresholds for determining an ‘‘anonymous access’’ system, which Table of Contents which new stationary sources and means EPA will not know your identity modification projects become subject to or contact information unless you I. What action is EPA proposing in this New Hampshire’s PSD permitting document? provide it in the body of your comment. II. What is the background for the action requirements for their greenhouse gas If you send an e-mail comment directly (GHG) emissions. This rule clarifies the proposed by EPA in this document? to EPA without going through http:// A. GHG-Related Actions applicable thresholds in the New www.regulations.gov, your e-mail B. New Hampshire’s Actions Hampshire SIP, addresses the flaw address will be automatically captured III. What is EPA’s analysis of New discussed in the SIP Narrowing Rule, and included as part of the comment Hampshire’s SIP revision? and incorporates state rule changes that is placed in the public docket and IV. Proposed Action adopted at the state level into the made available on the Internet. If you V. Statutory and Executive Order Reviews Federally-approved SIP. EPA is submit an electronic comment, EPA I. What action is EPA proposing in this proposing approval of New Hampshire’s recommends that you include your document? February 7, 2011, SIP revision because name and other contact information in the Agency has made the preliminary the body of your comment and with any On February 7, 2011, NH DES determination that this SIP revision is in disk or CD–ROM you submit. If EPA submitted a revision to EPA for accordance with the CAA and EPA cannot read your comment due to approval into the New Hampshire SIP to regulations regarding PSD permitting for technical difficulties and cannot contact establish appropriate emission GHGs. you for clarification, EPA may not be thresholds for determining which new DATES: Comments must be received on able to consider your comment. or modified stationary sources become or before July 14, 2011. Electronic files should avoid the use of subject to New Hampshire’s PSD ADDRESSES: Submit your comments, special characters, any form of permitting requirements for GHG identified by Docket ID No. EPA–R01– encryption, and be free of any defects or emissions. Due to a previous EPA action OAR–2011–0346, by one of the viruses. For additional information known as the SIP Narrowing Rule, following methods: about EPA’s public docket visit the EPA starting on January 2, 2011, the 1. http://www.regulations.gov: Follow Docket Center homepage at http:// approved New Hampshire SIP’s PSD the on-line instructions for submitting www.epa.gov/epahome/dockets.htm. requirements for GHG now apply at the comments. Docket: All documents in the thresholds specified in the Tailoring 2. E-mail: [email protected]. electronic docket are listed in the Rule, not at the 100 or 250 tons per year 3. Fax: (617) 918–0657. http://www.regulations.gov index. (tpy) levels otherwise provided under 4. Mail: ‘‘Docket Identification Although listed in the index, some the CAA, which would overwhelm New Number EPA–R01–OAR–2011–0346,’’ information is not publicly available, Hampshire’s permitting resources. Final Donald Dahl, U.S. Environmental i.e., CBI or other information whose approval of this SIP revision request Protection Agency, EPA New England disclosure is restricted by statute. will put in place the GHG emission Regional Office, Office of Ecosystem Certain other material, such as thresholds for PSD applicability set Protection, 5 Post Office Square—Suite copyrighted material, is not placed on forth in EPA’s Tailoring Rule, ensuring 100, (mail code OEP05–2), Boston, MA the Internet and will be publicly that smaller GHG sources emitting less 02109–3912. available only in hard copy form. than these thresholds will not be subject 5. Hand Delivery or Courier: Deliver Publicly available docket materials are to permitting requirements. Pursuant to your comments to: Donald Dahl, U.S. available either electronically in http:// section 110 of the CAA, EPA is

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proposing to approve this revision into approved SIP PSD programs that did not New Hampshire’s current approved SIP the New Hampshire SIP. apply PSD to GHGs, EPA issued a SIP provides the state with authority to call and, for some of these states, a FIP.6 II. What is the background for the regulate GHGs, but only at and above Recognizing that other states had action proposed by EPA in this the Tailoring Rule thresholds; and approved SIP PSD programs that do document? requires new and modified sources to apply PSD to GHGs, but that do so for receive a Federal PSD permit based on This section briefly summarizes EPA’s sources that emit as little as 100 or 250 GHG emissions only if they emit at or recent GHG-related actions that provide tpy of GHG, and that do not limit PSD above the Tailoring Rule thresholds. the background for today’s proposed applicability to GHGs to the higher action. More detailed discussion of the thresholds in the Tailoring Rule, EPA The basis for this proposed SIP background is found in the preambles issued the GHG PSD SIP Narrowing revision is that limiting PSD for those actions. In particular, the Rule. Under that rule, EPA withdrew its applicability to GHG sources to the background is contained in what we call approval of the affected SIPs to the higher thresholds in the Tailoring Rule the GHG PSD SIP Narrowing Rule,1 and extent those SIPs covered GHG-emitting is consistent with the SIP provisions in the preambles to the actions cited sources below the Tailoring Rule that provide required assurances of therein. thresholds. EPA based its action adequate resources, and thereby A. GHG-Related Actions primarily on the ‘‘error correction’’ addresses the flaw in the SIP that led to provisions of CAA section 110(k)(6). the SIP Narrowing Rule. Specifically, EPA has recently undertaken a series CAA section 110(a)(2)(E) includes as a of actions pertaining to the regulation of B. New Hampshire’s Actions requirement for SIP approval that States GHGs that, although for the most part On July 30, 2010, New Hampshire provide ‘‘necessary assurances that the distinct from one another, establish the provided a letter to EPA, in accordance State * * * will have adequate overall framework for today’s final with a request to all States from EPA in personnel [and] funding * * * to carry action on the New Hampshire SIP. Four the Tailoring Rule, with confirmation out such [SIP].’’ In the Tailoring Rule, of these actions include, as they are that the State has the authority to commonly called, the ‘‘Endangerment regulate GHG in its PSD program. The EPA established higher thresholds for Finding’’ and ‘‘Cause or Contribute letter also confirmed that current New PSD applicability to GHG-emitting Finding,’’ which EPA issued in a single Hampshire rules require regulating sources on grounds that the states final action,2 the ‘‘Johnson Memo GHGs at the existing 100/250 tpy generally did not have adequate Reconsideration,’’ 3 the ‘‘Light-Duty threshold, rather than at the higher resources to apply PSD to GHG-emitting Vehicle Rule,’’ 4 and the ‘‘Tailoring thresholds set in the Tailoring Rule. See sources below the Tailoring Rule Rule.’’ 5 Taken together and in the docket for this proposed rulemaking thresholds,8 and no State, including conjunction with the CAA, these actions for a copy of New Hampshire’s letter. New Hampshire, asserted that it did established regulatory requirements for In the SIP Narrowing Rule, published have adequate resources to do so.9 In GHGs emitted from new motor vehicles on December 30, 2010, EPA withdrew the SIP Narrowing Rule, EPA found that and new motor vehicle engines; its approval of New Hampshire’s SIP the affected states, including New determined that such regulations, when (among other SIPs) to the extent that the Hampshire, had a flaw in their SIP at they took effect on January 2, 2011, SIP applies PSD permitting the time they submitted their PSD subjected GHGs emitted from stationary requirements to GHG emissions from programs, which was that the sources to PSD requirements; and sources emitting at levels below those applicability of the PSD programs was limited the applicability of PSD 7 set in the Tailoring Rule. As a result, potentially broader than the resources requirements to GHG sources on a available to them under their SIP.10 phased-in basis. EPA took this last 6 Specifically, by action dated December 13, 2010, Accordingly, for each affected state, action in the Tailoring Rule, which, EPA finalized a ‘‘SIP Call’’ that would require those more specifically, established states with SIPs that have approved PSD programs including New Hampshire, EPA appropriate GHG emission thresholds but do not authorize PSD permitting for GHGs to concluded that EPA’s action in submit a SIP revision providing such authority. approving the SIP was in error, under for determining the applicability of PSD ‘‘Action To Ensure Authority To Issue Permits requirements to GHG-emitting sources. Under the Prevention of Significant Deterioration CAA section 110(k)(6), and EPA PSD is implemented through the SIP Program to Sources of Greenhouse Gas Emissions: rescinded its approval to the extent the system, and so in December 2010, EPA Finding of Substantial Inadequacy and SIP Call,’’ 75 PSD program applies to GHG-emitting FR 77698 (Dec. 13, 2010). EPA has begun making promulgated several rules to implement findings of failure to submit that would apply in sources below the Tailoring Rule the new GHG PSD SIP program. any state unable to submit the required SIP revision thresholds.11 EPA recommended that Recognizing that some states had by its deadline, and finalizing FIPs for such states. States adopt a SIP revision to See, e.g. ‘‘Action To Ensure Authority To Issue incorporate the Tailoring Rule Permits Under the Prevention of Significant 1 ‘‘Limitation of Approval of Prevention of Deterioration Program to Sources of Greenhouse thresholds, thereby (i) assuring that Significant Deterioration Provisions Concerning Gas Emissions: Finding of Failure To Submit State under State law, only sources at or Greenhouse Gas Emitting-Sources in State Implementation Plan Revisions Required for above the Tailoring Rule thresholds Implementation Plans; Final Rule.’’ 75 FR 82536 Greenhouse Gases,’’ 75 FR 81874 (Dec. 29, 2010); (Dec. 30, 2010). ‘‘Action To Ensure Authority To Issue Permits would be subject to PSD; and (ii) 2 ‘‘Endangerment and Cause or Contribute Under the Prevention of Significant Deterioration avoiding confusion under the Federally Findings for Greenhouse Gases Under Section Program to Sources of Greenhouse Gas Emissions: approved SIP by clarifying that the SIP 202(a) of the Clean Air Act.’’ 74 FR 66496 (Dec. 15, Federal Implementation Plan,’’ 75 FR 82246 (Dec. 2009). 30, 2010). Because New Hampshire’s SIP already applies to only sources at or above the 3 ‘‘Interpretation of Regulations that Determine authorizes New Hampshire to regulate GHGs once Tailoring Rule thresholds.12 Pollutants Covered by Clean Air Act Permitting GHGs became subject to PSD requirements on Programs.’’ 75 FR 17004 (Apr. 2, 2010). January 2, 2011, New Hampshire is not subject to 4 ‘‘Light-Duty Vehicle Greenhouse Gas Emission the proposed SIP Call or FIP. 8 Tailoring Rule, 75 FR 31517. Standards and Corporate Average Fuel Economy 7 ‘‘Limitation of Approval of Prevention of 9 SIP Narrowing Rule, 75 FR 82540. Standards; Final Rule.’’ 75 FR 25324 (May 7, 2010). Significant Deterioration Provisions Concerning 10 Id. at 82542. 5 ‘‘Prevention of Significant Deterioration and Greenhouse Gas Emitting-Sources in State Title V Greenhouse Gas Tailoring Rule; Final Rule.’’ Implementation Plans; Final Rule.’’ 75 FR 82536 11 Id. at 82544. 75 FR 31514 (June 3, 2010). (Dec. 30, 2010). 12 Id. at 82540.

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III. What is EPA’s analysis of New manner in which Env–A 619.03(b)–(e) Hampshire’s PSD SIP to not cover the Hampshire’s SIP revision? function. New Hampshire and EPA may applicability of PSD to GHG-emitting The regulatory revisions that NH DES take action on the revision to Env–A sources below the Tailoring Rule submitted on February 7, 2011, establish 619.03(a) in the future. thresholds—is no longer necessary. In thresholds for determining which The changes to New Hampshire’s PSD today’s proposed action, EPA is also stationary sources and modification program regulations that EPA is proposing to amend § 52.1522(c) of 40 projects become subject to permitting proposing to approve are substantively CFR part 52 to remove this unnecessary requirements for GHG emissions under the same as the amendments to the regulatory language. New Hampshire’s PSD program. Federal PSD regulatory provisions in EPA’s Tailoring Rule regarding V. Statutory and Executive Order Specifically, the submittal includes Reviews changes to New Hampshire’s regulations greenhouse gases. As part of its review at Air Resources Division Env–A 101 of this submittal, EPA performed a line- Under the CAA, the Administrator is (Definitions) and Env–A 619 (PSD by-line review of New Hampshire’s required to approve a SIP submission Permit Requirements) that New proposed revision and has preliminarily that complies with the provisions of the Hampshire finalized in December 2010. determined that they are consistent with Clean Air Act and applicable Federal New Hampshire is currently a SIP- the Tailoring Rule. regulations. 42 U.S.C. 7410(k); 40 CFR approved state for the PSD program. In EPA has, however, identified several 52.02(a). Thus, in reviewing SIP a letter provided to EPA on July 30, minor differences between the proposed submissions, EPA’s role is to approve 2010, New Hampshire notified EPA of SIP revision and EPA’s PSD regulations. state choices, provided that they meet its interpretation that the State currently These differences arise from the fact that the criteria of the Clean Air Act. has the authority to regulate GHGs New Hampshire’s PSD SIP consists, in Accordingly, this action merely under its PSD regulations. The the main, of an incorporation by approves state law as meeting Federal currently-approved New Hampshire reference of 40 CFR 52.21 as it stood requirements and does not impose PSD SIP (adopted prior to the when the PSD SIP was approved. For additional requirements beyond those promulgation of EPA’s Tailoring Rule) purposes of regulating greenhouse gases, imposed by state law. For that reason, applies to major stationary sources however, New Hampshire has this action: • (having the potential to emit at least 100 incorporated by reference the Is not a ‘‘significant regulatory tpy or 250 tpy or more of a regulated definitions of ‘‘major stationary source’’ action’’ subject to review by the Office NSR pollutant, depending on the type of and ‘‘significant’’ contained in 40 CFR of Management and Budget under source) or modifications constructing in 52.21(b), July 1, 2009 edition, and the Executive Order 12866 (58 FR 51735, areas designated attainment or definitions of ‘‘subject to regulation’’ October 4, 1993); • unclassifiable with respect to the and ‘‘regulated NSR pollutant’’ Does not impose an information NAAQS. promulgated by EPA in the Tailoring collection burden under the provisions The amendments to Env–A 101 that Rule and codified at 40 CFR of the Paperwork Reduction Act (44 EPA is proposing to approve into the 52.21(b)(49)–(50). These differences and U.S.C. 3501 et seq.); • New Hampshire SIP include: New Env– EPA’s analysis of why they do not affect Is certified as not having a A 101.35, definition of ‘‘Carbon dioxide approvability are explained in a significant economic impact on a equivalent emissions’’; new Env–A memorandum ‘‘Explanation of Two substantial number of small entities 101.96, definition of ‘‘Greenhouse Definitions in New Hampshire’s PSD under the Regulatory Flexibility Act gases’’; an amendment to the definition Regulations.’’ See the docket for this (5 U.S.C. 601 et seq.); • of ‘‘Major source’’ in Env–A 101.115; proposed rulemaking for a copy of the Does not contain any unfunded and certain amendments to Env–A memorandum. mandate or significantly or uniquely affect small governments, as described 619.03, ‘‘PSD Permit Requirements.’’ IV. Proposed Action New Hampshire’s original SIP in the Unfunded Mandates Reform Act revision request to EPA, dated February Pursuant to section 110 of the CAA, of 1995 (Pub. L. 104–4); • 7, 2011, proposed to incorporate all of EPA is proposing to approve New Does not have Federalism the amendments to Env–A 619.03 as Hampshire’s February 7, 2011 SIP implications as specified in Executive part of its SIP revision request. After an revision relating to PSD requirements Order 13132 (64 FR 43255, August 10, exchange of correspondence, on May 16, for GHG-emitting sources. Specifically, 1999); • 2011, New Hampshire withdrew from New Hampshire’s February 7, 2011 SIP Is not an economically significant consideration its recent revisions to revision establishes appropriate regulatory action based on health or Env–A 619.03(a). Thus, EPA is emissions thresholds for determining safety risks subject to Executive Order PSD applicability to new and modified 13045 (62 FR 19885, April 23, 1997); proposing to approve into the SIP Env– • A 619.03(b)–(e) as revised, but, in place GHG-emitting sources in accordance Is not a significant regulatory action of the revised Env–A 619.03(a), to retain with EPA’s Tailoring Rule. EPA has subject to Executive Order 13211 (66 FR its previously-approved predecessor, made the preliminary determination 28355, May 22, 2001); • Is not subject to requirements of which was then numbered as Env–A that this SIP revision is approvable Section 12(d) of the National 623.03(a).13 New Hampshire’s because it is in accordance with the Technology Transfer and Advancement previously-approved PSD regulations CAA and EPA regulations regarding Act of 1995 (15 U.S.C. 272 note) because became effective under state law on July PSD permitting for GHGs. If EPA does approve New application of those requirements would 23, 2001 and were approved by EPA on Hampshire’s changes to its air quality be inconsistent with the Clean Air Act; October 28, 2002 (67 FR 65710). EPA regulations to incorporate the and does not provide EPA with the and New Hampshire agree that relying appropriate thresholds for GHG discretionary authority to address, as on the previously-approved version of permitting applicability into New appropriate, disproportionate human Env–A 619.03(a) does not affect the Hampshire’s SIP, then § 52.1522(c) of 40 health or environmental effects, using practicable and legally permissible 13 Env–A 623 was renumbered to Env–A 619 for CFR part 52, as included in EPA’s SIP reasons unrelated to the Tailoring Rule or this Narrowing Rule—which codifies EPA’s methods, under Executive Order 12898 proposed revision. limiting its approval of New (59 FR 7629, February 16, 1994).

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In addition, this rule does not have II. Summary of Errors correction notice, we correct these Tribal implications as specified by errors. A. Errors in the Preamble Executive Order 13175 (65 FR 67249, B. Errors in the Addendum November 9, 2000), because the SIP is On page 25796, in summarizing our not approved to apply in Indian country proposed changes to the policies and On page 26043, we list Table 2— located in the state, and EPA notes that payment rates for the long-term care Acute Care Hospitals Case-Mix Indexes it will not impose substantial direct hospital (LTCH) prospective payment for Discharges Occurring in Federal costs on Tribal governments or preempt system (PPS), we erroneously stated that Fiscal Year 2010; Proposed Hospital Tribal law. we were proposing a FY 2012 LTCH Wage Indexes for Federal Fiscal Year PPS documentation and coding 2012; Hospital Average Hourly Wages List of Subjects in 40 CFR Part 52 adjustment. Therefore, in section III. of for Federal Fiscal Year 2010 (2006 Wage Environmental protection, Air this correction notice, we correct this. Data), 2011 (2007 Wage Data), and 2012 pollution control, Incorporation by On page 25843, in our discussion of (2008 Wage Data); and 3-Year Average reference, Intergovernmental relations, processing of 25 diagnosis codes and 25 of Hospital Average Hourly Wages as Reporting and recordkeeping procedures codes, we erroneously one of the tables that will be available requirements. included the term ‘‘not’’ in our only through the Internet. The version Authority: 42 U.S.C. 7401 et seq. statement regarding the completion of of Table 2 that was posted via the the expansion and our ability to process Internet on the CMS Web site at the time Dated: June 1, 2011. up to 25 diagnosis codes and 25 the proposed rule was filed for public H. Curtis Spalding, procedures codes. Therefore, in section inspection at the Office of the Federal Regional Administrator, EPA New England. III. of this correction notice, we correct Register inadvertently omitted the wage [FR Doc. 2011–14684 Filed 6–13–11; 8:45 am] this error. indices for multicampus providers. BILLING CODE 6560–50–P On page 25898, we erroneously stated Therefore, we have corrected these that collection for the structural errors and have posted a document with measure we proposed for the FY 2014 corrections to Table 2 on the CMS Web payment determination would begin in site at http://www.cms.hhs.gov/ DEPARTMENT OF HEALTH AND _ HUMAN SERVICES July 2012 with respect to the time AcuteInpatientPPS/01 overview.asp). period January 1, 2012 through June 30, III. Correction of Errors Centers for Medicare & Medicaid 2012, instead of collection to begin in Services April 2013 with respect to the time In FR Doc. 2011–9644 of May 5, 2011 period January 1, 2012 through (76 FR 25788), make the following 42 CFR Parts 412, 413, and 476 December 31, 2012. Therefore, in corrections: 1. On page 25796, second column, section III. of this correction notice, we sixth full paragraph, lines 8 through 11, [CMS–1518–CN] correct these errors. the phrase ‘‘use under the LTCH PPS for On page 25919, in our discussion of RIN 0938–AQ24 FY 2012, the proposed documentation the proposed data submission and coding adjustment under the LTCH requirements for structural measures, Medicare Program; Proposed Changes PPS for FY 2012, and the proposed we included a sentence that contains to the Hospital Inpatient Prospective rebasing and’’ is corrected to read ‘‘use the proposed additional structural Payment Systems for Acute Care under the LTCH PPS for FY 2012 and measure for FY 2014 as well as Hospitals and the Long-Term Care the proposed rebasing and’’. Hospital Prospective Payment System information regarding the proposed 2. On page 25843, third column, first and Fiscal Year 2012 Rates; alignment of the submission deadline full paragraph, line 33 the phrase ‘‘We Corrections for all structural measures without clear have not completed’’ is corrected to read delineation of when the proposed ‘‘We have completed’’. AGENCY: Centers for Medicare & alignment begins. Therefore, we correct 3. On page 25898, first column, first Medicaid Services (CMS), HHS. this error in section III. of this correction paragraph, ACTION: Correction of proposed rule. notice. a. Line 2, the date ‘‘July 2012’’ is On page 25923, we made several corrected to read ‘‘April 2013’’. SUMMARY: This document corrects typographical errors regarding the fiscal b. Line 4, the date ‘‘June 30, 2012’’ is technical and typographical errors in year for which we are proposing to corrected to read ‘‘December 31, 2012’’. the proposed rule entitled ‘‘Medicare change the submission deadline to be 4. On page 25919, second column, Program; Proposed Changes to the used for the Data Accuracy and first full paragraph, lines 4 through 12, Hospital Inpatient Prospective Payment Completeness Acknowledgement. the sentence ‘‘We are proposing to add Systems for Acute Care Hospitals and Therefore, in section III. of this one additional structural measure for the Long-Term Care Hospital correction notice, we correct these the FY 2014 payment determination, Prospective Payment System and Fiscal errors. Participation in a Systematic Clinical Year 2012 Rates’’ which appeared in the On page 25985 and 25989, in our Database Registry for General Surgery, May 5, 2011, Federal Register. discussion of the LTCH quality and to align the submission deadline for FOR FURTHER INFORMATION CONTACT: Tzvi measures, we noted that the National all structural measures with the Hefter, (410) 786–4487. Quality Forum (NQF) endorsement submission deadline for the fourth SUPPLEMENTARY INFORMATION: number for the CMS quality measure, quarter of the chart abstracted Percent of Residents With Pressure measures.’’ is corrected to read as I. Background Ulcers That Are New or Worsened follows ‘‘We are proposing to add one In FR Doc. 2011–9644 of May 5, 2011 [Short Stay], was NH–012–10. We note additional structural measure for the FY (76 FR 25788), there were a number of that the NQF number NH–012–10 has 2014 payment determination, technical and typographical errors that been replaced by the current Participation in a Systematic Clinical are identified and corrected in the endorsement number, which is NQF– Database Registry for General Surgery. Correction of Errors section. 0678. Therefore, in section III. of this Beginning with FY 2013, we propose to

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align the submission deadline for all consideration to using certain sources, 298481.pdf). As a result of this GAO structural measures with the submission despite the fact that the use of the listed decision, clarification was needed, in deadline for the fourth quarter of the sources is not mandatory. FAR part 8, on the use and chart abstracted measures.’’. DATES: Interested parties should submit consideration of FSS contracts before 5. On page 25923, second column, last written comments to the Regulatory commercial sources in the open market. paragraph, Secretariat at one of the addressees The proposed rule amends FAR 8.002 a. Line 7, the phrase ‘‘FY 2012’’ is shown below on or before August 15, as follows: The title is revised, as corrected to read ‘‘FY 2013’’. 2011 to be considered in the formation appropriate, to indicate the section b. Line 15, the phrase ‘‘FY 2012’’ is of the final rule. establishes the priorities for mandatory corrected to read ‘‘FY 2013’’. ADDRESSES: Submit comments in Government sources. The term 6. On page 25985, response to FAR Case 2009–024 by any ‘‘Mandatory Federal Supply Schedules’’ a. Second column, second full of the following methods: is removed. ‘‘Optional Use Federal paragraph, line 6, the reference number • Regulations.gov: http:// Supply Schedules’’ is re-named ‘‘NQF NH–012–10’’ is corrected to read www.regulations.gov. Submit comments ‘‘Federal Supply Schedules’’ and is ‘‘NQF 0678’’. via the Federal eRulemaking portal by proposed to be moved to a new section b. Third column, first full paragraph, inputting ‘‘FAR Case 2009–024’’ under (FAR 8.004) as a non-mandatory source. line 7, the reference number ‘‘NQF NH– the heading ‘‘Enter Keyword or ID’’ and Commercial sources, currently listed 012–10’’ is corrected to read ‘‘NQF selecting ‘‘Search.’’ Select the link under FAR 8.002(a), and Federal Prison 0678’’. ‘‘Submit a Comment’’ that corresponds Industries, Inc., listed as a source for 7. On page 25989, lower two-thirds of with ‘‘FAR Case 2009–024.’’ Follow the services at FAR 8.002(a)(2), would also the page, third column, first partial instructions provided at the ‘‘Submit a be moved to the new section as non- paragraph, line 3, the reference number Comment’’ screen. Please include your mandatory sources because neither one ‘‘NQF NH–012–10’’ is corrected to read name, company name (if any), and is a ‘‘mandatory Government source.’’ ‘‘NQF 0678’’. ‘‘FAR Case 2009–024’’ on your attached Additionally, the title at FAR 8.003 is (Catalog of Federal Domestic Assistance document. amended to indicate that the list is of Program No. 93.773, Medicare—Hospital • Fax: (202) 501–4067. mandatory sources, but recognize that Insurance; and Program No. 93.774, • Mail: General Services they are not all Government sources. Medicare—Supplementary Medical Administration, Regulatory Secretariat Also, the word ‘‘supplies’’ would be Insurance Program) (MVCB), Attn: Hada Flowers, 1275 First deleted from the title because these Dated: June 8, 2011. Street, NE., 7th Floor, Washington, DC sources also provide services. Dawn L. Smalls, 20417. A new section, FAR 8.004, Use of Executive Secretary to the Department. Instructions: Please submit comments other sources, is proposed to be added [FR Doc. 2011–14679 Filed 6–9–11; 4:15 pm] only and cite FAR Case 2009–024, in all to list non-mandatory sources that BILLING CODE 4120–01–P correspondence related to this case. All agencies are encouraged to consider comments received will be posted after first considering the mandatory without change to http:// sources listed at FAR 8.002 and 8.003. DEPARTMENT OF DEFENSE www.regulations.gov, including any This section highlights existing personal and/or business confidential contracts intended for use by multiple GENERAL SERVICES information provided. agencies (e.g., Federal Supply ADMINISTRATION FOR FURTHER INFORMATION CONTACT: Schedules, Governmentwide acquisition Mr. William Clark, Procurement contracts (GWACs), and multi-agency NATIONAL AERONAUTICS AND Analyst, at (202) 219–1813 for contracts (MACs)) and ordering SPACE ADMINISTRATION clarification of content. For information instruments intended for use by pertaining to status or publication multiple agencies, such as blanket 48 CFR Parts 8, 9, and 52 schedules, contact the Regulatory purchase agreements (BPAs) under [FAR Case 2009–024; Docket 2011–0086; Secretariat at (202) 501–4755. Please Federal Supply Schedule contracts (e.g., Sequence 1] cite FAR Case 2009–024. Federal Strategic Sourcing Initiative SUPPLEMENTARY INFORMATION: (FSSI) agreements). The existing RIN 9000–AM07 contracts and instruments are not listed I. Background in any order of priority, and separate Federal Acquisition Regulation; DoD, GSA, and NASA are proposing paragraphs distinguish supplies from Prioritizing Sources of Supplies and to amend the FAR part 8. FAR part 8 services. When obtaining services, Services for Use by the Government requires Federal agencies to satisfy their agencies are encouraged to consider the AGENCIES: Department of Defense (DoD), requirements for supplies and services same sources listed for supplies under General Services Administration (GSA), from or through a list of sources in order FAR 8.004, with the addition of Federal and National Aeronautics and Space of priority. This proposed rule would Prison Industries, Inc. as another non- Administration (NASA). amend FAR part 8 by revising FAR mandatory source for services pursuant ACTION: Proposed rule. 8.000, 8.002, 8.003, and 8.004, to FAR subpart 8.6. Agencies would be eliminating outdated categories, and encouraged to consider these sources SUMMARY: DoD, GSA, and NASA are distinguishing between Government before satisfying requirements for proposing to amend the Federal sources (e.g., Federal Supply Schedules supplies and services from commercial Acquisition Regulation (FAR) to limit (FSS)) and private-sector sources. sources in the open market. The the section of the FAR addressing the The impetus for this proposed rule is proposed FAR 8.004 would also provide priorities for use of Government supply the Government Accountability Office a cross-reference to FAR 5.601, where sources to a discussion of the mandatory (GAO) decision in the protest of Murray- the Web site for the Governmentwide Government sources of supplies and Benjamin Electric Company, B–298481, database of contracts and other services. Also, a new section is added to 2006 CPD 129, September 7, 2006 at procurement instruments intended for encourage agencies to give priority (http://www.gao.gov/decisions/bidpro/ use by multiple agencies via the Internet

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at http://www.contractdirectory.gov is List of Subjects in 48 CFR Parts 8, 9, intended for use by multiple agencies, provided. and 52 including blanket purchase agreements Conforming changes are proposed at Government procurement. (BPAs) under Federal Supply Schedule FAR 9.405–1 to delete the words contracts (e.g., Federal Strategic Dated: June 8, 2011. Sourcing Initiative (FSSI) agreements ‘‘optional use’’; and at FAR 52.208–9 to Millisa Gary, correct the cross-reference to the clause accessible at http://www.gsa.gov/fssi Acting Director, Federal Acquisition Policy prescription. (see also 5.601)). Division. (2) Services. In addition to the sources II. Executive Orders 12866 and 13563 Therefore, DoD, GSA, and NASA listed in paragraph (a)(1) of this section, propose amending 48 CFR parts 8, 9, agencies are encouraged to consider Executive Orders (E.O.s) 12866 and and 52 as set forth below: Federal Prison Industries, Inc. 13563 direct agencies to assess all costs 1. The authority citation for 48 CFR (see subpart 8.6). and benefits of available regulatory parts 8, 9, and 52 continues to read as (b) Commercial sources (including alternatives and, if regulation is follows: educational and non-profit institutions) necessary, to select regulatory in the open market. approaches that maximize net benefits Authority: 40 U.S.C. 121(c); 10 U.S.C. (including potential economic, chapter 137; and 42 U.S.C. 2473(c). 8.402 [Amended] environmental, public health and safety 2. Revise section 8.000 to read as 6. Amend section 8.402 by removing effects, distributive impacts, and follows: from paragraph (a) ‘‘(see 8.002)’’ and equity). E.O. 13563 emphasizes the adding ‘‘(see 8.004)’’ in its place. importance of quantifying both costs PART 8—REQUIRED SOURCES OF and benefits, of reducing costs, of SUPPLIES AND SERVICES PART 9—CONTRACTOR QUALIFICATIONS harmonizing rules, and of promoting 8.000 Scope of part. flexibility. This is a significant This part deals with prioritizing 9.405–1 [Amended] regulatory action and, therefore, was sources acquisition of supplies and 7. Amend section 9.405–1 by subject to review under section 6(b) of services for use by the Government. removing from paragraph (b)(2) E.O. 12866, Regulatory Planning and 3. Amend section 8.002 by— ‘‘optional use’’. Review, dated September 30, 1993. This a. Revising the section heading; rule is not a major rule under 5 U.S.C. b. Removing from the introductory PART 52—SOLICITATION PROVISIONS 804. text of paragraph (a) ‘‘sources’’ and AND CONTRACT CLAUSES III. Regulatory Flexibility Act adding ‘‘mandatory Government sources’’ in its place; 52.208–9 [Amended] DoD, GSA, and NASA do not expect c. Removing paragraphs (a)(1)(vi), 8. Amend section 52.208–9 by this rule to have a significant economic (a)(1)(vii), and (a)(1)(viii); and removing from the introductory impact on a substantial number of small d. Revising paragraph (a)(2). paragraph ‘‘8.004’’ and adding ‘‘8.005’’ entities within the meaning of the The revised text reads as follows: in its place. [FR Doc. 2011–14650 Filed 6–13–11; 8:45 am] Regulatory Flexibility Act, 5 U.S.C. 601, 8.002 Priorities for use of mandatory et seq., because the rule does not impose Government sources. BILLING CODE 6820–EP–P any additional requirements on small (a) * * * businesses, but clarifies existing (2) Services. Services which are on the regulations, in FAR part 8, on the use of Procurement List maintained by the DEPARTMENT OF TRANSPORTATION existing mandatory and non-mandatory Committee for Purchase From People sources. Federal Motor Carrier Safety Who Are Blind or Severely Disabled Administration Therefore, an Initial Regulatory (see subpart 8.7). Flexibility Analysis has not been * * * * * 49 CFR Part 391 performed. DoD, GSA, and NASA invite comments from small business concerns 8.003 Use of other mandatory sources. [Docket No. FMCSA–1997–2210] and other interested parties on the 4. Amend section 8.003 by revising RIN 2126–AB39 expected impact of this rule on small the section heading as set forth above. entities. 5. Redesignate section 8.004 as Medical Certification Requirements as DoD, GSA, and NASA will also section 8.005 and add a new section Part of the Commercial Driver’s consider comments from small entities 8.004 to read as follows: License (CDL); Extension of Certificate concerning the existing regulations in 8.004 Use of other sources. Retention Requirements subparts affected by the rule in Where an agency is unable to satisfy AGENCY: Federal Motor Carrier Safety accordance with 5 U.S.C. 610. Interested requirements for supplies and services Administration (FMCSA), DOT. parties must submit such comments from the mandatory sources listed in separately and should cite 5 U.S.C. 610 ACTION: Notice of proposed rulemaking 8.002 and 8.003, agencies are (NPRM). (FAR Case 2009–024), in encouraged to consider satisfying correspondence. requirements from or through the non- SUMMARY: The FMCSA proposes to keep IV. Paperwork Reduction Act mandatory sources listed in paragraph in effect until January 30, 2014, the (a) of this section before considering the requirement that interstate drivers The rule does not contain any non-mandatory sources listed in subject to the commercial driver’s information collection requirements that paragraph (b) of this section. license (CDL) regulations and the require the approval of the Office of (a)(1) Supplies. Federal Supply Federal physical qualification Management and Budget under the Schedules, Governmentwide acquisition requirements must retain a paper copy Paperwork Reduction Act (44 U.S.C. contracts, multi-agency contracts, and of the medical examiner’s certificate. chapter 35). any other procurement instruments Interstate motor carriers would also be

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required to retain a copy of the medical Docket Management System published certain petitions for reconsideration of certificate in the driver qualification in the Federal Register on January 17, the same final rule (75 FR 28499– files. This action is being taken to 2008, (73 FR 3316) or you may visit 28502). ensure the medical qualification of CDL http://edocket.access.gpo.gov/2008/pdf/ Several SDLAs have recently advised holders until all States are able to post E8-785.pdf. the Agency that they may not have the Public Participation: The http:// the medical self-certification and capability by January 30, 2012, to medical examiner’s certificate data on www.regulations.gov Web site is receive the required medical the Commercial Driver’s License generally available 24 hours each day, certification and medical examiner’s Information System (CDLIS) driver 365 days each year. You can get certificate information provided by a record. This proposed rule would not, electronic submission and retrieval help non-excepted, interstate CDL holder, however, extend the mandatory dates and guidelines under the ‘‘help’’ section for States to comply with the of the http://www.regulations.gov Web and then manually post it to the CDLIS requirement to collect and to post to the site. Comments received after the driver record. Inability of an SDLA to CDLIS driver record data from a CDL comment closing date will be included receive the required material would holder’s medical self-certification and in the docket, and will be considered to render both the CDL holder and his or medical examiner’s certificate. the extent practicable. her employer unable to demonstrate or verify, respectively, that the driver is DATES: Comments must be received on FOR FURTHER INFORMATION CONTACT: Mr. medically certified in compliance with or before June 29, 2011. Robert Redmond, Senior Transportation the FMCSRs. ADDRESSES: You may submit comments Specialist, Office of Safety Programs, identified by Docket Number FMCSA– Commercial Driver’s License Division Discussion of the Proposed Rule 1997–2210 using any one of the (MC–ESL), Federal Motor Carrier Safety following methods: Administration, 1200 New Jersey The FMCSA proposes to maintain in • Federal eRulemaking Portal: http:// Avenue, SE., Washington, DC 20590; effect until January 30, 2014, the www.regulations.gov. Follow the online telephone (202) 366–5014. requirement for an interstate CDL holder instructions for submitting comments. SUPPLEMENTARY INFORMATION: subject to the Federal physical • qualification standards to carry a paper Fax: 1–202–493–2251. Legal Basis • Mail: Docket Management Facility, copy of the driver’s medical examiner’s (M–30), U.S. Department of Medical Certification Requirements as certificate. Until January 30, 2014, a Transportation (DOT), 1200 New Jersey Part of the CDL CDL holder would continue to carry on Avenue, SE., West Building, Ground The legal basis of the final rule titled his or her person the medical Floor, Room 12–140, Washington, DC ‘‘Medical Certification Requirements as examiner’s certificate specified at 20590–0001. Part of the Commercial Driver’s § 391.43(h), or a copy, as valid proof of • Hand Delivery: Same as mail License,’’ issued on December 1, 2008, medical certification. Also, interstate address above, between 9 a.m. and (73 FR 73096–73097) is also applicable motor carriers that employ CDL holders 5 p.m., ET, Monday through Friday, to this rule. would need to continue to obtain and except Federal holidays. The telephone file a copy of the CDL holder’s medical number is 202–366–9329. Background examiner’s certificate in its driver To avoid duplication, please use only On December 1, 2008, FMCSA qualification files, as specified at one of these four methods. All published a final rule adopting § 391.51(b)(7), if the motor carrier is submissions must include the Agency regulations to implement section 215 of unable to obtain that information from name and docket number for this notice. the Motor Carrier Safety Improvement the SDLA issuing the CDL to the driver. See the ‘‘Public Participation’’ heading Act of 1999 (Pub. L. 106–159, 113 Stat. This action is being proposed to ensure below for instructions on submitting 1767 (Dec. 9, 1999)) (MCSIA). The 2008 the medical qualification of CDL holders comments and additional information. final rule requires any CDL holder until all States are able to post the Note that all comments received, subject to the physical qualification medical self-certification and medical including any personal information requirements of the Federal Motor examiner’s certificate data on the CDLIS provided, will be posted without change Carrier Safety Regulations (FMCSRs) to driver record. to http://www.regulations.gov. Please provide a current original or copy of his see the ‘‘Privacy Act’’ heading below. or her medical examiner’s certificate to There is no change in the compliance Docket: For access to the docket to the issuing State Driver Licensing dates for SDLAs established in the 2008 read background documents or Agency (SDLA). The Agency also final rule. SDLAs are expected to meet comments received, go to http:// requires the SDLA to post in the CDLIS the January 30, 2012, date to start www.regulations.gov at any time or to driver record the self-certification that collecting from CDL applicants and Room W12–140 on the ground floor of CDL holders are required to make posting and retaining this data on the the DOT Headquarters Building at 1200 regarding applicability of the Federal CDLIS driver record and, in addition, to New Jersey Avenue, SE., Washington, physical qualification requirements and, collect and post the same data from all DC, between 9 a.m. and 5 p.m., ET, for drivers subject to those existing CDL holders by the January 30, Monday through Friday, except Federal requirements, the medical certification 2014, compliance date. The Agency holidays. information specified in the regulations. believes that extending the requirement Privacy Act: Anyone is able to search Other conforming requirements for both to retain the paper copy of the medical the electronic form of all comments SDLAs and employers also were examiner’s certificate by both the received into any of our dockets by the implemented (73 FR 73096–73128). interstate CDL holder and the motor name of the individual submitting the These requirements, for the most part, carriers for 2 years will provide comment (or signing the comment, if have a compliance date of January 30, sufficient time for them to be sure that submitted on behalf of an association, 2012. On May 21, 2010, the Agency all SDLAs will be obtaining the medical business, labor union, etc.). You may published several technical status and medical examiner’s review DOT’s Privacy Act System of amendments to the 2008 final rule to certificate information and posting it on Records Notice for the DOT Federal make certain corrections and to address the driver’s CDLIS driver record.

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Rulemaking Analyses and Notices Protection of Children From the Clean Air Act, as amended (CAA), Environmental Health Risks and Safety section 176(c) (42 U.S.C. 7401 et seq.), Executive Order 12866 (Regulatory Risks. We determined that this proposed and implementing regulations Planning and Review) and DOT rulemaking does not concern an promulgated by the Environmental Regulatory Policies and Procedures environmental risk to health or safety Protection Agency. This action is The FMCSA has determined that this that may disproportionately affect exempt from the CAA’s general proposed action is not a significant children. conformity requirement since the action regulatory action within the meaning of results in no increase in emissions. Executive Order (E.O.) 12866, as Executive Order 12630 (Taking of supplemented by E.O. 13563, 76 FR Private Property) Executive Order 13211 (Energy Effects) 3821 (Jan. 21, 2011), or within the This proposed rulemaking does not The FMCSA analyzed this proposed meaning of the Department of affect a taking of private property or action under Executive Order 13211, Transportation regulatory policies and otherwise have taking implications Actions Concerning Regulations That procedures. Therefore, the Agency was under Executive Order 12630, Significantly Affect Energy Supply, not required to submit this regulatory Governmental Actions and Interference Distribution, or Use. We determined action to the Office of Management and With Constitutionally Protected that it is not a ‘‘significant energy Budget (OMB). The changes proposed in Property Rights. action’’ under that Executive Order this NPRM would have minimal costs; because it is not economically Executive Order 13132 (Federalism) therefore, a full regulatory evaluation is significant and is not likely to have an unnecessary. The FMCSA analyzed this proposed adverse effect on the supply, rule in accordance with the principles distribution, or use of energy. Regulatory Flexibility Act and criteria contained in Executive In compliance with the Regulatory Order 13132. Although the 2008 final List of Subjects in 49 CFR Part 391 Flexibility Act (5 U.S.C. 601–612), rule had Federalism implications, Motor carriers, Reporting and FMCSA has evaluated the effects of this FMCSA determined that it did not recordkeeping requirements, Safety. rule on small entities. The rule extends create a substantial direct effect on the In consideration of the foregoing, until January 30, 2014, the existing States, on the relationship between the FMCSA proposes to amend title 49, requirement for interstate CDL holders national government and the States, or Code of Federal Regulations, Chapter III subject to Federal physical on the distribution of power and as follows: qualifications requirements and their responsibilities among the various employers to retain a copy of the levels of government. This proposed PART 391—QUALIFICATIONS OF medical examiner’s certificate. Because rulemaking does not change that DRIVERS AND LONGER extending the current requirement determination in any way. COMBINATION VEHICLE (LCV) would not materially impact small DRIVER INSTRUCTORS Executive Order 12372 entities more than the current (Intergovernmental Review) 1. The authority citation for part 391 regulations, FMCSA certifies that this continues to read as follows: proposed action would not have a The regulations implementing significant economic impact on a Executive Order 12372 regarding Authority: 49 U.S.C. 322, 504, 508, 31133, substantial number of small entities. intergovernmental consultation on 31136, and 31502; sec. 4007(b) of Pub. L. Federal programs and activities do not 102–240, 105 Stat. 2152; sec. 114 of Pub. L. Unfunded Mandates Reform Act of 1995 apply to this action. 103–311, 108 Stat. 1673, 1677; sec. 215 of The Unfunded Mandates Reform Act Pub. L. 106–159, 113 Stat. 1767; and 49 CFR Paperwork Reduction Act 1.73. of 1995 (2 U.S.C. 1531–1538) requires Federal agencies to assess the effects of The Paperwork Reduction Act of 1995 2. Amend § 391.23 by revising (m)(2) their discretionary regulatory actions. In (44 U.S.C. 3507(d)) requires that FMCSA introductory text, (m)(2)(i) to read as particular, the Act addresses actions consider the impact of paperwork and follows: other information collection burdens that may result in the expenditure by § 391.23 Investigation and inquiries. State, local, and Tribal governments, in imposed on the public. We have the aggregate, or by the private sector, of determined that no new information * * * * * $141.3 million (which is the value in collection requirements are associated (m) * * * 2011 of $100 million after adjusting for with the proposed amendments in this (2) Exception. For drivers required to inflation) or more in any 1 year. The NPRM. have a commercial driver’s license FMCSA has determined that the impact under part 383 of this chapter: National Environmental Policy Act (i) Beginning January 30, 2014, using of this proposed rulemaking will not the CDLIS motor vehicle record reach this threshold. The FMCSA analyzed this proposed rule for the purpose of the National obtained from the current licensing Executive Order 12988 (Civil Justice Environmental Policy Act of 1969 (42 State, the motor carrier must verify and Reform) U.S.C. 4321 et seq.) and determined document in the driver qualification file This action meets applicable under our environmental procedures the following information before standards in sections 3(a) and 3(b)(2) of Order 5610.1, published March 1, 2004, allowing the driver to operate a CMV: Executive Order 12988, Civil Justice (69 FR 9680) that this proposed action * * * * * Reform, to minimize litigation, does not have any significant impact on (ii) Until January 30, 2014, if a driver eliminate ambiguity, and reduce the environment. In addition, the operating in non-excepted, interstate burden. proposed actions in this NPRM are commerce has no medical certification categorically excluded from further status information on the CDLIS MVR Executive Order 13045 (Protection of analysis and documentation as per obtained from the current State driver Children) paragraph 6.b of Appendix 2 of licensing agency, the employing motor The FMCSA analyzed this action FMCSA’s Order 5610.1. The FMCSA carrier may accept a medical examiner’s under Executive Order 13045, also analyzed this proposed rule under certificate issued to that driver, and

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place a copy of it in the driver (i) Beginning January 30, 2014, a at § 391.43(h), or a copy for more than qualification file before allowing the driver required to have a commercial 15 days after the date it was issued as driver to operate a CMV in interstate driver’s license under part 383 of this valid proof of medical certification. commerce. chapter, and who submitted a current * * * * * 3. Revise § 391.41(a)(2)(i) to read as medical examiner’s certificate to the Issued on: June 8, 2011. follows: State in accordance with § 383.71(h) of this chapter documenting that he or she Anne S. Ferro, § 391.41 Physical qualifications for meets the physical qualification Administrator, Federal Motor, Carrier Safety drivers. requirements of this part, no longer Administration. (a) * * * needs to carry on his or her person the [FR Doc. 2011–14653 Filed 6–13–11; 8:45 am] (2) * * * medical examiner’s certificate specified BILLING CODE 4910–EX–P

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Notices Federal Register Vol. 76, No. 114

Tuesday, June 14, 2011

This section of the FEDERAL REGISTER ACTION: Revision and request for of the functions of the agency, including contains documents other than rules or comments. whether the information will have proposed rules that are applicable to the practical utility; (2) the accuracy of the public. Notices of hearings and investigations, SUMMARY: In accordance with the agency’s estimate of the burden of the committee meetings, agency decisions and Paperwork Reduction Act of 1995 (44 proposed collection of information, rulings, delegations of authority, filing of U.S.C. chapter 35), this notice petitions and applications and agency including the validity of the announces the U.S. Department of methodology and assumptions used; (3) statements of organization and functions are Agriculture’s (USDA) intention to examples of documents appearing in this ways to enhance the quality, utility, and section. request a revision to a currently clarity of the information to be approved information collection of the collected; and (4) ways to minimize the Advisory Committee and Research and burden of the collection of information AGENCY FOR INTERNATIONAL Promotion Background Information to on those who are to respond, including DEVELOPMENT include Race, Ethnicity, National the use of appropriate automated, Origin, Gender and Disability Status. electronic, mechanical, or other Bureau for Democracy, Conflict and DATES: Comments on this notice must be technological collection techniques or Humanitarian Assistance; Office of received by August 15, 2011 to be other forms of information technology. Food for Peace, Announcement of assured of consideration. Comments may be sent to Sherry Taylor, Request for Applications for Title II Additional Information or Comments: Office of the White House Liaison, 1400 Non-Emergency Food Aid Programs Contact Sherry Taylor, Office of the Independence Avenue, SW., the Targeting Pastoral Areas in Ethiopia Secretary, White House Liaison Office, Whitten Building, Room 507–A, U.S. Department of Agriculture, 1400 Notice Washington, DC 20250; fax: 202–720– Independence Ave., SW., the Whitten 9286; or e-mail: USDAappointment Notice is hereby given that the Building, Room 507–A, Mail Stop–0112, [email protected]. Comments Request for Applications for Title II Washington, DC 20250; office phone: submitted by mail must be postmarked Non-Emergency Food Aid Programs 202–720–2406 or fax: 202–720–9286; e- 10 business days prior to the deadline Targeting Pastoral Areas in Ethiopia will mail: USDAappointmentcomments@ to ensure timely receipt. be available to interested parties for osec.usda.gov. All comments received will be general viewing. SUPPLEMENTARY INFORMATION: available for public inspection during For individuals who wish to review, Title: Advisory Committee and regular business hours at the same the Request for Applications for Title II Research and Promotion Background address. Non-Emergency Food Aid Programs Information. All responses to this notice will be Targeting Pastoral Areas in Ethiopia will OMB Number: 0505–0001. summarized and included in the request be available via the Food for Peace Web Expiration Date of Approval: July 31, _ for OMB approval. All comments will site http://www.usaid.gov/our work/ 2012. _ become a matter of public record. humanitarian assistance/ffp/ Type of Request: Revision of a progpolicy.html on or about June 10, Signed in Washington, DC on May 31, currently approved information 2011. 2011. Interested parties can also receive collection. Thomas J. Vilsack, a copy of the Request for Applications Abstract: The primary objective is to for Title II Non-Emergency Food Aid determine the qualifications, suitability Secretary of Agriculture. Programs Targeting Pastoral Areas in and availability of a candidate to serve [FR Doc. 2011–14703 Filed 6–13–11; 8:45 am] Ethiopia by contacting the Office of on advisory committees and/or research BILLING CODE P Food for Peace, U.S. Agency for and promotion boards. The information International Development, RRB 7.06– will be used to both conduct DEPARTMENT OF AGRICULTURE 085, 1300 Pennsylvania Avenue, NW., background clearances on the Washington, DC 20523–7600. candidates to the boards and Federal Crop Insurance Corporation Dale Skoric, committees and to compile annual Division Chief, Policy and Technical Division, reports on committee members. Funding Opportunity Title: Risk Office of Food for Peace, Bureau for Estimate of Burden: Public reporting Management Education and Outreach Democracy, Conflict and Humanitarian burden for this collection of information Partnerships Program; Announcement Assistance. is estimated to average 30 minutes per Type: Announcement of Availability of [FR Doc. 2011–14636 Filed 6–13–11; 8:45 am] response. Funds and Request for Application for BILLING CODE P Respondents: Individuals or Competitive Cooperative Partnership households. Agreements Estimated Number of Respondents: 2300. Catalog of Federal Domestic Assistance DEPARTMENT OF AGRICULTURE Estimated Number of Responses per Numbers (CFDAs): 10.455 and 10.459. Notice of Proposed Additional Respondent: 1. DATES: All applications, which must be Information Collection: Advisory Estimated Total Annual Burden on submitted electronically through Committee and Research and Respondents: 1150. Grants.gov, must be received by 11:59 Promotion Background Information Comments are invited on: (1) Whether p.m. Eastern Time on July 14, 2011. the proposed collection of information Hard copy applications shall NOT be AGENCY: Office of the Secretary, USDA. is necessary for the proper performance accepted.

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SUMMARY: The Federal Crop Insurance C. Location and Target Audience authorized under section 522(d)(3)(F) of Corporation (FCIC), operating through D. Minimum and Maximum Award the Federal Crop Insurance Act (Act) (7 the Risk Management Agency (RMA), E. Project Period U.S.C. 1522(d)(3)(F)). F. Description of Agreement— announces its intent to award B. Background approximately $3,500,000 (subject to Awardee Tasks availability of funds) to fund the Risk G. RMA Activities RMA promotes and regulates sound Management Education and Outreach H. Other Tasks risk management solutions to improve Section III—Eligibility Information the economic stability of American Partnerships Program. This Request for A. Eligible Applicants Applications (RFA) Announcement is agriculture. On behalf of FCIC, RMA B. Cost Sharing or Matching does this by offering Federal crop for a combination of the programs C. Other—Non-Financial Benefits insurance products through a network previously known as the ‘‘Commodity Section IV—Application and of private-sector partners, overseeing the Partnerships for Small Agricultural Risk Submission Information Management Education Sessions’’ and A. Electronic Application Package creation of new risk management the ‘‘Community Outreach and B. Content and Form of Application products, seeking enhancements in Assistance Partnerships Program.’’ The Submission existing products, ensuring the integrity purpose of this combined cooperative C. Funding Restrictions of crop insurance programs, offering partnership agreements program is to D. Limitation on Use of Project Funds programs aimed at equal access and deliver crop insurance education and for Salaries and Benefits participation of underserved risk management training to U.S. E. Indirect Cost Rates communities, and providing risk agricultural producers to assist them in F. Other Submission Requirements management education and information. identifying and managing production, G. Acknowledgement of Applications One of RMA’s strategic goals is to Section V—Application Review marketing, legal, financial and human ensure that its customers are well Information informed as to the risk management risk. The program gives priority to: (1) A. Criteria Educating producers of crops currently solutions available. This educational B. Selection and Review Process goal is supported by section 522(d)(3)(F) not insured under Federal crop Section VI—Award Administration insurance, specialty crops, and of the Federal Crop Insurance Act Information (FCIA) (7 U.S.C. 1522(d)(3)(F), which underserved commodities, including A. Award Notices authorizes FCIC funding for risk livestock and forage; and (2) providing B. Administrative and National Policy management training and informational collaborative outreach and assistance Requirements programs for limited resource, socially 1. Requirement to Use Program Logo efforts for agricultural producers disadvantaged and other traditionally 2. Requirement to Provide Project through the formation of partnerships underserved farmers and ranchers. The Information to an RMA-selected with public and private organizations. minimum award for any cooperative Representative With respect to such partnerships, partnership agreement is $20,000. The 3. Private Crop Insurance priority is to be given to reaching maximum award for any cooperative Organizations and Potential producers of Priority Commodities, as partnership agreement is $100,000. The Conflicts of Interest defined below. A project is considered cooperative partnership agreements will 4. Access to Panel Review Information as giving priority to Priority be awarded on a competitive basis up to 5. Confidential Aspects of Commodities if 75 percent of the one year from the date of the award. Applications and Awards educational and training activities of the 6. Audit Requirements Awardees must demonstrate non- project are directed to producers of any 7. Prohibitions and Requirements financial benefits from a cooperative one of the three classes of commodities Regarding Lobbying listed in the definition of Priority partnership agreement and must agree 8. Applicable OMB Circulars to the substantial involvement of RMA Commodities or any combination of the 9. Requirement to Assure Compliance three classes. in the project. Funding availability for with Federal Civil Rights Laws this program may be announced at 10. Requirement to Participate in a C. Definition of Priority Commodities approximately the same time as funding Post Award Teleconference For purposes of this program, Priority availability for similar but separate 11. Requirement to Submit Commodities are defined as: programs:—CFDA No. 10.458 (Crop Educational Materials to the 1. Agricultural commodities covered Insurance Education in Targeted States). National AgRisk Education Library by (7 U.S.C. 7333). Commodities in this Prospective applicants should carefully 12. Requirement to Submit Proposed group are commercial crops that are not examine and compare the notices of Results to the National AgRisk covered by catastrophic risk protection each announcement. Education Library crop insurance, are used for food or The collections of information in this 13. Requirement to Submit a Project fiber (except livestock), and specifically Announcement have been approved by Plan of Operation in the Event of a include, but are not limited to, OMB under control numbers 0563–0066 Human Pandemic Outbreak floricultural, ornamental nursery, and 0563–0067. C. Reporting Requirements Section VII—Agency Contact Christmas trees, turf grass sod, This Announcement Consists of Eight Section VIII—Additional Information aquaculture (including ornamental fish), Sections A. Required Registration with the and industrial crops. 2. Specialty crops. Commodities in Section I—Funding Opportunity Central Contract Registry (CCR) for this group may or may not be covered Description Submission of Proposals A. Legislative Authority B. Related Programs under a Federal crop insurance plan and include, but are not limited to, fruits, B. Background Full Text of Announcement C. Definition of Priority Commodities vegetables, tree nuts, syrups, honey, D. Project Goal I. Funding Opportunity Description roots, herbs, and highly specialized E. Purpose varieties of traditional crops. A. Legislative Authority Section II—Award Information 3. Underserved commodities. This A. Type of Application The Risk Management Education and group includes: (a) Commodities, B. Funding Availability Outreach Partnership Program is including livestock and forage, that are

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covered by a Federal crop insurance training will be provided to at least one the event that the Manager of FCIC plan but for which participation in an (1) of the Producer Types listed under determines that available RMA area is below the national average; and Category 2 below. Applications that do resources cannot support the (b) commodities, including livestock not include at least one (1) of the administrative and substantial and forage, with inadequate crop Producer Types listed under Category 2 involvement requirements of all insurance coverage. will not be considered for funding. agreements recommended for funding, the Manager may elect to fund fewer D. Project Goal Category 2. Projects That Concentrate on agreements than the available funding Producer Type The goal of this program is to ensure might otherwise allow. All awards will that ‘‘* * * producers will be better Producer Types: be made and agreements finalized no able to use financial management, crop Producers and Ranchers; later than September 30, 2011. insurance, marketing contracts, and Producers located in Arkansas, C. Location and Target Audience other existing and emerging risk Mississippi and Georgia; management tools.’’ New and Beginning Farmers; RMA Regional Offices and the States E. Purpose Women Producers and Ranchers; serviced within each RMA Region are Hispanic Producers and Ranchers; listed below. Staff from the respective The purpose of the Risk Management African American Producers and RMA Regional Offices will provide Education and Outreach Partnerships Ranchers; substantial involvement for projects Program is to provide U.S. farmers and Native American Producers and conducted within the Region. ranchers with training and information Ranchers; opportunities to be able to understand: Billings, Montana Regional Office: 1. The kinds of risks addressed by Limited Resource Producers and (MT, ND, SD, and WY) existing and emerging risk management Ranchers; Davis, California Regional Office: tools; Asian American and Pacific Islander (AZ, CA, HI, NV, and UT) 2. The features and appropriate use of Producers and Ranchers; Jackson, Mississippi Regional Office: existing and emerging risk management Transitional Farmers and Ranchers; (AR, KY, LA, MS, and TN) tools; and Senior Farmers and Ranchers; Oklahoma City, Oklahoma Regional 3. How to make sound risk Small Acreage Producers; Office: (NM, OK, and TX) management decisions. Specialty Crop Producers; Raleigh, North Carolina Regional Office: For the 2011 fiscal year, the FCIC Returning Military Veterans Producers (CT, DE, MA, MD, ME, NC, NH, NJ, Board of Directors and the FCIC and Ranchers. NY, PA, RI, VA, VT, and WV) Manager are seeking projects that II. Award Information Spokane, Washington Regional Office: address one or more of the Priority (AK, ID, OR, and WA) Commodities. A. Type of Application Springfield, Illinois Regional Office: (IL, In addition, the application must Only electronic applications will be IN, MI, and OH) clearly designate that education or accepted and they must be submitted St. Paul, Minnesota Regional Office: (IA, training will be provided on at least one through Grants.gov. Hard copy MN, and WI) (1) of the Special Emphasis Topics applications will NOT be accepted. Topeka, Kansas Regional Office: (CO, listed under Category 1 below. Applications submitted to the Risk KS, MO, and NE) Applications that do not include at least Management Education and Outreach Valdosta, Georgia Regional Office: (AL, one (1) Special Emphasis Topic from Partnerships Program are new FL, GA, SC, and Puerto Rico) Category 1 will not be considered for applications: There are no renewals. All Each application must clearly funding. applications will be reviewed designate the RMA Region where Category 1. Projects That Concentrate on competitively using the selection educational activities will be conducted Risk Management Education and process and evaluation criteria in the application narrative in block 12 Outreach described in Section V—Application of the SF–424 form. Applications Special Emphasis Topics: Review Process. Each award will be without this designation will be Production: AGR and AGR-Lite; designated as a Cooperative Partnership rejected. Priority will be given to Livestock Gross Margin Dairy; Pasture, Agreement, which will require producers of Priority Commodities and Rangeland, Forage Rainfall and/or substantial involvement by RMA. Special Emphasis Topics previously identified in this Announcement. Vegetative Index; Common Crop B. Funding Availability Insurance Policy Basic Provisions Applicants proposing to conduct (‘‘COMBO’’); Enterprise Units; Specialty There is no commitment by USDA to educational activities in states served by Crops; Prevented Planting; or Other fund any particular application. more than one RMA Regional Office Existing Crop Insurance Programs; Approximately $3,500,000 is expected must submit a separate application for Irrigation; Erosion Control Measures; to be available in fiscal year 2011 but it each RMA Region. Single applications Good Farming Practices; Wildfire is possible that this amount may be proposing to conduct educational Management; Forest Management; and reduced or not funded. In the event that activities in states served by more than Range Management. all funds available for this program are one RMA Region will be rejected. Legal: Legal and Succession Planning; not obligated after the maximum Applications serving Tribal Nations will Marketing: Marketing Strategies; Farm number of agreements are awarded or if be accepted and managed from the RMA Products Branding; Farmers Markets; additional funds become available, Regional office serving the designated Financial: Financial Tools and these funds may, at the discretion of the Tribal Office. Manager of FCIC, be used to award Planning; Farm Management Strategies; D. Minimum and Maximum Award Human: Farm Labor; Farm Safety; additional applications that score highly Food Safety, Risk Management by the technical review panel or Any application that requests Federal Education to Students. allocated pro-rata to awardees for use in funding of less than $20,000 or more In addition, the application must broadening the size or scope of awarded than $100,000 for a project will be clearly demonstrate that education or projects, if agreed to by the awardee. In rejected. RMA also reserves the right to

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fund successful applications at an 2. Collaborate with the awardee in from receiving Federal assistance under amount less than requested if it is reviewing and approving a promotional this program governed by Federal law judged that the application can be program for raising awareness for crop and regulations (e.g. debarment and implemented at a lower funding level. insurance and risk management and for suspension; a determination of non- informing producers of training and performance on a prior contract, E. Project Period informational opportunities in the RMA cooperative partnership agreement, or Projects will be funded for a period of Region. grant; or a determination of a violation up to one year from the project starting 3. Collaborate with the awardee on of applicable ethical standards. date. the delivery of education to producers Applications in which the applicant or F. Description of Agreement Award— and agribusiness leaders in the RMA any of the partners are ineligible or Awardee Tasks Region. This will include: (a) Reviewing excluded persons shall be rejected in and approving in advance all producer their entirety. In conducting activities to achieve the and agribusiness leader educational B. Cost Sharing or Matching purpose and goal of this program in a activities; (b) advising the project leader designated RMA Region, the awardee on technical issues related to crop Although RMA prefers cost sharing by will be responsible for performing the insurance education and information; the applicant, this program has neither following tasks: and (c) assisting the project leader in a cost sharing nor a matching 1. Develop and conduct a promotional informing crop insurance professionals requirement. program. This program will include about educational activity plans and C. Other—Non-financial Benefits activities using media, newsletters, scheduled meetings. publications, or other appropriate 4. Conduct an evaluation of the To be eligible, applicants must also be informational dissemination techniques performance of the awardee in meeting able to demonstrate that they will that are designed to: (a) Raise awareness the deliverables of the project. receive a non-financial benefit as a for crop insurance and risk Applications that do not address result of a cooperative partnership management; (b) inform producers of substantial involvement by RMA will be agreement. Non-financial benefits must the availability of crop insurance and rejected. accrue to the applicant and must risk management tools; and (c) inform include more than the ability to provide producers and agribusiness leaders in H. Other Tasks employment income to the applicant or the designated RMA Region of training In addition to the specific, required for the applicant’s employees or the and informational opportunities. tasks listed above, the applicant may community. The applicant must 2. Deliver crop insurance and risk propose additional tasks that would demonstrate that performance under the management training as well as contribute directly to the purpose of this cooperative partnership agreement will informational opportunities to program. For any proposed additional further the specific mission of the agricultural producers and agribusiness task, the applicant must identify the applicant (such as providing research or professionals in the designated RMA objective of the task, the specific activities necessary for graduate or other Region. This will include organizing subtasks required to meet the objective, students to complete their educational and delivering educational activities specific time lines for performing the program). Applications that do not using the instructional materials subtasks, and the specific demonstrate a non-financial benefit will assembled by the grantee to meet the responsibilities of the applicant and any be rejected. local needs of agricultural producers. entities working with the applicant in IV. Application and Submission Activities should be directed primarily the development or delivery of the Information to agricultural producers, but may project. The applicant must also identify include those agribusiness professionals specific ways in which RMA would A. Electronic Application Package that have frequent opportunities to have substantial involvement in the Only electronic applications will be advise producers on risk management proposed project task. tools and decisions. accepted and they must be submitted 3. Document all educational activities III. Eligibility Information via Grants.gov to the Risk Management Agency in response to this conducted under the cooperative A. Eligible Applicants partnership agreement and the results of Announcement. Prior to preparing an such activities, including criteria and Eligible applicants include: State application, it is suggested that the indicators used to evaluate the success Departments of Agriculture, State Project Director (PD) first contact an of the program. The awardee will also Cooperative Extension Services; Authorized Representative (AR) (also be required to provide information to Federal, State, or tribal agencies; referred to as Authorized Organizational RMA as requested for evaluation community based organizations; Representative or AOR) to determine if purposes. nongovernmental organizations; junior the organization is prepared to submit and four-year colleges or universities or electronic applications through G. RMA Activities foundations maintained by a college or Grants.gov. If the organization is not FCIC, working through RMA, will be university; private for-profit prepared, the AR should see http:// substantially involved during the organizations; faith-based organizations www.grants.gov/applicants/ performance of the funded project and other appropriate partners with the get_registered.jsp for steps for preparing through RMA’s ten Regional Offices. capacity to lead a local program of crop to submit applications through Potential types of substantial insurance and risk management Grants.gov. involvement may include, but are not education for producers in an RMA The steps to access application limited to, the following activities. Region. materials are as follows: 1. Collaborate with the awardee in Individuals are not eligible 1. In order to access, complete, and assembling, reviewing, and approving applicants. Although an applicant may submit applications, applicants must crop insurance and risk management be eligible to compete for an award download and install a version of Adobe materials for producers in the based on its status as an eligible entity, Reader compatible with Grants.gov. designated RMA Region. other factors may exclude an applicant This software is essential to apply for

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RMA Federal awards. For basic system 6. Partnering Plan, if applicable, that e. Fund political activities; requirements and download includes how each partner shall aid in f. Purchase alcohol, food, beverage, instructions, please see http:// carrying out the project goal providing gifts cards, or entertainment; www.grants.gov/help/ specific tasks. Letters of commitment g. Lend money to support farming or download_software.jsp. To verify that from individuals and/or groups must be agricultural business operation or you have a compatible version of Adobe included in the Partnering Plan, and expansion; Reader, Grants.gov established a test these letters must include the specific h. Pay costs incurred prior to package that will assist you in making tasks they have agreed to do with the receiving a cooperative partnership that determination. Grants.gov Adobe applicant. A completed and signed agreement; or Versioning Test Package is located at: OMB Standard Form LLL, Disclosure of i. Fund any activities prohibited in http://www.grants.gov/applicants/ Lobbying Activities. 7 CFR Parts 3015 and 3019, as AdobeVersioningTestOnly.jsp. 7. A completed and signed AD–1049, applicable. 2. The application package must be Certification Regarding Drug-Free D. Limitation on Use of Project Funds obtained via Grants.gov, go to http:// Workplace. for Salaries and Benefits www.grants.gov, click on ‘‘Apply for * Applications that do not include items Grants’’ in the left-hand column, click 1–7 above shall be considered Total costs for salary and benefits on ‘‘Step 1: Download a Grant incomplete, shall not receive further allowed for projects under this Application Package and Instructions,’’ consideration, and shall be rejected. Announcement shall be limited to not enter the funding opportunity number The percentage of each person’s time more than 70 percent reimbursement of USDA–RMA–RME–SSGP–002011 in the devoted to the project must be identified the funds awarded under the appropriate box and click ‘‘Download in the application. Applicants must list cooperative partnership agreement. The Package.’’ From the search results, click all current public or private reasonableness of the total costs for ‘‘Download’’ to access the application employment arrangements or financial salary and benefits allowed for projects package. support associated with the project or under this Announcement shall be Applicants who need assistance in any of the personnel that are part of the reviewed and considered by RMA as accessing the application package (e.g. project, regardless of whether such part of the application review process. downloading or navigating Adobe arrangements or funding constitute part Applications for which RMA does not forms) should refer to resources of the project under this Announcement consider the salary and benefits available on the Grants.gov Web site (supporting agency, amount of award, reasonable for the proposed application first (http://grants/gov/). Grants.gov effective date, expiration date, shall be rejected, or shall only be offered assistance is also available as follows: expiration date of award, etc.). An a cooperative agreement upon the Grants.gov customer support, Toll Free: application submitted under this RFA condition of changing the salary and 1–800–518–4726; Business Hours: 24 that duplicates or overlaps substantially benefits structure to one deemed Hours a day; Email: [email protected]. with any application already reviewed appropriate by RMA for that. The goal and funded (or to be funded) by any of the Risk Management Education and B. Content and Form of Application other organization or agency, including Outreach Partnerships Program is to Submission but not limited to other RMA, USDA, maximize the use of the limited funding The title of the application must and Federal government programs, shall available for crop insurance risk include the Special Emphasis Topic(s) not be funded under this program. The management education for producers of under Category 1; the Producer Type(s) application package from Grants.gov Priority Commodities, and Special under Category 2; and the RMA Region. contains a document called the Current Emphasis Topics. A complete and valid application and Pending Report. On the Current and E. Indirect Cost Rates must include the following: Pending Report you must state for this 1. A completed OMB Standard Form fiscal year if this application is a 1. Indirect costs allowed for projects 424, ‘‘Application for Federal duplicate application or overlaps submitted under this Announcement Assistance.’’ substantially with another application shall be limited to ten (10) percent of 2. A completed OMB Standard Form already submitted to or funded by the total direct cost of the cooperative 424–A, ‘‘Budget Information—Non- another USDA Agency, including RMA, partnership agreement. Therefore, when construction Programs.’’ Federal or other private organization. RMA preparing budgets, applicants should funding requested (the total of direct reserves the right to reject your limit their requests for recovery of and indirect costs) must not exceed application based on the review of this indirect costs to the lesser of their $100,000. information. The percentage of time for institution’s official negotiated indirect 3. A completed OMB Standard Form both ‘‘Current’’ and ‘‘Pending’’ projects cost rate or 10 percent of the total direct 424–B, ‘‘Assurances, Non-constructive must not exceed 100 percent of time costs. Programs.’’ committed. 2. RMA reserves the right to negotiate 4. An Executive Summary (One page) final budgets with successful applicants. and Proposal Narrative (Not to Exceed C. Funding Restrictions F. Other Submission Requirements 10 single-sided pages in Microsoft Cooperative partnership agreement Word), which will also include a funds may not be used to: When the applicant enters the Statement of Work as specified in a. Plan, repair, rehabilitate, acquire, or Grants.gov site, the applicant will find section V.A. of this Announcement. construct a building or facility including information about submitting an 5. Budget Narrative (in Microsoft a processing facility; application electronically through the Excel) describing how the categorical b. Purchase, rent, or install fixed site. To use Grants.gov, all applicants costs listed on the SF 424–A are equipment; must have a Dun and Bradstreet derived. The budget narrative should c. Repair or maintain privately owned Universal Numbering System (DUNS) provide enough detail for reviewers to vehicles; number, which can be obtained at no easily understand how costs were d. Pay for the preparation of the cost via a toll-free request line at 1–866– determined and how they relate to the cooperative partnership agreement 705–5711 or online at http:// goals and objectives of the project. application; fedgov.dnb.com/webform. Therefore,

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potential applicants should verify that that will be employed in the project; (c) Project Management—Maximum 20 they have a DUNS number or take the reasonably estimate the total number of Points Available steps needed to obtain one. For producers, farmers and ranchers The applicant must demonstrate an information about how to obtain a reached through the various methods ability to implement sound and effective DUNS number, go to http:// and educational activities described in project management practices. Higher www.grants.gov. Please note that the the Statement of Work; (d) identify the scores shall be awarded to applicants registration may take up to 14 business number of meetings to be held; (e) that can demonstrate organizational days to complete. provide an estimate of the number of skills, leadership, and experience in Applicants are responsible for training hours to be held; and (f) justify delivering services or programs that ensuring that RMA receives a complete such estimates with clear specifics. assist agricultural producers in the application package by the closing date Reviewers’ scoring shall be based on the respective RMA Region. The project and time. The agency strongly scope and reasonableness of the manager must demonstrate that he/she encourages applicants to submit applicant’s clear descriptions of specific has the capability to accomplish the applications well before the deadline to expected actions producers will project goal and purpose stated in this allow time for correction of technical accomplish, and well-designed methods Announcement by: (a) Having a current errors identified by Grants.gov. Any for measuring the project’s results and or previous working relationship with application package received after the effectiveness. With respect to the the farm community in the designated deadline shall be rejected. expected producer, farmer and rancher RMA Region of the application, G. Acknowledgement of Applications actions and the measurement of results, including being able to recruit the applicant must include how the approximately the number of producers Receipt of timely applications will be project will: to be reached in the application; or (b) acknowledged by e-mail, whenever having established the capacity to possible. Therefore, applicants are 1. Increase the understanding of crop partner with and gain the support of encouraged to provide e-mail addresses insurance and risk management tools; grower organizations, agribusiness in their applications. If an e-mail 2. Assist producers, farmers and professionals, and agribusiness leaders address is not indicated on an ranchers in evaluating the feasibility of locally to aid in carrying out a program application, timely receipt will be implementing various risk management of education and information, including acknowledged by letter. There shall be options; being able to recruit approximately the no notification of incomplete, 3. Assist producers, farmers and number of producers to be reached in unqualified or unfunded applications ranchers in developing risk management this application. Applicants are until after the awards have been made. plans and strategies; and encouraged to designate an alternate When received by RMA, applications Project Leader in the event the Project shall be assigned an identification 4. Assist producers, farmers and Leader is unable to finish the project. number. This number will be ranchers in deciding on and Applicants that shall employ, or have communicated to applicants in the implementing a specific course of access to, personnel who have acknowledgement of receipt of actions (e.g., participation in crop experience in directing local applications. An application’s insurance programs or implementation educational programs that benefit identification number should be of other risk management actions). agricultural producers in the respective referenced in all correspondence Statement of Work—Maximum 20 RMA Region shall receive higher regarding the application. If the Points Available rankings. applicant does not receive an acknowledgement within 15 days of the The applicant must produce a clear Budget Appropriateness and submission deadline, the applicant and specific Statement of Work for the Efficiency—Maximum 10 Points should notify RMA’s point of contact project. For each of the tasks contained Available indicated in Section VII, Agency in Section II—Award Information, the Applicants must provide a detailed Contact. applicant must identify and describe budget summary that clearly explains V. Application Review Information specific subtasks, responsible entities, and justifies costs associated with the expected completion dates, RMA project. Applicants shall receive higher A. Criteria substantial involvement, and scores to the extent that they can Applications submitted under the deliverables that will further the demonstrate a fair and reasonable use of Risk Management Education and purpose of this program. Applicants funds appropriate for the project and a Outreach Partnerships Program shall be shall be scored higher to the extent that budget that contains the estimated cost evaluated within each RMA Region the Statement of Work is specific, of reaching each individual producer, according to the following criteria: measurable, reasonable, has specific farmer and rancher. deadlines for the completion of Project Impacts—Maximum 20 Points subtasks, relates directly to the required Priority Commodity—Maximum 15 Available activities and the program purpose Points Available The applicant must demonstrate that described in this Announcement, which The applicant can submit projects that the project benefits to producers, is to provide producers with training are not related to Priority Commodities. farmers and ranchers warrant the and informational opportunities so that However, only projects relating to funding requested. Applicants shall be the producers will be better able to use Priority Commodities shall receive these scored according to the extent they can: financial management, crop insurance, points. (a) Identify the specific actions marketing contracts, and other existing producers, farmers and ranchers will and emerging risk management tools. Special Emphasis—Maximum of 15 likely be able to take as a result of the All narratives should give estimates of Points Available educational activities described in the how many producers, farmers and Projects that include more than one Statement of Work; (b) identify the ranchers will be reached through this Special Emphasis Topics shall be specific measures for evaluating results project. eligible for the most points.

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Bonus Points for Diversity Partnering— similar to a project that has been funded which the funds are obligated in Maximum of 15 Points Available or has been recommended to be funded accordance with the approved RMA is focused on adding diversity to under another RMA or FCIC program, cooperative partnership agreement and this program. Management may add up then the Manager may elect not to fund budget, the regulations, the terms and to an additional 15 points to the final that application in whole or in part. The conditions of the award, and the paneled score of any submission Manager of FCIC shall make the final applicability of Federal cost principles. No commitment of Federal assistance demonstrating a partnership with determination on those applications that beyond the project period is made or another group or entity that is a member will be awarded funding. implied for any award resulting from of a specific population listed in Section VI. Award Administration Information this notice. I.E., Category 2—Projects that A. Award Notices Notification of denial of funding shall concentrate on Producer Type. be sent to applicants after final funding The award document shall provide B. Review and Selection Process decisions have been made and the pertinent instructions and information awardees announced publicly. Applications shall be evaluated using including, at a minimum, the following: a two-part process. First, each (1) Legal name and address of B. Administrative and National Policy application shall be screened by RMA performing organization or institution to Requirements personnel to ensure that it meets the which the Manager of FCIC has issued 1. Requirement To Use Program Logo requirements in this Announcement. an award under the terms of this request Applications that do not meet the for applications; Applicants awarded cooperative requirements of this Announcement or (2) Title of project; partnership agreements shall be that are incomplete shall not receive (3) Name(s) and employing required to use a program logo and further consideration during the next institution(s) of Project Directors chosen design provided by RMA for all process. Applications that meet to direct and control approved instructional and promotional materials, Announcement requirements will be activities; when deemed appropriate. sorted into the RMA Region in which (4) Identifying award number 2. Requirement To Provide Project the applicant proposes to conduct the assigned by RMA; Information to an RMA-selected project and shall be presented to a (5) Project period, specifying the Representative review panel for consideration. amount of time RMA intends to support Applicants awarded cooperative Second, the review panel will meet to the project without requiring partnership agreements may be required consider and discuss the merits of each recompeting for funds; to assist RMA in evaluating the application. The panel will consist of (6) Total amount of RMA financial effectiveness of its educational programs not less than three independent assistance approved by the Manager of by providing documentation of reviewers. Reviewers shall be drawn FCIC during the project period; educational activities and related from USDA, other Federal agencies, and (7) Legal authority(ies) under which information to any representative public and private organizations, as the award is issued; selected by RMA for program evaluation needed. After considering the merits of (8) Appropriate Catalog of Federal purposes. all applications within an RMA Region, Domestic Assistance (CFDA) numbers; panel members shall score each (9) Applicable award terms and 3. Private Crop Insurance Organizations application according to the criteria and conditions (see http://www.rma.usda. and Potential Conflicts of Interest point values listed above. The panel gov/business/awards/awardterms.html Private organizations that are shall then rank each application against to view RMA award terms and involved in the sale of Federal crop others within the RMA Region conditions); insurance (approved insurance according to the scores received. (10) Approved budget plan for providers and agencies), or that have The review panel shall report the categorizing allocable project funds to financial ties to such organizations, are results of the evaluation to the Manager accomplish the stated purpose of the eligible to apply for funding under this of FCIC. The panel’s report shall include award; and Announcement. However, such entities the recommended applicants to receive (11) Other information or provisions shall not be allowed to receive funding cooperative partnership agreements for deemed necessary by RMA to carry out to conduct activities that would each RMA Region. Funding shall not be its respective awarding activities or to otherwise be required under a Standard provided for an application receiving a accomplish the purpose of a particular Reinsurance Agreement or any other score less than 60. Funding shall not be award.Following approval by the agreement in effect between FCIC and provided for an application that is Manager of FCIC of the applications to the entity. Also, such entities shall not highly similar to a higher-scoring be selected for funding, project leaders be allowed to receive funding to application in the same RMA Region. whose applications have been selected conduct activities that could be Highly similar is one that proposes to for funding will be notified. Within the perceived by producers as promoting reach the same producers, farmers and limit of funds available for such a one approved insurance provider or ranchers likely to be reached by another purpose, the Manager of FCIC shall agencies services or products over applicant that scored higher by the enter into cooperative partnership another’s. If applying for funding, such panel and the same general educational agreements with those selected organizations are encouraged to be material is proposed to be delivered. applicants. sensitive to potential conflicts of An organization, or group of After a cooperative partnership interest and to describe in their organizations in partnership, may apply agreement has been signed, RMA shall application the specific actions they for funding under other FCIC or RMA extend to awardees, in writing, the will take to avoid actual and perceived programs, in addition to the program authority to draw down funds for the conflicts of interest. described in this Announcement. purpose of conducting the activities However, if the Manager of FCIC listed in the agreement. All funds 4. Access to Panel Review Information determines that an application provided to the applicant by FCIC must Upon written request from the recommended for funding is sufficiently be expended solely for the purpose for applicant, scores from the evaluation

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panel, not including the identity of awardees of Federal contracts, grants, as having provided funding for the reviewers, shall be sent to the applicant cooperative partnership agreements and materials. after the review and awards process has loans. It provides exemptions for Indian 12. Requirement To Submit Proposed been completed. Tribes and tribal organizations. Current Results to the National AgRisk and prospective awardees, and any 5. Confidential Aspects of Applications Education Library and Awards subcontractors, are prohibited from using Federal funds, other than profits RMA requires that project leaders The names of applicants, the names of from a Federal contract, for lobbying submit results of the project to the individuals identified in the Congress or any Federal agency in National AgRisk Education Library applications, the content of connection with the award of a contract, (http://www.agrisk.umn.edu/) for applications, and the panel evaluations grant, cooperative partnership posting. of applications shall all be kept agreement or loan. In addition, for each 13. Requirement To Submit a Project confidential, except to those involved in award action in excess of $100,000 the review process, to the extent Plan of Operation in the Event of a ($150,000 for loans) the law requires Human Pandemic Outbreak permitted by law. In addition, the awardees and any subcontractors to identities of review panel members shall complete a certification in accordance RMA requires that project leaders remain confidential throughout the with Appendix A to Part 3018 and a submit a project plan of operation in entire review process and shall not be disclosure of lobbying activities in case of a human pandemic event. The released to applicants. At the end of the accordance with Appendix B to Part plan should address the concept of fiscal year, names of panel members 3018: The law establishes civil penalties continuing operations as they relate to shall be made available. However, for non-compliance. the project. This should include the panelists shall not be identified with the roles, responsibilities, and contact review of any particular application. 8. Applicable OMB Circulars information for the project team and When an application results in a All cooperative partnership individuals serving as back-ups in case cooperative partnership agreement, that agreements funded as a result of this of a pandemic outbreak. agreement becomes a part of the official notice shall be subject to the C. Reporting Requirements record of RMA transactions, available to requirements contained in all applicable the public upon specific request. OMB circulars. Awardees shall be required to submit Information that the Secretary of quarterly progress reports using the Agriculture determines to be of a 9. Requirement To Assure Compliance Performance Progress Report (SF–PPR) confidential, privileged, or proprietary With Federal Civil Rights Laws as the cover sheet, and quarterly nature shall be held in confidence to the Awardees and all partners/ financial reports (OMB Standard Form extent permitted by law. Therefore, any collaborators of all cooperative 425) throughout the project period, as information that the applicant wishes to agreements funded as a result of this well as a final program and financial be considered confidential, privileged, notice are required to know and abide report not later than 90 days after the or proprietary should be clearly marked by Federal civil rights laws, which end of the project period. The quarterly within an application, including the include, but are not limited to, Title VI progress reports and final program basis for such designation. The original of the Civil Rights Act of 1964 (42 reports MUST be submitted through the copy of an application that does not U.S.C. 2000d et seq.), and 7 CFR Part 15. Results Verification System. The Web result in an award shall be retained by RMA requires that awardees submit an site address is http:// RMA for a period of one year. Other Assurance Agreement (Civil Rights), www.agrisk.umn.edu/RMA/Reporting. copies shall be destroyed. Copies of assuring RMA of this compliance prior VII. Agency Contact applications not receiving awards shall to the beginning of the project period. be released only with the express 10. Requirement To Participate in a Post FOR FURTHER INFORMATION CONTACT: written consent of the applicant or to Award Teleconference Applicants and other interested parties the extent required by law. An are encouraged to contact: USDA–RMA– application may be withdrawn at any RMA requires that project leaders RME, phone: 202–720–0779, e-mail: time prior to award. participate in a post award [email protected]. You may teleconference, if conducted, to become 6. Audit Requirements also obtain information regarding this fully aware of agreement requirements announcement from the RMA Web site Applicants awarded cooperative and for delineating the roles of RMA at: http://www.rma.usda.gov/aboutrma/ partnership agreements are subject to personnel and the procedures that shall agreements. audit. be followed in administering the agreement and shall afford an VIII. Additional Information 7. Prohibitions and Requirements opportunity for the orderly transition of Regarding Lobbying A. Required Registration With the agreement duties and obligations if Central Contract Registry (CCR) for All cooperative agreements shall be different personnel are to assume post- Submission of Proposals subject to the requirements of 7 CFR award responsibility. Part 3015, ‘‘Uniform Federal Assistance Under the Federal Funding Regulations.’’ A signed copy of the 11. Requirement To Submit Educational Accountability and Transparency Act of certification and disclosure forms must Materials to the National AgRisk 2006, the applicant must comply with be submitted with the application and Education Library the additional requirements set forth in are available at the address and RMA requires that project leaders Attachment A regarding the Dun and telephone number listed in Section VII, upload digital copies of all risk Bradstreet Universal Numbering System Agency Contact. management educational materials (DUNS) Requirements and the CCR Departmental regulations published at developed because of the project to the Requirements found at 2 CFR Part 25. 7 CFR Part 3018 imposes prohibitions National AgRisk Education Library For the purposes of this RFA, the term and requirements for disclosure and (http://www.agrisk.umn.edu/) for ‘‘you’’ in Attachment A shall mean certification related to lobbying on posting. RMA shall be clearly identified ‘‘applicant’’. The applicant shall comply

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with the additional requirements set 2. May not make a subaward to an Attachment B forth in Attachment B regarding entity unless the entity has provided its I. Reporting Sub Awards and Executive Subawards and Executive DUNS number to you. Compensation Compensation. For the purpose of this RFA, the term ‘‘you’’ in Attachment B C. Definitions for Purposes of This a. Reporting of First-Tier Subawards Award Term shall mean ‘‘applicant’’. The Central 1. Applicability. Unless you are Contract Registry CCR is a database that 1. Central Contractor Registration exempt as provided in paragraph d. of serves as the primary Government (CCR) means the Federal repository into this award term, you must report each repository for contractor information which an entity must provide action that obligates $25,000 or more in required for the conduct of business information required for the conduct of Federal funds that does not include with the Government. This database business as a recipient. Additional Recovery funds (as defined in section will also be used as a central location information about registration 1512(a)(2) of the American Recovery for maintaining organizational procedures may be found at the CCR and Reinvestment Act of 2009 (Pub. L. information for organizations seeking Internet site (currently at http:// 111–5) for a subaward to an entity (see and receiving grants from the www.ccr.gov). definitions in paragraph e. of this award Government. Such organizations must term). register in the CCR prior to the 2. Data Universal Numbering System (DUNS) number means the nine-digit 2. Where and when to report. submission of applications. A DUNS i. You must report each obligating number is needed for CCR registration. number established and assigned by Dun and Bradstreet, Inc. (D & B) to action described in paragraph a.I. of this For information about how to register in award term to http://www.fsrs.gov. the CCR, visit ‘‘Get Registered’’ at the uniquely identify business entities. A DUNS number may be obtained from ii. For sub award information, report Web site, http://www.grants.gov. Allow no later than the end of the month a minimum of 5 business days to D & B by telephone (currently 866–705– 5711) or the Internet (currently at following the month in which the complete the CCR registration. obligation was made. (For example, if http://fedgov.dnb.comlwebform). B. Related Programs the obligation was made on November 3. Entity, as it is used in this award Funding availability for this program 7, 2010, the obligation must be reported term, means all of the following, as by no later than December 31, 2010.) may be announced at approximately the defined at 2 CFR Part 25, Subpart C: same time as funding availability for 3. What to report. You must report the similar but separate programs—and a. A Governmental organization, information about each obligating action CFDA No. 10.458 (Crop Insurance which is a State, local government, or that the submission instructions posted Education in Targeted States). These Indian Tribe; at http://www.fsrs.gov specify. programs have some similarities, but b. A foreign public entity; b. Reporting Total Compensation of also key differences. The differences c. A domestic or foreign nonprofit Recipient Executives stem from important features of each organization; 1. Applicability and what to report. program’s authorizing legislation and You must report total compensation for different RMA objectives. Prospective d. A domestic or foreign for-profit each of your five most highly applicants should carefully examine organization; and compensated executives for the and compare the notices for each e. A Federal agency, but only as a preceding completed fiscal year, if— program. subrecipient under an award or i. The total Federal funding Attachment A subaward to a non-Federal entity. authorized to date under this award is 4. Subaward: $25,000 or more; I. Central Contractor Registration and ii. In the preceding fiscal year, you Universal Identifier Requirements a. This term means a legal instrument to provide support for the performance received— A. Requirement for Central Contractor of any portion of the substantive project (A) 80 percent or more of your annual Registration (CCR) or program for which you received this gross revenues from Federal Unless you are exempted from this award and that you as the recipient procurement contracts (and requirement under 2 CFR 25.110, you as award to an eligible subrecipient. subcontracts) and Federal financial the recipient must maintain the assistance subject to the Transparency b. The term does not include your Act, as defined at 2 CFR 170.320 (and currency of your information in the CCR procurement of property and services until you submit the final financial subawards); and needed to carry out the project or (B) $25,000,000 or more in annual report required under this award or program (for further explanation, see receive the final payment, whichever is gross revenues from Federal Sec. 10 of the attachment to OMB procurement contracts (and later. This requires that you review and Circular A–I33, ‘‘Audits of States, Local update the information at least annually subcontracts) and Federal financial Governments, and Non-Profit assistance subject to the Transparency after the initial registration, and more Organizations’’). frequently if required by changes in Act, as defined at 2 CFR 170.320 (and your information or another award term. c. A subaward may be provided subawards); and through any legal agreement, including iii. The public does not have access to B. Requirement for Data Universal an agreement that you consider a information about the compensation of Numbering System (DUNS) Numbers contract. the executives through periodic reports If you are authorized to make 5. Subrecipient means an entity that: filed under section 13(a) or 15(d) of the subawards under this award, you: Securities Exchange Act of 1934 (15 1. Must notify potential sub recipients a. Receives a subaward from you U.S.C. 78m(a), 780(d)) or section 6104 of that no entity (see definition in under this award; and the Internal Revenue Code of 1986. (To paragraph C of this award) may receive b. Is accountable to you for the use of determine if the public has access to the a subaward from you unless the entity the Federal funds provided by the compensation information, see the U.S. has provided its DUNS number to you. subaward. Security and Exchange Commission

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total compensation filings at http:// $300,000, you are exempt from the hospitalization or medical www.sec.gov/answers/execomp.htm.) requirements to report: reimbursement plans that do not 2. Where and when to report. You i. Subawards, and discriminate in favor of executives, and must report executive total ii. The total compensation of the five are available generally to all salaried compensation described in paragraph most highly compensated executives of employees. b.1. of this award term: any sub recipient. iv. Change in pension value. This is i. As part of your registration profile the change in present value of defined e. Definitions. For Purposes of This at http://www.ccr.gov. benefit and actuarial pension plans. ii. By the end of the month following Award Term: v. Above-market earnings on deferred the month in which this award is made, 1. Entity means all of the following, compensation which is not tax- and annually thereafter. as defined in 2 CFR part 25: qualified. i. A Governmental organization, vi. Other compensation, if the c. Reporting of Total Compensation of which is a State, local government, or aggregate value of all such other Sub Recipient Executives Indian tribe; compensation (e.g. severance, 1. Applicability and what to report. ii. A foreign public entity; termination payments, value of life Unless you are exempt as provided in iii. A domestic or foreign nonprofit insurance paid on behalf of the paragraph d. of this award term, for each organization; employee, perquisites or property) for first-tier sub recipient under this award, iv. A domestic or foreign for-profit the executive exceeds $10,000. organization; you shall report the names and total Signed in Washington, DC, on June 8, compensation of each of the sub v. A Federal agency, but only as a 2011. subrecipient under an award or recipient’s five most highly William J. Murphy, compensated executives for the sub subaward to a non-Federal entity. 2. Executive means officers, managing Manager, Federal Crop Insurance recipient’s preceding completed fiscal Corporation. year, if— partners, or any other employees in i. In the subrecipient’s preceding management positions. [FR Doc. 2011–14596 Filed 6–13–11; 8:45 am] fiscal year, the subrecipient received— 3. Subaward: BILLING CODE 3410–08–P (A) 80 percent or more of its annual 1. This term means a legal instrument to provide support for the performance gross revenues from Federal DEPARTMENT OF AGRICULTURE procurement contracts (and of any portion of the substantive project subcontracts) and Federal financial or program for which you received this Forest Service assistance subject to the Transparency award and that you as the recipient Act, as defined at ∼ CFR 170.320 (and award to an eligible subrecipient. Tehama County Resource Advisory subawards); and ii. The term does not include your Committee (B) $25,000,000 or more in annual procurement of property and services gross revenues from Federal needed to carry out the project or AGENCY: Forest Service, USDA. procurement contracts (and program (for further explanation, see ACTION: Notice of Meeting. subcontracts), and Federal financial Sec. l .210 of the attachment to OMB SUMMARY: The Tehama County Resource assistance subject to the Transparency Circular A–133, ‘‘Audits of States, Local Advisory Committee (RAC) will meet in Act (and subawards); and Governments, and Non-Profit Red Bluff, California. The committee is ii. The public does not have access to Organizations’’). authorized under the Secure Rural information about the compensation of iii. A subaward may be provided Schools and Community Self- the executives through periodic reports through any legal agreement, including Determination Act (Pub. L. 110–343) filed under section 13(a) or 15(d) of the an agreement that you or a subrecipient (the Act) and operates in compliance Securities Exchange Act of 1934 (15 considers a contract. with the Federal Advisory Committee U.S.C. 78m(a), 780(d) or section 6104 of 4. Subrecipient means an entity that: Act. The purpose of the committee is to the Internal Revenue Code of 1986. (To i. Receives a subaward from you (the improve collaborative relationships and determine if the public has access to the recipient) under this award; and to provide advice and recommendations compensation information, see the U.S. ii. Is accountable to you for the use of to the Forest Service concerning projects Security and Exchange Commission the Federal funds provided by the and funding consistent with the title II total compensation filings at http:// subaward. of the Act. The meeting is open to the www.sec.gov/answers/execomp.htm.) 5. Total compensation means the cash 2. Where and when to report. You and noncash dollar value earned by the public. The purpose of the meeting is to must report subrecipient executive total executive during the recipient’s or travel to and discuss current Tehama compensation described in paragraph subrecipient’s preceding fiscal year and RAC projects for monitoring purposes. c.1. of this award term: includes the following (for more Public wishing to attend the monitoring i. To the recipient. information see 17 CFR 229.402(c)(2): trip will need to provide their own ii. By the end of the month following i. Salary and bonus. transportation to the project sites. the month during which you make the ii. Awards of stock, stock options, and DATES: The meeting will be held on June subaward. For example, if a subaward is stock appreciation rights. Use the dollar 23, 2011 from 8 a.m. and end at obligated on any date during the month amount recognized for financial approximately 3:45 p.m. of October of a given year (i.e., between statement reporting purposes with ADDRESSES: The meeting will be held in October 1 and 31), you must report any respect to the fiscal year in accordance the field during the monitoring trip required compensation information of with the Statement of Financial beginning at the Red Bluff Recreation the subrecipient by November 30 of that Accounting Standards No. 123 (Revised Area, 1000 Lane, Red Bluff, CA. Written year. 2004) (FAS 123R), Shared Based comments may be submitted as Payments. described under SUPPLEMENTARY d. Exemptions iii. Earnings for services under non- INFORMATION. If, in the previous tax year, you had equity incentive plans. This does not All comments, including names and gross income, from all sources, under include group life, health, addresses when provided, are placed in

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the record and are available for public DEPARTMENT OF COMMERCE expired or were deleted through inspection and copying. The public may previous actions. Foreign-Trade Zones Board inspect comments received at 825 N. The grantee’s proposed service area Humboldt Ave., Willows, CA 95988. [Docket 40–2011] under the ASF would be Isanti, Chisago, Please call ahead to (530) 934–1269 to Sherburne, Wright, Anoka, Washington, facilitate entry into the building to view Foreign-Trade Zone 119—Minneapolis- Ramsey, Hennepin, McLeod, Carver, comments. St. Paul, MN; Application for Scott, Dakota, Sibley, LeSueur, and Rice FOR FURTHER INFORMATION CONTACT: Reorganization Under Alternative Site Counties, Minnesota, as described in the Randy Jero, Committee Coordinator, Framework application. If approved, the grantee would be able to serve sites throughout USDA, Mendocino National Forest, An application has been submitted to the service area based on companies’ Grindstone Ranger District, 825 N. the Foreign-Trade Zones (FTZ) Board needs for FTZ designation. The Humboldt Ave, Willows, CA 95988. (the Board) by the Greater Metropolitan proposed service area is within and (530) 934–1269; e-mail [email protected]. Area Foreign-Trade Zone Commission, adjacent to the Minneapolis Customs Individuals who use grantee of FTZ 119, requesting authority and Border Protection port of entry. The telecommunication devices for the deaf to reorganize the zone under the grantee also proposes to maintain its (TDD) may call the Federal Information alternative site framework (ASF) existing site (Site 8) in Pine Island Relay Service (FIRS) at 1–800–877–8339 adopted by the Board (74 FR 1170, 1/12/ (Goodhue County). between 8:00 a.m. and 8:00 p.m., 09 (correction 74 FR 3987, 1/22/09); 75 Eastern Standard Time, Monday FR 71069–71070, 11/22/10). The ASF is The applicant is requesting authority through Friday. Requests for reasonable an option for grantees for the to reorganize its existing zone project to accomodation for access to the facility establishment or reorganization of include all of the existing sites as or procedings may be made by general-purpose zones and can permit ‘‘magnet’’ sites. The ASF allows for the significantly greater flexibility in the contacting the person listed FOR possible exemption of one magnet site designation of new ‘‘usage-driven’’ FTZ FURTHER INFORMATION. from the ‘‘sunset’’ time limits that sites for operators/users located within generally apply to sites under the ASF, SUPPLEMENTARY INFORMATION: The a grantee’s ‘‘service area’’ in the context and the applicant proposes that Site 1 meeting is open to the public. Agenda of the Board’s standard 2,000-acre be so exempted. No usage-driven sites items to be covered include: (1) activation limit for a general-purpose are being requested at this time. Because zone project. The application was Introductions, (2) Approval of Minutes, the ASF only pertains to establishing or submitted pursuant to the Foreign-Trade (3) Public Comment, (4) Field reorganizing a general-purpose zone, the Monitoring Discussion at Red Bluff Zones Act, as amended (19 U.S.C. 81a– 81u), and the regulations of the Board application would have no impact on Project, (5) Field Monitoring Discussion FTZ 119’s authorized subzones. at Oak Ridge Project, (6) Next Agenda. (15 CFR part 400). It was formally filed Anyone who would like to bring related on June 8, 2011. In accordance with the Board’s matters to the attention of the committee FTZ 119 was approved by the Board regulations, Elizabeth Whiteman of the may file written statements with the on July 24, 1985 (Board Order 305, 50 FTZ Staff is designated examiner to committee staff before or after the FR 31404, 8/2/1985) and expanded on evaluate and analyze the facts and April 14, 1994 (Board Order 690, 59 FR meeting. The agenda will include time information presented in the application 19692, 4/25/1994) and June 4, 2010 for people to make oral statements of and case record and to report findings (Board Order 1684, 75 FR 34097, 6/16/ and recommendations to the Board. three minutes or less. Individuals 2010). Public comment is invited from wishing to make an oral statement The current zone project includes the interested parties. Submissions (original should request in writing by June 20, following sites: Site 1 (3,002 acres)— 2011 to be scheduled on the agenda. located at the Minneapolis-St. Paul and 3 copies) shall be addressed to the Written comments and requests for time International Airport, Minneapolis Board’s Executive Secretary at the for oral comments must be sent to (Hennepin County); Site 2 (960 acres)— address below. The closing period for Randy Jero, Committee Coordinator, Mid-City Industrial Park, intersection of their receipt is August 15, 2011. USDA, Mendocino National Forest, E. Hennepin Ave. (County Road 52) and Rebuttal comments in response to Grindstone Ranger District, 825 N. Larpenteur Ave. (County Road 30), material submitted during the foregoing Humboldt Ave, Willows, CA 95988 or Minneapolis (Hennepin County); Site 3 period may be submitted during the by e-mail to [email protected] or via (13 acres)—Eagan Industrial Park, 3703 subsequent 15-day period to August 29, facsimile to 530–934–1212. Kennebec Drive, Eagan (Dakota County); 2011. Dated: June 7, 2011. Site 7 (193 acres)—Chaska Bio-Science A copy of the application will be Corporate Campus, intersection of Eduardo Olmedo, available for public inspection at the Carver County Road 10 and New U.S. Office of the Executive Secretary, District Ranger. Highway 212, Chaska (Carver County); Foreign-Trade Zones Board, Room 2111, [FR Doc. 2011–14649 Filed 6–13–11; 8:45 am] Site 8 (200 acres)—Elk Run Bio- U.S. Department of Commerce, 1401 BILLING CODE 3410–11–P Business Park, located on the north side Constitution Avenue NW., Washington, of U.S. Highway 52, approximately 2 DC 20230–0002, and in the ‘‘Reading miles southeast of the City of Pine Room’’ section of the Board’s Web site, Island (Goodhue County); Site 9 (20 which is accessible via http:// acres)—1700 Wynne Avenue, St. Paul (Ramsey County); and, Site 10 (236 www.trade.gov/ftz. For further acres)—Bloomington Airport Industrial information, contact Elizabeth Park, near the Fort Snelling Military Whiteman at Reservation and I–494, Bloomington [email protected] or (202) (Hennepin County). Sites 4–6 have 482–0473.

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Dated: June 8, 2011. —Cloud Security and Privacy Panel Secretariat, Information Technology Andrew McGilvray, discussion on addressing security and Laboratory, 100 Bureau Drive, Stop Executive Secretary. privacy for different types of cloud 8930, National Institute of Standards [FR Doc. 2011–14683 Filed 6–13–11; 8:45 am] computing, and Technology, Gaithersburg, MD BILLING CODE P —Presentation from National Strategy 20899–8930. Approximately 15 seats for Trusted Identities in Cyberspace will be available for the public and (NSTIC) to present the status of the media. DEPARTMENT OF COMMERCE implementation plan, Dated: June 8, 2011. —Presentation on Doctrine of Charles H. Romine, National Institute of Standards and Cybersecurity relating to computer Technology security research, Acting Associate Director for Laboratory —Presentation on from National Programs. Announcing a Meeting of the Protection and Programs Directorate, [FR Doc. 2011–14704 Filed 6–13–11; 8:45 am] Information Security and Privacy DHS, on the white paper, ‘‘Enabling BILLING CODE 3510–13–P Advisory Board Distributed Security in Cyberspace’’, —Medical Device and relating AGENCY: National Institute of Standards DEPARTMENT OF COMMERCE and Technology, Department of security concerns, Commerce. —Presentation on National Initiative Office of the Secretary, National for Cybersecurity Education (NICE) and ACTION: Notice. Institute of Standards and Technology Cybersecurity Awareness, SUMMARY: The Information Security and —Presentations from Mississippi [Docket No. 110524296–1289–02] Privacy Advisory Board (ISPAB) will State Research on Wounded Warrior meet Wednesday, July 13, 2011, from 8 and Supervisory Control and Data Models for a Governance Structure for a.m. until 5 p.m., Thursday, July 14, Acquisition (SCADA), the National Strategy for Trusted 2011, from 8 a.m. until 5 p.m., and —Panel presentation/discussion on Identities in Cyberspace Friday, July 15, 2011 from 8 a.m.. until Health and Human Services (HHS) AGENCY: U.S. Department of Commerce, 12:30 p.m. All sessions will be open to Infrastructure and Nationwide Health Office of the Secretary, and National the public. Information Network (NHIN), Institute of Standards and Technology. DATES: The meeting will be held on —Presentation on the Status of Cyber Wednesday, July 13, 2011, from 8 a.m. Legislation, ACTION: Notice of inquiry. —Panel discussion on Controlled until 5 p.m., Thursday, July 14, 2011, SUMMARY: The Department of Commerce from 8 a.m. until 5 p.m., and Friday, Unclassified Information and National Archives and Records Administration (Department) is conducting a July 15, 2011 from 8 a.m. until 12:30 comprehensive review of governance p.m. (NARA), —Discussion on International models for a governance body to ADDRESSES: The meeting will take place Standards and Cybersecurity, administer the processes for policy and in the Homewood Suites by Hilton DC, —Panel discussion of Product standards adoption for the Identity 1475 Massachusetts Avenue, NW., Assurance Testing and Methods Ecosystem Framework in accordance Washington, DC 20005. (National Information Assurance with the National Strategy for Trusted FOR FURTHER INFORMATION CONTACT: Ms. Partnership (NIAP) Common Criteria Identities in Cyberspace (NSTIC or Annie Sokol, Information Technology Testing (CCTL), ‘‘Strategy’’). The Strategy refers to this Laboratory, National Institute of —Presentation on Security and governance body as the ‘‘steering Standards and Technology, 100 Bureau Privacy Tiger Team for the HIPAA, group.’’ The Department seeks public Drive, Stop 8930, Gaithersburg, MD —Presentation on a study on comment from all stakeholders, 20899–8930, telephone: (301) 975–2006. Economic Incentives and Cyber, including the commercial, academic SUPPLEMENTARY INFORMATION: Pursuant —Presentation on e-Service Strategy, and civil society sectors, and consumer to the Federal Advisory Committee Act, —Panel discussion on Industrial and privacy advocates on potential 5 U.S.C. App., notice is hereby given Control System Security, and models, in the form of recommendations that the Information Security and —Update of NIST Computer Security and key assumptions in the formation Privacy Advisory Board (ISPAB) will Division. and structure of the steering group. The meet Wednesday, July 13, 2011, from 8 Note that agenda items may change Department seeks to learn and a.m. until 5 p.m., Thursday, July 14, without notice because of possible understand approaches for: (1) The 2011, from 8 a.m. until 5 p.m., and unexpected schedule conflicts of structure and functions of a persistent Friday, July 15, 2011 from 8 a.m. until presenters. The final agenda will be and sustainable private sector-led 12:30 p.m. All sessions will be open to posted on the Web site indicated above. steering group and (2) the initial the public. The ISPAB was established Public Participation: The ISPAB establishment of the steering group. by the Computer Security Act of 1987 agenda will include a period of time, This Notice specifically seeks comment (Pub. L. 100–235) and amended by the not to exceed thirty minutes, for oral on the structures and processes for Federal Information Security comments from the public (Friday, July Identity Ecosystem governance. This Management Act of 2002 (Pub. L. 107– 15, 2011, at 8:30–9 a.m.). Each speaker Notice does not solicit comments or 347) to advise the Secretary of will be limited to five minutes. advice on the policies that will be Commerce and the Director of NIST on Members of the public who are chosen by the steering group or specific security and privacy issues pertaining to interested in speaking are asked to issues such as accreditation or trustmark federal computer systems. Details contact Ms. Annie Sokol at the schemes, which will be considered by regarding the ISPAB’s activities are telephone number indicated above. the steering group at a later date. available at http://csrc.nist.gov/groups/ In addition, written statements are Responses to this Notice will serve only SMA/ispab/index.html invited and may be submitted to the as input for a Departmental report of The agenda is expected to include the ISPAB at any time. Written statements government recommendations for following items: should be directed to the ISPAB establishing the NSTIC steering group.

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DATES: Comments are due on or before inquiries and public workshops. This of, and equally committed to, upholding July 22, 2011. Notice of Inquiry is a continuation of the Strategy’s Guiding Principles. ADDRESSES: Written comments may be the Administration’s effort, and its goal The Strategy calls for the submitted by mail to the National is to explore the establishment and development of a steering group that Institute of Standards and Technology, structure of governance models. The will bring together representatives of all c/o Annie Sokol, 100 Bureau Drive, Department may explore additional of the interested stakeholders to ensure Mailstop 8930, Gaithersburg, MD 20899. areas in the future. that the Identity Ecosystem Framework Electronic comments may be sent to Background: This Notice reflects the upholds the Guiding Principles by [email protected]. Electronic initial steps of the Strategy’s providing a minimum baseline of submissions may be in any of the implementation as they relate to the privacy, security, and interoperability following formats: HTML, ASCII, Word, Department’s ongoing cyber security through standards and policies— rtf, or PDF. Paper submissions should and identity management activities. without creating unnecessary barriers to include a compact disc (CD). CDs Specifically, the Strategy calls for a market entry. To that end, the steering should be labeled with the name and ‘‘steering group’’ to administer the group will administer the process for organizational affiliation of the filer and process for policy and standards the adoption of policy and technical the name of the word processing development for the Identity Ecosystem standards, set milestones and measure program used to create the document. Framework in accordance with the progress against them, and ensure that Comments will be posted at http:// Strategy’s Guiding Principles. The accreditation authorities validate www.nist.gov/nstic. The Strategy is Identity Ecosystem is an online participants’ adherence to the available at http://www.whitehouse.gov/ environment where individuals and requirements of the Identity Ecosystem sites/default/files/rss_viewer/ organizations will be able to trust each Framework. NSTICstrategy_041511.pdf. The NIST other because they follow agreed upon With this outcome in mind, the Web site for NSTIC and its standards to obtain and authenticate government seeks comment on the implementation is available at http:// their digital identities and the digital establishment and structure of a steering group that can successfully complete www.nist.gov/nstic. identities of devices. The Identity the above stated goals and objectives FOR FURTHER INFORMATION CONTACT: For Ecosystem Framework is the and, ultimately, achieve the Strategy’s questions about this Notice contact: overarching set of interoperability vision that ‘‘individuals and Annie Sokol, Information Technology standards, risk models, privacy and organizations utilize secure, efficient, Laboratory, National Institute of liability policies, requirements, and easy-to-use, and interoperable identity Standards and Technology, U.S. accountability mechanisms that govern solutions to access online services in a Department of Commerce, 100 Bureau the Identity Ecosystem. manner that promotes confidence, Drive, Mailstop 8930, Gaithersburg, MD The Strategy’s four Guiding Principles privacy, choice, and innovation.’’ 20899, telephone (301) 975–2006; e-mail specify that identity solutions must be: Contribution of this NOI to the NSTIC [email protected]. Please direct media Privacy-enhancing and voluntary, implementation: Comments submitted inquires to the Director of NIST’s Office secure and resilient, interoperable, and on this Notice will serve as input for a of Public Affairs, [email protected]. cost-effective and easy to use. The Departmental report that will include a SUPPLEMENTARY INFORMATION: establishment of this steering group will summary of responses to comments on Recognizing the vital importance of be an essential component of achieving this Notice, as well as the government’s cyberspace to U.S. innovation, a successful implementation of the recommendations for the processes and prosperity, education and political and Strategy; a persistent and sustainable structure necessary for the cultural life, and the need for a trusted private sector-led steering group will establishment and maintenance of a and resilient information and maintain the rules of participating in the successful steering group. The report communications infrastructure, the Identity Ecosystem, develop and will focus on the steering group in two Administration released the Cyberspace establish accountability measures to phases: (1) The structure and functions Policy Review in May 2009. Included in promote broad adherence to these rules, of the steering group and (2) the initial this review was a near-term action to and foster the evolution of the Identity establishment of the steering group. ‘‘build a cybersecurity-based identity Ecosystem to match the evolution of This report may include management vision and strategy that cyberspace itself. recommendations for addressing addresses privacy and civil liberties The government’s role in governance structures and processes for interests, leveraging privacy-enhancing implementing the Strategy includes a variety of issues, including: technologies for the Nation.’’ The advocating for and protecting leadership, representation of Identity completion of this action is the National individuals; supporting the private Ecosystem participants; accountability Strategy for Trusted Identities in sector’s development and adoption of measures; liability issues; accreditation Cyberspace (NSTIC or ‘‘Strategy’’), the Identity Ecosystem; partnering with and certification processes; cross-sector released in April 2011. The Strategy the private sector to ensure that the and cross-industry issues; the balance of called for the creation of a National Identity Ecosystem is sufficiently self-interested and self-regulatory roles Program Office to be hosted at the interoperable, secure and privacy of steering group participants; Department of Commerce, as part of its enhancing; and being an early adopter adherence to the Guiding Principles; ongoing cybersecurity and identity of both Identity Ecosystem technologies interaction and involvement with management activities. The Department and policies. In this role, the standards development organizations intends to leverage the expertise present government must partner with the and other technical bodies; use, across many bureaus at the Department private sector to convene a wide variety development, and maintenance of a and across the U.S. Government, as well of stakeholders to facilitate consensus, trustmark scheme; the relationship of as experts in industry, academia, with a goal of ensuring that the the steering group to the Federal governments at all levels, communities Strategy’s four Guiding Principles are government; and interactions with of interest (including privacy, civil achieved. The government has an international governments and fora. liberties, and consumer advocates), and interest in promoting the rapid Request for Comment: This Notice of the general public, through a series of development of a steering group capable Inquiry seeks comment on the

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requirements of, and possible models Questions group that will uphold the Guiding for, (1) the structure and functions of the 1.1. Given the Guiding Principles Principles of the Strategy. The steering group and (2) the initial outlined in the Strategy, what should be government thus seeks comment on the establishment of the steering group. the structure of the steering group? ways in which it can be a catalyst to the Responses can include information What structures can support the establishment of the steering group. detailing the effective and ineffective technical, policy, legal, and operational There are many means by which the aspects of other governance models and aspects of the Identity Ecosystem steering group could be formed, and how they apply to governance needs of without stifling innovation? such structures generally fall into three the Identity Ecosystem, as well as 1.2. Are there broad, multi-sector broad categories: feedback specific to requirements of the examples of governance structures that (a) A new organization, organically Strategy and governance solutions for match the scale of the steering group? If formed by interested stakeholders. (b) An existing stakeholder those requirements. The questions so, what makes them successful or organization that establishes the steering below are intended to assist in framing unsuccessful? What challenges do they group as part of its activities. the issues and should not be construed face? (c) Use of government authorities, 1.3. Are there functions of the steering as a limitation on comments that parties such as the Federal Advisory Committee group listed in this Notice that should may submit. The Department invites Act (FACA), to charge a new or existing not be part of the steering group’s comment on the full range of issues that advisory panel with formulating activities? Please explain why they are may be raised by this Notice. Comments recommendations for the initial policy not essential components of Identity that contain references to studies, and technical framework for the Identity Ecosystem Governance. research and other empirical data that Ecosystem, allowing for a transition to 1.4. Are there functions that the are not widely published should be a private sector body after establishing steering group must have that are not accompanied by copies of the a sustainable Identity Ecosystem, or listed in this notice? How do your referenced materials with the submitted through the legislative process. comments, keeping in mind that all suggested governance structures allow for inclusion of these additional Questions submissions will be part of public functions? record. 2.1. How does the functioning of the 1.5. To what extent does the steering steering group relate to the method by The first section of this Notice group need to support different sectors which it was initiated? Does the scope addresses the steady-state structure of differently? of authority depend on the method? the steering group. The second section 1.6. How can the steering group What examples are there from each of addresses the process of initiating a effectively set its own policies for all the broad categories above or from other steering group that can evolve into that Identity Ecosystem participants without methods? What are the advantages or steady-state. The third and fourth risking conflict with rules set in disadvantages of different methods? sections address two fundamental regulated industries? To what extent can 2.2. While the steering group will aspects of governance both at initiation the government mitigate risks associated ultimately be private sector-led and steady-state: representation of with this complexity? regardless of how it is established, to stakeholders and international 1.7. To what extent can each of the what extent does government leadership considerations. Guiding Principles of the Strategy— of the group’s initial phase increase or interoperability, security, privacy and 1. Structure of the Steering Group decrease the likelihood of the Strategy’s ease of use—be supported without success? risking ‘‘pull through’’ 1 There are many models of governance regulation from 2.3. How can the government be most regulated participants in the Identity that perform some of the wide range of effective in accelerating the Ecosystem? functions needed to formulate and development and ultimate success of 1.8. What are the most important administer the Identity Ecosystem the Identity Ecosystem? characteristics (e.g., standards and 2.4. Do certain methods of Framework. While not all of these technical capabilities, rulemaking functions are unique to the steering establishing the steering group create authority, representational structure, greater risks to the Guiding Principles? group, few examples of governance etc.) of the steering group? cover the same breadth of the technical What measures can best mitigate those 1.9. How should the government be risks? What role can the government and economic landscape as the Identity involved in the steering group at steady Ecosystem Framework. The steering play to help to ensure the Guiding state? What are the advantages and Principles are upheld? group, therefore, has a greater risk of disadvantages of different levels of 2.5. What types of arrangements either being too small to serve its government involvement? would allow for both an initial purpose, or too large to govern 2. Steering Group Initiation government role and, if initially led by effectively. There is a full spectrum of the government, a transition to private affected economic sectors, some of In its role of supporting the private sector leadership in the steering group? which are highly-regulated and some of sector’s leadership of the Identity If possible, please give examples of such which are unregulated. The steering Ecosystem, the government’s aim is to arrangements and their positive and group will need to simultaneously accelerate establishment of a steering negative attributes. integrate the Identity Ecosystem Framework with regulatory 1 NSTIC solutions will ideally be used across all 3. Representation of Stakeholders in the requirements faced by firms in a variety industries, including both regulated and Steering Group unregulated industries. ‘‘Pull through’’ refers to the of industry sectors. At the same time, concept that when implementing an NSTIC solution Representation of all stakeholders is a the steering group needs to consider and that touches some regulated industries, individuals difficult but essential task when represent the interest of the broader or firms implementing those solutions would then stakeholders are as numerous and public in security and privacy. It is find that they are subject to the specific regulations for those industries. This could create a confusing diverse as those in the Identity imperative to find a working structure policy and legal landscape for a company looking Ecosystem. The breadth of stakeholder that accomplishes all these needs. to serve as an identity provider to all sectors. representation and the voice they have

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in policy formulation must be fair and sectors will strive to enable DATES: The meeting will be held on July transparent. The steering group must be international interoperability. In order 17 to 21, 2011. accountable to all participants in the for the United States to benefit from ADDRESSES: The meeting will be held at Identity Ecosystem, including other nations’ best practices and achieve the Holiday Inn Downtown at the Park individuals. An essential task for the international interoperability, the U.S. located at 200 South Pattee in Missoula, steering group will be to provide public and private sectors must be MT 59802. organizations or individuals who may active participants in international not be direct participants in the Identity technical and policy fora. FOR FURTHER INFORMATION CONTACT: Ecosystem, such as privacy and civil No single entity, including the Carol Hockert, Chief, NIST, Weights and liberties advocacy groups, with a Federal government, can effectively Measures Division, 100 Bureau Drive, meaningful way to have an impact on participate in every international Stop 2600, Gaithersburg, MD 20899– policy formulation. standards effort. The private sector is 2600 or by telephone (301) 975–5507 or Given the diverse, multi-sector set of already involved in many international by e-mail at [email protected]. stakeholders in the Identity Ecosystem, standards initiatives; ultimately, then, SUPPLEMENTARY INFORMATION: The representation in the steering group the international integration of the NCWM is an organization of weights must be carefully balanced. Should the Identity Ecosystem will depend in great and measures officials of the states, influence skew in any direction, part upon private sector leadership. counties, and cities, Federal agencies, stakeholders may quickly lose and private sector representatives. confidence in the ability of the steering Questions These meetings bring together group to fairly formulate solutions to the 4.1. How should the structure of the government officials and representatives variety of issues that surround the steering group address international of business, industry, trade associations, creation and governance of the Identity perspectives, standards, policies, best and consumer organizations on subjects Ecosystem. practices, etc? related to the field of weights and measures technology, administration, Question 4.2. How should the steering group coordinate with other international test methods and enforcement. NIST 3.1. What should the make-up of the entities (e.g., standards and policy attends the conference to promote steering group look like? What is the development organizations, trade uniformity among the states in laws, best way to engage organizations organizations, foreign governments)? regulations, methods, and testing playing each role in the Identity 4.3. On what international entities equipment that comprise the regulatory Ecosystem, including individuals? should the steering group focus its control of commercial weighing and 3.2. How should interested entities attention and activities? measuring devices and other trade and that do not directly participate in the 4.4. How should the steering group commerce issues. To register for this Identity Ecosystem receive meeting, please see the link ‘‘96 representation in the steering group? maximize the Identity Ecosystem’s interoperability internationally? National Conference on Weights and 3.3. What does balanced Measures’’ at http://www.ncwm.net or representation mean and how can it be 4.5. What is the Federal government’s role in promoting international http://www.nist.gov/owm which achieved? What steps can be taken contains meeting agendas, registration guard against disproportionate influence cooperation within the Identity Ecosystem? forms and information on hotel over policy formulation? reservations. 3.4. Should there be a fee for Dated: June 7, 2011. The following are brief descriptions of representatives in the steering group? Patrick Gallagher, some of the significant agenda items Are there appropriate tiered systems for Under Secretary of Commerce for Standards that will be considered along with other fees that will prevent ‘‘pricing out’’ and Technology. issues at this meeting. Comments will organizations, including individuals? [FR Doc. 2011–14702 Filed 6–13–11; 8:45 am] 3.5. Other than fees, are there other be taken on these and other issues means to maintain a governance body in BILLING CODE 3510–13–P during several public comment sessions. the long term? If possible, please give See NCWM Publication 16 (Pub 16) for information on all of the issues that will examples of existing structures and their DEPARTMENT OF COMMERCE positive and negative attributes. be considered at this meeting. At this stage, the items are proposals. The 3.6. Should all members have the National Institute of Standards and Committees will also hold work same voting rights on all issues, or Technology should voting rights be adjusted to favor sessions where they will finalize their those most impacted by a decision? National Conference on Weights and recommendations for possible adoption 3.7. How can appropriately broad Measures 2011 Annual Meeting by NCWM on July 20 to 21, 2011. The representation within the steering group Committees may withdraw or carry over be ensured? To what extent and in what AGENCY: National Institute of Standards items that need additional development. ways must the Federal government, as and Technology, Commerce. The Specifications and Tolerances well as State, local, tribal, territorial, ACTION: Notice. Committee (S&T Committee) will and foreign governments be involved at consider proposed amendments to NIST the outset? SUMMARY: The National Conference on Handbook 44, ‘‘Specifications, Weights and Measures (NCWM) 2011 Tolerances, and other Technical 4. International Annual Meeting will be held July 17 to Requirements for Weighing and Given the global nature of online 21, 2011. Publication of this notice on Measuring Devices (NIST Handbook commerce, the Identity Ecosystem the NCWM’s behalf is undertaken as a 44).’’ Those items address weighing and cannot be isolated from internationally public service. The meetings are open to measuring devices used in commercial available online services and their the public but a paid registration is applications, that is, devices that are identity solutions. Without required. See registration information in used to buy from or sell to the public compromising the Guiding Principles of the SUPPLEMENTARY INFORMATION section or used for determining the quantity of the Strategy, the public and private below. product sold among businesses.

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Items on the agenda of the NCWM in the production of some sheeting and shortages in the weight of packages of Laws and Regulations Committee (L&R bag products. Accurate density values pasta are reasonable. Committee) relate to proposals to amend are needed for use by weights and Dated: June 8, 2011. measures inspectors in enforcing laws NIST Handbook 130, ‘‘Uniform Laws Charles H. Romine, and Regulations in the area of legal that require quantity declarations to be accurate. (See also related Item 260–2 Acting Associate Director for Laboratory metrology and engine fuel quality’’ and Programs. NIST Handbook 133 ‘‘Checking the Net under NIST Handbook 133, Chapter 4.7. Contents of Packaged Goods.’’ Polyethylene Sheeting-Test Procedure— [FR Doc. 2011–14699 Filed 6–13–11; 8:45 am] Footnote to Step 3 in the complete BILLING CODE 3510–13–P NCWM Specifications and Tolerances agenda of the L&R Committee in NCWM Committee Publication 16) DEPARTMENT OF COMMERCE General Code Item 232–2. Proposed Method of Sale Regulation for Packages of Printer Ink Item 310–2 G–S.1. Identification National Oceanic and Atmospheric and Toner Cartridges—The L&R Administration (Software) Committee will consider This proposal is intended to amend recommendations to develop a proposed [RIN 0648–XA472] the identification marking requirements method of sale regulation to clarify the for all electronic devices manufactured labeling requirements for packaged Marine Mammals; Notice of Intent To after a specified date by requiring that inkjet and toner cartridges to ensure that Prepare an Environmental Impact metrological software version or consumers can make value Statement for the Atlantic Large Whale revision information be identified. comparisons. Take Reduction Plan Additionally, the proposal suggests Special Meeting Announcement: The AGENCY: National Marine Fisheries listing methods, other than Task Group on Printer Ink and Toner Service (NMFS), National Oceanic and ‘‘permanently marked,’’ for providing Cartridges will meet on Sunday, July 17, Atmospheric Administration (NOAA), the required information. 2011 from 1:30 to 4 p.m. Commerce. Item 232–4. HB 130, Method of Sale Item 310–3 G–A.6. Nonretroactive Regulation, Section 2.33. Vehicle Engine ACTION: Notice of intent (NOI) to prepare Requirements (Remanufactured Oil—The L&R Committee will consider an Environmental Impact Statement Equipment) a proposal to adopt a method of sale in (EIS); notice of public scoping meetings; This proposal is intended to clarify HB 130 related to the sale of vehicle request for comments. engine oil in conjunction with oil the intent of the 2001 NCWM position SUMMARY: NMFS announces its on the application of nonretroactive change services. (In 237–6, which is not intention to amend the Atlantic Large requirements to commercial weighing included in this notice) there is a Whale Take Reduction Plan (ALWTRP). corresponding proposal to amend the and measuring devices which have been An Environmental Impact Statement Fuels and Automotive Lubricants determined to have been (EIS) will be prepared in accordance Regulation to require detailed invoicing ‘‘remanufactured’’ after undergoing with the National Environmental Policy requirements for sales of engine oil.) repair, overhaul or renovation. This Act (NEPA), to analyze impacts to the Some oil service facilities may not proposal is intended to clarify current environment of the management deliver the brand and viscosity of oil requirements without causing undo alternatives under consideration. The that they advertise. As a result costs on device manufacturers, purpose of this action is to notify the consumers may pay for higher quality suppliers and owners. public of upcoming scoping meetings to oil than they receive. This proposed Special Meeting Announcement: A solicit public comments on ways to regulation will require sellers of oil Task Group on Retail Motor Fuel reduce the risk of serious injury or change services to provide full Dispenser (RMFD) Price Posting and mortality of right, humpback, and disclosure to consumers in a written or Computer Capability will meet from finback whales as a result of printed document that lists the brand 1:30 to 4 p.m. on Sunday, July 17, 2011 entanglement in vertical lines associated name, SAE viscosity, and other to develop criteria for possible inclusion with commercial trap/pot and gillnet information (including the oil’s service in the Liquid Measuring Device Code fisheries off the U.S. East Coast. NMFS category) of any engine oil delivered (LMD) related to price posting and requests comments on management computing capability of RMFDs to into the customer’s vehicle. The following items are proposals to options for this action. These options reflect current market practices in will form the basis of the alternatives posting fuel prices. amend NIST Handbook 133: Item 260–2. The L&R Committee will that will later be analyzed through the NCWM Laws and Regulations consider a proposal to amend Chapter EIS process. Committee 4.7. Polyethylene Sheeting-Test DATES: Written comments must be The following items are proposals to Procedure—Footnote to Step 3 to postmarked or transmitted via facsimile amend NIST Handbook 130: provide density values for use by (fax) at the appropriate address or weights and measures inspectors in number (see ADDRESSES section) no later Method of Sale of Commodities verifying the quantity statements on than 5 p.m. Eastern Standard Time on Regulation packages polyethylene sheeting and September 12, 2011. Item 232–1. Polyethylene Products, bags. The public scoping meetings will be Method of Sale Regulation Section Item 260–3. Moisture Allowance for held in July and August 2011. For 2.13.4. ‘‘Declaration of Weight.’’—The Pasta Products—The L&R Committee specific dates, times, and locations see L&R Committee will consider a proposal will consider a proposal to adopt a 3% SUPPLEMENTARY INFORMATION section. to revise the density value used to moisture allowance for macaroni, ADDRESSES: You may submit comments calculate the net weights on some noodle, and like products (pasta by any of the following methods: packages of polyethylene products. The products). This value will be used by Æ Fax: (978) 281–9394. intent of the proposal is to recognize weights and measures officials in Æ Mail: Paper, disk, or CD–ROM heavier density plastics are being used determining whether or not any comments should be sent to Mary

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Colligan, Assistant Regional risk associated with groundlines and closures, gear modification Administrator for Protected Resources, then reducing the risk associated with requirements in areas open to fixed gear National Marine Fisheries Service, 55 vertical lines in commercial trap/pot fishing, gear research to develop new Great Republic Drive, Gloucester, MA and gillnet gear. Risk reduction of modifications to current practices and/ 01930. Mark the outside of the groundline was addressed in October or fishing techniques, a right whale envelope, ‘‘Comments on the ALWTRP 2007 with the implementation of the Sighting Advisory System, and a Scoping.’’ sinking groundline requirement for all disentanglement program to free whales Æ E-mail: fisheries throughout the entire East incidentally caught in fishing gear. [email protected]. coast (72 FR 57104, October 5, 2007). Within the comment period established Copies of the background documents At the 2009 ALWTRT meeting, the by this notice (see DATES section), NMFS provided to the Atlantic Large Whale Team agreed on a schedule to develop will hold 15 public scoping meetings to Take Reduction Team (ALWTRT) in a management approach to reduce the gather public comment on the advance of the November 2010 and risk of serious injury and mortality due development and implementation of April 2011 ALWTRT meeting and to vertical line. As a result of this new management measures for the general information on the ALWTRP schedule NMFS committed to ALWTRP. publishing a final rule to address can be obtained from the ALWTRP Web Schedule of Public Scoping Meetings site at: http://www.nero.nmfs.gov/ vertical line entanglement by 2014. The whaletrp. Copies of the most recent approach for the vertical line rule will The dates, times, and locations of the marine mammal stock assessment focus on reducing the risk of vertical meetings are scheduled as follows: reports may be obtained by writing to line entanglements in high impact areas versus a wide-broad scale management 1. Monday, July 11, 2011—East Gordan Waring, NMFS, 166 Water St., Machias, ME 6–9 p.m. Woods Hole, MA 02543 or can be scheme. Using fishing gear survey data Washington Academy, 66 High Street, downloaded from the Internet at and whale sightings per unit effort East Machias, ME 04630. http://www.nmfs.noaa.gov/pr/sars/. A (SPUE) a model was developed to determine the co-occurrence of fishing document that summarizes major issues, 2. Tuesday, July 12, 2011—Ellsworth, gear density and whale density. legal requirements, and identifies ME 6–9 p.m. The ALWTRT Northeast Subgroup potential management options will also met in November 2010 and the Mid- Ellsworth City Hall (Auditorium), 1 be posted on the ALWTRP Web site on Atlantic/Southeast Subgroup met in City Hall Plaza, Ellsworth, ME 04605. or about July 1, 2011, and made April 2011 to review the co-occurrence available to the public at scoping 3. Wednesday, July 13, 2011—Rockland, model and consider its implications for ME 6–9 p.m. meetings. The above documents can an overall management strategy to also be obtained by contacting Kate address vertical line entanglements. Rockland District High School Swails, [email protected] or (978) The Team agreed NMFS should use (Auditorium), 400 Broadway, Rockland, 282–8481. the model to consider and develop ME 04841. FOR FURTHER INFORMATION CONTACT: Kate possible options to address fishery 4. Thursday, July 14, 2011—Portland, Swails, NMFS, Northeast Region, 978– interactions with large whales by ME 6–9 p.m. 282–8481; Barb Zoodsma, NMFS, reducing the potential for Southeast Region, 904–321–2806; or entanglements, minimizing adverse Portland City Hall (State of Maine Kristy Long, NMFS, Office of Protected effects if entanglements occur, and Room), 389 Congress St., Portland, ME Resources, 301–713–2322. mitigating the effects of any unavoidable 04101. SUPPLEMENTARY INFORMATION: entanglements. 5. Monday, July 18, 2011—Providence, Background Management Options RI 5:30–8:30 p.m. Large whale entanglements and This notice provides an opportunity Providence Public Library, 150 entanglements resulting in serious for public involvement. NMFS requests Empire St., Providence, RI 02903. injuries and mortalities are still comments on management options for 6. Tuesday, July 19, 2011—Plymouth, occurring; therefore, NMFS believes this action. Additionally, NMFS is MA 6–9 p.m. seeking information on the range of modifications to the ALWTRP are Plymouth Public Library (Fehlow impacts that should be considered for needed to meet the goals of the Marine Room), 132 South St., Plymouth, MA the various options. Background Mammal Protection Act (MMPA). Under 02360. the MMPA, NMFS is required to reduce documents provided to the ALWTRT the incidental mortality and serious and general public in advance of the 7. Wednesday, July 20, 2011—Chatham, injury to three strategic large whale November 2010 and April 2011 MA 6–9 p.m. stocks—the Western Stock of the North meetings are available for review (see Chatham Community Center (Large Atlantic right whales (Eubalaena ADDRESSES section). A scoping Meeting Room), 702 Main St., Chatham, glacialis), the Gulf of Maine stock of document summarizing major issues, MA 02633. humpback whales (Megaptera legal requirements, and identifying novaeangliea), and the Western North potential management options will be 8. Thursday, July 21, 2011—Gloucester, Atlantic stock of fin whales made available prior to the scoping MA 6–9 p.m. (Balaenoptera physalus)—incidentally meetings (see ADDRESSES section). NOAA Northeast Regional Office taken in commercial fisheries to below Comments received on this action will (Hearing Room A&B), 55 Great Republic the Potential Biological Removal (PBR) assist NMFS in determining the Dr., Gloucester, MA 01930. level for each stock. alternatives for rulemaking to reduce interactions of right, humpback and fin 9. Tuesday, July 26, 2011—Morehead ALWTRT whales with commercial fisheries as a City, NC 6–9 p.m. At the 2003 ALWTRT meeting, the result of vertical lines. NC Division of Marine Fisheries ALWTRT agreed to manage The ALWTRP (50 CFR 229.32) is a Central District Office, 5285 Highway 70 entanglement risk by first reducing the multi-faceted plan that includes area West, Morehead City, NC 28557.

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10. Wednesday, July 27, 2011—Virginia ACTION: Notice of SEDAR 26 Assessment NGOs; International experts; and staff of Beach, VA 6–9 p.m. Workshop for Caribbean silk snapper, Councils, Commissions, and state and Meyera E. Obendorf Central Library queen snapper and redtail parrotfish. Federal agencies. (Folio Room), 4100 Virginia Beach SUMMARY: The SEDAR assessments of SEDAR 26 Assessment Workshop Blvd., Virginia Beach, VA 23452. the Caribbean stocks of silk snapper, Schedule 11. Thursday, July 28, 2011—Ocean queen snapper and redtail parrotfish July 26–29, 2011; SEDAR 26 Assessment View DE 6–9 p.m. will consist of a series of three Workshop workshops and webinars: a Data Ocean View Town Hall (John West Workshop, an Assessment Workshop, July 26, 2011: 9 a.m.–8 p.m.; July 27– Park), 32 West Ave., Ocean View, DE and a Review Workshop. 28, 2011: 8 a.m.–8 p.m.; July 29, 2011: 19970. DATES: The Assessment Workshop will 8 a.m.–12 p.m. 12. Friday, July 29, 2011—Manahawkin, take place July 26–29, 2011. See Using datasets provided by the Data NJ 6–9 p.m. SUPPLEMENTARY INFORMATION for specific Workshop, participants will develop dates and times. population models to evaluate stock Stafford Township (Council Meeting status, estimate population benchmarks Room), 260 E. Bay Ave.. Manahawkin, ADDRESSES: The Assessment Workshop and stock status criteria, and project NJ 08050. will be held at the Wyndham Sugar Bay Resort & Spa, 6500 Estate Smith Bay, St. future conditions. Participants will 13. Monday August 22, 2011—Cape Thomas, USVI 00802; telephone: (340) recommend the most appropriate Canaveral, FL 5–8 p.m. 777–7100. methods and configurations for Cape Canaveral Public Library, 201 FOR FURTHER INFORMATION CONTACT: Julie determining stock status and estimating Polk Avenue, Cape Canaveral, FL 32920. A. Neer, SEDAR Coordinator, 4055 population parameters. Participants will Faber Place Drive, Suite 201, North prepare a workshop report, compare and 14. Tuesday August 23, 2011— Charleston, SC 29405; telephone: (843) contrast various assessment approaches, Jacksonville, FL 6–9 p.m. 571–4366. and determine whether the assessments Jacksonville Port Authority SUPPLEMENTARY INFORMATION: The Gulf are adequate for submission to the (JAXPORT), Board Room, 2831 of Mexico, South Atlantic, and review panel. Talleyrand Avenue, Jacksonville, FL Caribbean Fishery Management The established times may be 32206. Councils, in conjunction with NOAA adjusted as necessary to accommodate Fisheries and the Atlantic and Gulf the timely completion of discussion 15. Wednesday August 24, 2011— States Marine Fisheries Commissions relevant to the assessment process. Such Garden City, GA 6–9 p.m. have implemented the Southeast Data, adjustments may result in the meeting Garden City City Hall, 100 Central Assessment and Review (SEDAR) being extended from, or completed prior Avenue (at intersection of Dean Forest process, a multi-step method for to the time established by this notice. Rd. and Constantine Rd.), Garden City, determining the status of fish stocks in Special Accommodations GA 31405. the Southeast Region. SEDAR includes These meetings are physically Special Accommodations three workshops: (1) Data Workshop, (2) Stock Assessment Workshop and (3) accessible to people with disabilities. These meetings are physically Review Workshop. The product of the Requests for sign language accessible to people with disabilities. Data Workshop is a data report which interpretation or other auxiliary aids Requests for sign language compiles and evaluates potential should be directed to the Council office interpretation or other auxiliary aids datasets and recommends which (see ADDRESSES) at least 10 business should be directed to Kate Swails (978) datasets are appropriate for assessment days prior to each workshop. 282–8481. analyses. The product of the Stock Dated: June 9, 2011. Authority: 16 U.S.C. 1361 et seq. Assessment Workshop and webinars is Tracey L. Thompson, a stock assessment report which Dated: June 8, 2011. Acting Director, Office of Sustainable describes the fisheries, evaluates the Helen M. Golde, Fisheries, National Marine Fisheries Service. status of the stock, estimates biological [FR Doc. 2011–14668 Filed 6–13–11; 8:45 am] Deputy Director, Office of Protected benchmarks, projects future population Resources, National Marine Fisheries Service. BILLING CODE 3510–22–P conditions, and recommends research [FR Doc. 2011–14743 Filed 6–13–11; 8:45 am] and monitoring needs. The assessment BILLING CODE 3510–22–P is independently peer reviewed at the DEPARTMENT OF COMMERCE Review Workshop. The product of the Review Workshop is a Summary DEPARTMENT OF COMMERCE National Oceanic and Atmospheric documenting Panel opinions regarding Administration National Oceanic and Atmospheric the strengths and weaknesses of the Administration stock assessment and input data. RIN 0648–XA397 Participants for SEDAR Workshops are appointed by the Gulf of Mexico, South RIN 0648–XA492 Taking and Importing Marine Atlantic, and Caribbean Fishery Mammals; Geological and Geophysical Fisheries of the Caribbean; Southeast Management Councils and NOAA Exploration of Mineral and Energy Data, Assessment, and Review Fisheries Southeast Regional Office and Resources on the Outer Continental (SEDAR); Public Meeting Southeast Fisheries Science Center. Shelf in the Gulf of Mexico Participants include data collectors and AGENCY: National Marine Fisheries database managers; stock assessment AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and scientists, biologists, and researchers; Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), constituency representatives including Atmospheric Administration (NOAA), Commerce. fishermen, environmentalists, and Commerce.

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ACTION: Notice; receipt of revised FOR FURTHER INFORMATION CONTACT: Except with respect to certain application for Letters of Authorization; Howard Goldstein or Jolie Harrison, activities not pertinent here, the MMPA request for comments and information. Office of Protected Resources, NMFS, defines ‘‘harassment’’ as: 301–713–2289, ext. 172. ‘‘Any act of pursuit, torment, or SUMMARY: NMFS has received a revised SUPPLEMENTARY INFORMATION: annoyance which (i) Has the potential to application from the U.S. Department of injure a marine mammal or marine the Interior (DOI), Bureau of Ocean Availability mammal stock in the wild (Level A Energy Management, Regulation, and A copy of the application containing harassment); or (ii) has the potential to Enforcement (BOEMRE), formerly a list of the references used in this disturb a marine mammal or marine Minerals Management Service (MMS), document may be obtained by writing to mammal stock in the wild by causing for authorization to take marine the address specified above, telephoning disruption of behavioral patterns, mammals, by Level A and Level B the contact listed below (see FOR including, but not limited to, migration, harassment, incidental to oil and gas FURTHER INFORMATION CONTACT), or breathing, nursing, breeding, feeding, or industry sponsored seismic surveys for visiting the Internet at: http:// sheltering (Level B harassment).’’ purposes of geological and geophysical www.nmfs.noaa.gov/pr/permits/ Summary of Request (G&G) exploration on the Outer incidental.htm. Continental Shelf (OCS) in the Gulf of NMFS published a notice of receipt of Documents cited in this notice may be application for an incidental take Mexico (GOM) from approximately 2012 viewed, by appointment, during regular to 2017. Pursuant to Marine Mammal authorization from MMS, requesting business hours, at the aforementioned comments and information on taking Protection Act (MMPA) implementing address. regulations, NMFS is announcing marine mammals incidental to receipt of BOEMRE’s request for the Background conducting oil and gas exploration development and implementation of activities in the GOM, on March 3, 2003 Sections 101(a)(5)(A) and (D) of the (68 FR 9991). NMFS published a notice regulations governing the incidental MMPA (16 U.S.C. 1361 et seq.) direct taking of marine mammals and inviting of extension of comment deadline on the Secretary of Commerce (Secretary) the application in the Federal Register information, suggestions, and comments to allow, upon request, the incidental, on BOEMRE’s revised application. on April 3, 2003 (68 FR 16263). On but not intentional, taking of small November 18, 2004 (69 FR 67535), DATES: Comments and information must numbers of marine mammals of a NMFS published a notice of intent to be received no later than July 14, 2011. species or stock, by U.S. citizens who prepare an Environmental Impact ADDRESSES: Comments on the engage in a specified activity (other than Statement, notice of public meetings, application should be addressed to P. commercial fishing) within a specified and request for scoping comments, for Michael Payne, Chief, Permits, geographical region if certain findings the requested authorizations. On April Conservation, and Education Division, are made and regulations are issued, or 18, 2011, NMFS received a revised Office of Protected Resources, National if the taking is limited to harassment an complete application from the BOEMRE Marine Fisheries Service, 1315 East- Incidental Harassment Authorization requesting an authorization for the take West Highway, Silver Spring, MD (IHA) is issued. Upon making a finding of marine mammals incidental to 20910–3225. The mailbox address for that an application for incidental take is seismic surveys on the OCS in the GOM. providing e-mail comments is adequate and complete, NMFS The requested regulations would [email protected]. NMFS is not commences the incidental take establish a framework for authorizing responsible for e-mail comments sent to authorization process by publishing in incidental take in future Letters of addresses other than the one provided the Federal Register a notice of a receipt Authorization (LOA). These LOAs, if here. Comments sent via e-mail, of an application for the implementation approved, would authorize the take, by including all attachments, must not of regulations or a proposed IHA. Level A (injury) and Level B exceed a 10-megabyte file size. An authorization for the incidental (behavioral) harassment, of 21 species of Instructions: All comments received taking of small numbers of marine cetaceans (20 odontocetes and 1 are a part of the public record and will mammals shall be granted if NMFS mysticete) incidental to seismic surveys generally be posted to http:// finds that the taking during the relevant for purposes of G&G exploration on the www.nmfs.noaa.gov/pr/permits/ period will have a negligible impact on OCS in the GOM. incidental.htm without change. All the species or stock(s), will not have an BOEMRE states that underwater noise Personal Identifying Information (for unmitigable adverse impact on the associated with sound sources (i.e., example, name, address, etc.) availability of the species or stock(s) for airguns, boomers, sparkers, and voluntarily submitted by the commenter subsistence uses (where relevant). The chirpers) may expose marine mammals may be publicly accessible. Do not authorization must set forth the in the area to noise and pressure submit Confidential Business permissible methods of taking, other resulting in behavioral disturbance or Information or otherwise sensitive or means of effecting the least practicable temporary or permanent loss of hearing protected information. adverse impact on the species or sensitivity. A copy of the application containing stock(s) and its habitat, and a list of the references used in this requirements pertaining to the Specified Activities document may be obtained by writing to monitoring and reporting of such In the revised application submitted the address specified above, telephoning takings. to NMFS, BOEMRE requests the contact listed below (see FOR NMFS has defined ‘‘negligible authorization to take marine mammals, FURTHER INFORMATION CONTACT), or impact’’ in 50 CFR 216.103 as: by Level A and Level B harassment, visiting the Internet at: http:// ‘‘An impact resulting from the incidental to oil and gas industry www.nmfs.noaa.gov/pr/permits/ specified activity that cannot be sponsored seismic surveys on the OCS incidental.htm. Documents cited in this reasonably expected to, and is not in the GOM. BOEMRE defines two notice may be viewed, by appointment, reasonably likely to, adversely affect the primary categories of seismic surveys: during regular business hours, at the species or stock through effects on (1) Deep seismic (e.g., two-dimensional aforementioned address. annual rates of recruitment or survival.’’ [2D], three-dimensional [3D], wide

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azimuth surveys [WAZ]), and ocean vessels navigate in a coiled or spiral completed or recovered and then re- bottom surveys [OBS], and (2) high pattern over the area of acquisition. deployed by an ROV. resolution surveys. Deep seismic surveys (2D, 3D, or WAZ) are typically deeper penetrating High Resolution Surveys Deep Seismic Surveys than high resolution surveys and may High resolution site surveys are For 2D seismic surveys, a single also be done on leased blocks for more conducted to investigate the shallow streamer is towed behind the survey accurate identification of potential sub-surface for geohazards and soil vessel, together with a single source or reservoirs in ‘‘known’’ fields. This conditions, as well as to identify airgun array. Seismic vessels generally technology can be used in developed potential benthic biological follow a systematic pattern during a areas to identify bypassed hydrocarbon- communities (or habitats) and survey, typically a simple grid pattern bearing zones in currently producing archaeological resources in support of for 2D work with lines no closer than formations and new productive review and mitigation measures for OCS half a kilometer (km). A 2D survey may horizons near or below currently exploration and development plans. A take many months depending on the producing formations. It can also be typical operation consists of a vessel size of the geographic area. used in developed areas for reservoir towing an airgun (about 25 m behind A 3D survey uses multiple streamers monitoring and field management. the vessel) and a 600 m (1,968.5 ft) and an airgun array(s), to collect a very OBS surveys were originally designed streamer cable with a tail buoy (about large number of 2D slices, with to enable seismic surveys in congested 700 m behind the vessel). Typical minimum line separations of only 25 to areas, such as producing fields, with surveys cover one lease block, which is 30 meters (m) (82 to 98.4 feet [ft]). A 3D many platforms and production 4.8 km (3 mi) on a side. Including line survey may take many months to facilities. Autonomous nodes or cables turns, the time to survey one block is complete (e.g., 3 to 18) and involves a are deployed and retrieved by either about 2 days; however, streamer and precise definition of the survey area and vessels or remotely operated vehicles airgun deployment and other operations transects, including multiple passes to (ROVs). Nodes are becoming more may add to the total survey time. cover a given survey area. For seismic commonly used in the GOM. OBS Additional information on seismic surveys, 3D methods represent a surveys have been found to be useful for surveys for purposes of G&G exploration substantial improvement in resolution obtaining multi-component (i.e., seismic on the OCS in the GOM is contained in and useful information relative to 2D pressure, vertical, and the two the application, which is available upon methods. Most areas in the GOM horizontal motions of the water bottom, request (see ADDRESSES). previously surveyed using 2D have or seafloor) information. been, or will be surveyed using 3D. OBS surveys require the use of Information Solicited A typical 3D survey might employ a multiple vessels (i.e., usually two Interested persons may submit dual array of 18 airguns per array. The vessels for cable or node layout/pickup, information, suggestions, and comments streamer array might consist of six to one vessel for recording, one vessel for related to BOEMRE’s request (see eight parallel cables, each 3 to 12 km shooting, and two utility vessels). These ADDRESSES). All information, (1.9 to 7.5 miles [mi]) long, and spaced vessels are generally smaller than those suggestions, and comments related to 25 to 100 m (82 to 328.1 ft) apart. An used in streamer operations, and the BOEMRE’s request and NMFS’s eight streamer array used for deep water utility vessels can be very small. potential development and surveys is typically 700 m (2,296.6 ft) Operations are conducted ‘‘around the implementation of regulations wide. A series of 3D surveys collected clock’’ and begin by dropping the cables governing the incidental taking of over time (commonly referred to as four- off the back of the layout vessel or by marine mammals by the oil and gas dimensional [4D] seismic surveying) is deployment of nodal receivers by ROVs. industry’s seismic surveys will be used for reservoir monitoring and Cable length or the numbers of nodes considered by NMFS in developing, the management (i.e., the movement of oil, depend upon the survey demands; it is most effective regulations governing the gas, and water in reservoirs can be typically 4.2 km (2.6 mi), but can be up issuance of Letters of Authorization. observed over time). to 12 km. However, depending on WAZ acquisition configurations spacing and survey size, hundreds of Dated: June 8, 2011. involve multiple vessels operating nodes can be deployed and re-deployed Helen M. Golde, concurrently in a variety of source over the span of the survey. Groups of Deputy Director, Office of Protected vessel to acquisition vessel geometries. seismic detectors, usually hydrophones Resources, National Marine Fisheries Service. Several source vessels (usually two to and vertical motion geophones, are [FR Doc. 2011–14742 Filed 6–13–11; 8:45 am] four) are used in coordination with attached to the cable in intervals of 25 BILLING CODE 3510–22–P single or dual receiver vessels either in to 50 m (82 to 164 ft) or autonomous a parallel or rectangular arrangement nodes are spaced similarly. Multiple with a typical 1,200 m (3,937 ft) vessel cables/nodes are laid parallel to each DEPARTMENT OF COMMERCE spacing to maximize the azimuthal other using this layout method with a 50 quality of data acquired. It is not m interval between cables/nodes. National Telecommunications and uncommon to have sources also Typically dual airgun arrays are used on Information Administration deployed from the receiver vessels in a single source vessel. When a cable/ [Docket No. 110207099–1319–02] addition to source-only vessels. This node is no longer needed to record improves the signal-to-noise ratio and seismic data, it is picked up by the cable [RIN 0660–XA23] helps to better define the salt and sub- pickup vessel/ROV and is moved over salt structures in the deep waters of the to the next position where it is needed. The Internet Assigned Numbers GOM. Coiled (spiral) surveys are a A particular cable/node can be on the Authority (IANA) Functions further refinement of the WAZ seafloor anywhere from two hours to AGENCY: National Telecommunications acquisition of sub-salt data. These several days, depending upon operation and Information Administration, U.S. surveys can consist of a single source/ conditions. Normally a cable will be left Department of Commerce. receiver arrangement or a multi-vessel in place about 24 hr. However, nodes ACTION: Further Notice of Inquiry. operation with multi-sources where the may remain in place until the survey is

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SUMMARY: Critical to the Internet 482–4686; e-mail: [email protected]. and therefore accountability, Domain Name System (DNS) is the Please direct media inquiries to the transparency, and trust are required.4 continued performance of the Internet Office of Public Affairs, NTIA, at (202) While not specific to the questions Assigned Numbers Authority (IANA) 482–7002. asked in the NOI, most commenters functions. The IANA functions have SUPPLEMENTARY INFORMATION: Critical to stated their support for multi- historically included: (1) The the Internet DNS is the continued stakeholder, private sector-led technical coordination of the assignment of performance of the IANA functions. The coordination of the DNS.5 technical Internet protocol parameters; IANA functions have historically Some commenters expressed the view (2) the administration of certain included: (1) The coordination of the that NTIA should transition the IANA responsibilities associated with Internet assignment of technical Internet functions to ICANN.6 However, other DNS root zone management; (3) the protocol parameters; (2) the commenters did not share this view and allocation of Internet numbering administration of certain stated that no changes should be made resources; and (4) other services related responsibilities associated with Internet to the current structure of the IANA to the management of the ARPA and DNS root zone management; (3) the functions contract.7 These commenters INT top-level domains (TLDs). The allocation of Internet numbering expressed concerns about transparency Internet Corporation for Assigned resources; and (4) other services related and accountability of the current Names and Numbers (ICANN) currently to the management of the ARPA and contractor’s decision-making. Some performs the IANA functions, on behalf INT TLDs. ICANN currently performs commenters proposed a multi- of the United States Government, the IANA functions, on behalf of the through a contract with United States United States Government, through a 4 See e.g., Cisco Comments at 2 (March 28, 2011), Department of Commerce’s National contract with NTIA. The current available at http://www.ntia.doc.gov/comments/ Telecommunications and Information 110207099-1099-01/attachments/Cisco.pdf; ictQatar contract is set to expire on September Comments at 1 (March 30, 2011), available at http:// Administration (NTIA). On February 25, 30, 2011.1 www.ntia.doc.gov/comments/110207099-1099-01/ 2011, NTIA released a Notice of Inquiry NTIA issued an NOI on February 25, comment.cfm?e=D5E26B75-D14A-40C6-820F- (NOI) to obtain public comment on 2011, seeking public comment to inform 7BBD8CC07412; NetChoice Comments at 1 (March enhancing the performance of the IANA 31, 2011), available at http://www.ntia.doc.gov/ the procurement process leading to the comments/110207099-1099-01/attachments/ functions. NTIA received comments award of a new IANA functions NetChoice%20on%20IANA%20Contract.pdf; from a range of stakeholders: contract.2 The NOI requested comments Shawn Gunnarson at 7 (March 31, 2011), available Governments, private sector entities, on a detailed set of questions related to at http://www.ntia.doc.gov/comments/110207099- and individuals. After careful 1099-01/comment.cfm?e=050ECD10-F12C-47E3- enhancing the performance of the IANA AE78-793AFE1F67E0. consideration of the record, NTIA is functions. The NOI represented the first 5 See e.g., Country Code Names Supporting now seeking public comment through a comprehensive review of the IANA Organization (ccNSO) Comments at 2 (March 29, Further Notice of Inquiry (FNOI) on a functions contract since the award of 2011), available at http://www.ntia.doc.gov/ draft statement of work (Draft SOW), a comments/110207099-1099-01/attachments/ the initial contract in 2000. ACF31A.pdf; Internet Architecture Board (IAB) key element of the procurement process Comments at 2 (March 30, 2011), available at for the new IANA functions contract. Comment Summary and Policy http://www.ntia.doc.gov/comments/110207099- DATES: Comments are due on or before Discussion 1099-01/comment.cfm?e=5EBBB0ED-CBE1-44EA- July 29, 2011. NTIA received over 80 comments in 9FAF-0AFC662A1534; Internet Society (ISOC) Comments at 2 (March 30, 2011), available at http:// 3 ADDRESSES: Written comments may be response to the NOI. This summary www.ntia.doc.gov/comments/110207099-1099-01/ submitted by mail to Fiona M. identifies key issues and themes raised attachments/ISOC%20Response_ Alexander, Associate Administrator, in the docket and frames a draft Docket%20110207099-1099-01.pdf. 6 Office of International Affairs, National statement of work for which we seek See ICANN Comments at 3 (March 25, 2011), available at http://www.ntia.doc.gov/comments/ Telecommunications and Information comment in this notice. The following 110207099-1099-01/attachments/ACF2EF.pdf; Administration, U.S. Department of summary does not intend to respond to European Telecommunications Network Operators Commerce, 1401 Constitution Avenue, all the comments received in response (ETNO) Comments at 2 (March 31, 2011), available NW., Room 4701, Washington, DC to the NOI. To the extent that NTIA has at http://www.ntia.doc.gov/comments/110207099- 1099-01/comment.cfm?e=0658E8D9-D4A9-4121- 20230. Comments may be submitted included specific language in the Draft B7D9-4E26A9587859; Minds and Machines electronically to SOW to address a comment, NTIA Comments at 1 (March 31, 2011), available at [email protected]. provides a brief explanation of its policy http://www.ntia.doc.gov/comments/110207099- Comments provided via electronic mail rationale. 1099-01/comment.cfm?e=994F7CBE-F46D-45B8- 82E1-BABCAE6046A2. should be submitted in a text searchable General Comments 7 See Canadian Internet Registration Authority format using one of the following: PDF (CIRA) Comments at 1 (March 31, 2011), available print-to-PDF format, and not in a Some commenters stated that the at http://www.ntia.doc.gov/comments/110207099- scanned format, HTML, ASCII, MSWord IANA functions are performed for the 1099-01/comment.cfm?e=68F1E2E0-5671-4F26- benefit of the global Internet community 9770-1701FD41BBE2, Coalition for Online or WordPerfect format (please specify Accountability (COA) Comments at 2 (March 31, version). Comments will be posted to 2011), available at http://www.ntia.doc.gov/ NTIA’s Web site at http://www.ntia.doc. 1 The current contract has an option to extend the comments/110207099-1099-01/comment.cfm?e= gov/ntiahome/domainname/IANA performance period for an additional six months. If 68F1E2E0-5671-4F26-9770-1701FD41BBE2; necessary, NTIA will exercise this option in order International Trade Mark Association (INTA) FunctionsFNOI.html. to complete the contract procurement process. The Comments at 3 (March 31, 2011), available at FOR FURTHER INFORMATION CONTACT: For current contract is available on NTIA’s Web site at http://www.ntia.doc.gov/comments/110207099- questions about this FNOI contact: http://www.ntia.doc.gov/ntiahome/domainname/ 1099-01/attachments/Comments%20of%20the%20 iana.htm. International%20Trademark%20 Vernita D. Harris, Deputy Associate 2 Notice of Inquiry, Request for Comments on the Association%20%28INTA%29.pdf; Tech Freedom Administrator, Office of International Internet Assigned Numbers Authority (IANA) Comments at 2 (April 1, 2011), available at Affairs, National Telecommunications Functions, 76 FR 10569 (Feb. 25, 2011), available http://www.ntia.doc.gov/comments/110207099- and Information Administration, U.S. at http://www.ntia.doc.gov/frnotices/2011/ 1099-01/attachments/ fr_ianafunctionsnoi_02252011.pdf. IANA%20NOI%20Comments%20-Final.pdf; PayPal Department of Commerce, 1401 3 The comments in their entirety are available for Comments at 1 (March 31, 2011), available at http:// Constitution Avenue, NW., Room 4701, review on the NTIA’s Web site at http:// www.ntia.doc.gov/comments/110207099-1099-01/ Washington, DC 20230; telephone: (202) www.ntia.doc.gov/comments/110207099-1099-01/. attachments/PayPal-NTIA-Response.pdf.

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stakeholder group be established to with this FNOI, NTIA reiterates that it commenters emphasized the need for manage the IANA functions without the is not in discussions with ICANN to keeping the functions together to ensure involvement of NTIA.8 Other transition the IANA functions nor does Internet stability and security, to commenters suggested the IANA the agency intend to undertake such capture the synergy and Functions Operator should become an discussions.11 interdependencies between the independent organization.9 NTIA does not have the legal functions, and to obtain the benefits of Commenters also expressed their authority to enter into a cooperative economies of scale and efficiency by views on the current contractual agreement with any organization, operating the functions together.14 framework. Some commenters suggested including ICANN, for the performance Other commenters supported separating that the IANA functions contract be of the IANA functions.12 In addition, the functions, citing the absence of any transitioned to a Cooperative NTIA does not view the previously underlying technical or critical Internet Agreement. Some commenters raised awarded IANA functions contracts as security or stability reason for keeping concerns that short-term contracts create short-term contracts. Typical contracts them together.15 Other commenters instability in the IANA functions are for one year, while the previous opposed the current contractor’s role in process and would prefer to see longer IANA functions contracts had terms, INT and ARPA TLD registry operations, contracts. once options were exercised, of five noting that such registry operations are NTIA Response: As stated in the NOI, years. in conflict with ICANN’s bylaws.16 NTIA is committed to the multi- Question 1: The IANA functions have These commenters believed a plan stakeholder process as an essential should be put in place to separate the strategy for dealing with Internet policy been viewed historically as a set of interdependent technical functions and management of INT and ARPA TLDs issues. However, there is a need to from the IANA functions contract.17 address how all stakeholders, including accordingly performed together by a single entity. In light of technology However, some commenters noted the governments collectively, can operate interdependency of the ARPA TLD with within the paradigm of a multi- changes and market developments, should the IANA functions continue to the other IANA functions such as stakeholder environment and be protocol parameters (e.g., URI.ARPA) as satisfied that their interests are being be treated as interdependent? For example, does the coordination of the well as address related information (e.g., adequately addressed. Resolving this IN–ADDR.ARPA, IP6.ARPA).18 These issue is critical to a strong multi- assignment of technical protocol parameters need to be done by the same commenters do not believe the ARPA stakeholder model and to ensure the TLD should be separated from the other entity that administers certain long-term political sustainability of an IANA functions.19 A number of responsibilities associated with root Internet that supports the free flow of commenters stated that separation of the zone management? Please provide information, goods, and services. IANA functions must be approached specific information to support why or NTIA’s continued commitment to with caution and consultation.20 why not, taking into account security openness and transparency and the Further, commenters stated that if the multi-stakeholder model is evidenced and stability issues. by the manner in which it is proceeding Commenters were divided on whether 2 (March 31, 2011), available at http:// with this procurement. the IANA functions should be www.ntia.doc.gov/comments/110207099-1099-01/ Given the Internet’s importance to the separated. Some commenters opposed comment.cfm?e=519C0531-4C81-4761-9FCC- world economy, it is essential that the 9AF8D47BC69C. the idea of splitting the IANA functions 14 See IAB Comments at 1; ICANN Comments at underlying DNS of the Internet remain and having the functions managed by 8; ictQatar Comments at 1; UAE Comments at 5. stable and secure. Consistent with the separate organizations.13 These 15 See Internet New Zealand (InternetNZ) 2005 U.S. Principles on the Internet’s Comments at 3 (March 30, 2011), available at http:// Domain Name and Addressing System, 11 In 2008, NTIA sent a letter to ICANN stressing www.ntia.doc.gov/comments/110207099-1099-01/ that the United States Government, while open to attachments/NTIA%20Submission%20- the United States is committed to %20IANA%20NOI.pdf; Bill Manning Comments at maintaining its historic role and will operational efficiency measures that address governments’ legitimate public policy and 1 (March 11, 2011), available at http:// take no action that would adversely sovereignty concerns with respect to the www.ntia.doc.gov/comments/110207099-1099-01/ impact the effective and efficient management of their country code top-level comment.cfm?e=8B430831-4634-4A6B-845B- operation of the DNS.10 In addition, domains, ‘‘has no plans to transition management 97673CD97842. of the authoritative root zone file to ICANN.’’ Letter 16 See Bill Manning Comments at 1; Tech Freedom Comments at 8. 8 from Meredith Baker, Acting Assistant Secretary for See China Internet Network Information Center Communications and Information, U.S. Department 17 See Christopher Wilkinson Comments at 2 (CNNIC) Comments at 2 (March 31, 2011), available of Commerce, to Peter Dengate-Thrush, ICANN (March 30, 2011), available at http:// at http://www.ntia.doc.gov/comments/110207099- Chairman of the Board (July 30, 2008), available at www.ntia.doc.gov/comments/110207099-1099-01/ 1099-01/comment.cfm?e=3A835CB9-68ED-4ABF- http://www.ntia.doc.gov/comments/2008/ attachments/NTIA_IANA_NOI_2.pdf; Jean-Jacques A376-7A4FF0F430A6; Kenya Comments at 2 ICANN_080730.html. Subrenat, Beau Brendler, and Eric Brunner- (March 31, 2011), available at http:// 12 Williams Comments at 7 (March 31, 2011), available www.ntia.doc.gov/comments/110207099-1099-01/ Cooperative agreements are a form of Federal at http://www.ntia.doc.gov/comments/110207099- attachments/ financial assistance. Federal agencies are required 1099-01/comment.cfm?e=E17DCD8A-B324-4979- Kenya%20comments%20on%20Notice%20 to have specific legislative authority to make 9359-4FA67E9429D5; NetChoice Comments at 3; of%20Inquiry%20by%20NTIA%20on%20IANA Federal financial assistance awards. NTIA does not Tech Freedom Comments at 9. %20Contract%20v4.pdf; United Arab Emirates have specific legislative authority to make Federal 18 (UAE) Comments at 3 (March 31, 2011), available financial assistance awards in the area of Internet See Cisco Comments at 4; IAB Comments at 4; at http://www.ntia.doc.gov/comments/110207099- domain name services. Federal agencies, however, Netnod Comments at 2 (March 31, 2011), available 1099-01/comment.cfm?e=9342F887-C549-4A01- have inherent authority to procure goods and at http://www.ntia.doc.gov/comments/110207099- AB56-D50F1C7460DF. services. Thus, NTIA and previously the Defense 1099-01/comment.cfm?e=7EEEB455-7C85-4B20- 9 See e.g., Internet Governance Capacity Building Advanced Research Projects Agency have been able B7A4-13ECE382F210. (IGCBP) 2011 Comments at 1 (March 31, 2011), to obtain the performance of the IANA functions 19 See Cisco Comments at 4; IAB Comments at 4; available at http://www.ntia.doc.gov/comments/ under contract since the 1970s. Netnod Comments at 2. 110207099-1099-01/comment.cfm?e=AB73A9F5- 13 See IAB Comments at 1; ccNSO Comments at 20 See ccNSO Comments at 1; Hong Kong Internet 4283-4783-9E10-D547EE1D9179. 1; ISOC Comments at 2; SIDN Comments at 3 (April Registration Corporation Ltd (HKIRC) Comments at 10 In 2005, NTIA issued a statement of U.S. 1, 2011), available at http://www.ntia.doc.gov/ 1 (March 31, 2011), available at http:// Principles on the Internet’s Domain Name and comments/110207099-1099-01/attachments/ www.ntia.doc.gov/comments/110207099-1099-01/ Addressing System, available at www.ntia.doc.gov/ SIDN%20position%20NTIA%20NoI%20IANA%20 attachments/HKIRC%20Response%20to ntiahome/domainname/ March%202011.pdf; ICANN Comments at 8; The %20NTIA%20NoI USDNSprinciples_06302005.pdf. Number Resource Organization (NRO) Comments at %20on%20IANA%20functions.pdf.

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IANA functions were to be performed Commenters noted that any reference, if were of the view that the introduction by a different entity or separated, it included, needs to be able to evolve as of new gTLDs should be carried out in would be important to clearly articulate, the Internet multi-stakeholder model the interest and for the benefit of the and build in sufficient time, for the evolves.23 Some commenters stated that global Internet community.26 If a community and all involved the IANA functions contractor should conflict arose with regard to public organizations to understand the change not be involved in policy development policy issues arising from specific gTLD in order to avoid user confusion, deliver discussions and suggested that the proposals, some commenters asserted improvements to service efficiencies, IANA functions contract recognize the that ICANN’s Government Advisory and react appropriately.21 distinction between acting in Committee (GAC) should provide NTIA Response: NTIA concludes that accordance with versus developing input.27 Some commenters stated that these three core functions should policy for each discrete IANA ICANN’s Country Code Names remain bundled for now and be function.24 Supporting Organization (ccNSO), performed by a single entity. In reaching NTIA Response: NTIA recognizes that ccTLD operators/managers, ICANN’s this conclusion, we give substantial the IANA functions contractor, in the Generic Names Supporting Organization weight to the fact that the entities that performance of its duties, requires close (GNSO) and the GAC should develop could most likely independently constructive working relationships with policies and procedures related to perform any of the functions, if all interested and affected parties if it is ccTLDs, IDN ccTLDs, and gTLDs and unbundled, support keeping the to ensure quality performance of the not the IANA functions contractor.28 In functions together. NTIA also agrees IANA functions. NTIA agrees with fact, when determining matters with those commenters that stated there suggestions by commenters that there regarding delegation and redelegation of is an associative relationship between must be functional separation between domain names, some commenters the ARPA TLD and the protocol the processing of the IANA functions recommended that no decision should parameter and Internet numbering and the development of associated resources. Therefore, the management of policies. As such, the Draft SOW be made without the consultation with or consent of GAC, ccNSO, and/or the ARPA TLD will continue to be includes paragraph C.2.2.1.1, which 29 bundled with the IANA functions. requires that all staff dedicated to relevant ccTLD operators. Many NTIA, however, sees merit in further executing the IANA functions remain comments focused on the lack of exploring separating the management of separate and removed from any policy consistency in the current delegation the INT TLD from the IANA functions development that occurs related to the and redelegation process and 30 contract, and have included in the Draft performance of the IANA functions. procedures. The NOI record reflects SOW at paragraph C.2.2.1.5.2 language support for the ccNSO’s ongoing Question 3: Cognizant of concerns to provide a process for doing so. NTIA development of a ‘‘Framework of previously raised by some governments 31 will conduct a public consultation next Interpretation’’ process that would and CCTLD operators and the need to year to see how best to transition the provide guidance to the IANA functions ensure the stability of and security of INT TLD. contractor on how to interpret the range the DNS, are there changes that could of policies, guidelines, and procedures Question 2: The performance of the be made to how root zone management relating to the delegations and IANA functions often relies upon the requests for CCTLDS are processed? redelegations of ccTLDs.32 Another policies and procedures developed by a Please provide specific information as variety of entities within the internet to why or why not. If yes, please BBA8B19991C8; InternetNZ Comments at 2; Federal technical community such as the IETF, provide specific suggestions. Office of Communications (OFCOM) and SWITCH the RIRS and CCTLD operators. Should Commenters provided comments on Comments at 4 (March 31, 2011), available at http:// the IANA functions contract include www.ntia.doc.gov/comments/110207099-1099-01/ the root zone management process attachments/Response-NTIA-IANA-NoI- references to these entities, the policies related to country code top-level _ _ they develop and instructions that the 2011 31113 05.pdf; Tech Freedom Comments at 7. domains (ccTLDs), including 26 See Dmitry Burkov Comments at 1; COA contractor follow the policies? Please Internationalized Domain Name ccTLD Comments at 2. provide specific information as to why (IDN ccTLDs), as well as generic TLDs 27 See Google Comments at 4 (March 31, 2011), or why not. If yes, please provide available at http://www.ntia.doc.gov/comments/ (gTLDs). The comments were diverse, 110207099-1099-01/comment.cfm?e=A3F206A1- language you believe accurately but contained a few common themes. captures these relationships. CDE5-4F2D-BC50-E0FCF9DF384C. One common theme related to how and 28 See Asia Pacific Top Level Domain Association Some commenters believe it who developed policies and procedures (APTLD) Comments at 1 (March 31, 2011), available appropriate to reference the entities and at http://www.ntia.doc.gov/comments/110207099- affecting ccTLDs, IDN ccTLDs, and 1099-01/comment.cfm?e=FFB3621F-CC64-4E33- 25 relevant stakeholders responsible for the gTLDs. In addition some commenters 92E9-0CF7920BF8DA; InternetNZ at 4; OFCOM and development of policies and procedures SWITCH Comments at 4. related to the IANA functions in the comments/110207099-1099-01/ 29 See Ken-Ying Tseng Lee and Li Comments at IANA functions contract. Commenters comment.cfm?e=0922CC0D-62FF-4A91-90A8- 1 (March 29, 2011), available at http:// that supported this approach also C87C8CFA9527; ISOC Comments at 3. www.ntia.doc.gov/comments/110207099-1099-01/ 23 comment.cfm?e=D6DDA78C-3994-4492-A46B- expressed caution that referencing other See ictQatar Comments at 2. 24 See Coalition Against Domain Name Abuse 9486A5B10798. entities and stakeholders could be (CADNA) at 2 (March 31, 2011), available at http:// 30 ccNSO Comments at 3; InternetNZ Comments perceived as expanding the scope of the www.ntia.doc.gov/comments/110207099-1099-01/ at 3; Nominet Comments at 2 (March 30, 2011), IANA functions and lead to the comment.cfm?e=0EF012AA-6B7D-4DAC-8E2A- available at http://www.ntia.doc.gov/comments/ 8C871A182CC7; IAB Comments at 5; InternetNZ 110207099-1099-01/comment.cfm?e=46E70603- contractor asserting unnecessary 6139-4106-B74E-CBDB5C66A7BE; SIDN Comments 22 Comments at 2; Internet Governance Project authority over those stakeholders. Comments at 1 (March 31, 2011), available at http:// at 3. www.ntia.doc.gov/comments/110207099-1099-01/ 31 For more information on the ccNSO 21 See ISOC Comments at 2; Paul Kane Comments comment.cfm?e=A9CC728A-75A7-4898-AA66- Framework, see Charter FoI WG (Adopted 16 March at 2 (March 30, 2011), available at http:// 70B6B3656CDD. 2011), available at http://ccnso.icann.org/ www.ntia.doc.gov/comments/110207099-1099-01/ 25 See ccNSO Comments at 1; Fahd A. Batayneh workinggroups/charter-foiwg-16mar11-en.pdf. attachments/IANA-NoI.pdf. Comments at 1 (April 1, 2011), available at http:// 32 See ccNSO Comments at 2; ICANN Comments 22 See Dmitry Burkov Comments at 1 (March 26, www.ntia.doc.gov/comments/110207099-1099-01/ at 11; ISOC Comments at 3; InternetNZ Comments 2011), available at http://www.ntia.doc.gov/ comment.cfm?e=34B162CD-1B19-470F-B257- at 3; Nominet Comments at 2.

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theme focused on automating root zone includes a paragraph C.2.2.1.1 that C.5.2 (Root Zone Management Audit management processes. Some requires that all staff dedicated to Data), which requires that the contractor commenters addressed the need for full executing the IANA functions remain generate a monthly audit report to track automation and development of audit separate and removed from any policy each root zone change request and trails in the root zone management development that occurs related to the include the identification of the policy process.33 For some commenters, full performance of the IANA functions. under which the changes were made. automation is an automatic, secure, and NTIA also supports commenters’ Question 4: Broad performance metrics authenticated process that allows root views that it is critical that the and reporting are currently required zone changes to be made directly by the introduction of individual new gTLDs under the contract. Are the current Registry Managers.34 Commenters stated reflects community consensus among metrics and reporting requirements that automating the root zone relevant stakeholders and is in the sufficient? Please provide specific management process must be a priority global public interest. As such, the Draft information as to why or why not. If for all three root zone management SOW includes, in paragraph C.2.2.1.3.2, not, what specific changes should be partners.35 This was emphasized in a requirement that delegation requests made? 36 particular due to the impending for new gTLDs include documentation expansion of gTLDs. demonstrating how the string proposed Transparency was a major theme NTIA Response: NTIA recognizes that reflects consensus among relevant raised in the responses to this question. policies, technical standards, and stakeholders and is supportive of the Some comments called for complete procedures related to each of the IANA global public interest. transparency in the IANA functions functions are developed outside the NTIA likewise supports commenters’ process. Commenters suggested that purview of the IANA functions contract views that the IANA functions relevant stakeholders develop and should be implemented. Since these contractor be required to document the performance metrics for each discrete policies affect a critical part of the source of relevant policies and IANA function and that performance Internet infrastructure, NTIA believes procedures when processing requests results be published monthly.37 Some that these policies must be clear and for delegation and redelegation of a TLD suggested that the performance metrics concise to allow the IANA functions in such a manner to be consistent with for root zone management include: the contractor to operate in accordance with relevant national laws of the jurisdiction number of change requests, the number the policies developed by the relevant which the registry serves. The Draft of requests declined due to stakeholders. To address this concern SOW addresses this issue in paragraph noncompliance, and a report on the Draft SOW includes a new C.2.2.1.3.2, which requires the statistics for global deployment of IPv6 paragraph C.2.2.1.3.2 (Responsibility to contractor to act in accordance with the and DNSSEC.38 Some commenters and Respect of Stakeholders) that relevant national laws of the jurisdiction noted the absence of Service Level requires the contractor, in consultation which the TLD registry serves. Agreements (SLAs), especially for the with all relevant stakeholders, to NTIA notes that, while not directly root zone management and IP develop a process for documenting the stated by commenters, the technical addressing functions and suggested that source of the policies and procedures process for deploying TLDs in the root SLAs be developed in collaboration and how it has applied the relevant zone is the same for ccTLDs and gTLDs. with the communities they serve.39 policies and procedures in processing NTIA agrees with commenters that Commenters suggested that SLAs could all TLD requests. automating the root zone management include framework parameters, service In addition, NTIA agrees with process must be a priority especially levels, and responsibilities relating to commenters that there has been a lack with the increased workload associated root zone management.40 Some of clarity in delegation and redelegation with the introduction of new gTLDs. In commenters stated that root zone policies, process, and procedures. NTIA the third quarter of 2011, the current management documentation should be fully supports the work of the ccNSO’s root zone management partners will published in all six United Nations’ development of a ‘‘Framework of launch the Root Zone Management languages.41 The NOI record reflects Interpretation’’ process and believes this System (RZMs). RZMs is intended to some commenters’ concern regarding process will in the future provide much automate some aspects of the process needed guidance to the IANA functions that are currently performed manually. 36 Commenters believed that Questions 2, 3, 4, contractor when processing delegation This should improve the overall and 5 were closely related. See e.g., ccNSO processing time and current accuracy of Comments at 4; CENTR Comments at 3. and redelegation requests for ccTLDs. 37 See ARIN Comments at 3–4 (March 31, 2011), Furthermore, NTIA agrees with the root zone management function. As available at http://www.ntia.doc.gov/comments/ commenters that the inconsistencies in identified and recommended by a 110207099-1099-01/comment.cfm?e=9BEFA8A5- delegation and redelegation policies number of commenters, the Draft SOW 655F-4AE5-95AA-66BED9A9F2C4; ccNSO Comments at 4; ISOC Comments at 4; SIDN might not have occurred if there had includes paragraph C.2.2.1.3.3 (Root Comments at 5. been functional separation between Zone Automation), which requires a 38 See Hutchinson Comments at 1 (March 31, execution of the IANA functions and the minimum set of automated functions for 2011), available at http://www.ntia.doc.gov/ associated policy development a root zone automation system. NTIA comments/110207099-1099-01/attachments/ processes. To address this issue, as believes this modification will address NTIA%20NOI%20on%20IANA.pdf. 39 See ARIN Comments at 3; ccNSO Comments at previously noted, the Draft SOW commenters’ concerns regarding secure 4; CNNIC at 1; InternetNZ Comments at 5; Kenya communications as well. While the Comments at 3; SIDN Comments at 5. 33 ccNSO Comments at 3; InternetNZ Comments Draft SOW does not require full 40 See ccNSO Comments at 4; SIDN Comments at at 3; Nominet Comments at 2; SIDN Comments at automation of the root zone 5. 3. 41 See ALAC Comments at 7 (March 31, 2011), 34 CENTR Comments at 8 (March 31, 2011), management process, NTIA plans to available at http://www.ntia.doc.gov/comments/ available at http://www.ntia.doc.gov/comments/ conduct public consultation next year to 110207099-1099-01/comment.cfm?e=7669299A- 110207099-1099-01/comment.cfm?e=77DDAEE0- ascertain how best to fully automate the 100A-4A45-AEC7-E236AA41E643; AFNIC C79B-4E78-A706-FEC09F89DE78; Paul Kane root zone management process. Comments at 3 (March 31, 2011), available at Comments at 3; AFNIC Comments at 3. As for the requirement of audit trails http://www.ntia.doc.gov/comments/110207099- 35 ccNSO Comments at 3; InternetNZ Comments 1099-01/comment.cfm?e=513BA51F-85C2-43BD- at 3; Nominet Comments at 2; SIDN Comments at identified by commenters, the Draft B6EB-E50F5DC724BD; CENTR Comments at 3; 3. SOW now includes a new paragraph Kenya at 3.

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the unknown operational costs of review the contractor’s accounting data guidance such as RFC 1591, ICP–1 and coordinating the IANA functions. Some to ensure that these requirements are the GAC ccTLD Principles and publish commenters stated that more detailed met. information that documents the root and open financial reports for the IANA The NOI record reflects a zone change request process.48 functions are necessary.42 These recommendation that the IANA Commenters suggested that the IANA commenters recommended the IANA functions contractor be required to functions contractor should better functions contractor be required to gather and report on statistics regarding respect national sovereignty as it relates develop a process for tracking costs.43 global IPv6 and DNSSEC deployment. to ccTLDs, including the legitimate NTIA Response: NTIA agrees with NTIA has not included this as a interests of governments, the local commenters that there should be requirement in the Draft SOW because Internet communities, and the primacy transparency and accountability in the it is not clear whether there is of national laws, which have been performance of the IANA functions. consensus to include this as a new clearly stated by the GAC in its ccTLD NTIA supports commenters’ views that requirement of the IANA functions Principles, and the 2005 U.S. Principles the IANA functions contractor should contract or rather whether this is a on the Internet’s Domain Name and meet certain performance standards for matter for which the community seeks Addressing System.49 Some each discrete IANA function and that additional information through ICANN. commenters also expressed an interest these performance standards and NTIA asks specific questions on this in an annual or biennial survey of the metrics should be developed in issue below as part of this FNOI to IANA functions customers to determine conjunction with the relevant obtain clarification. customer satisfaction.50 The NOI record stakeholders for these services. NTIA, reflects commenters’ concern whether Question 5: Can process improvements however, does not support the ICANN will implement the new gTLD or performance enhancements be made development of specific SLAs with each program in the interest and for the to the IANA functions contract to better stakeholder or groups of stakeholders. benefit of global Internet users, and if reflect the needs of users of the IANA Given that the IANA functions are there are checks and balances on root functions to improve the overall performed under contract with the U.S. zone changes to ensure the security and customer experience? Should Government, such agreements would be stability of the DNS.51 mechanisms be employed to provide subject to government procurement laws NTIA Response: NTIA agrees with formalized user input and/or feedback, and regulations. NTIA believes that the statements made by commenters that outreach and coordination with the concerns expressed by commenters can the root zone management process users of the IANA functions? Is be addressed without the formality of should be more transparent to the users additional information related to the such agreements. Accordingly, NTIA of the IANA functions. As a result, performance and administration of the provides language in paragraphs paragraph C.4.2 (Root Zone IANA functions needed in the interest C.2.2.1.2, C.2.2.1.3, C.2.2.1.4 and Management Dashboard) of the draft of more transparency? Please provide C.2.2.1.5 of the Draft SOW to require SOW requires the IANA functions specific information as to why or why that the IANA functions contractor contractor to work with NTIA and not. If yes, please provide specific develop performance standards and VeriSign to collaborate in the suggestions. metrics for each discrete IANA development and implementation of a functions in consultation with the The NOI record demonstrates the dashboard to track the process flow for relevant stakeholders. need for transparency in the root zone root zone management. The United The IANA functions contract has management process.44 Commenters States fully supports the fact that traditionally been performed at no cost stated that the root zone management governments have a legitimate interest to the United States Government. Under process should be more open and in the management of their ccTLDs. The the current contract, the contractor may transparent and include reporting on all United States is committed to working establish and collect fees from third root zone management partners’ with the international community to parties to cover the costs of its activities.45 For example, commenters address these concerns, bearing in mind performance of the IANA functions. The would like to see real time status of the fundamental need to ensure stability fees must be fair and equitable, and in every root zone change request all the and security of the Internet DNS. As the aggregate, cannot exceed the cost of way through the process. This would stated earlier, NTIA plans to conduct providing the services. The Government include action taken at any given stage public consultation next year to has reserved the right to review the of the process flow for root zone ascertain how best to fully automate the contractor’s accounting data at any time management.46 Some commenters root zone management process. fees are charged to verify that these stated there should be a process for NTIA supports the need for conditions are being met. ccTLDs to appeal root management zone accountability with respect to root zone The U.S. Government cannot require decisions made by the IANA functions management decisions. Accordingly, as a contractor to release information to the contractor, in the event it does not discussed above, NTIA has included public that it considers to be business follow existing and documented provisions in the draft SOW at confidential and/or proprietary, which policies.47 They also noted the need for paragraph C.2.2.1.3.5 that requires the may include its costs for the provision the IANA functions contractor to IANA functions contractor to establish a of service. It can, however, ensure that consistently interpret broad policy process that would allow customers to any fees charged are reasonable and submit complaints regarding the root cost-based. Accordingly, it is NTIA’s 44 See ARIN Comments at 3–4; ccNSO Comments intention to award any future contract at 4; ISOC Comments at 4; SIDN Comments at 5. 48 See ccNSO Comments at 5; CENTER Comments with the same requirements that all fees 45 See ARIN Comments at 3–4; ccNSO Comments at 2; Kenya Comments at 2; SIDN Comments at 5; at 4; ISOC Comments at 4; SIDN Comments at 5. OFCOM and SWITCH Comments at 5. are fair and equitable, and the right to 46 For a description of the current process flow, 49 See ccNSO Comments at 5; SIDN Comments at please see the diagram posted on NTIA’s Web site 5; Paul Kane Comments at 4. 42 See AFNIC Comments at 3; CENTR Comments at http://www.ntia.doc.gov/DNS/ 50 See InternetNZ Comments at 7; ccNSO at 3; Netnod Comments at 3. CurrentProcessFlow.pdf. Comments at 4. 43 See AFNIC Comments at 3; CENTR Comments 47 See ccNSO Comments at 4; AFNIC Comments 51 See Dmitry Burkov Comments at 1; COA at 3; Netnod Comments at 3. at 2. Comments at 2; Netchoice Comments at 4.

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zone management process for benchmarking; the results of these NTIA will incorporate it into the resolution. reviews should be made public within procurement process for the IANA Lastly, NTIA agrees with commenters a specified timeframe to allow for any functions contract. that the new gTLD program must benefit corrective measures to be taken; a C.1 Background the global Internet users and not published disaster recovery plan for the jeopardize the security and stability of operator that is regularly consulted C.1.1 The U.S. Department of the DNS. Accordingly, the draft SOW upon; a documented emergency process Commerce (DoC), National includes paragraph C.2.2.1.3.2 for customers to follow if they are Telecommunications and Information (Responsibility and Respect for experiencing an emergency, which Administration (NTIA) has initiated this Stakeholders) that provides checks and includes private emergency contact agreement to maintain the continuity balances for TLD root zone management numbers for the operator to be contacted and stability of services related to changes, to ensure the continued on.’’ 56 certain interdependent Internet stability and security of the DNS. NTIA Response: NTIA agrees with technical management functions, known commenters that the IANA functions collectively as the Internet Assigned Question 6: Should additional security contractor needs to be able to Numbers Authority (IANA). considerations and/or enhancements be communicate with service recipients in C.1.2 Initially, these interdependent factored into requirements for the a secure and confidential manner. NTIA technical functions were performed on performance of the IANA functions? notes, however, that the IANA functions behalf of the Government under a Please provide specific information as contractor needs to have some flexibility contract between the Defense Advanced to why or why not. If additional in the manner in which it secures Research Projects Agency (DARPA) and security considerations should be communications to accommodate the the University of Southern California included, please provide specific needs and capabilities of all service (USC), as part of a research project suggestions. recipients. Accordingly, the paragraph known as the Tera-node Network With respect to root zone C.3 (Security Requirements) requires the Technology (TNT). As the TNT project management, some commenters IANA functions contractor to implement neared completion and the DARPA/USC recommended the IANA functions a secure communications system and contract neared expiration in 1999, the contractor utilize a secure data storage system. NTIA considers the Government recognized the need for the communications system for customer designation of a qualified Director of continued performance of the IANA communications that would include the Security as key personnel and is an functions as vital to the stability and following: better authentication essential component of the Contractor’s correct functioning of the Internet. processes for the receipt and ability to provide secure data services. C.1.3 The Government management of change requests, a As a result, in paragraph C.3.5, NTIA acknowledges that data submitted by process for issuing confirmations, will require the Contractor to designate applicants in connection with the IANA moving from open online forms to a Director of Security and consult with functions is confidential information. signed and secure mechanisms, better NTIA on any changes in this critical To the extent permitted by law, the availability of information related to position. During the procurement Government shall accord any data root zone management such as outages, process, NTIA will also require the submitted by applicants in connection and more notice of planned identification of this key personnel and with the IANA functions with the same maintenance or new developments.52 a demonstration of their qualifications degree of care as it uses to protect its Some commenters recommended that for the position prior to contract award. own confidential information, but not the next IANA functions contract NTIA supports commenters’ less than reasonable care, to prevent the include a requirement that the recommendations that the IANA unauthorized use, disclosure, or performance of the IANA functions functions contractor work with the publication of confidential information. undergo a security audit annually by relevant community of each discrete In providing data that is subject to such external, independent, specialized IANA function to develop a a confidentiality obligation to the auditors against relevant international Contingency and Continuity of Government, the Contractor shall advise standards such as ISO 27001.53 Operations Plan (CCOP). Therefore, the the Government of that obligation. Commenters also expressed concern Draft SOW contains paragraph C.3.6 C.1.4 The Contractor, in the with describing in detail security (Contingency and Continuity of performance of its duties, has a need to considerations and/or enhancements in Operations Plan) to include this have close constructive working the IANA functions contract.54 Some requirement. relationships with all interested and commenters recommended that, at a NTIA also agrees with the affected parties including to ensure minimum, that the contract employ best recommendation that the performance quality performance of the IANA practices in information security to of the IANA functions undergo an functions. The interested and affected ensure the protection of data and annual security audit by an external, parties include, but are not limited to, security and stability of its operations.55 independent specialized compliance the Internet Engineering Task Force One commenter recommended the auditor against relevant international (IETF) and the Internet Architecture following be included in the next IANA standards such as ISO 27001. NTIA has Board (IAB), regional registries, country functions contract: ‘‘A requirement for included paragraph C.5 (Audit code top-level domain (ccTLD) regular external reviews of process and Requirements) in the Draft SOW to operators/managers, governments, and security using a number of methods capture these audit concerns. the Internet user community. including document audits, penetration testing and international standards Draft Statement of Work (Draft SOW) C.2 Contractor Requirements Below is the Draft SOW for which C.2.1 The Contractor must perform 52 See ccNSO Comments at 5; InternetNZ NTIA seeks comment. The Draft SOW the required services for this contract as Comments at 6; SIDN Comments at 6. details the work requirements for the a prime Contractor, not as an agent or 53 ARIN, at 5; ccNSO, at 5; SIDN, at 6. 54 ISOC Comments at 5; IAB Comments at 6. IANA functions and when finalized, subcontractor. The Contractor shall not 55 ARIN Comments at 5; IAB Comments at 6; enter into any subcontracts for the ISOC Comments at 6. 56 See InternetNZ Comments at 5. performance of the services, or assign or

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transfer any of its rights or obligations various means (including on-line Contractor shall act in accordance with under this Contract, without the publication) and the review of technical the relevant national laws of the Government’s prior written consent and documents for consistency with jurisdiction which the TLD registry any attempt to do so shall be void and assigned values. Within six (6) months serves. For delegation requests for new without further effect. The Contractor of award, the Contractor shall submit to generic TLDS (gTLDs), the Contractor must possess and maintain through the NTIA performance standards and shall include documentation to performance of this acquisition a metrics developed in collaboration with demonstrate how the proposed string physical address within the United relevant stakeholders for approval. has received consensus support from States. The Government reserves the Upon approval by the Contracting relevant stakeholders and is supported right to inspect the premises, systems, Officer’s Technical Representative by the global public interest. and processes of all security and (COTR), the Contractor shall perform C.2.2.1.3.3 Root Zone Automation— operational components used for the this task in compliance with approved The Contractor shall work with NTIA performance of these requirements, performance standards and metrics. The and VeriSign, Inc. (or any successor which, in addition, shall all maintain performance of this function shall be in entity as designated by the U.S. physical residency within the United compliance with the performance Department of Commerce) to deploy an States. exclusions as enumerated in Section automated root zone management C.2.2 The Contractor shall furnish C.6. system within six (6) months after date the necessary personnel, material, C.2.2.1.3 Perform Administrative of contract award. The automated equipment, services, and facilities, to Functions Associated With Root Zone system shall at a minimum include: perform the following requirements Management—This function addresses secure (encrypted) system for customer without any cost to the Government. facilitation and coordination of the root communications; automated The Contractor shall conduct due zone of the domain name system, with provisioning protocol allowing diligence in hiring, including full 24 hour-a-day/7 days-a-week coverage. customers to develop systems to manage background checks. On or after the This function includes receiving their interactions with the Contractor effective date of this purchase order, the delegation and redelegation requests, with minimal delay; an online database Contractor may establish and collect and investigating the circumstances of change requests and subsequent fees from third parties (i.e., other than pertinent to those requests. This actions whereby each customer can see the Government) for the functions function also includes receiving change a record of their historic requests and performed under this purchase order, requests for and making routine updates maintain visibility into the progress of provided the fee levels are approved by to all top-level domains (TLDs) contact their current requests; and a test system, the Contracting Officer before going into (including technical and administrative which customers can use to check that effect, which approval shall not be contacts), nameserver, and delegation their change request will meet the withheld unreasonably and provided signer (DS) resource record (RR) automated checks. the fee levels are fair and equitable and information as expeditiously as C.2.2.1.3.4 Root Domain Name provided the aggregate fees charged possible. Within six (6) months of System Security Extensions (DNSSEC) during the term of this purchase order award, the Contractor shall submit to Key Management—The Contractor shall do not exceed the cost of providing the NTIA performance standards and be responsible for the management of requirements of this purchase order. metrics developed in collaboration with the root zone Key Signing Key (KSK), The Government will review the relevant stakeholders for approval. including generation, publication, and Contractor’s accounting data at anytime Upon approval by the COTR, the use for signing the Root Keyset. fees are charged to verify that the above Contractor shall perform this task in C.2.2.1.3.5 Customer Service conditions are being met. compliance with approved performance Complaint Resolution Process—The C.2.2.1 The Contractor is required to standards and metrics. The performance Contractor shall establish a process for maintain the IANA functions, the of this function shall be in compliance IANA function customers to submit Internet’s core infrastructure, in a stable with the performance exclusions as complaints for timely resolution. and secure manner. In performance of enumerated in Section C.6. C.2.2.1.4 Allocate Internet this purchase order, the Contractor shall C.2.2.1.3.1 Transparency and Numbering Resources—This function furnish the necessary personnel, Accountability—The Contractor shall involves overall responsibility for material, equipment, services, and process all requests for changes to the allocated and unallocated IPv4 and IPv6 facilities (except as otherwise specified), root zone and the authoritative root address space and Autonomous System to perform the following IANA function zone database, collectively referred to as Number (ASN) space. It includes the requirements. ‘‘IANA root zone management responsibility to delegate of IP address C.2.2.1.1 The Contractor shall requests,’’ promptly and efficiently. The blocks to regional registries for routine ensure that any and all staff dedicated Contractor shall, in collaboration with allocation, typically through to executing the IANA functions remain all relevant stakeholders, develop user downstream providers, to Internet end- separate and removed (not involved) documentation. The Contractor shall users within the regions served by those from any policy development that prominently post on its Web site the registries. This function also includes occurs related to the performance of the performance standards and metrics, user reservation and direct allocation of IANA functions. documentation, and associated policies. space for special purposes, such as C.2.2.1.2 Coordinate The C.2.2.1.3.2 Responsibility and multicast addressing, addresses for Assignment Of Technical Protocol Respect for Stakeholders—The private networks as described in RFC Parameters—This function involves the Contractor shall, in collaboration with 1918, and globally specified review and assignment of unique values all relevant stakeholders for this applications. Within six (6) months of to various parameters (e.g., operation function, develop a process for award, the Contractor shall submit to codes, port numbers, object identifiers, documenting the source of the policies NTIA performance standards and protocol numbers) used in various and procedures and how it has applied metrics developed in collaboration with Internet protocols. This function also the relevant policies and procedures, relevant stakeholders for approval. includes the dissemination of the such as RFC 1591, to process requests Upon approval by the COTR, the listings of assigned parameters through associated with TLDs. In addition, the Contractor shall perform this task in

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compliance with approved performance IANA functions, of such events as designated by the U.S. Department of standards and metrics. The performance outages, planned maintenance, and new Commerce) to develop and make of this function shall be in compliance developments. available a dashboard to track the with the performance exclusions as C.3.3 Secure Data—The Contractor process flow for root zone management enumerated in Section C.6. shall ensure the authentication, within nine (9) months after date of C.2.2.1.5 Other services—The integrity, and reliability of the data in contract award. Contractor shall perform other IANA performing the IANA requirements, C.4.3 Performance Standards functions, including the management of including the data relevant to DNS, root Metrics Reports—The Contractor shall the INT and ARPA TLDs. The zone change request, and IP address develop and publish consistent with the Contractor shall also implement allocation. developed performance standards and modifications in performance of the C.3.4 Computer Security Plan—The metrics reports for each discrete IANA IANA functions as needed upon mutual Contractor shall develop and execute a function consistent with Section C.2. agreement of the parties. The Security Plan. The plan shall be The Performance Standard Metric performance of this function shall be in developed and implemented within Reports will be published every month compliance with the performance nine (9) months after date of contract (no later than 15 calendar days exclusions as enumerated in Section award, and updated annually. The following the end of each month) C.6. Contractor shall deliver the plan to the starting no later than nine (9) months C.2.2.1.5.1 ARPA TLD—The Government annually. after date of contract award. Contractor shall operate the ARPA TLD C.3.5 Director of Security—The C.4.4 Performance Survey—The within the current registration policies Contractor shall designate a Director of Contractor shall develop and conduct an for the TLD, including RFC 3172. The Security who shall be responsible for annual performance survey consistent Contractor shall be responsible for ensuring technical and physical security with the developed performance implementing DNSSEC in the ARPA measures, such as personnel access standards and metrics for each of the TLD consistent with the requirements of controls. The Contractor shall notify and discrete IANA functions. The survey the relevant stakeholders for this consult in advance the COTR when shall include a feedback section for each function and approved by NTIA. Within there are personnel changes in this discrete IANA function. The Contractor six (6) months of award, the Contractor position. shall publish the Survey Report shall submit to NTIA performance C.3.6 Contingency and Continuity of annually on its Web site. standards and metrics developed in Operations Plan (The CCOP)—The C.4.5 Final Report—The Contractor collaboration with relevant Contractor shall, in collaboration with shall prepare and submit a final report stakeholders. Upon approval by the relevant stakeholders, develop and on the performance of the IANA COTR, the Contractor shall perform this implement a CCOP for the IANA functions that documents standard task in compliance with approved functions within nine (9) months after operating procedures, including a performance standards and metrics. date of contract award. The Contractor description of the techniques, methods, C.2.2.1.5.2 INT TLD—The shall update and exercise the plan software, and tools employed in the Contractor shall operate the INT TLD annually. The CCOP shall include performance of the IANA functions. The within the current registration policies details on plans for continuation of the Contractor shall submit the report to the for the TLD. Upon designation of a IANA functions in the event of a logical Contracting Officer and the COTR no successor registry, if any, the Contractor or physical attack or emergency. The later than 30 days after expiration of the shall use commercially reasonable Contractor shall deliver the CCOP to the purchase order. efforts to cooperate with NTIA to Government annually. C.5 Audit Requirements facilitate the smooth transition of C.4 Performance Metric Requirements operation of the INT TLD. Such C.5.1 Audit Data—The Contractor cooperation shall, at a minimum, C.4.1 Monthly Performance Progress shall generate and retain security include timely transfer to the successor Report—The Contractor shall prepare process audit record data for one year registry of the then-current top-level and submit to the COTR a performance and provide an annual audit report to domain registration data. progress report every month (no later the Contracting Officer and the COTR. than 15 calendar days following the end All root zone management operations C.3 Security Requirements of each month) that contains statistical shall be included in the audit, and C.3.1 Secure Systems—The and narrative information on the records on change requests to the root Contractor shall install and operate all performance of the IANA functions (i.e., zone file and the Contractor shall retain computing and communications assignment of technical protocol these records. The Contractor shall systems in accordance with best parameters administrative functions provide specific audit record data to the business and security practices. The associated with root zone management Contracting Officer and COTR upon Contractor shall implement a secure and allocation of Internet numbering request. system for authenticated resources) during the previous 30-day C.5.2 Root Zone Management Audit communications between it and its period. The report shall include a Data—The Contractor shall generate a customers when carrying out all IANA narrative summary of the work monthly (no later than 15 calendar days function requirements within nine (9) performed for each of the functions with following the end of each month) audit months after date of contract award. The appropriate details and particularity. report based on information in the Contractor shall document practices and The report shall also describe major performance of Provision C.2.2.1.3 configuration of all systems. events, problems encountered, and any Perform Administrative Functions C.3.2 Secure Systems Notification— projected significant changes, if any, Associated With Root Zone Within nine (9) months after date of related to the performance of duties set Management. The audit report shall contract award, the Contractor shall forth in Section C.2. track each root zone change request and implement and thereafter operate and C.4.2 Root Zone Management identify the relevant policy under which maintain a secure notification system at Dashboard—The Contractor shall the change was made as well as track a minimum, capable of notifying all collaborate with NTIA and VeriSign, change rejections and identify the relevant stakeholders of the discrete Inc., (or any successor entity as relevant policy under which the change

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request was rejected starting no later C.2.2.1.5’’ adequately address concerns concerns regarding audits? If not, please than nine (9) months after date of that the IANA functions contractor propose alternative language. Are the contract award. should perform these services in a timeframes for implementation C.5.3 External Auditor—The manner that best serves the relevant reasonable? Contractor shall have an external, stakeholders? If not, please propose Dated: June 9, 2011. independent, specialized compliance detailed alternative language. Lawrence E. Strickling, auditor conduct an audit of the IANA 4. Does the language in ‘‘Provision functions security provisions annually. C.2.2.1.3’’ adequately address concerns Assistant Secretary for Communications and related to root zone management? If not, Information. C.6 Performance Exclusions please suggest detailed alternative [FR Doc. 2011–14762 Filed 6–13–11; 8:45 am] C.6.1 This purchase order, in itself, language. Are the timeframes for BILLING CODE 3510–60–P does not authorize modifications, implementation reasonable? additions, or deletions to the root zone 5. Does the new ‘‘Provision C.2.2.1.3.2 file or associated information. (This Responsibility and Respect for COMMODITY FUTURES TRADING purchase order does not alter the root Stakeholders’’ adequately address COMMISSION zone file responsibilities as set forth in concerns related to the root zone Amendment 11 of the Cooperative management process in particular how SECURITIES AND EXCHANGE Agreement NCR–9218742 between the the IANA functions contractor should COMMISSION DoC and VeriSign, Inc.) document its decision making with [Release No. 34–64638; File Nos. 4–633 and C.6.2 This purchase order, in itself, respect to relevant national laws of the S7–39–10] does not authorize the Contractor to jurisdiction which the TLD registry make material changes in the policies serves, how the TLD reflects community Joint Public Roundtable on Proposed and procedures developed by the consensus among relevant stakeholders Dealer and Major Participant relevant entities associated with the and/or is supported by the global public Definitions of Title VII of the Dodd- performance of the IANA functions. The interest. If not, please provide detailed Frank Wall Street Reform and Contractor shall not change or suggestions for capturing concerns. Are Consumer Protection Act implement the established methods the timeframes for implementation associated with the performance of the reasonable? AGENCIES: Commodity Futures Trading IANA functions without prior approval 6. Does the new ‘‘Section C.3 Security Commission (‘‘CFTC’’) and Securities of the COTR. Requirements’’ adequately address and Exchange Commission (‘‘SEC’’) C.6.3 The performance of the concerns that the IANA functions (each, an ‘‘Agency,’’ and collectively, functions under this contract, including contractor has a secure communications the ‘‘Agencies’’). the development of recommendations in system for communicating with service ACTION: Notice of roundtable discussion; connection with processing changes that recipients? If not, how can the language request for comment. constitute delegations and redelegations be improved? Is the timeframe for of ccTLDs, shall not be, in any manner, implementation reasonable? SUMMARY: On Thursday, June 16, 2011, predicated or conditioned on the 7. Does the new ‘‘Provision C.2.2.1.3.5 commencing at 9 a.m. and ending at existence or entry into any contract, Customer Service Complaint Resolution 3:45 p.m., staff of the Agencies will hold agreement or negotiation between the Process’’ provide an adequate means of a public roundtable meeting at which Contractor and any party requesting addressing customer complaints? Does invited participants will discuss various such changes or any other third-party. the new language provide adequate issues related to the proposed guidance to the IANA functions definitions of the terms ‘‘swap dealer,’’ Questions Related to the Draft SOW contractor on how to develop a ‘‘security-based swap dealer,’’ ‘‘major The public is invited to comment on customer complaint resolution? If not, swap participant,’’ and ‘‘major security- any aspect of the Draft SOW including, please provide detailed comments and based swap participant’’ under Title VII but not limited to, the specific questions suggestions for improving the language. of the Dodd-Frank Wall Street Reform set forth below. When responding to 8. Does the new ‘‘Provision C.3.6 and Consumer Protection Act (the specific questions, please cite the Contingency and Continuity of ‘‘Act’’). See 75 FR 80174 (Dec. 21, 2010). number(s) of the questions addressed, Operations Plan (CCOP)’’ adequately The discussion will be open to the the ‘‘section’’ of the Draft SOW to which address concerns regarding contingency public with seating on a first-come, first- the question(s) correspond, and provide planning and emergency recovery? If served basis. Members of the public may any references to support the responses not, please provide detailed comments also listen to the meeting by telephone. submitted. and suggestions for improving the Call-in participants should be prepared 1. Does the language in ‘‘Provision language. Are the timeframes for to provide their first name, last name C.1.3’’ capture views on how the implementation reasonable? and affiliation. The information for the relevant stakeholders as sources of the 9. Does the new ‘‘Section C.4 conference call is set forth below. policies and procedures should be Performance Standards Metric • U.S. Toll-Free: (866) 844–9416. referenced in the next IANA functions Requirements’’ adequately address • International Toll: information on contract. If not, please propose specific concerns regarding transparency in root international dialing can be found at the language to capture commenters’ views. zone management process, and following link: http://www.cftc.gov/ 2. Does the new ‘‘Provision C.2.2.1.1’’ performance standards and metrics? PressRoom/PressReleases/ adequately address concerns that the Should the contractor be required to internationalnumbers021811.html. IANA functions contractor should gather and report on statistics regarding • Conference ID: 7731946. refrain from developing policies related global IPv6 and DNSSEC deployment? If A transcript of the public roundtable to the IANA functions? If not, please so, how should this requirement be discussion will be published at http:// provide detailed comments and specific reflected in the SOW? What statistics www.cftc.gov/PressRoom/Events/2011/ suggestions for improving the language. should be gathered and made public? index.htm. The roundtable discussion 3. Does the language in ‘‘Provisions 10. Does the new ‘‘Section C.5 Audit will take place in the Conference Center C.2.2.1.2, C.2.2.1.3, C.2.2.1.4, and Requirements’’ adequately address at the CFTC’s headquarters, Three

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Lafayette Centre, 1155 21st Street, NW., the Paperwork Reduction Act of 1995 Dated: June 8, 2011. Washington, DC. (PRA) (44 U.S.C. 3506(c)(2)(A)), Darrin A. King, FOR FURTHER INFORMATION CONTACT: The provides the general public and Federal Director, Information Collection Clearance CFTC’s Office of Public Affairs at (202) agencies with an opportunity to Division, Privacy, Information and Records 418–5080 or the SEC’s Office of Public comment on proposed and continuing Management Services, Office of Management. Affairs at (202) 551–4120. collections of information. This helps Office of Special Education and SUPPLEMENTARY INFORMATION: The the Department assess the impact of its Rehabilitative Services roundtable discussion will take place on information collection requirements and Thursday, June 16, 2011, commencing minimize the reporting burden on the Type of Review: Extension. at 9 a.m. and ending at 3:45 p.m. public and helps the public understand Title of Collection: Protection and Members of the public who wish to the Department’s information collection Advocacy of Individual Rights (PAIR) comment on the topics addressed at the requirements and provide the requested Program Assurances. discussion, may do so via: OMB Control Number: 1820–0625. • data in the desired format. The Director, Paper submission to David Stawick, Information Collection Clearance Agency Form Number(s): N/A. Secretary, Commodity Futures Trading Division, Privacy, Information and Frequency of Responses: Submitted Commission, Three Lafayette Centre, Records Management Services, Office of once prior to FY 2007, and thereafter 1155 21st Street, NW., Washington, DC Management, invites comments on the only upon the redesignation of the P&A. 20581, or Elizabeth M. Murphy, proposed information collection Affected Public: Not-for-profit Secretary, Securities and Exchange institutions. Commission, 100 F Street, NE., requests as required by the Paperwork Reduction Act of 1995. Total Estimated Number of Annual Washington, DC 20549–1090; or Responses: 57. • Electronic submission via visiting DATES: Interested persons are invited to Total Estimated Number of Annual http://comments.cftc.gov/Public submit comments on or before August Burden Hours: 9. Comments/ReleasesWith 15, 2011. Comments.aspx and submitting Abstract: Section 509 of the comments through the CFTC’s Web site; ADDRESSES: Comments regarding burden Rehabilitation Act of 1973, as amended and/or by e-mail to rule- and/or the collection activity (act), and its implementing Federal [email protected] (all e-mails must requirements should be electronically Regulations at 34 CFR Part 381, require reference the file numbers 4–633 and mailed to [email protected] or the Protection and Advocacy of S7–39–10 in the subject field) or mailed to U.S. Department of Education, Individual Rights (PAIR) grantees to through the comment form available at: 400 Maryland Avenue, SW., LBJ, submit an application to the http://www.sec.gov/rules/other.shtml. Washington, DC 20202–4537. Please Rehabilitation Services Administration (RSA) Commissioner in order to receive All submissions will be reviewed note that written comments received in assistance under Section 509 of the act. jointly by the Agencies. All comments response to this notice will be The act requires that the application must be in English or be accompanied considered public records. by an English translation. All contain Assurances to which the grantee submissions provided to either Agency SUPPLEMENTARY INFORMATION: Section must comply. Section 509(f) of the act in any electronic form or on paper will 3506 of the Paperwork Reduction Act of specifies the Assurances. There are 57 be published on the Web site of the 1995 (44 U.S.C. chapter 35) requires that PAIR grantees. All 57 grantees are respective Agency, without review and Federal agencies provide interested required to be part of the protection and without removal of personally parties an early opportunity to comment advocacy system in each State identifying information. Please submit on information collection requests. The established under the Developmental only information that you wish to make Director, Information Collection Disabilities Assistance and Bill of Rights publicly available. Clearance Division, Information Act of 2000 (42 U.S.C. 6041 et seq.). Copies of the proposed information Dated: June 9, 2011. Management and Privacy Services, Office of Management, publishes this collection request may be accessed from By the Commodity Futures Trading http://edicsweb.ed.gov, by selecting the Commission. notice containing proposed information ‘‘Browse Pending Collections’’ link and David A. Stawick, collection requests at the beginning of the Departmental review of the by clicking on link number 4638. When Secretary. you access the information collection, information collection. The Department Dated: June 9, 2011. click on ‘‘Download Attachments’’ to of Education is especially interested in By the Securities and Exchange view. Written requests for information Commission. public comment addressing the should be addressed to U.S. Department Elizabeth M. Murphy, following issues: (1) Is this collection of Education, 400 Maryland Avenue, Secretary. necessary to the proper functions of the SW., LBJ, Washington, DC 20202–4537. Department; (2) will this information be [FR Doc. 2011–14729 Filed 6–13–11; 8:45 am] Requests may also be electronically processed and used in a timely manner; BILLING CODE P mailed to [email protected] or faxed (3) is the estimate of burden accurate; to 202–401–0920. Please specify the (4) how might the Department enhance complete title of the information DEPARTMENT OF EDUCATION the quality, utility, and clarity of the collection and OMB Control Number information to be collected; and (5) how when making your request. Notice of Proposed Information might the Department minimize the Individuals who use a Collection Requests burden of this collection on the telecommunications device for the deaf respondents, including through the use (TDD) may call the Federal Information AGENCY: Department of Education. of information technology. Relay Service (FIRS) at 1–800–877– ACTION: Comment request. 8339. SUMMARY: The Department of Education [FR Doc. 2011–14644 Filed 6–13–11; 8:45 am] (the Department), in accordance with BILLING CODE 4000–01–P

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DEPARTMENT OF EDUCATION OMB Control Number: 1845–0066 DATES: Interested persons are invited to Agency Form Number(s): N/A submit comments on or before July 14, Notice of Submission for OMB Review Frequency of Responses: Annually 2011. AGENCY: Department of Education. Affected Public: State, Local, or Tribal ADDRESSES: Written comments should ACTION: Comment request. Government, State Educational be addressed to the Office of Agencies or Local Educational Agencies Information and Regulatory Affairs, SUMMARY: The Director, Information Total Estimated Number of Annual Attention: Education Desk Officer, Collection Clearance Division, Privacy, Responses: 85 Office of Management and Budget, 725 Information and Records Management Total Estimated Annual Burden 17th Street, NW., Room 10222, New Services, Office of Management, invites Hours: 935 Executive Office Building, Washington, comments on the submission for OMB Abstract: This data collection DC 20503, be faxed to (202) 395–5806 or review as required by the Paperwork instrument will be used to collect e-mailed to _ Reduction Act of 1995 (Pub. L. 104–13). specific information/performance data oira [email protected] with a DATES: Interested persons are invited to for analysis of seven experiments. This cc: to [email protected]. Please note submit comments on or before July 14, effort will assist the Department in that written comments received in 2011. obtaining and compiling information to response to this notice will be ADDRESSES: Written comments should help determine change in the considered public records. be addressed to the Office of administration and delivery of Title IV SUPPLEMENTARY INFORMATION: Section Information and Regulatory Affairs, programs. Institutions volunteer to 3506 of the Paperwork Reduction Act of Attention: Education Desk Officer, become an experimental site to provide 1995 (44 U.S.C. chapter 35) requires that Office of Management and Budget, 725 recommendations on the impact and the Office of Management and Budget 17th Street, NW., Room 10222, New effectiveness of proposed regulations or (OMB) provide interested Federal Executive Office Building, Washington, new management initiatives. agencies and the public an early DC 20503, be faxed to (202) 395–5806 or Copies of the information collection opportunity to comment on information e-mailed to submission for OMB review may be collection requests. The OMB is _ oira [email protected] with a accessed from the RegInfo.gov Web site particularly interested in comments cc: to [email protected]. Please note at http://www.reginfo.gov/public/do/ which: (1) Evaluate whether the that written comments received in PRAMain or from the Department’s Web proposed collection of information is response to this notice will be site at http://edicsweb.ed.gov, by necessary for the proper performance of considered public records. selecting the ‘‘Browse Pending the functions of the agency, including SUPPLEMENTARY INFORMATION: Section Collections’’ link and by clicking on whether the information will have 3506 of the Paperwork Reduction Act of link number 4524. When you access the practical utility; (2) Evaluate the 1995 (44 U.S.C. chapter 35) requires that information collection, click on accuracy of the agency’s estimate of the the Office of Management and Budget ‘‘Download Attachments ’’ to view. burden of the proposed collection of (OMB) provide interested Federal Written requests for information should information, including the validity of agencies and the public an early be addressed to U.S. Department of the methodology and assumptions used; opportunity to comment on information Education, 400 Maryland Avenue, SW., (3) Enhance the quality, utility, and collection requests. The OMB is LBJ, Washington, DC 20202–4537. clarity of the information to be particularly interested in comments Requests may also be electronically collected; and (4) Minimize the burden which: (1) Evaluate whether the mailed to the Internet address of the collection of information on those proposed collection of information is [email protected] or faxed to 202– who are to respond, including through necessary for the proper performance of 401–0920. Please specify the complete the use of appropriate automated, the functions of the agency, including title of the information collection and electronic, mechanical, or other whether the information will have OMB Control Number when making technological collection techniques or practical utility; (2) Evaluate the your request. other forms of information technology. accuracy of the agency’s estimate of the Individuals who use a Dated: June 8, 2011. burden of the proposed collection of telecommunications device for the deaf Darrin A. King, information, including the validity of (TDD) may call the Federal Information the methodology and assumptions used; Director, Information Collection Clearance Relay Service (FIRS) at 1–800–877– Division, Privacy, Information and Records (3) Enhance the quality, utility, and 8339. Management Services, Office of Management. clarity of the information to be collected; and (4) Minimize the burden [FR Doc. 2011–14645 Filed 6–13–11; 8:45 am] Department of Education BILLING CODE 4000–01–P of the collection of information on those Type of Review: Extension who are to respond, including through Title of Collection: Generic Plan for the use of appropriate automated, DEPARTMENT OF EDUCATION Customer Satisfaction Surveys and electronic, mechanical, or other Focus Groups technological collection techniques or Notice of Submission for OMB Review OMB Control Number: 1800–0011 other forms of information technology. Agency Form Number(s): N/A Dated: June 8, 2011. AGENCY: Department of Education. Frequency of Responses: On occasion Darrin A. King, ACTION: Comment request. Affected Public: Individuals or Director, Information Collection Clearance households Division, Privacy, Information and Records SUMMARY: The Director, Information Total Estimated Number of Annual Management Services, Office of Management. Collection Clearance Division, Privacy, Responses: 451,326 Information and Records Management Total Estimated Annual Burden Federal Student Aid Services, Office of Management, invites Hours: 114,885 Type of Review: Revision comments on the submission for OMB Abstract: Surveys to be considered Title of Collection: Experimental Sites review as required by the Paperwork under this generic will only include Initiative—Data Collection Instrument Reduction Act of 1995 (Pub. L. 104–13). those surveys that improve customer

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service or collect feedback about a Deadline for Intergovernmental improve the school culture and climate, service provided to individuals or Review: September 12, 2011. strengthen the school staff and entities directly served by Department instructional program, increase student Full Text of Announcement of Education (ED). The results of these attendance and enrollment in advanced customer surveys will help ED managers I. Funding Opportunity Description courses, provide more time for learning, plan and implement program Purpose of Program: The GEAR UP and ensure that social services and improvements and other customer program is a discretionary grant community support are available for satisfaction initiatives. Focus groups program that provides financial support students in order to raise student that will be considered under the for academic and related support achievement, graduation rates, and generic clearance will assess customer services that eligible low-income college enrollment rates. In addition, satisfaction with a direct service, or will students, including students with students in these schools can benefit be designed to inform a customer disabilities, need to enable them to from participating in programs, such as satisfaction survey ED is considering. obtain a secondary school diploma and GEAR UP, that offer additional services Surveys that have the potential to to prepare for and succeed in designed to increase student success. influence policy will not be considered postsecondary education. The Department is interested in seeing under this generic clearance. Priorities: This notice contains two strong plans to support improvements Copies of the information collection competitive preference priorities and in student achievement and outcomes submission for OMB review may be one invitational priority. within these schools. accessed from the RegInfo.gov Web site The Department is using Competitive Background: The President has set a at http://www.reginfo.gov/public/do/ Preference Priority 2—Enabling More clear goal for our education system: By PRAMain or from the Department’s Web Data-Based Decision-Making because 2020, the United States will once again site at http://edicsweb.ed.gov, by the Department believes that the lead the world in college completion. To selecting the ‘‘Browse Pending effective use of data for informed achieve this goal, the Department has Collections’’ link and by clicking on decision-making is essential to the consistently encouraged four key link number 4515. When you access the continuous improvement of educational information collection, click on reforms to improve elementary and results. Specifically, this priority is for ‘‘Download Attachments ’’ to view. secondary education—in particular the projects that are designed to provide Written requests for information should Department is seeking to: improve the educators, as well as families and other be addressed to U.S. Department of effectiveness of teachers and school key stakeholders, with high-quality data Education, 400 Maryland Avenue, SW., leaders and promote equity in the and the capacity and training to use LBJ, Washington, D.C. 20202–4537. distribution of effective teachers and those data. The data may be used to Requests may also be electronically school leaders; strengthen the use of respond to the learning and academic mailed to the Internet address data to improve teaching and learning; needs of students, increase student [email protected] or faxed to 202– provide high-quality instruction based achievement (as defined in this notice), 401–0920. Please specify the complete on rigorous college- and career-ready improve educator effectiveness, inform title of the information collection and standards and measure students’ professional development practices and OMB Control Number when making mastery of standards using high-quality approaches, understand the culture and your request. assessments aligned with those climate of their schools and institutions, Individuals who use a standards; and turn around the lowest- and make informed decisions that telecommunications device for the deaf performing schools. increase overall program effectiveness. (TDD) may call the Federal Information The Department views the GEAR UP We believe that inclusion of this Relay Service (FIRS) at 1–800–877– program as a critical component in the competitive preference priority is 8339. effort to improve the quality of important because accurate, timely, [FR Doc. 2011–14646 Filed 6–13–11; 8:45 am] secondary schools so that more students relevant, and appropriate data are key to are well prepared for college and BILLING CODE 4000–01–P knowing what is working for students careers. In order to more strategically and what is not. Data can tell us which align GEAR UP with these overarching students are on track to college- and DEPARTMENT OF EDUCATION reform strategies for school career-readiness and which students improvement, the Department is need additional support, which Applications for New Awards; Gaining announcing two competitive preference instructional strategies are working, Early Awareness and Readiness for priorities for this competition. The which schools or institutions are Undergraduate Programs Department also proposes one successfully improving student learning invitational priority for this AGENCY: Office of Postsecondary and performance, and which teachers or competition. Education, Department of Education. faculty excel in increasing student We are using two priorities from the achievement so that they can, for ACTION: Notice. Department’s notice of final example, be given the opportunity to supplemental priorities and definitions Overview Information coach others or to lead communities of for discretionary grant programs, professional practice. Gaining Early Awareness and published in the Federal Register on Competitive Preference Priorities. The Readiness for Undergraduate Programs; December 15, 2010 (75 FR 78486). competitive preference priorities are Notice inviting applications for new The Department is using Competitive from the notice of final supplemental awards for fiscal year (FY) 2011. Preference Priority 1—Turning Around priorities and definitions for Catalog of Federal Domestic Assistance Persistently Lowest-Achieving Schools discretionary grant programs, published (CFDA) Number: 84.334A (Partnership because an essential element in in the Federal Register on December 15, grants). strengthening our education system is 2010 (75 FR 78486). For FY 2011 and DATES: Applications Available: June 14, dramatic improvement of student any subsequent year in which we make 2011. performance in each State’s persistently awards from the list of unfunded Deadline for Transmittal of lowest-achieving schools. These schools applicants from this competition, these Applications: July 14, 2011. often require intensive interventions to priorities are competitive preference

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priorities. Under 34 CFR 75.105(c)(2)(i) Invitational Priority: For FY 2011 and include promotion of financial literacy we award up to an additional 6 points any subsequent year in which we make and economic literacy education or (up to 3 points for each competitive awards from the list of unfunded counseling. Accordingly, and in keeping preference priority) to an application, applicants from this competition, this with the goals of the new interagency depending on how well the application priority is an invitational priority. agreement, the Secretary specifically meets these priorities. Under 34 CFR 75.105(c)(1), we do not invites applications that address the These priorities are: give an application that meets this following invitational priority. invitational priority a competitive or Invitational Priority: The Secretary Competitive Preference Priority 1— absolute preference over other invites applications that propose, as part Turning Around Persistently Lowest- applications. of their strategy for ensuring secondary Achieving Schools (Up to 3 additional This priority is: school completion and postsecondary points) education enrollment of participating Invitational Priority—Financial Access students, financial and economic Projects that are designed to address and College Savings Accounts one or more of the following priority literacy activities that include: • areas: Background: Research indicates that Creation or enhancement of students with savings accounts may be (a) Improving student achievement (as partnerships with financial institutions up to seven times more likely to attend defined in this notice) in persistently and/or other stakeholders that would (1) college, even when controlling for other lowest-achieving schools (as defined in provide students with safe and factors (Elliot, Jung, and Friedline, 2010: this notice). affordable deposit accounts at Federally- http://csd.wustl.edu/Publications/ insured banks or credit unions or other (b) Increasing graduation rates (as Documents/WP10-01.pdf). Yet 25 safe, affordable, and appropriate defined in this notice) and college percent of U.S. households (and 50 financial services, and (2) evaluate the enrollment rates for students in percent of Black and Hispanic success of these partnerships in meeting persistently lowest-achieving schools households) are unbanked or this objective; and (as defined in this notice). underbanked, meaning that they either • Creation of financial or other (c) Providing services to students do not have a Federally-insured deposit incentives to increase savings by GEAR enrolled in persistently lowest- account, or that they have an account UP students and families of achieving schools (as defined in this but still rely on costly alternative participating GEAR UP students. notice). financial services. Young adults are Definitions: These definitions are Competitive Preference Priority 2— disproportionately unbanked and from the notice of final supplemental Enabling More Data-Based Decision- underbanked (http:// priorities and definitions for Making (Up to 3 Additional Points) www.economicinclusion.gov/). At the discretionary grant programs, published same time, a lack of financial literacy— in the Federal Register on December 15, Projects that are designed to collect such as overestimating the price of 2010 (75 FR 78486) and apply to the (or obtain), analyze, and use high- college, not applying for Federal student competitive preference priorities in this quality and timely data, including data aid, and taking private education loans notice. on program participant outcomes, in before exhausting Federal loans—is a Graduation rate means a four-year accordance with privacy requirements major roadblock on the path to college adjusted cohort graduation rate (as defined in this notice), in one or access and success for too many consistent with 34 CFR 200.19(b)(1), more of the following priority areas: students and families (http:// and may also include an extended-year (a) Improving instructional practices, www2.ed.gov/legislation/FedRegister/ adjusted cohort graduation rate policies, and student outcomes in announcements/2010-3/072610c.html). consistent with 34 CFR 200.19(b)(1)(v) if elementary or secondary schools. Partially as a result of these findings, the the State in which the proposed project (b) Improving postsecondary student Secretary of Education and the is implemented has been approved by outcomes relating to enrollment, Chairmen of the Federal Deposit the Secretary to use such a rate under persistence, and completion and leading Insurance Corporation and the National Title I of the Elementary and Secondary to career success. Credit Union Administration Education Act of 1965 (ESEA), as (c) Providing reliable and announced, in November 2010, a new amended. comprehensive information on the interagency agreement to increase Persistently lowest-achieving schools implementation of Department of partnerships among schools, financial means, as determined by the State: (i) Education programs, and participant institutions, and other stakeholders to Any Title I school in improvement, outcomes in these programs, by using help students gain access to deposit corrective action, or restructuring that: data from State longitudinal data accounts, learn about money, and save (a) Is among the lowest-achieving five systems or by obtaining data from for college. The Department’s press percent of Title I schools in reliable third-party sources. statement on this partnership can be improvement, corrective action, or Note: Applicants proposing to use data to found at: http://www.ed.gov/news/press- restructuring or the lowest-achieving improve decision-making might want to releases/fdic-and-ncua-chairs-join- five Title I schools in improvement, consider demonstrating their ability to access education-secretary-announce- corrective action, or restructuring in the the State’s longitudinal data system for partnership-promote-finan and the State, whichever number of schools is reporting postsecondary student outcomes Secretary’s recently recorded video greater; or (b) is a high school that has and student outcomes in elementary and encouraging participation at: http:// had a graduation rate as defined in 34 secondary schools. Examples of other data- www.youtube.com/ CFR 200.19(b) that is less than 60 based activities could include using course- watch?v=uxOoXeOkh_w. percent over a number of years; and (ii) taking trend data to structure interventions Section 404D(b)(10)(E) of the HEA any secondary school that is eligible for, tailored to keep students ‘on-track’ to graduate from high school and prepared for expressly authorizes GEAR UP program but does not receive, Title I funds that: postsecondary education or using such data grantees to design projects that promote (a) Is among the lowest-achieving five to develop early warning indicator systems participating students’ secondary school percent of secondary schools or the designed to prevent students from dropping completion and enrollment in lowest-achieving five secondary schools out. postsecondary education by means that in the State that are eligible for, but do

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not receive, Title I funds, whichever availability of funds and the quality of demonstrates significant economic number of schools is greater; or (b) is a applications, we may make additional hardship that precludes the partnership high school that has had a graduation awards in FY 2012 from the list of from meeting the matching requirement, rate as defined in 34 CFR 200.19(b) that unfunded applicants from this or if the partnership requests that is less than 60 percent over a number of competition. contributions to the scholarship fund be years. Estimated Range of Awards: matched on a two-to-one basis. (See 34 To identify the persistently lowest- $100,000–$7,000,000. CFR 694.8(a)–(c) for implementing achieving schools, a State must take into Estimated Average Size of Awards: regulations.) In addition, a partnership account both: (i) The academic $1,161,489. that includes three or fewer institutions achievement of the ‘‘all students’’ group Maximum Award: We will reject any of higher education as members and in a school in terms of proficiency on application for a partnership grant that meets the high-need criteria in 34 CFR the State’s assessments under section proposes a budget exceeding $800 per 694.8(d)(2) may provide a reduced level 1111(b)(3) of the ESEA in reading/ student for a single budget period of 12 of match as specified in 34 CFR language arts and mathematics months. We also will reject any 694.8(d). combined; and (ii) the school’s lack of partnership grant application that b. Supplement-Not-Supplant: This progress on those assessments over a proposes an increase in its budget after program includes supplement-not- number of years in the ‘‘all students’’ the first 12-month budget period. The supplant funding requirements. Under group. Assistant Secretary for Postsecondary section 404B(e) of the HEA, grant funds Privacy requirements means the Education may change the maximum awarded under this program must be requirements of the Family Educational amounts through a notice published in used to supplement, and not supplant, Rights and Privacy Act (FERPA), 20 the Federal Register. other Federal, State, and local funds that U.S.C. 1232g, and its implementing Estimated Number of Awards: 88. would otherwise be expended to carry regulations in 34 CFR Part 99, the Note: The Department is not bound by any out activities assisted under this Privacy Act, 5 U.S.C. 552a, as well as all estimates in this notice. program (20 U.S.C. 1070a–22). applicable Federal, State and local Project Period: Up to 84 months. requirements regarding privacy. IV. Application and Submission Student achievement means— III. Eligibility Information Information (a) For tested grades and subjects: (1) 1. Eligible Applicants: Partnership 1. Address to Request Application A student’s score on the State’s consisting of (A) one or more local Package: You can obtain an application assessments under the ESEA; and, as educational agencies (LEA), and (B) one package via the Internet by downloading appropriate, (2) other measures of or more degree granting institutions of the package from the program Web site student learning, such as those higher education (IHE). Partnerships at: http://www2.ed.gov/programs/ described in paragraph (b) of this may also contain not less than two other gearup/index.html. definition, provided they are rigorous community organizations or entities, You also can request a copy of the and comparable across schools. such as businesses, professional application package from the following: (b) For non-tested grades and subjects: organizations, State agencies, Pariece Wilkins, Gaining Early alternative measures of student learning institutions or agencies sponsoring Awareness and Readiness for and performance, such as student scores programs authorized under the Undergraduate Programs, U.S. on pre-tests and end-of-course tests; Leveraging Educational Assistance Department of Education, 1990 K Street, student performance on English Partnership (LEAP) Program authorized NW., Room 7025, Washington, DC language proficiency assessments; and 20006–8524. Telephone: (202) 219–7104 other measures of student achievement in part A, subpart 4, of title IV of the Higher Education Act of 1965, as or by e-mail: [email protected]. that are rigorous and comparable across If you use a telecommunications schools. amended (HEA) (20 U.S.C. 1070c et seq.), or other public or private agencies device for the deaf (TDD), call the Program Authority: 20 U.S.C. 1070a–21— or organizations. Federal Relay Service (FRS), toll free, at 1070a–28. 1–800–877–8339. Note: The fiscal agent/applicant must be Individuals with disabilities can Applicable Regulations: (a) The either an IHE or an LEA (see 34 CFR 694.10) Education Department General obtain a copy of the application package Administrative Regulations (EDGAR) in 2. a. Cost Sharing or Matching: in an accessible format (e.g., braille, 34 CFR Parts 74, 75, 77, 79, 80, 81, 82, Section 404C(b)(1) of the HEA requires large print, audiotape, or computer 84, 85, 86, 97, 98, and 99. (b) The partnership grantees under this program diskette) by contacting the program regulations for this program in 34 CFR to provide from State, local, contact person listed in this section. Part 694. (c) The notice of final institutional, or private funds not less 2. Content and Form of Application supplemental priorities and definitions than 50 percent of the cost of the Submission: Requirements concerning for discretionary grant programs, program (or $1 of non-Federal funds for the content of an application, together published in the Federal Register on every $1 of Federal funds awarded), with the forms you must submit, are in December 15, 2010 (75 FR 78486). which may be provided in cash or in- the application package for this kind. The provision also provides that program. Note: The regulations in 34 CFR Part 79 the match may be accrued over the full Page Limit: The application narrative apply to all applicants except federally is where you, the applicant, address the recognized Indian tribes. duration of the grant award period, except that the grantee must make selection criteria that reviewers use to Note: The regulations in 34 CFR Part 86 substantial progress toward meeting the evaluate your application. You must apply to institutions of higher education matching requirement in each year of limit the application narrative (Part II) (IHEs) only. the grant award period. to no more than 45 pages. However, if Section 404C(b)(2) further provides you choose to address the invitational II. Award Information that the Secretary may approve a priority and/or the competitive Type of Award: Discretionary grants. partnership’s request for a reduced preference priorities, you must limit Estimated Available Funds: match percentage at the time of your discussion on the invitational $102,211,000. Contingent upon the application if the partnership priority to only 4 additional pages and

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discussion on the competitive Deadline for Intergovernmental electronically unless you qualify for an preference priorities to only 10 Review: September 12, 2011. exception to this requirement in additional pages above the 45-page 4. Intergovernmental Review: This accordance with the instructions in this narrative limitation. For purpose of program is subject to Executive Order section. determining compliance with the page 12372 and the regulations in 34 CFR a. Electronic Submission of limit, each page on which there are Part 79. Information about Applications. words will be counted as one full page. Intergovernmental Review of Federal Applications for grants under the Applicant must use the following Programs under Executive Order 12372 GEAR UP Partnership Grant standards: is in the application package for this Competition, CFDA number 84.334A, • A ‘‘page’’ is 8.5″ x 11″, on one side program. must be submitted electronically using only, with 1″ margins at the top, bottom, 5. Funding Restrictions: We reference the Governmentwide Grants.gov Apply and both sides. regulations outlining funding site at http://www.Grants.gov. Through • Double space (no more than three restrictions in the Applicable this site, you will be able to download lines per vertical inch) all text in the Regulations section of this notice. a copy of the application package, application narrative, except titles, 6. Data Universal Numbering System complete it offline, and then upload and headings, footnotes, quotations, Number, Taxpayer Identification submit your application. You may not e- references, and captions, as well as all Number, and Central Contractor mail an electronic copy of a grant text in charts, tables, figures, and Registry: To do business with the application to us. graphs. Department of Education, you must— We will reject your application if you • Use a font that is either 12-point or a. Have a Data Universal Numbering submit it in paper format unless, as larger, or no smaller than 10 pitch System (DUNS) number and a Taxpayer described elsewhere in this section, you (characters per inch). Identification Number (TIN); qualify for one of the exceptions to the b. Register both your DUNS number • Use one of the following fonts: electronic submission requirement and and TIN with the Central Contractor Times New Roman, Courier, Courier submit, no later than two weeks before Registry (CCR), the Government’s New, or Arial. An application submitted the application deadline date, a written primary registrant database; in any other font (including Times statement to the Department that you c. Provide your DUNS number and Roman and Arial Narrow) will not be qualify for one of these exceptions. TIN on your application; and accepted. d. Maintain an active CCR registration Further information regarding The page limits do not apply to the with current information while your calculation of the date that is two weeks cover sheet; the budget section, application is under review by the before the application deadline date is including the budget narrative and Department and, if you are awarded a provided later in this section under summary form; the assurances and grant, during the project period. Exception to Electronic Submission certifications; or the one-page abstract. You can obtain a DUNS number from Requirement. We will reject your application if you Dun and Bradstreet. A DUNS number You may access the electronic grant exceed the page limit. can be created within one business day. application for the GEAR UP 3. Submission Dates and Times: If you are a corporate entity, agency, Partnership Grant competition at http: Applications Available: June 14, 2011. institution, or organization, you can //www.Grants.gov. You must search for Deadline for Transmittal of obtain a TIN from the Internal Revenue the downloadable application package Applications: July 14, 2011. Service. If you are an individual, you for this competition by the CFDA Applications for grants under this can obtain a TIN from the Internal number. Do not include the CFDA program must be submitted Revenue Service or the Social Security number’s alpha suffix in your search electronically using the Grants.gov Administration. If you need a new TIN, (e.g., search for 84.334, not 84.334A). Apply site (Grants.gov). For information please allow 2–5 weeks for your TIN to Please note the following: (including dates and times) about how become active. • When you enter the Grants.gov site, to submit your application The CCR registration process may take you will find information about electronically, or in paper format by five or more business days to complete. submitting an application electronically mail or hand delivery if you qualify for If you are currently registered with the through the site, as well as the hours of an exception to the electronic CCR, you may not need to make any operation. submission requirement, please refer to changes. However, please make certain • Applications received by Grants.gov section IV. 7. Other Submission that the TIN associated with your DUNS are date and time stamped. Your Requirements of this notice. number is correct. Also note that you application must be fully uploaded and We do not consider an application will need to update your CCR submitted and must be date and time that does not comply with the deadline registration on an annual basis. This stamped by the Grants.gov system no requirements. may take three or more business days to later than 4:30 p.m., Washington, DC Individuals with disabilities who complete. In addition, if you are time, on the application deadline date. need an accommodation or auxiliary aid submitting your application via Except as otherwise noted in this in connection with the application Grants.gov, you must (1) Be designated section, we will not accept your process should contact the person listed by your organization as an Authorized application if it is received—that is, date under FOR FURTHER INFORMATION Organization Representative (AOR); and and time stamped by the Grants.gov CONTACT in section VII of this notice. If (2) register yourself with Grants.gov as system—after 4:30 p.m., Washington, the Department provides an an AOR. Details on these steps are DC time, on the application deadline accommodation or auxiliary aid to an outlined in the Grants.gov 3-Step date. We do not consider an application individual with a disability in Registration Guide (see www.grants.gov/ that does not comply with the deadline connection with the application section910/ requirements. When we retrieve your process, the individual’s application Grants.govRegistrationBrochure.pdf). application from Grants.gov, we will remains subject to all other 7. Other Submission Requirements: notify you if we are rejecting your requirements and limitations in this Applications for grants under this application because it was date and time notice. program must be submitted stamped by the Grants.gov system after

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4:30 p.m., Washington, DC time, on the Application Deadline Date Extension holiday), you mail or fax a written application deadline date. in Case of Technical Issues With the statement to the Department, explaining • The amount of time it can take to Grants.gov System: If you are which of the two grounds for an upload an application will vary experiencing problems submitting your exception prevent you from using the depending on a variety of factors, application through Grants.gov, please Internet to submit your application. including the size of the application and contact the Grants.gov Support Desk, If you mail your written statement to the speed of your Internet connection. toll free, at 1–800–518–4726. You must the Department, it must be postmarked Therefore, we strongly recommend that obtain a Grants.gov Support Desk Case no later than two weeks before the you do not wait until the application Number and must keep a record of it. application deadline date. If you fax deadline date to begin the submission If you are prevented from your written statement to the process through Grants.gov. electronically submitting your Department, we must receive the faxed • You should review and follow the application on the application deadline statement no later than two weeks Education Submission Procedures for date because of technical problems with before the application deadline date. submitting an application through the Grants.gov system, we will grant you Address and mail or fax your Grants.gov that are included in the an extension until 4:30 p.m., statement to: Pariece Wilkins, U.S. application package for this competition Washington, DC time, the following Department of Education, 1990 K Street, to ensure that you submit your business day to enable you to transmit NW., Room 7025, Washington, DC application in a timely manner to the your application electronically or by 20006–8524. FAX: (202) 219–7074. Grants.gov system. You can also find the hand delivery. You also may mail your Your paper application must be Education Submission Procedures application by following the mailing submitted in accordance with the mail pertaining to Grants.gov under News instructions described elsewhere in this or hand delivery instructions described and Events on the Department’s G5 notice. in this notice. system home page at http://www.G5.gov. If you submit an application after 4:30 b. Submission of Paper Applications • You will not receive additional p.m., Washington, DC time, on the by Mail. point value because you submit your application deadline date, please If you qualify for an exception to the application in electronic format, nor contact the person listed under FOR electronic submission requirement, you will we penalize you if you qualify for FURTHER INFORMATION CONTACT in may mail (through the U.S. Postal an exception to the electronic section VII of this notice and provide an Service or a commercial carrier) your submission requirement, as described explanation of the technical problem application to the Department. You elsewhere in this section, and submit you experienced with Grants.gov, along must mail the original and two copies your application in paper format. with the Grants.gov Support Desk Case • of your application, on or before the You must submit all documents Number. We will accept your application deadline date, to the electronically, including all information application if we can confirm that a Department at the following address: you typically provide on the following technical problem occurred with the U.S. Department of Education, forms: The Application for Federal Grants.gov system and that that problem Application Control Center, Attention: Assistance (SF 424), the Department of affected your ability to submit your (CFDA Number 84.334A), LBJ Basement Education Supplemental Information for application by 4:30:00 p.m., Level 1, 400 Maryland Avenue, SW., SF 424, Budget Information—Non- Washington, DC time, on the Washington, DC 20202–4260. Construction Programs (ED 524), and all application deadline date. The You must show proof of mailing necessary assurances and certifications. • Department will contact you after a consisting of one of the following: You must upload any narrative determination is made on whether your (1) A legibly dated U.S. Postal Service sections and all other attachments to application will be accepted. postmark. your application as files in a .PDF (2) A legible mail receipt with the (Portable Document) format only. If you Note: The extensions to which we refer in this section apply only to the unavailability date of mailing stamped by the U.S. upload a file type other than a .PDF or of, or technical problems with, the Grants.gov Postal Service. submit a password-protected file, we system. We will not grant you an extension (3) A dated shipping label, invoice, or will not review that material. if you failed to fully register to submit your receipt from a commercial carrier. • Your electronic application must application to Grants.gov before the (4) Any other proof of mailing comply with any page-limit application deadline date and time or if the acceptable to the Secretary of the U.S. requirements described in this notice. technical problem you experienced is • After you electronically submit unrelated to the Grants.gov system. Department of Education. your application, you will receive from If you mail your application through Exception to Electronic Submission the U.S. Postal Service, we do not Grants.gov an automatic notification of Requirement: You qualify for an receipt that contains a Grants.gov accept either of the following as proof exception to the electronic submission of mailing: tracking number. (This notification requirement, and may submit your indicates receipt by Grants.gov only, not (1) A private metered postmark. application in paper format, if you are (2) A mail receipt that is not dated by receipt by the Department.) The unable to submit an application through the U.S. Postal Service. Department then will retrieve your the Grants.gov system because— If your application is postmarked after application from Grants.gov and send a • You do not have access to the the application deadline date, we will second notification to you by e-mail. Internet; or not consider your application. This second notification indicates that • You do not have the capacity to the Department has received your upload large documents to the Note: The U.S. Postal Service does not application and has assigned your Grants.gov system; and uniformly provide a dated postmark. Before application a PR/Award number (an ED- • No later than two weeks before the relying on this method, you should check specified identifying number unique to application deadline date (14 calendar with your local post office. your application). days or, if the fourteenth calendar day c. Submission of Paper Applications • We may request that you provide us before the application deadline date by Hand Delivery. original signatures on forms at a later falls on a Federal holiday, the next If you qualify for an exception to the date. business day following the Federal electronic submission requirement, you

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(or a courier service) may deliver your financial or other management system The effectiveness of this program paper application to the Department by that does not meet the standards in 34 depends on the rate at which program hand. You must deliver the original and CFR parts 74 or 80, as applicable; has participants complete high school and two copies of your application by hand, not fulfilled the conditions of a prior enroll in and complete a postsecondary on or before the application deadline grant; or is otherwise not responsible. education. Under the Government date, to the Department at the following VI. Award Administration Information Performance and Results Act of 1993 address: U.S. Department of Education, (GPRA), we developed the following Application Control Center, Attention: 1. Award Notices: If your application performance measures to track progress (CFDA Number 84.334A), 550 12th is successful, we notify your U.S. toward achieving the program’s goals: Street, SW., Room 7041, Potomac Center Representative and U.S. Senators and 1. The percentage of GEAR UP Plaza, Washington, DC 20202–4260. send you a Grant Award Notification students who pass Pre-algebra by the (GAN). We may notify you informally, The Application Control Center accepts end of 8th grade. also. 2. The percentage of GEAR UP hand deliveries daily between 8:00 a.m. If your application is not evaluated or and 4:30:00 p.m., Washington, DC time, students who pass Algebra 1 by the end not selected for funding, we notify you. of 9th grade. except Saturdays, Sundays, and Federal 2. Administrative and National Policy 3. The percentage of GEAR UP holidays. Requirements: We identify students who take two years of Note for Mail or Hand Delivery of Paper administrative and national policy mathematics beyond Algebra 1 by the Applications: If you mail or hand deliver requirements in the application package 12th grade. your application to the Department— and reference these and other 4. The percentage of GEAR UP (1) You must indicate on the envelope requirements in the Applicable students who graduate from high and—if not provided by the Department—in Regulations section of this notice. Item 11 of the SF 424 the CFDA number, We reference the regulations outlining school. including suffix letter, if any, of the Note: For each GEAR UP project, the high competition under which you are submitting the terms and conditions of an award in school graduation rate is defined in the your application; and the Applicable Regulations section of State’s approved accountability plan under (2) The Application Control Center will this notice and include these and other Part A of Title I of the ESEA. mail to you a notification of receipt of your specific conditions in the GAN. The grant application. If you do not receive this GAN also incorporates your approved 5. The percentage of GEAR UP notification within 15 business days from the application as part of your binding students and former GEAR UP students application deadline date, you should call commitments under the grant. who are enrolled in college. the U.S. Department of Education 3. Reporting: (a) If you apply for a 6. The percentage of GEAR UP Application Control Center at (202) 245– grant under this competition, you must students who place into college-level 6288. ensure that you have in place the Math and English without need for V. Application Review Information necessary processes and systems to remediation. comply with the reporting requirements 7. The percentage of current GEAR UP 1. Selection Criteria: The selection in 2 CFR Part 170 should you receive students and former GEAR UP students criteria for this program are from 34 CFR funding under the competition. This enrolled in college who are on track to 75.210 of EDGAR and are listed in the does not apply if you have an exception graduate college. application package. under 2 CFR 170.110(b). 8. The percentage of students and 2. Review and Selection Process: We (b) At the end of your project period, parents of GEAR UP students who remind potential applicants that in you must submit a final performance demonstrate knowledge of available reviewing applications in any report, including financial information, financial aid and the costs and benefits discretionary grant competition, the as directed by the Secretary. If you of pursuing postsecondary education. Secretary may consider, under 34 CFR receive a multi-year award, you must 75.217(d)(3), the past performance of the Note: The Department will ask grantees to submit an annual performance report track and report on Free Application for applicant in carrying out a previous that provides the most current Federal Student Aid (FAFSA) completion, award, such as the applicant’s use of performance and financial expenditure and will update the survey currently used by funds, achievement of project information as directed by the Secretary grantees to assess knowledge of financial aid objectives, and compliance with grant under 34 CFR 75.118. The Secretary and the costs and benefits of pursuing conditions. The Secretary may also may also require more frequent postsecondary education. consider whether the applicant failed to performance reports under 34 CFR 9. The percentage of GEAR UP submit a timely performance report or 75.720(c). For specific requirements on students who have knowledge of, and submitted a report of unacceptable reporting, please go to http:// demonstrate, necessary academic quality. www.ed.gov/fund/grant/apply/ preparation for college. In addition, in making a competitive appforms/appforms.html. grant award, the Secretary also requires 4. Performance Measures: The Note: This measure will be calculated various assurances including those objectives of the GEAR UP Program are: using factors such as the percentage of GEAR UP students on track for graduation at the applicable to Federal civil rights laws (1) To increase the academic end of each grade, the percentage of GEAR that prohibit discrimination in programs performance and preparation for UP students who complete the PLAN or or activities receiving Federal financial postsecondary education of PSAT by the end of the 10th grade, the assistance from the Department of participating students; (2) to increase percentage of GEAR UP students who Education (34 CFR 100.4, 104.5, 106.4, the rate of high school graduation and complete the SAT or ACT by the end of 11th 108.8, and 110.23). participation in postsecondary grade, and the percentage of GEAR UP 3. Special Conditions: Under 34 CFR education of participating students; and students who have an unweighted grade 74.14 and 80.12, the Secretary may (3) to increase educational expectations point average (GPA) of at least 3.0 on a 4- impose special conditions on a grant if for participating students and student point scale by the end of the 11th grade. the applicant or grantee is not and family knowledge of postsecondary 10. The percentage of parents of financially stable; has a history of education options, preparation, and GEAR UP students who actively engage unsatisfactory performance; has a financing. in activities associated with assisting

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students in their academic preparation Register. Free Internet access to the lead the world in college completion. To for college. official edition of the Federal Register achieve this goal, the Department has In addition, to assess the efficiency of and the Code of Federal Regulations is consistently encouraged four key the program, we track the average cost, available via the Federal Digital System reforms to improve elementary and in Federal funds, of achieving a at: http://www.gpo.gov/fdsys. At this secondary education—in particular the successful outcome, where success is site you can view this document, as well Department is seeking to: Improve the defined as enrollment in postsecondary as all other documents of this effectiveness of teachers and school education of GEAR UP students Department published in the Federal leaders and promote equity in the immediately after high school Register, in text or Adobe Portable distribution of effective teachers and graduation. These performance Document Format (PDF). To use PDF school leaders; strengthen the use of measures constitute GEAR UP’s you must have Adobe Acrobat Reader, data to improve teaching and learning; indicators of the success of the program. which is available free at this site. provide high-quality instruction based Grant recipients must collect and report You may also access documents of the on rigorous college- and career-ready data on steps they have taken toward Department published in the Federal standards and measure students’ achieving these goals. Accordingly, we Register by using the article search mastery of standards using high-quality request that applicants include these feature at: http:// assessments aligned with those performance measures in www.federalregister.gov. standards; and turn around the lowest- conceptualizing the design, performing schools. implementation, and evaluation of their Dated: June 9, 2011. The Department views the GEAR UP proposed projects. David A. Bergeron, program as a critical component in the 5. Continuation Awards: In making a Acting Assistant Secretary for Postsecondary effort to improve the quality of continuation award, the Secretary may Education. secondary schools so that more students consider, under 34 CFR 75.253, the [FR Doc. 2011–14736 Filed 6–13–11; 8:45 am] are well prepared for college and extent to which a grantee has made BILLING CODE 4000–01–U careers. In order to more strategically ‘‘substantial progress toward meeting align GEAR UP with these overarching the objectives in its approved reform strategies for school application.’’ This consideration DEPARTMENT OF EDUCATION improvement, the Department is includes the review of a grantee’s announcing four competitive preference Applications for New Awards; Gaining progress in meeting the targets and priorities for this competition. The Early Awareness and Readiness for projected outcomes in its approved Department also proposes one Undergraduate Programs application, and whether the grantee invitational priority for this has expended funds in a manner that is AGENCY: Office of Postsecondary competition. consistent with its approved application Education, Department of Education. We are using three priorities from the and budget. In making a continuation Department’s notice of final ACTION: Notice. grant, the Secretary also considers supplemental priorities and definitions for discretionary grant programs, whether the grantee is operating in Overview Information compliance with the assurances in its published in the Federal Register on approved application, including those Gaining Early Awareness and Readiness December 15, 2010 (75 FR 78486). applicable to Federal civil rights laws for Undergraduate Programs (GEAR The Department is using Competitive that prohibit discrimination in programs UP); Notice Inviting Applications for Preference Priority 2—Turning Around or activities receiving Federal financial New Awards for Fiscal Year (FY) 2011 Persistently Lowest-Achieving Schools assistance from the Department (34 CFR because an essential element in Catalog of Federal Domestic Assistance strengthening our education system is 100.4, 104.5, 106.4, 108.8, and 110.23). (CFDA) Number: 84.334S (State grants). dramatic improvement of student VII. Agency Contact DATES: Applications Available: June 14, performance in each State’s persistently 2011. FOR FURTHER INFORMATION CONTACT: lowest-achieving schools. These schools Deadline for Transmittal of often require intensive interventions to Pariece Wilkins, Gaining Early Applications: July 14, 2011. Awareness and Readiness for improve the school culture and climate, Deadline for Intergovernmental strengthen the school staff and Undergraduate Programs, U.S. Review: September 12, 2011. Department of Education, 1990 K Street, instructional program, increase student NW., Room 7025, Washington, DC Full Text of Announcement attendance and enrollment in advanced courses, provide more time for learning, 20006–8524. Telephone: (202) 219–7104 I. Funding Opportunity Description or by e-mail: [email protected]. and ensure that social services and If you use a TDD, call the FRS, toll Purpose of Program: The GEAR UP community support are available for free, at 1–800–877–8339. Program is a discretionary grant students in order to raise student program that provides financial support achievement, graduation rates, and VIII. Other Information for academic and related support college enrollment rates. In addition, Accessible Format: Individuals with services that eligible low-income students in these schools can benefit disabilities can obtain this document students, including students with from participating in programs, such as and a copy of the application package in disabilities, need to enable them to GEAR UP, that offer additional services an accessible format (e.g., braille, large obtain a secondary school diploma and designed to increase student success. print, audiotape, or computer diskette) to prepare for and succeed in The Department is interested in seeing on request to the program contact postsecondary education. strong plans to support improvements person listed under FOR FURTHER Priorities: This notice contains four in student achievement and outcomes INFORMATION CONTACT in section VII of competitive preference priorities and within these schools. this notice. one invitational priority. The Department is using Competitive Electronic Access to This Document: Background: The President has set a Preference Priority 3—Enabling More The official version of this document is clear goal for our education system: By Data-Based Decisionmaking because the the document published in the Federal 2020, the United States will once again Department believes that the effective

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use of data for informed decisionmaking these new standards and including lowest-achieving schools (as defined in is essential to the continuous assistance in developing and this notice). improvement of educational results. implementing high-quality instructional (b) Increasing graduation rates (as Specifically, this priority is for projects materials, assessments aligned with the defined in this notice) and college that are designed to provide educators, standards, teacher and principal enrollment rates for students in as well as families and other key preparation and professional persistently lowest-achieving schools stakeholders, with high-quality data and development programs, and other (as defined in this notice). the capacity and training to use those strategies that translate the standards Note: States proposing to work in data. The data may be used to respond into classroom practice. The Department persistently lowest- achieving schools under to the learning and academic needs of would like to see GEAR UP State this priority should consider providing a list students, increase student achievement applicants develop plans that would of qualifying schools along with descriptions (as defined in this notice), improve help students in schools served by their of the strategies that the State proposes to educator effectiveness, inform GEAR UP projects in meeting these new implement within these specific schools in professional development practices and standards. order to improve one or more of the following: student achievement (as defined approaches, understand the culture and Competitive Preference Priorities. The first competitive preference priority is in this notice), graduation rates (as defined in climate of their schools and institutions, this notice), or college enrollment rates. and make informed decisions that from section 404A(b)(3) of the Higher increase overall program effectiveness. Education Act of 1965, as amended (20 Competitive Preference Priority 3— We believe that inclusion of this U.S.C. 1070a–21) and the GEAR UP Enabling More Data-Based Decision- competitive preference priority is program regulations in 34 CFR 694.19. Making (Up to 3 Additional Points) The remaining three competitive important because accurate, timely, Projects that are designed to collect relevant, and appropriate data are key to preference priorities are from the notice of final supplemental priorities and (or obtain), analyze, and use high- knowing what is working for students quality and timely data, including data and what is not. Data can tell us which definitions for discretionary grant programs, published in the Federal on program participant outcomes, in students are on track to college- and accordance with privacy requirements career-readiness and which students Register on December 15, 2010 (75 FR 78486). For FY 2011 and any (as defined in this notice), in one or need additional support, which more of the following priority areas: instructional strategies are working, subsequent year in which we make awards from the list of unfunded (a) Improving instructional practices, which schools or institutions are policies, and student outcomes in successfully improving student learning applicants from this competition, these priorities are competitive preference elementary or secondary schools. and performance, and which teachers or (b) Improving postsecondary student priorities. Under 34 CFR 75.105(c)(2)(i) faculty excel in increasing student outcomes relating to enrollment, we award up to an additional 12 points achievement so that they can, for persistence, and completion and leading to an application, depending on how example, be given the opportunity to to career success. coach others or to lead communities of well the application meets each priority. (c) Providing reliable and These priorities are: professional practice. comprehensive information on the Finally, we are using Competitive Competitive Preference Priority 1— implementation of Department of Preference Priority 4—Implementing Successful Completion of Prior GEAR Education programs, and participant Internationally Benchmarked, College- UP Projects (Up to 2 Additional Points) outcomes in these programs, by using and Career-Ready Elementary and Consistent with section 404A(b)(3) of data from State longitudinal data Secondary Academic Standards because the Higher Education Act, as amended systems or by obtaining data from the Department believes that the by the Higher Education Opportunity reliable third-party sources. adoption of common, internationally Act (Pub. L. 110–315)(HEA), and 34 CFR Note: Applicants proposing to use data to benchmarked, college- and career-ready § 694.19, the Secretary gives priority to improve decision-making might want to academic standards for elementary and an eligible applicant for a State GEAR consider demonstrating their ability to access secondary school students is key to UP grant that has both: (a) Carried out the State’s longitudinal data system for ensuring that high schools graduate a successful State GEAR UP grant prior reporting postsecondary student outcomes and student outcomes in elementary and students with the skills and knowledge to August 14, 2008, determined on the that prepare them to enroll in secondary schools. Examples of other data- basis of data (including outcome data) based activities could include using course- postsecondary education without the submitted by the applicant as part of its taking trend data to structure interventions need for remediation and to successfully annual and final performance reports, tailored to keep students ‘on-track’ to earn a postsecondary credential. and the applicant’s history of graduate from high school and prepared for Holding students to college- and career- compliance with applicable statutory postsecondary education or using such data ready academic standards, and and regulatory requirements; and (b) a to develop early warning indicator systems providing them with the instructional prior, demonstrated commitment to designed to prevent students from dropping out. materials and support they need to meet early intervention leading to college those standards, is particularly access through collaboration and Competitive Preference Priority 4— important for the low-income students replication of successful strategies. served by GEAR UP who otherwise Implementing Internationally would be less likely to be ready for and Competitive Preference Priority 2— Benchmarked, College-and Career- successful in postsecondary education. Turning Around Persistently Lowest- Ready Elementary and Secondary Therefore, the Department is giving Achieving Schools (Up to 3 Additional Academic Standards (Up to 4 priority to States that have adopted such Points) Additional Points) standards and that are proposing Projects that are designed to address Projects that are designed to support projects that will support their one or more of the following priority the implementation of internationally implementation by, for example, areas: benchmarked, college- and career-ready providing assistance to local (a) Improving student achievement (as academic standards held in common by educational agencies in transitioning to defined in this notice) in persistently multiple States and to improve

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instruction and learning, including same time, a lack of financial literacy— priorities and definitions for projects in one or more of the following such as overestimating the price of discretionary grant programs, published priority areas: college, not applying for Federal student in the Federal Register on December 15, (a) The development or aid, and taking private education loans 2010 (75 FR 78486) and apply to the implementation of curriculum or before exhausting Federal loans—is a competitive preference priorities in this instructional materials aligned with major roadblock on the path to college notice. those standards. access and success for too many Graduation rate means a four-year (b) The development or students and families (http:// adjusted cohort graduation rate implementation of professional www2.ed.gov/legislation/FedRegister/ consistent with 34 CFR 200.19(b)(1) and development or preparation programs announcements/2010-3/072610c.html). may also include an extended-year aligned with those standards. Partially as a result of these findings, the adjusted cohort graduation rate (c) Strategies that translate the Secretary of Education and the consistent with 34 CFR 200.19(b)(1)(v) if standards into classroom practice. Chairmen of the Federal Deposit the State in which the proposed project Note: We interpret the GEAR UP statute Insurance Corporation and the National is implemented has been approved by and applicable cost principles contained in Credit Union Administration the Secretary to use such a rate under U.S. Office of Management and Budget announced in November 2010 a new Title I of the Elementary and Secondary Circular A–87 as not authorizing a State interagency agreement to increase Education Act of 1965 (ESEA), as grantee to use GEAR UP program funds to partnerships among schools, financial amended. either develop the assessments or implement institutions, and other stakeholders to Persistently lowest-achieving schools other activities in this priority unless doing help students gain access to deposit means, as determined by the State: (i) so focuses only on the eligible students in Any Title I school in improvement, local educational agencies (LEAs) accounts, learn about money, and save participating in the State’s GEAR UP project. for college. The Department’s press corrective action, or restructuring that However, a State grantee may use Federal statement on this partnership can be (a) is among the lowest-achieving five funds to help participating LEAs implement found at: http://www.ed.gov/news/press- percent of Title I schools in any part of the State’s or LEA’s strategies for releases/fdic-and-ncua-chairs-join- improvement, corrective action, or meeting this competitive preference priority. education-secretary-announce- restructuring or the lowest-achieving Similarly, a State also may use GEAR UP partnership-promote-finan and the five Title I schools in improvement, program funds to assist LEAs that have Secretary’s recently recorded video corrective action, or restructuring in the received funding under the Investing in encouraging participation at: http:// State, whichever number of schools is Innovation (i3) program to implement www.youtube.com/ greater; or (b) is a high school that has strategies and activities that align with State _ had a graduation rate as defined in 34 strategies for preparing eligible GEAR UP watch?v=uxOoXeOkh w. students to attend and succeed in Section 404D(b) of the HEA expressly CFR 200.19(b) that is less than 60 postsecondary education. These strategies authorizes GEAR UP program grantees percent over a number of years; and (ii) may include the development of graduation to design projects that promote any secondary school that is eligible for, and career plans. participating students’ secondary school but does not receive, Title I funds that: Invitational Priority: For FY 2011 and completion and enrollment in (a) Is among the lowest-achieving five any subsequent year in which we make postsecondary education by means that percent of secondary schools or the awards from the list of unfunded include promotion of financial literacy lowest-achieving five secondary schools applicants from this competition, this and economic literacy education or in the State that are eligible for, but do priority is an invitational priority. counseling. Accordingly, and in keeping not receive, Title I funds, whichever Under 34 CFR 75.105(c)(1), we do not with the goals of the new interagency number of schools is greater; or (b) is a give an application that meets this agreement, the Secretary specifically high school that has had a graduation invitational priority a competitive or invites applications that address the rate as defined in 34 CFR 200.19(b) that absolute preference over other following invitational priority. is less than 60 percent over a number of years. applications. Invitational Priority This priority is: To identify the persistently lowest- The Secretary invites applications achieving schools, a State must take into Invitational Priority—Financial Access that propose, as part of their strategy for account both: (i) The academic and College Savings Accounts ensuring secondary school completion achievement of the ‘‘all students’’ group Background and postsecondary education in a school in terms of proficiency on enrollment of participating students, the State’s assessments under section Research indicates that students with financial and economic literacy 1111(b)(3) of the ESEA in reading/ savings accounts may be up to seven activities that include: language arts and mathematics times more likely to attend college, even • Creation or enhancement of combined; and (ii) the school’s lack of when controlling for other factors partnerships with financial institutions progress on those assessments over a (Elliot, Jung, and Friedline, 2010: and/or other stakeholders that would (1) number of years in the ‘‘all students’’ http://csd.wustl.edu/Publications/ provide students with safe and group. Documents/WP10-01.pdf). Yet 25 affordable deposit accounts at Federally- Privacy requirements means the percent of U.S. households (and 50 insured banks or credit unions, or other requirements of the Family Educational percent of Black and Hispanic safe, affordable, and appropriate Rights and Privacy Act (FERPA), 20 households) are unbanked or financial services, and (2) evaluate the U.S.C. 1232g, and its implementing underbanked, meaning that they either success of these partnerships in meeting regulations in 34 CFR part 99, the do not have a Federally-insured deposit this objective; and Privacy Act, 5 U.S.C. 552a, as well as all account, or that they have an account • Creation of financial or other applicable Federal, State and local but still rely on costly alternative incentives to increase savings by GEAR requirements regarding privacy. financial services. Young adults are UP students and families of Student achievement means— disproportionately unbanked and participating GEAR UP students. (a) For tested grades and subjects: (1) underbanked (http:// Definitions: These definitions are A student’s score on the State’s www.economicinclusion.gov/). At the from the notice of final supplemental assessments under the ESEA; and, as

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appropriate, (2) other measures of grantees under this program to provide in an accessible format (e.g., braille, student learning, such as those from State, local, institutional, or large print, audiotape, or computer described in paragraph (b) of this private funds, not less than 50 percent diskette) by contacting the program definition, provided they are rigorous of the cost of the program (or $1 of non- contact person listed in this section. and comparable across schools. (b) For Federal funds for every $1 of Federal 2. Content and Form of Application non-tested grades and subjects: funds awarded), which may be provided Submission: Requirements concerning alternative measures of student learning in cash or in-kind. The provision also the content of an application, together and performance, such as student scores provides that the match may be accrued with the forms you must submit, are in on pre-tests and end-of-course tests; over the full duration of the grant award the application package for this student performance on English period, except that the grantee must program. language proficiency assessments; and make substantial progress toward Page Limit: The application narrative other measures of student achievement meeting the matching requirement in is where you, the applicant, address the that are rigorous and comparable across each year of the grant award period. selection criteria that reviewers use to schools. b. Supplement-Not-Supplant: This evaluate your application. You must Program Authority: 20 U.S.C. 1070a–21— program involves supplement-not- limit the application narrative (Part II) 1070a–28. supplant funding requirements. Under to no more than 45 pages. However, if section 404B(e) of the HEA, grant funds you choose to address the invitational Applicable Regulations: (a) The awarded under this program must be priority and/or the competitive Education Department General used to supplement, and not supplant, preference priorities, you must limit Administrative Regulations (EDGAR) in other Federal, State, and local funds that your discussion on the invitational 34 CFR parts 74, 75, 77, 79, 80, 81, 82, would otherwise be expended to carry priority to only 4 additional pages and 84, 85, 86, 97, 98, and 99. (b) The out activities assisted under this regulations for this program in 34 CFR discussion on the competitive program (20 U.S.C. 1070a–22). preference priorities to only 20 part 694. (c) The notice of final 3. Other: Under Section 404E(b)(1) of supplemental priorities and definitions additional pages above the 40-page the HEA for State grants, a State must narrative limitation. For purpose of for discretionary grant programs, use not less than 25 percent and not published in the Federal Register on determining compliance with the page more than 50 percent of the grant funds limit, each page on which there are December 15, 2010 (75 FR 78486). Note: for activities targeted at the LEA level as The regulations in 34 CFR part 79 apply words will be counted as one full page. described in section 404D (excluding Applicant must use the following to all applicants except Federally the reservation of funds for recognized Indian Tribes. standards: postsecondary scholarships provided for • A ‘‘page’’ is 8.5″ x 11″, on one side Note: The regulations in 34 CFR part 86 in section 404D(a)(4) and with the only, with 1″ margins at the top, bottom, apply to institutions of higher education remainder of grant funds spent on and both sides. (IHEs) only. postsecondary scholarships to eligible • Double space (no more than three GEAR UP students as described in II. Award Information lines per vertical inch) all text in the section 404E. However, section application narrative, except titles, Type of Award: Discretionary grants. 404E(b)(2), of the HEA permits the headings, footnotes, quotations, Estimated Available Funds: Secretary to allow a State to use more references, and captions, as well as all $72,552,000. Contingent upon the than 50 percent of grant funds received text in charts, tables, figures, and availability of funds and the quality of under this program for activities graphs. applications, we may make additional targeted at the LEA level if the State • Use a font that is either 12-point or awards in FY 2012 from the list of demonstrates in its grant application larger or no smaller than 10 pitch unfunded applicants from this that it has another means of providing (characters per inch). competition. the students with the financial • Use one of the following fonts: Estimated Range of Awards: assistance described in section 404E. Times New Roman, Courier, Courier $500,000–$5,000,000. New, or Arial. An application submitted IV. Application and Submission Estimated Average Size of Awards: in any other font (including Times Information $4,836,800. Roman and Arial Narrow) will not be Maximum Award: We will reject any 1. Address to Request Application accepted. application for a State grant that Package: You can obtain an application The page limits do not apply to the proposes a budget exceeding $5,000,000 package via the Internet by downloading cover sheet; the budget section, for a single budget period of 12 months. the package from the program Web site including the budget narrative and We also will reject any State grant at: http://www.ed.gov/programs/gearup/ summary form; the assurances and application that proposes an increase in index.html. certifications; or the one-page abstract. its budget after the first 12-month You also can request a copy of the We will reject your application if you budget period. The Assistant Secretary application package from the following: exceed the page limit. for Postsecondary Education may Pariece Wilkins, Gaining Early 3. Submission Dates and Times: change the maximum amounts through Awareness and Readiness for Applications Available: June 14, 2011. a notice published in the Federal Undergraduate Programs, U.S. Deadline for Transmittal of Register. Department of Education, 1990 K Street, Applications: July 14, 2011. Estimated Number of Awards: 15. NW., room 7025, Washington, DC Applications for grants under this Note: The Department is not bound by any 20006–8524. Telephone: (202) 219–7104 program must be submitted estimates in this notice. or by e-mail: [email protected]. electronically using the Grants.gov Project Period: Up to 84 months. If you use a telecommunications Apply site (Grants.gov). For information device for the deaf (TDD), call the (including dates and times) about how III. Eligibility Information Federal Relay Service (FRS), toll free, at to submit your application 1. Eligible Applicants: States. 1–800–877–8339. electronically, or in paper format by 2. a. Cost Sharing or Matching: Individuals with disabilities can mail or hand delivery if you qualify for Section 404C(b)(1) of the HEA requires obtain a copy of the application package an exception to the electronic

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submission requirement, please refer to changes. However, please make certain • Applications received by Grants.gov section IV. 7. Other Submission that the TIN associated with your DUNS are date and time stamped. Your Requirements of this notice. number is correct. Also note that you application must be fully uploaded and We do not consider an application will need to update your CCR submitted and must be date and time that does not comply with the deadline registration on an annual basis. This stamped by the Grants.gov system no requirements. may take three or more business days to later than 4:30 p.m., Washington, DC Individuals with disabilities who complete. time, on the application deadline date. need an accommodation or auxiliary aid In addition, if you are submitting your Except as otherwise noted in this in connection with the application application via Grants.gov, you must (1) section, we will not accept your process should contact the person listed be designated by your organization as an application if it is received—that is, date under FOR FURTHER INFORMATION Authorized Organization Representative and time stamped by the Grants.gov CONTACT in section VII of this notice. If (AOR); and (2) register yourself with system—after 4:30 p.m., Washington, the Department provides an Grants.gov as an AOR. Details on these DC time, on the application deadline accommodation or auxiliary aid to an steps are outlined in the Grants.gov 3- date. We do not consider an application individual with a disability in Step Registration Guide (see http:// that does not comply with the deadline connection with the application www.grants.gov/section910/ requirements. When we retrieve your process, the individual’s application Grants.govRegistrationBrochure.pdf). application from Grants.gov, we will remains subject to all other 7. Other Submission Requirements: notify you if we are rejecting your requirements and limitations in this Applications for grants under this application because it was date and time notice. program must be submitted stamped by the Grants.gov system after Deadline for Intergovernmental electronically unless you qualify for an 4:30 p.m., Washington, DC time, on the Review: September 12, 2011. exception to this requirement in application deadline date. 4. Intergovernmental Review: This accordance with the instructions in this • The amount of time it can take to program is subject to Executive Order section. upload an application will vary 12372 and the regulations in 34 CFR a. Electronic Submission of depending on a variety of factors, part 79. Information about Applications including the size of the application and Intergovernmental Review of Federal the speed of your Internet connection. Programs under Executive Order 12372 Applications for grants under the Therefore, we strongly recommend that is in the application package for this GEAR UP State Grant competition, you do not wait until the application program. CFDA number 84.334S must be deadline date to begin the submission 5. Funding Restrictions: We reference submitted electronically using the process through Grants.gov. regulations outlining funding Governmentwide Grants.gov Apply site restrictions in the Applicable at www.Grants.gov. Through this site, • You should review and follow the Regulations section of this notice. you will be able to download a copy of Education Submission Procedures for 6. Data Universal Numbering System the application package, complete it submitting an application through Number, Taxpayer Identification offline, and then upload and submit Grants.gov that are included in the Number, and Central Contractor your application. You may not e-mail an application package for this competition Registry: To do business with the electronic copy of a grant application to to ensure that you submit your Department of Education, you must— us. application in a timely manner to the a. Have a Data Universal Numbering We will reject your application if you Grants.gov system. You can also find the System (DUNS) number and a Taxpayer submit it in paper format unless, as Education Submission Procedures Identification Number (TIN); described elsewhere in this section, you pertaining to Grants.gov under News b. Register both your DUNS number qualify for one of the exceptions to the and Events on the Department’s G5 and TIN with the Central Contractor electronic submission requirement and system home page at http://www.G5.gov. Registry (CCR), the Government’s submit, no later than two weeks before • You will not receive additional primary registrant database; the application deadline date, a written point value because you submit your c. Provide your DUNS number and statement to the Department that you application in electronic format, nor TIN on your application; and qualify for one of these exceptions. will we penalize you if you qualify for d. Maintain an active CCR registration Further information regarding an exception to the electronic with current information while your calculation of the date that is two weeks submission requirement, as described application is under review by the before the application deadline date is elsewhere in this section, and submit Department and, if you are awarded a provided later in this section under your application in paper format. grant, during the project period. Exception to Electronic Submission • You must submit all documents You can obtain a DUNS number from Requirement. Dun and Bradstreet. A DUNS number You may access the electronic grant electronically, including all information can be created within one business day. application for the GEAR UP State Grant you typically provide on the following If you are a corporate entity, agency, competition at www.Grants.gov. You forms: the Application for Federal institution, or organization, you can must search for the downloadable Assistance (SF 424), the Department of obtain a TIN from the Internal Revenue application package for this competition Education Supplemental Information for Service. If you are an individual, you by the CFDA number. Do not include SF 424, Budget Information—Non- can obtain a TIN from the Internal the CFDA number’s alpha suffix in your Construction Programs (ED 524), and all Revenue Service or the Social Security search (e.g., search for 84.326, not necessary assurances and certifications. Administration. If you need a new TIN, 84.326A). • You must upload any narrative please allow 2–5 weeks for your TIN to Please note the following: sections and all other attachments to become active. • When you enter the Grants.gov site, your application as files in a .PDF The CCR registration process may take you will find information about (Portable Document) format only. If you five or more business days to complete. submitting an application electronically upload a file type other than a .PDF or If you are currently registered with the through the site, as well as the hours of submit a password-protected file, we CCR, you may not need to make any operation. will not review that material.

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• Your electronic application must application to Grants.gov before the (3) A dated shipping label, invoice, or comply with any page-limit application deadline date and time or if the receipt from a commercial carrier. requirements described in this notice. technical problem you experienced is (4) Any other proof of mailing • After you electronically submit unrelated to the Grants.gov system. acceptable to the Secretary of the U.S. your application, you will receive from Exception to Electronic Submission Department of Education. Grants.gov an automatic notification of Requirement: You qualify for an If you mail your application through receipt that contains a Grants.gov exception to the electronic submission the U.S. Postal Service, we do not tracking number. (This notification requirement, and may submit your accept either of the following as proof indicates receipt by Grants.gov only, not application in paper format, if you are of mailing: receipt by the Department.) The unable to submit an application through (1) A private metered postmark. Department then will retrieve your the Grants.gov system because–– (2) A mail receipt that is not dated by application from Grants.gov and send a • You do not have access to the the U.S. Postal Service. second notification to you by e-mail. Internet; or If your application is postmarked after This second notification indicates that • You do not have the capacity to the application deadline date, we will the Department has received your upload large documents to the not consider your application. application and has assigned your Grants.gov system; and Note: The U.S. Postal Service does not application a PR/Award number (an ED- • No later than two weeks before the uniformly provide a dated postmark. Before specified identifying number unique to application deadline date (14 calendar relying on this method, you should check your application). with your local post office. • days or, if the fourteenth calendar day We may request that you provide us before the application deadline date original signatures on forms at a later falls on a Federal holiday, the next c. Submission of Paper Applications by date. business day following the Federal Hand Delivery Application Deadline Date Extension in Case of Technical Issues with the holiday), you mail or fax a written If you qualify for an exception to the Grants.gov System: If you are statement to the Department, explaining electronic submission requirement, you experiencing problems submitting your which of the two grounds for an (or a courier service) may deliver your application through Grants.gov, please exception prevent you from using the paper application to the Department by contact the Grants.gov Support Desk, Internet to submit your application. hand. You must deliver the original and toll free, at 1–800–518–4726. You must If you mail your written statement to two copies of your application by hand, obtain a Grants.gov Support Desk Case the Department, it must be postmarked on or before the application deadline Number and must keep a record of it. no later than two weeks before the date, to the Department at the following If you are prevented from application deadline date. If you fax address: U.S. Department of Education, electronically submitting your your written statement to the Application Control Center, Attention: application on the application deadline Department, we must receive the faxed (CFDA Number 84.334S), 550 12th date because of technical problems with statement no later than two weeks Street, SW., Room 7041, Potomac Center the Grants.gov system, we will grant you before the application deadline date. Plaza, Washington, DC 20202–4260. an extension until 4:30 p.m., Address and mail or fax your The Application Control Center Washington, DC time, the following statement to: Pariece Wilkins, U.S. accepts hand deliveries daily between business day to enable you to transmit Department of Education, 1990 K Street, 8:00 a.m. and 4:30:00 p.m., Washington, your application electronically or by NW., room 7025, Washington, DC DC time, except Saturdays, Sundays, hand delivery. You also may mail your 20006–8524. FAX: (202) 219–7074. and Federal holidays. application by following the mailing Your paper application must be Note for Mail or Hand Delivery of Paper instructions described elsewhere in this submitted in accordance with the mail Applications: If you mail or hand deliver notice. or hand delivery instructions described your application to the Department— If you submit an application after 4:30 in this notice. (1) You must indicate on the envelope and—if not provided by the Department—in p.m., Washington, DC time, on the b. Submission of Paper Applications by application deadline date, please Item 11 of the SF 424 the CFDA number, Mail including suffix letter, if any, of the FOR contact the person listed under competition under which you are submitting FURTHER INFORMATION CONTACT in If you qualify for an exception to the electronic submission requirement, you your application; and section VII of this notice and provide an (2) The Application Control Center will explanation of the technical problem may mail (through the U.S. Postal mail to you a notification of receipt of your you experienced with Grants.gov, along Service or a commercial carrier) your grant application. If you do not receive this with the Grants.gov Support Desk Case application to the Department. You notification within 15 business days from the Number. We will accept your must mail the original and two copies application deadline date, you should call application if we can confirm that a of your application, on or before the the U.S. Department of Education technical problem occurred with the application deadline date, to the Application Control Center at (202) 245– 6288. Grants.gov system and that that problem Department at the following address: U.S. Department of Education, affected your ability to submit your V. Application Review Information application by 4:30 p.m., Washington, Application Control Center, Attention: DC time, on the application deadline (CFDA Number 84.334S), LBJ Basement 1. Selection Criteria: The selection date. The Department will contact you Level 1, 400 Maryland Avenue, SW., criteria for this program are from 34 CFR after a determination is made on Washington, DC 20202–4260. 75.210 of EDGAR and are listed in the whether your application will be You must show proof of mailing application package. accepted. consisting of one of the following: 2. Review and Selection Process: We (1) A legibly dated U.S. Postal Service remind potential applicants that in Note: The extensions to which we refer in this section apply only to the unavailability postmark. reviewing applications in any of, or technical problems with, the Grants.gov (2) A legible mail receipt with the discretionary grant competition, the system. We will not grant you an extension date of mailing stamped by the U.S. Secretary may consider, under 34 CFR if you failed to fully register to submit your Postal Service. 75.217(d)(3), the past performance of the

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applicant in carrying out a previous that provides the most current Federal Student Aid (FAFSA) completion, award, such as the applicant’s use of performance and financial expenditure and will update the survey currently used by funds, achievement of project information as directed by the Secretary grantees to assess knowledge of financial aid objectives, and compliance with grant under 34 CFR 75.118. The Secretary and the costs and benefits of pursuing conditions. The Secretary may also may also require more frequent postsecondary education. consider whether the applicant failed to performance reports under 34 CFR 9. The percentage of GEAR UP submit a timely performance report or 75.720(c). For specific requirements on students who have knowledge of, and submitted a report of unacceptable reporting, please go to http:// demonstrate, necessary academic quality. www.ed.gov/fund/grant/apply/ preparation for college. In addition, in making a competitive appforms/appforms.html. grant award, the Secretary also requires 4. Performance Measures: The Note: This measure will be calculated various assurances including those objectives of the GEAR UP Program using factors such as the percentage of GEAR applicable to Federal civil rights laws are—(1) To increase the academic UP students on track for graduation at the end of each grade, the percentage of GEAR that prohibit discrimination in programs performance and preparation for UP students who complete the PLAN or or activities receiving Federal financial postsecondary education of PSAT by the end of the 10th grade, the assistance from the Department of participating students; (2) to increase percentage of GEAR UP students who Education (34 CFR 100.4, 104.5, 106.4, the rate of high school graduation and complete the SAT or ACT by the end of 11th 108.8, and 110.23). participation in postsecondary grade, and the percentage of GEAR UP 3. Special Conditions: Under 34 CFR education of participating students; and students who have an unweighted grade 74.14 and 80.12, the Secretary may (3) to increase educational expectations point average (GPA) of at least 3.0 on a 4- impose special conditions on a grant if for participating students and student point scale by the end of the 11th grade. the applicant or grantee is not and family knowledge of postsecondary financially stable; has a history of education options, preparation, and 10. The percentage of parents of unsatisfactory performance; has a financing. GEAR UP students who actively engage financial or other management system The effectiveness of this program in activities associated with assisting that does not meet the standards in 34 depends on the rate at which program students in their academic preparation CFR parts 74 or 80, as applicable; has participants complete high school and for college. not fulfilled the conditions of a prior enroll in and complete a postsecondary In addition, to assess the efficiency of grant; or is otherwise not responsible. education. Under the Government the program, we track the average cost VI. Award Administration Information Performance and Results Act of 1993 in Federal funds, of achieving a (GPRA), we developed the following successful outcome, where success is 1. Award Notices: If your application performance measures to track progress defined as enrollment in postsecondary is successful, we notify your U.S. toward achieving the program’s goals: education of GEAR UP students Representative and U.S. Senators and 1. The percentage of GEAR UP immediately after high school send you a Grant Award Notification students who pass Pre-algebra by the graduation. These performance (GAN). We may notify you informally, end of 8th grade. measures constitute GEAR UP’s also. 2. The percentage of GEAR UP indicators of the success of the program. If your application is not evaluated or students who pass Algebra 1 by the end Grant recipients must collect and report not selected for funding, we notify you. of 9th grade. data on steps they have taken toward 2. Administrative and National Policy 3. The percentage of GEAR UP achieving these goals. Accordingly, we Requirements: We identify students who take two years of request that applicants include these administrative and national policy mathematics beyond Algebra 1 by the performance measures in requirements in the application package 12th grade. conceptualizing the design, and reference these and other 4. The percentage of GEAR UP implementation, and evaluation of their requirements in the Applicable students who graduate from high proposed projects. Regulations section of this notice. school. We reference the regulations outlining 5. Continuation Awards: In making a the terms and conditions of an award in Note: For each GEAR UP project, the high continuation award, the Secretary may the Applicable Regulations section of school graduation rate is defined in the consider, under 34 CFR 75.253, the State’s approved accountability plan under extent to which a grantee has made this notice and include these and other Part A of Title I of ESEA. specific conditions in the GAN. The ‘‘substantial progress toward meeting GAN also incorporates your approved 5. The percentage of GEAR UP the objectives in its approved application as part of your binding students and former GEAR UP students application.’’ This consideration commitments under the grant. who are enrolled in college. includes the review of a grantee’s 3. Reporting: (a) If you apply for a 6. The percentage of GEAR UP progress in meeting the targets and grant under this competition, you must students who place into college-level projected outcomes in its approved ensure that you have in place the Math and English without need for application, and whether the grantee necessary processes and systems to remediation. has expended funds in a manner that is comply with the reporting requirements 7. The percentage of current GEAR UP consistent with its approved application in 2 CFR part 170 should you receive students and former GEAR UP students and budget. In making a continuation funding under the competition. This enrolled in college who are on track to grant, the Secretary also considers does not apply if you have an exception graduate college. whether the grantee is operating in under 2 CFR 170.110(b). 8. The percentage of students and compliance with the assurances in its (b) At the end of your project period, parents of GEAR UP students who approved application, including those you must submit a final performance demonstrate knowledge of available applicable to Federal civil rights laws report, including financial information, financial aid and the costs and benefits that prohibit discrimination in programs as directed by the Secretary. If you of pursuing postsecondary education. or activities receiving Federal financial receive a multi-year award, you must Note: The Department will ask grantees to assistance from the Department (34 CFR submit an annual performance report track and report on Free Application for 100.4, 104.5, 106.4, 108.8, and 110.23).

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VII. Agency Contact Withdrawal of Notices inviting For information on BIE, IFLE: Susanna applications for new awards for Fiscal Easton, U.S. Department of Education, FOR FURTHER INFORMATION CONTACT: Year (FY) 2011; Undergraduate 1990 K Street, NW., Room 6093, Pariece Wilkins, Gaining Early International Studies and Foreign Washington, DC 20006–8521. Awareness and Readiness for Language (UISFL) Program; Telephone: (202) 502–7628 or by e-mail: Undergraduate Programs, U.S. International Research and Studies (IRS) [email protected]. Department of Education, 1990 K Street, Program; Fulbright-Hays Faculty For information on AORC, IFLE: NW., Room 7025, Washington, DC Research Abroad (FRA) Fellowship Cheryl Gibbs, U.S. Department of 20006–8524. Telephone: (202) 219–7104 Program; Fulbright-Hays Doctoral Education, 1990 K Street, NW., Room or by e-mail: [email protected]. Dissertation Research Abroad (DDRA) 6083, Washington, DC 20006–8521. If you use a TDD, call the FRS, toll Fellowship Program; Business and Telephone: (202) 502–7634 or by e-mail: free, at 1–800–877–8339. International Education (BIE)Program; [email protected]. VIII. Other Information American Overseas Research Centers For information on Comprehensive (AORC) Program; and The Fund for the Program, IFLE: Sarah Beaton, Office of Accessible Format: Individuals with Improvement of Postsecondary Postsecondary Education, U.S. disabilities can obtain this document Education (FIPSE)—Comprehensive Department of Education, 1990 K Street, and a copy of the application package in Program. NW., Room 6054, Washington, DC an accessible format (e.g., braille, large SUMMARY: On September 17, 2010 (75 20006–8544. Telephone: (202) 502–7621 print, audiotape, or computer diskette) FR 57000) (DDRA); October 1, 2010 (75 or by e-mail: [email protected]. on request to the program contact FR 60740) (FRA); January 13, 2011 (76 Accessible Format: Individuals with FOR FURTHER person listed under FR 2349) (BIE) and (76 FR 2353) (IRS); disabilities can obtain this document in INFORMATION CONTACT in section VII of January 25, 2011 (76 FR 4330) (AORC); an accessible format (e.g., braille, large this notice. February 8, 2011 (76 FR 6769) (UISFL); print, audiotape, or computer diskette) Electronic Access to This Document: and March 22, 2011 (76 FR 15956) by contacting one of the persons listed The official version of this document is (Comprehensive Program), the under the FOR FURTHER INFORMATION the document published in the Federal Department published in the Federal CONTACT section of this notice. Register. Free Internet access to the Register notices inviting applications Telephone: (202) 245–7363. If you use a official edition of the Federal Register for new awards for each of the programs telecommunications device for the deaf, and the Code of Federal Regulations is identified. Since that time, the call the Federal Relay Service, toll free, available via the Federal Digital System Department has determined that, as a at 1–800–877–8339. at: http://www.gpo.gov/fdsys. At this result of final Congressional action on Electronic Access to This Document: site you can view this document, as well FY 2011 appropriations, there are not The official version of this document is as all other documents of this sufficient funds available in 2011 to the document published in the Federal Department published in the Federal support new awards under these Register. Free Internet access to the Register, in text or Adobe Portable programs. As such, the Department official edition of the Federal Register Document Format (PDF). To use PDF withdraws these notices inviting and the Code of Federal Regulations is you must have Adobe Acrobat Reader, applications for new awards for FY available via the Federal Digital System which is available free at this site. 2011. at: http://www.gpo.gov/fdsys. At this You may also access documents of the Program Authority: 20 U.S.C. 1124, 20 site you can view this document, as well Department published in the Federal as all other documents of this Register by using the article search U.S.C 1125, 22 U.S.C 2452(b)(6), 20 U.S.C. 1130–1130b, 20 U.S.C 1128a, and 20 U.S.C. Department published in the Federal feature at: http:// 1138–1138d. Register, in text or Adobe Portable www.federalregister.gov. FOR FURTHER INFORMATION CONTACT: For Document Format (PDF). To use PDF, David A. Bergeron, information on UISFL, International and you must have Adobe Acrobat Reader, Acting Assistant Secretary for Postsecondary Foreign Language Education (IFLE): which is available free at the site. Education. Christine Corey, U.S. Department of You may also access documents of the [FR Doc. 2011–14737 Filed 6–13–11; 8:45 am] Education, 1990 K Street, NW., Room Department published in the Federal BILLING CODE 4000–01–P 6069, Washington, DC 20006–8521. Register by using the article search Telephone: (202) 502–7629 or by e-mail: feature at: http:// [email protected]. www.federalregister.gov. Specifically, DEPARTMENT OF EDUCATION For information on IRS, IFLE: Beth through the advanced search feature at MacRae, U.S. Department of Education, this site, you can limit your search to Withdrawal of Notices Inviting 1990 K Street NW., Room 6088, documents published by the Applications for New Awards for Fiscal Washington, DC 20006–8521. Department. Year (FY) 2011; Undergraduate Telephone: (202) 502–7596 or by e-mail: Dated: June 9, 2011. International Studies and Foreign [email protected]. David A. Bergeron, Language (UISFL) Program; For information on FRA, IFLE: International Research and Studies Acting Assistant Secretary for Postsecondary Cynthia Dudzinski, U.S. Department of Education. (IRS) Program; et al. Education, 1990 K Street, NW., Room [FR Doc. 2011–14740 Filed 6–13–11; 8:45 am] AGENCY: Office of Postsecondary 6077, Washington, DC 20006–8521. BILLING CODE 4000–01–P Education, Department of Education. Telephone: (202) 502–7589 or by e-mail: [email protected]. ACTION: Notice. For information on DDRA, IFLE: Amy ELECTION ASSISTANCE COMMISSION Wilson, U.S. Department of Education, Overview Information: 1990 K Street, NW., Room 6082, Sunshine Act Meeting Notice CFDA No. 84.016A, 84.017A, Washington, DC 20006–8521. 84.019A, 84.022A, 84.153A, 84.274A, Telephone: (202) 502–7700 or by e-mail: AGENCY: U.S. Election Assistance and 84.116B. [email protected]. Commission.

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ACTION: Notice of Virtual Public Forum DEPARTMENT OF ENERGY 1. Forecasting for EAC Standards Board. Initialize, constrain, and improve Office of Energy Efficiency and appropriate forecast models addressing DATE AND TIME: Monday, July 11, 2011, Renewable Energy 9 a.m. EDT through Friday, July 22, periods of hours to days ahead for 2011, 5 p.m. EDT. Offshore Renewable Energy; Public winds, waves, and currents. Meeting on Information Needs for PLACE: EAC Standards Board Virtual 2. Energy Projections/Performance Resource Assessment and Design Public Forum at http://www.eac.gov/ Monitoring Conditions virtual_public_forum.aspx. Once at the Estimate energy to be produced by an main page of EAC’s Web site, viewers AGENCY: Office of Energy Efficiency and offshore renewable energy plant. Once should click the link to the Virtual Renewable Energy, Department of plants are in place, information would Public Forum. The virtual public forum Energy (DOE). also be required to evaluate the plants will open on Monday, July 11, 2011, at actual production and determine causes ACTION: 9 a.m. EDT and will close on Friday, Notice of public meeting. for changes in its performance. July 22, 2011, at 5 p.m. EDT. The site SUMMARY: This notice announces a 3. Technology Design and Validation will be available 24 hours per day public meeting for interested parties to during that 12-day period. Design and validate energy devices for provide DOE information on existing the marine environment that would PURPOSE: The EAC Standards Board will needs for acquiring meteorological and predictably withstand physical loads on review and provide feedback on the oceanographic information to support energy devices in the marine EAC’s Status Resolutions Update, which cost-effective deployment of offshore environment while operating at is an update on actions taken regarding renewable energy plants, particularly optimum efficiency. Standards Board resolutions. wind and marine hydrokinetic (MHK) technologies. 4. Facility Design The EAC Standards Board Virtual Effectively design offshore energy Public Forum was established to enable DATES: The meeting will be held plants as a whole, including designs the Standards Board to provide Thursday, June 23, 2011, from 8:30 a.m. that would account for interactions comment in an efficient manner in a to 5:30 p.m., and Friday, June 24, 2011, among individual devices and for siting public forum, including being able to 8:30 a.m. to 12 p.m. issues. review and discuss draft documents ADDRESSES: Hyatt Regency Crystal City, 5. Operations Planning/Site Safety when it is not feasible for an in-person 2799 Jefferson Davis Hwy., Arlington, board meeting. The Standards Board VA 22202. Effectively schedule and execute will not take any votes or propose any O&M activities, including safe facility resolutions during the 12-day forum of FOR FURTHER INFORMATION CONTACT: Stan access and response to extreme events. July 11–July 22, 2011. Calvert at [email protected]. The meeting is intended to hear from This activity is open for public SUPPLEMENTARY INFORMATION: The experts involved in planning, observation. the public may view the purpose of the meeting is for DOE to deployment, operation, and regulation of offshore wind and marine proceedings of this special forum by obtain input regarding the development hydrokinetic energy, experts involved in visiting the EAC Standards Board of accurate meteorological and oceanographic information for meteorological and oceanic disciplines Virtual Public Forum at http:// evaluating the energy potential, relevant to offshore energy, as well as www.eac.gov/virtual_public_forum.aspx economic viability, and engineering the interested public. However, the any time between Monday, July 11, requirements of offshore project sites. meeting will not focus on 2011, 9 a.m. EDT and Friday, July 22, The meeting is an opportunity for environmental impact or management 2011, 5 p.m. EDT. The public also may participants to provide, based on their issues, which are being addressed by view the resolution status update, individual experience, individual separate efforts. While participation is which will be posted on EAC’S Web site information and facts regarding this open to all interested parties, the beginning July 11, 2011. The public may topic. It is not the object of this session breakout structure of the meeting will file written statements to the EAC to obtain any group position or limit its overall size to about 100 Standards Board at consensus. Rather, the Department is participants. When the meeting is fully [email protected] and by seeking as many recommendations as subscribed, registration will be closed. copying Sharmili Edwards at possible from all individuals at this To register, please visit http:// [email protected]. Data on EAC’S meeting. www.sentech.org/ _ _ Web site is accessible to visitors with The public meeting will consist of an Offshore RADC Meeting/. disabilities and meets the requirements initial plenary session in which invited Tentative Agenda (Subject To Change) of Section 508 of the Rehabilitation Act. speakers will survey information Day 1 PERSON TO CONTACT FOR INFORMATION: availability and needs for various Bryan Whitener, Telephone: (202) 566– applications related to offshore 7:30 a.m.–8:30 a.m. 3100. renewable energy. For the remainder of Registration and continental breakfast the meeting, breakout groups will be 8:30 a.m.–10:15 a.m. Gineen M. Bresso, used to provide participants an Welcome and plenary session Commissioner, U.S. Election Assistance opportunity to present to DOE 10:15 a.m.–10:30 a.m. Commission. information on the specified areas Break [FR Doc. 2011–14847 Filed 6–10–11; 4:15 pm] regarding existing gaps in observations 10:30 a.m.–12:30 p.m. and computational products. These BILLING CODE 6820–KF–P First breakout sessions groups will be an opportunity to 12:30 p.m.–1:30 p.m. provide comment on information needs Lunch for the following applications: 1:30 p.m.–3:30 p.m.

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Second breakout sessions FOR FURTHER INFORMATION CONTACT: Dr. representations regarding the energy 3:30 p.m.–4:30 p.m. Michael G. Raymond, U.S. Department efficiency of these products. Id. Break of Energy, Building Technologies Issued in Washington, DC, on June 7, 2011. 4:30 p.m.–5:30 p.m. Program, Mailstop EE–2J, 1000 Kathleen Hogan, Plenary session—breakout reports Independence Avenue, SW., Deputy Assistant Secretary for Energy Day 2 Washington, DC 20585–0121. Efficiency, Office of Technology Telephone: (202) 586–9611. E-mail: 8 a.m.–8:30 a.m. Development, Energy Efficiency and Continental breakfast [email protected]. Renewable Energy. 8:30 a.m.–10:30 a.m. Ms. Elizabeth Kohl, U.S. Department Decision and Order Third breakout sessions of Energy, Office of the General Counsel, 10:30 a.m. –11 a.m. Mail Stop GC–71, Forrestal Building, In the Matter of: Daikin AC Break 1000 Independence Avenue, SW., (Americas) Inc. (Daikin) (Case No. CAC– 11 a.m.–12 p.m. Washington, DC 20585–0103. 029). Closing plenary: breakout reports and Telephone: (202) 586–7796. E-mail: Background closing comments [email protected]. Title III, Part C of the Energy Policy Registration and Accommodations SUPPLEMENTARY INFORMATION: In and Conservation Act of 1975 (EPCA), A room-block for meeting participants accordance with Title 10 of the Code of Public Law 94–163 (42 U.S.C. 6311– has been established at the Hyatt Federal Regulations (10 CFR) 6317, as codified) established the Regency Crystal City. The room block is 431.401(f)(4), DOE provides notice of Energy Conservation Program for limited and is not guaranteed after the issuance of the Decision and Order Certain Industrial Equipment, a program Friday, June 10. set forth below. In this Decision and covering certain industrial equipment, Issued in Washington, DC, on June 7, 2011. Order, DOE grants Daikin a waiver from which includes the VRV III–PB variable refrigerant flow (VRF) commercial Mark A. Higgins, the existing DOE commercial package multi-split heat pumps (‘‘VRV III–PB Acting Program Manager, Wind and air conditioner and heat pump test procedures for its VRV III–PB multi- multi-split heat pumps’’) that are the Hydropower Technologies, Energy Efficiency 1 and Renewable Energy, Department of Energy. split products. DOE also requires the focus of this notice. Part C specifically includes definitions (42 U.S.C. 6311), [FR Doc. 2011–14659 Filed 6–13–11; 8:45 am] use of an alternate test procedure for test procedures (42 U.S.C. 6314), BILLING CODE 6450–01–P this equipment. The cooling capacities of Daikin’s VRV III–PB multi-split heat labeling provisions (42 U.S.C. 6315), pumps in its waiver petition range from energy conservation standards (42 U.S.C DEPARTMENT OF ENERGY 72,000 Btu/h to 360,000 Btu/h. Daikin 6313), and the authority to require must use American National Standards information and reports from Office of Energy Efficiency and Institute/Air-Conditioning, Heating and manufacturers. 42 U.S.C. 6316. With Renewable Energy Refrigeration Institute (ANSI/AHRI) respect to test procedures, Part C authorizes the Secretary of Energy (the [Case No. CAC–029] Standard 1230–2010, ‘‘Performance Rating of Variable Refrigerant Flow Secretary) to prescribe test procedures Energy Conservation Program for (VRF) Multi-Split Air-Conditioning and that are reasonably designed to produce Certain Commercial and Industrial Heat Pump Equipment’’ to test and rate results that measure energy efficiency, Equipment: Decision and Order the specified models of VRV III–PB energy use, and estimated annual Granting a Waiver to Daikin AC variable refrigerant flow (VRF) multi- operating costs, and that are not unduly (Americas) Inc. From the Department split commercial heat pumps, identified burdensome to conduct. (42 U.S.C. of Energy Commercial Package Air below, with cooling capacities less than 6314(a)(2)) For commercial package air- Conditioner and Heat Pump Test or equal to 300,000 Btu/hr. Daikin must conditioning and heating equipment, Procedures use the alternate test procedure EPCA provides that ‘‘the test procedures specified in its interim waiver to test AGENCY: Office of Energy Efficiency and shall be those generally accepted and rate the specified models of VRV Renewable Energy, Department of industry testing procedures or rating III–PB variable refrigerant flow (VRF) Energy. procedures developed or recognized by multi-split commercial heat pumps, ACTION: Decision and Order. the Air-Conditioning and Refrigeration identified below, with cooling Institute [ARI] or by the American capacities above 300,000, except that for SUMMARY: This notice publishes the U.S. Society of Heating, Refrigerating and consistency with the testing required by Department of Energy’s (DOE) Decision Air-Conditioning Engineers [ASHRAE], ANSI/AHRI 1230–2010, tests of both and Order in Case No. CAC–029, which as referenced in ASHRAE/IES Standard ducted and non-ducted indoor units grants Daikin AC (Americas) Inc. 90.1 and in effect on June 30, 1992.’’ (42 must now be conducted. 76 FR 19069 (Daikin) a waiver from the existing DOE U.S.C. 6314(a)(4)(A)) Under 42 U.S.C. (April 6, 2011). test procedures applicable to 6314(a)(4)(B), the statute further directs commercial package air-source central Today’s decision prohibits Daikin the Secretary to amend the test air conditioners and heat pumps. The from making any representations procedure for a covered commercial waiver is specific to the Daikin VRV III– concerning the energy efficiency of product if the industry test procedure is PB variable refrigerant flow (VRF) multi- these products unless the product has amended, unless the Secretary split commercial heat pumps. As a been tested consistent with the determines, by rule and based on clear condition of this waiver, Daikin must provisions and restrictions in the and convincing evidence, that such a use the alternate test procedure set forth alternate test procedure set forth in the modified test procedure does not meet in this notice to test and rate its VRV III– Decision and Order below, and the the statutory criteria set forth in 42 PB variable refrigerant flow (VRF) multi- representations fairly disclose the test U.S.C. 6314(a)(2) and (3). split commercial heat pumps. results. (42 U.S.C. 6314(d)) Distributors, DATES: This Decision and Order is retailers, and private labelers are held to 1 For editorial reasons, upon codification in the effective June 14, 2011. the same standard when making U.S. Code, Part C was re-designated Part A–1.

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On December 8, 2006, DOE published days or until DOE issues its (Fujitsu), Samsung Air Conditioning a final rule adopting test procedures for determination on the petition for (Samsung), Sanyo, and LG for similar commercial package air-conditioning waiver, whichever occurs first. It may be lines of commercial multi-split air- and heating equipment, effective extended by DOE for an additional 180 conditioning systems: (1) Testing January 8, 2007. 71 FR 71340. For days. 10 CFR 431.401(e)(4). laboratories cannot test products with so commercial air-source heat pumps, DOE On November 22, 2010, Daikin filed a many indoor units; and (2) there are too adopted ARI Standard 340/360–2004. petition for waiver from the test many possible combinations of indoor Table 1 to Title 10 of the Code of procedure at 10 CFR 431.96 applicable and outdoor unit to test. Federal Regulations (10 CFR) 431.96 to commercial package air source The VRV III–PB multi-split heat pump directs manufacturers of commercial central air conditioners and heat pumps, system consists of multiple indoor units package air conditioning and heating as well as an application for interim connected to an air-cooled outdoor unit. equipment to use the appropriate waiver. The capacities of Daikin’s VRV The indoor units for this equipment are procedure when measuring energy III–PB multi-split heat pumps range available in a very large number of efficiency of those products. The from 72,000 Btu/h to 360,000 Btu/h. The potential configurations, including: 4- cooling capacities of Daikin’s VRV III– applicable test procedure for Way Cassette, Wall Mounted, Ceiling PB multi-split heat pumps in its waiver commercial air-source heat pumps is Suspended, Floor Standing, Ceiling petition range from 72,000 Btu/h to ARI 340/360–2004. Manufacturers are Concealed, and Multi Position AHU. 360,000 Btu/h. The current test directed to use these test procedures There are over one million procedure for this equipment is ARI pursuant to Table 1 of 10 CFR 431.96. combinations possible with the current Standard 340/360–2004, which includes Daikin seeks a waiver from the Daikin VRV III–PB product offerings. It units with capacities greater than 65,000 applicable test procedures under 10 CFR is impractical for testing laboratories to Btu/hour. 431.96 on the grounds that its VRV III– test this equipment because of the DOE’s regulations for covered PB multi-split heat pumps contain number of potential system products permit a person to seek a design characteristics that prevent configurations. Consequently, Daikin waiver from the test procedure testing according to the current DOE test requested that DOE grant a waiver from requirements for covered commercial procedures. Specifically, Daikin asserts the applicable test procedure for its VRV equipment if at least one of the that the two primary factors that prevent III–PB multi-split heat pump equipment following conditions is met: (1) The testing of its multi-split variable speed designs until a suitable test method can petitioner’s basic model contains one or products are the same factors stated in be prescribed. more design characteristics that prevent the waivers that DOE granted to In responses to two petitions for testing according to the prescribed test Mitsubishi Electric & Electronics USA, waiver from Mitsubishi, DOE specified procedures; or (2) the prescribed test Inc. (Mitsubishi) and other an alternate test procedure to provide a procedures may evaluate the basic manufacturers for similar lines of basis upon which Mitsubishi could test model in a manner so unrepresentative commercial multi-split air-conditioning and make valid energy efficiency of its true energy consumption as to systems: representations for its R410A CITY provide materially inaccurate • Testing laboratories cannot test MULTI equipment, as well as for its R22 comparative data. 10 CFR 431.401(a)(1). products with so many indoor units; multi-split equipment. Alternate test Petitioners must include in their and procedures related to the Mitsubishi petition any alternate test procedures • There are too many possible petitions were published in the Federal known to the petitioner to evaluate the combinations of indoor and outdoor Register on April 9, 2007. See 72 FR basic model in a manner representative units to test. See, e.g., 72 FR 17528 17528 and 72 FR 17533. The Daikin of its energy consumption. 10 CFR (April 9, 2007) (Mitsubishi); 76 FR VRV III–PB systems have operational 431.401(b)(1)(iii). The Assistant 19069 (April 6, 2011) (Daikin); 76 FR characteristics similar to the commercial Secretary for Energy Efficiency and 19078 (April 6, 2011) (Mitsubishi). multi-split products manufactured by Renewable Energy (Assistant Secretary) On April 6, 2011, DOE published Mitsubishi, Samsung, Fujitsu, LG, and may grant a waiver subject to Daikin’s petition for waiver in the Sanyo. DOE has granted waivers for conditions, including adherence to Federal Register, seeking public these products with a similar alternate alternate test procedures. 10 CFR comment pursuant to 10 CFR test procedure prescribed for Mitsubishi. For reasons similar to those 431.401(f)(4). Waivers remain in effect 431.401(b)(1)(iv), and granted the published in these prior notices, DOE pursuant to the provisions of 10 CFR application for interim waiver. 76 FR believes that an alternate test procedure 431.401(g). 19069. DOE received no comments on The waiver process also permits is appropriate in this instance. the Daikin petition. parties submitting a petition for waiver After DOE granted a waiver for to file an application for interim waiver Assertions and Determinations Mitsubishi’s R22 multi-split products, of the applicable test procedure ARI formed a committee to discuss Daikin’s Petition for Waiver requirements. 10 CFR 431.401(a)(2). The testing issues and to develop a testing Assistant Secretary will grant an interim Daikin seeks a waiver from the DOE protocol for variable refrigerant flow waiver request if it is determined that test procedures for this product class on systems. The committee has developed the applicant will experience economic the grounds that its VRV III–PB variable a test procedure which has been hardship if the application for interim refrigerant flow (VRF) multi-split adopted by the American National waiver is denied, if it appears likely that commercial heat pumps contain design Standards Institute (AHRI)–‘‘American the petition for waiver will be granted, characteristics that prevent them from National Standards Institute (ANSI)/ and/or the Assistant Secretary being tested using the current DOE test AHRI 1230–2010: Performance Rating of determines that it would be desirable for procedures. As stated above, Daikin Variable Refrigerant Flow (VRF) Multi- public policy reasons to grant asserts that the two primary factors that Split Air-Conditioning and Heat Pump immediate relief pending a prevent testing of multi-split variable Equipment.’’ This test procedure has determination on the petition for speed products are the same factors been incorporated into ASHRAE 90.1– waiver. 10 CFR 431.401(e)(3). An stated in the waivers that DOE granted 2010. DOE is currently assessing AHRI interim waiver remains in effect for 180 to Mitsubishi, Fujitsu General Ltd. 1230–2010 with respect to the

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requirements for test procedures unit. ANSI/AHRI 1230–2010 requires an For the reasons discussed above, DOE specified by EPCA (42 U.S.C. additional test and in this respect is believes Daikin’s VRV III–PB multi-split 6314(a)(4)(B)), and will provide a similar to the residential test procedure heat pumps cannot be tested using the preliminary determination regarding set forth in 10 CFR part 430, subpart B, procedure prescribed in 10 CFR 431.96 those test procedures in a future notice appendix M. Multi-split manufacturers (ARI Standard 340/360–2004) and of proposed rulemaking. must test two or more combinations of incorporated by reference in DOE’s Daikin’s petition proposed that DOE indoor units with each outdoor unit. regulations at 10 CFR 431.95(b)(2)–(3). apply ANSI/AHRI Standard 1230–2010 The first system combination is tested After careful consideration, DOE has as the alternate test procedure to apply using only non-ducted indoor units that decided to prescribe ANSI/AHRI 1230– to its VRV III–PB multi-split heat pump meet the definition of a tested 2010 as the alternate test procedure for equipment as a condition of its combination. The rating given to any Daikin’s commercial multi-split requested waiver. As stated above, no untested multi-split system combination products with cooling capacities less comments were received by DOE having the same outdoor unit and all than or equal to 300,000 Btu/hr and the regarding the Daikin petition. The non-ducted indoor units is set equal to alternate test procedure specified in alternate test procedure in the the rating of the tested system having all Daikin’s interim waiver for its commercial multi-split waivers that non-ducted indoor units. The second commercial multi-split products with DOE granted to Mitsubishi and the other system combination is tested using only cooling capacities greater than 300,000 manufacturers listed above is similar to ducted indoor units that meet the Btu/hr, except that for consistency with ANSI/AHRI 1230–2010, except that it definition of a tested combination. The the testing required by ANSI/AHRI covers equipment with cooling rating given to any untested multi-split 1230–2010, tests of both ducted and capacities greater than 300,000 Btu/hr system combination having the same non-ducted indoor units must now be while ANSI/AHRI 1230–2010 covers outdoor unit and all ducted indoor units conducted. equipment with cooling capacities only is set equal to the rating of the tested Consultations With Other Agencies equal to or less than 300,000 Btu/hr. system having all ducted indoor units. DOE issues today’s Decision and The rating given to any untested multi- DOE consulted with the Federal Trade Order granting Daikin a test procedure split system combination having the Commission (FTC) staff concerning the waiver for its commercial VRV III–PB same outdoor unit and a mix of non- Daikin petition for waiver. The FTC staff multi-split heat pumps. As a condition ducted and ducted indoor units is set did not have any objections to issuing of this waiver, Daikin must use the equal to the average of the ratings for the a waiver to Daikin. alternate test procedure specified by two required tested combinations. DOE. For the listed Daikin VRV III–PB Conclusion models with cooling capacities less than With regard to the laboratory testing After careful consideration of all the or equal to 300,000 Btu/hr, DOE must of commercial products, some of the materials submitted by Daikin, the use ANSI/AHRI 1230–2010 as the difficulties associated with the existing absence of any comments, and alternate procedure. For the listed test procedure are avoided by the consultation with the FTC staff, it is Daikin VRV III–PB models with cooling alternate test procedure’s requirements ordered that: capacities greater than 300,000 Btu/h, for choosing the indoor units to be used (1) The petition for waiver filed by Daikin must use the alternate test in the manufacturer-specified tested Daikin (Case No. CAC–029) is hereby procedure prescribed in its interim combination. For example, in addition granted as set forth in the paragraphs waiver, except that for consistency with to limiting the number of indoor units, below. the testing required by ANSI/AHRI another requirement is that all the (2) Daikin shall not be required to test 1230–2010, tests of both ducted and indoor units must be subjected the same or rate its VRV III–PB multi-split heat non-ducted indoor units must now be minimum external static pressure. This pump models listed below on the basis conducted. This alternate test procedure requirement enables the test lab to of the test procedures cited in 10 CFR is essentially the same as ANSI/AHRI manifold the outlets from each indoor 431.96, specifically ARI Standard 340/ 1230–2010. The upper limit of the scope unit into a common plenum that 360–2004 (incorporated by reference in of ANSI/AHRI 1230–2010 was set for supplies air to a single airflow 10 CFR 431.95(b)(2–3)). Instead, it shall historical rather than technical reasons. measuring apparatus. This eliminates be required to test and rate such situations in which some of the indoor products according to the alternate test Alternate Test Procedure units are ducted and some are non- procedure as set forth in paragraph (3). The alternate test procedure ducted. Without this requirement, the VRV III–PB multi-split heat pump series prescribed by DOE in earlier multi-split laboratory must evaluate the capacity of outdoor units: waivers, including the interim waiver a subgroup of indoor coils separately • 460V/3-phase/60Hz Models: granted to Daikin in response to the and then sum the separate capacities to Æ Heat Pump models RXYQ72PBYD, current petition, consisted of a obtain the overall system capacity. RXYQ96PBYD, RXYQ120PBYD, definition of a ‘‘tested combination’’ and Measuring capacity in this way would RXYQ144PBYD, RXYQ168PBYD, a prescription for representations. require that the test laboratory be RXYQ192PBYD, RXYQ216PBYD, ANSI/AHRI 1230–2010 also includes a equipped with multiple airflow RXYQ240PBYD, RXYQ264PBYD, definition of ‘‘tested combination,’’ and measuring apparatuses. It is unlikely RXYQ288PBYD, RXYQ312PBYD, the two definitions are identical in all that any test laboratory would be RXYQ336PBYD, RXYQ360PBYD with relevant respects. equipped with the necessary number of nominal cooling capacities of 72,000, The earlier alternate test procedure such apparatuses. Alternatively, the test 96,000, 120,000, 144,000, 168,000, provides for efficiency rating of a non- laboratory could connect its one airflow 192,000, 216,000, 240,000, 264,000, tested combination in one of two ways: measuring apparatus to one or more 288,000, 312,000, 336,000 and 360,000 (1) At an energy efficiency level common indoor units until the Btu/hr respectively. determined using a DOE-approved contribution of each indoor unit had Æ Heat Recovery models alternative rating method; or (2) at the been measured. However, that approach REYQ72PBYD, REYQ96PBYD, efficiency level of the tested would be so time-consuming as to be REYQ120PBYD, REYQ144PBYD (2x combination utilizing the same outdoor impractical. REMQ72PBYD), REYQ168PBYD (1x

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REMQ96PBYD + 1x REMQ72PBYD), Æ FXMQ Series medium/high static between two and five indoor units. (For REYQ192PBYD (2x REMQ96PBYD), ducted indoor units with nominal systems with nominal cooling capacities REYQ216PBYD (1x REMQ120PBYD + capacities of 7,500, 9,500, 12,000, greater than 150,000 Btu/h, as many as 1x REMQ96PBYD), REYQ240PBYD (2x 18,000, 24,000, 30,000, 36,000, 48,000, eight indoor units may be used, so as to REMQ120PBYD), REYQ264PBYD (1x 72,000 and 96,000 Btu/hr. be able to test non-ducted indoor unit REMQ72PBYD + 2x REMQ96PBYD), Æ FXZQ Series recessed cassette combinations). For multi-split systems, REYQ288PBYD (1x REMQ120PBYD + indoor units with nominal capacities of each of these indoor units shall be 1x REMQ96PBYD + 1x REMQ72PBYD), 7,500, 9,500, 12,000 and 18,000 Btu/hr. designed for individual operation. REYQ312PBYD (2x REMQ96PBYD + 1x Æ FXFQ Series recessed cassette (2) The indoor units shall— REMQ120PBYD), REYQ336PBYD (2x indoor units with nominal capacities of (i) Represent the highest sales model REMQ120PBYD + 1x REMQ96PBYD), 9,500, 12,000, 18,000, 24,000, 30,000, family or another indoor model family with nominal cooling capacities of 36,000 and 48,000 Btu/hr. if the highest sales model family does Æ 72,000, 96,000, 120,000, 144,000, FXHQ Series ceiling suspended not provide sufficient capacity (see ii); 168,000, 192,000, 216,000, 240,000, indoor units with nominal capacities of (ii) Together, have a nominal cooling 12,000, 24,000 and 36,000 Btu/hr. 264,000, 288,000, 312,000 and 336,000 Æ capacity that is between 95% and 105% Btu/hr respectively. FXTQ Series ceiling suspended of the nominal cooling capacity of the • 208–230V/3-phase/60Hz Models: indoor units with nominal capacities of outdoor unit; Æ Heat Pump models RXYQ72PBTJ, 12,000, 18,000, 24,000, 30,000, 36,000, (iii) Not, individually, have a nominal RXYQ96PBTJ, RXYQ120PBTJ, 42,000, 48,000 and 54,000 Btu/hr. cooling capacity that is greater than Æ FXMQ–MF Series concealed ducted RXYQ144PBTJ, RXYQ168PBTJ, 50% of the nominal cooling capacity of indoor units with nominal capacities of RXYQ192PBTJ, RXYQ216PBTJ, the outdoor unit; 48,000, 72,000, and 96,000 Btu/hr. RXYQ240PBTJ, RXYQ264PBTJ, (3) Alternate test procedure. (iv) Operate at fan speeds that are RXYQ288PBTJ, RXYQ312PBTJ, (A) Daikin is not required to test the consistent with the manufacturer’s RXYQ336PBTJ, RXYQ360PBTJ with products with cooling capacities of specifications; and nominal cooling capacities of 72,000, 300,000 Btu/h and below listed in (v) Be subject to the same minimum 96,000, 120,000, 144,000, 168,000, paragraph (2) above according to the test external static pressure requirement 192,000, 216,000, 240,000, 264,000, procedure for commercial package air while being configurable to produce the 288,000, 312,000, 336,000 and 360,000 conditioners and heat pumps prescribed same static pressure at the exit of each Btu/hr respectively. outlet plenum when manifolded as per Æ by DOE at 10 CFR 431.96 (ARI Standard Heat Recovery models 340/360–2004 (incorporated by section 2.4.1 of 10 CFR Part 430, subpart REYQ72PBTJ, REYQ96PBTJ, reference in 10 CFR 431.95(b)(2)–(3)), B, appendix M. REYQ120PBTJ, REYQ144PBTJ, but instead shall use the alternate test (D) Representations. In making REYQ168PBTJ (1x REMQ96PBTJ + 1x procedure ANSI/AHRI 1230–2010. representations about the energy REMQ72PBTJ), REYQ192PBTJ (2x (B) Daikin shall be required to test the efficiency of its VRV III–PB multi-split REMQ96PBTJ), REYQ216PBTJ (1x equipment listed in paragraph (2) above products, for compliance, marketing, or REMQ120PBTJ + 1x REMQ96PBTJ), with cooling capacities above 300,000 other purposes, Daikin must fairly REYQ240PBTJ (2x REMQ120PBTJ), Btu/h according to the test procedures disclose the results of testing under the REYQ264PBTJ (1x REMQ72PBTJ + 2x for central air conditioners and heat DOE test procedure in a manner REMQ96PBTJ), REYQ288PBTJ (1x pumps prescribed by DOE at 10 CFR consistent with the provisions outlined REMQ120PBTJ + 1x REMQ96PBTJ + 1x 431.96, except that Daikin shall test below: REMQ72PBTJ), REYQ312PBTJ (2x each model of outdoor unit with two or (i) For VRV III–PB multi-split REMQ96PBTJ + 1x REMQ120PBTJ), more combinations of indoor units. The combinations tested in accordance with REYQ336PBTJ (2x REMQ120PBTJ + 1x first system combination shall be tested this alternate test procedure, Daikin may REMQ96PBTJ), with nominal cooling using only non-ducted indoor units that make representations based on those capacities of 72,000, 96,000, 120,000, meet the definition of a tested test results. 144,000, 168,000, 192,000, 216,000, combination as set forth in paragraph C. (ii) For VRV III–PB multi-split 240,000, 264,000, 288,000, 312,000 and The second system combination shall be combinations that are not tested, Daikin 336,000 Btu/hr respectively. tested using only ducted indoor units may make representations based on the • Compatible indoor units for above that meet the definition of a tested testing results for the tested listed outdoor units: combination as set forth in paragraph C. combination and that are consistent Æ FXAQ Series all mounted indoor Daikin shall make representations with one of the following methods: units with nominal capacities of 7,500, concerning the VRV III–PB multi-split (a) Rating of non-tested combinations 9,500, 12,000, 18,000 and 24,000 Btu/hr. heat pump equipment covered in this according to an alternative rating Æ FXLQ Series floor mounted indoor waiver according to the provisions of method approved by DOE; or units with nominal capacities of 12,000, subparagraph (D). (b) Rating of non-tested combinations 18,000 and 24,000 Btu/hr. (C) Tested combination. The term having the same outdoor unit and all Æ FXNQ Series concealed floor tested combination means a sample non-ducted indoor units shall be set mounted indoor units with nominal basic model comprised of units that are equal to the rating of the tested system capacities of 12,000, 18,000 and 24,000 production units, or are representative having all non-ducted indoor units. Btu/hr. of production units, of the basic model (c) Rating of non-tested combinations Æ FXDQ Series low static ducted being tested. For the purposes of this having the same outdoor unit and all indoor units with nominal capacities of waiver, the tested combination shall ducted indoor units shall be set equal to 7,500, 9,500, 12,000, 18,000 and 24,000 have the following features: the rating of the tested system having all Btu/hr. (1) The basic model of a variable ducted indoor units. To be considered a Æ FXSQ Series medium static ducted refrigerant flow system used as a tested ducted unit, the indoor unit must be indoor units with nominal capacities of combination shall consist of one intended to be connected with ductwork 7,500, 9,500, 12,000, 18,000, 24,000, outdoor unit, with one or more and have a rated external static pressure 30,000, 36,000, 48,000 Btu/hr. compressors, that is matched with capability greater than zero (0).

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(d) Rating of non-tested combinations ACTION: Notice of proposed information Docket No. IC11–583. For user having the same outdoor unit and a mix collection and request for comments. assistance, contact FERC Online of non-ducted and ducted indoor units Support by e-mail at shall be set equal to the average of the SUMMARY: In compliance with the [email protected], or by phone ratings for the two required tested requirements of section 3506(c)(2)(A) of at: (866) 208–3676 (toll-free), or (202) combinations. the Paperwork Reduction Act of 1995, 502–8659 for TTY. 44 U.S.C. 3506(c)(2)(A) (2006), (Pub. L. (4) This waiver shall remain in effect 104–13), the Federal Energy Regulatory FOR FURTHER INFORMATION CONTACT: from the date this Decision and Order is Commission (Commission or FERC) is Ellen Brown may be reached by e-mail issued, consistent with the provisions of soliciting public comment on the at [email protected], telephone 10 CFR 431.401(g). proposed information collection at (202) 502–8663, and fax at (202) 273– (5) This waiver is issued on the described below. 0873. condition that the statements, DATES: Comments in consideration of SUPPLEMENTARY INFORMATION: representations, and documentary The the collection of information are due information collected under the materials provided by the petitioner are August 12, 2011. valid. DOE may revoke or modify the requirements of FERC–583 ‘‘Annual ADDRESSES: Comments may be filed waiver at any time if it determines that Kilowatt Generating Report (Annual either electronically (eFiled) or in paper the factual basis underlying the petition Charges)’’ (OMB No. 1902–0136) is used format, and should refer to Docket No. by the Commission to implement the for waiver is incorrect, or the results IC11–583–000. Documents must be from the alternate test procedure are statutory provisions of section 10(e) of prepared in an acceptable filing format the Federal Power Act (FPA), part I, 16 unrepresentative of the basic models’ and in compliance with Commission true energy consumption characteristics. U.S.C. 803(e) which requires the submission guidelines at http:// Commission to collect annual charges (6) This waiver applies only to those www.ferc.gov/help/submission- from hydropower licensees for, among basic models set out in Daikin’s petition guide.asp. eFiling instructions are other things, the cost of administering for waiver. Grant of this waiver does not available at: http://www.ferc.gov/docs- part I of the FPA and for the use of release a petitioner from the filing/efiling.asp. First-time users must United States dams. In addition, section certification requirements set forth at 10 follow eRegister instructions at: http:// 3401 of the Omnibus Budget CFR part 429. www.ferc.gov/docs-filing/ Reconciliation Act of 1986 (OBRA) Issued in Washington, DC on June 7, 2011. eregistration.asp, to establish a user authorizes the Commission to ‘‘assess Kathleen B. Hogan, name and password before eFiling. The and collect fees and annual charges in Deputy Assistant Secretary, Office of Commission will send an automatic any fiscal year in amounts equal to all Technology Development, Energy Efficiency acknowledgement to the sender’s e-mail of the costs incurred by the Commission and Renewable Energy. address upon receipt of eFiled in that fiscal year.’’ The information is [FR Doc. 2011–14654 Filed 6–13–11; 8:45 am] comments. Commenters making an collected annually and used to BILLING CODE 6450–01–P eFiling should not make a paper filing. determine the amounts of the annual Commenters that are not able to file charges to be assessed licensees for electronically must send an original of reimbursable government administrative DEPARTMENT OF ENERGY their comments to: Federal Energy costs and for the use of government Regulatory Commission, Secretary of the dams. The Commission implements Federal Energy Regulatory Commission, 888 First Street, NE., these filing requirements in the Code of Commission Washington, DC 20426. Federal Regulations (CFR) under 18 CFR Users interested in receiving part 11. [Docket No. IC11–583–000] automatic notification of activity in this docket may do so through eSubscription Action: The Commission is requesting a three-year extension of the current Commission Information Collection at http://www.ferc.gov/docs-filing/ expiration date, with no changes to the Activities [FERC–583], Comment esubscription.asp. All comments and existing collection of data. Request; Extension FERC issuances may be viewed, printed or downloaded remotely through Burden Statement: Public reporting AGENCY: Federal Energy Regulatory FERC’s eLibrary at http://www.ferc.gov/ burden for this collection is estimated Commission. docs-filing/elibrary.asp, by searching on as:

Number of Number of re- Average bur- Total annual Data collection respondents sponses per den hours per burden hours annually respondent response × × (1) (2) (3) (1) (2) (3)

FERC–583 ...... 459 1 2 918

Estimated cost burden to respondents (2) developing, acquiring, installing, and data sources; (6) completing and is $62,835. (918 hours/2,080 hours per utilizing technology and systems for the reviewing the collection of information; year times $142,372 per year average per purposes of collecting, validating, and (7) transmitting, or otherwise employee = $62,835). The cost per verifying, processing, maintaining, disclosing the information. respondent is $137 (rounded). disclosing and providing information; The estimate of cost for respondents The reporting burden includes the (3) adjusting the existing ways to is based upon salaries for professional total time, effort, or financial resources comply with any previously applicable and clerical support, as well as direct expended to generate, maintain, retain, instructions and requirements; (4) and indirect overhead costs. Direct costs disclose, or provide the information training personnel to respond to a include all costs directly attributable to including: (1) Reviewing instructions; collection of information; (5) searching providing this information, such as

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administrative costs and the cost for occupies 3,268 acres of federal lands combined gross storage capacity of information technology. Indirect or administered by the U.S. Department of 342,583 acre-feet (ac-ft). overhead costs are costs incurred by an Agriculture—Forest Service. Starting at the highest elevation of the organization in support of its mission. g. Filed Pursuant to: Federal Power project, water is diverted from Duncan These costs apply to activities which Act 16 U.S.C. 791 (a)—825(r). Creek at the Duncan Creek diversion benefit the whole organization rather h. Applicant Contact: Andy Fecko, and routed through the 1.5-mile-long than any one particular function or Project Manager, Placer County Water Duncan Creek-Middle Fork tunnel into activity. Agency, 144 Ferguson Road, Auburn, French Meadows reservoir (134,993 ac- Comments are invited on: (1) Whether CA 95603; Telephone: (530) 823–4490. ft of gross storage). the proposed collection of information i. FERC Contact: Carolyn Templeton, Flows in the Middle Fork American is necessary for the proper performance (202) 502–8785 or River are captured and stored in French of the functions of the Commission, [email protected]. Meadows reservoir along with including whether the information will j. Deadline for filing motions to diversions from Duncan Creek. From have practical utility; (2) the accuracy of intervene and protests, comments, French Meadows reservoir, water is the agency’s estimate of the burden of recommendations, preliminary terms transported via the 2.6-mile-long French the proposed collection of information, and conditions, and preliminary Meadows-Hell Hole tunnel, passed including the validity of the prescriptions: 60 days from the issuance through the French Meadows date of this notice; reply comments are methodology and assumptions used; (3) powerhouse [installed generating due 105 days from the issuance date of ways to enhance the quality, utility and capacity of 15.3 megawatts (MW)], and this notice. released into Hell Hole reservoir clarity of the information to be Motions to intervene, protests, collected; and (4) ways to minimize the (207,590 ac-ft of gross storage). Flows in comments, recommendations, the Rubicon River are captured and burden of the collection of information preliminary terms and conditions, and on those who are to respond, including stored in Hell Hole reservoir along with preliminary fishway prescriptions may water released from French Meadows the use of appropriate automated, be filed electronically via the Internet. electronic, mechanical, or other reservoir through French Meadows See 18 CFR 385.2001(a)(1)(iii) and the powerhouse. Water released from Hell technological collection techniques or instructions on the Commission’s Web other forms of information technology, Hole reservoir into the Rubicon River to site http://www.ferc.gov/docs-filing/ meet instream flow requirements first e.g., permitting electronic submission of efiling.asp. Commenters can submit responses. pass through the Hell Hole powerhouse brief comments up to 6,000 characters, (installed generating capacity of 0.73 Dated: June 7, 2011. without prior registration, using the MW), which is located at the base of Kimberly D. Bose, eComment system at http:// Hell Hole dam. Secretary. www.ferc.gov/docs-filing/ From Hell Hole reservoir, water is [FR Doc. 2011–14633 Filed 6–13–11; 8:45 am] ecomment.asp. You must include your also transported via the 10.4-mile-long BILLING CODE 6717–01–P name and contact information at the end Hell Hole-Middle Fork tunnel, passed of your comments. For assistance, through the Middle Fork powerhouse please contact FERC Online Support at (installed generating capacity of 122.4 DEPARTMENT OF ENERGY [email protected] or toll MW), and released into the Middle Fork free at 1–866–208–3676, or for TTY, Interbay (175 ac-ft of gross storage). Federal Energy Regulatory (202) 502–8659. Although the Between Hell Hole reservoir and Middle Commission Commission strongly encourages Fork powerhouse, water is diverted [Project No. 2079–069] electronic filing, documents may also be from the North and South Forks of Long paper-filed. To paper-file, mail an Canyon creeks directly into the Hell Placer County Water Agency; Notice of original and seven copies to: Kimberly Hole-Middle Fork tunnel. Water Application Accepted for Filing, D. Bose, Secretary, Federal Energy diverted from these creeks into the Hell Soliciting Motions To Intervene and Regulatory Commission, 888 First Hole-Middle Fork tunnel can either be Protests, Ready for Environmental Street, NE., Washington, DC 20426. stored in Hell Hole reservoir or be used Analysis, and Soliciting Comments, The Commission’s Rules of Practice to augment releases from Hell Hole Recommendations, Preliminary Terms require all intervenors filing documents reservoir to the Middle Fork and Conditions, and Preliminary with the Commission to serve a copy of powerhouse. Fishway Prescriptions that document on each person on the Flows from the Middle Fork official service list for the project. American River (including instream Take notice that the following Further, if an intervenor files comments flow releases from French Meadows hydroelectric application has been filed or documents with the Commission reservoir) are captured at Middle Fork with the Commission and is available relating to the merits of an issue that interbay along with water released from for public inspection. may affect the responsibilities of a Hell Hole reservoir through Middle Fork a. Type of Application: New Major particular resource agency, they must powerhouse. From Middle Fork License. also serve a copy of the document on Interbay, water is transported via the b. Project No.: 2079–069. that resource agency. 6.7-mile-long Middle Fork-Ralston c. Date filed: February 23, 2011. k. This application has been accepted tunnel, passed through the Ralston d. Applicant: Placer County Water for filing and is now is ready for powerhouse (installed generating Agency. environmental analysis. capacity of 79.2 MW), and released into e. Name of Project: Middle Fork l. The Project Description: The Middle the Ralston afterbay (2,782 ac-ft of gross American River Project. Fork American River Project (project) storage). f. Location: The Middle Fork has two principal water storage Flows from the Middle Fork American River Project is located in reservoirs, French Meadows and Hell American River (including instream Placer and El Dorado counties, almost Hole. These reservoirs are located on the releases from Middle Fork interbay) and entirely within the Tahoe and El Dorado Middle Fork American River and the flows from the Rubicon River (including National Forests. The existing project Rubicon River, respectively, and have a instream releases from Hell Hole

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reservoir) are captured in Ralston otherwise comply with the requirements DEPARTMENT OF ENERGY afterbay along with water transported of 18 CFR 385.2001 through 385.2005. from Middle Fork interbay through All comments, recommendations, terms Federal Energy Regulatory Ralston powerhouse. From Ralston and conditions or prescriptions must set Commission afterbay, water is transported via the forth their evidentiary basis and [Docket No. EL11–43–000] 400-foot-long Ralston-Oxbow tunnel, otherwise comply with the requirements passed through the Oxbow powerhouse of 18 CFR 4.34(b). Agencies may obtain Edison Mission Energy v. Midwest (installed generating capacity of 6.1 copies of the application directly from Independent Transmission System MW), and released from the project to the applicant. A copy of any protest or Operator, Inc.; Notice of Complaint the Middle Fork American River. The motion to intervene must be served project has a total generation capacity of Take notice that on June 3, 2011, upon each representative of the 224 MW. pursuant to section 206 of the Federal The applicant proposes to modify the applicant specified in the particular Power Act, 16 U.S.C. 824e (2006) and Duncan Creek, North Fork Long Canyon, application. A copy of all other filings Rule 206 of the Rules of Practice and and South Fork Long Canyon creeks to in reference to this application must be Procedure of the Federal Energy provide screening and modified outlets; accompanied by proof of service on all Regulatory Commission (Commission), increase the storage capacity of Hell persons listed in the service list 18 CFR 385.206 (2011), Edison Mission Hole reservoir by adding 6-feet-tall crest prepared by the Commission in this Energy, on behalf of NorthStar and gates; and provide additional flow proceeding, in accordance with 18 CFR Pheasant Ridge wind projects (Edison gaging stations throughout the project. 4.34(b) and 385.2010. Wind Projects) (collectively m. Location of the Application: A o. Procedural Schedule: The Complainants), filed a complaint against copy of the application is available for application will be processed according the Midwest Independent Transmission review at the Commission in the Public to the following revised Hydro System Operator, Inc. (Midwest ISO or Reference Room or may be viewed on Respondent), alleging that Midwest ISO Licensing Schedule. Revisions to the the Commission’s Web site at http:// is requiring the Edison Wind Projects to schedule may be made as appropriate. www.ferc.gov using the ‘‘eLibrary’’ link. satisfy the M3 milestone in Enter the docket number excluding the contravention of the Midwest ISO’s Milestone Target date last three digits in the docket number Tariff and the Commission’s Order field to access the document. For Filing of recommenda- August 8, 2011. issued on August 25, 2008 in Docket assistance, contact FERC Online tions, preliminary ER08–1169–000.1 Support. A copy is also available for terms and conditions, Complainant certifies that copies of inspection and reproduction at the and preliminary the complaint were served on the address in item h above. fishway prescriptions. contacts for the Midwest ISO as listed Register online at http:// Commission issues Draft February 2, 2012. on the Commission’s list of Corporate www.ferc.gov/docs-filing/ EIS. Officials. esubscription.asp to be notified via Comments on Draft EIS April 2, 2012. Any person desiring to intervene or to email of new filings and issuances Modified Terms and June 1, 2012. protest this filing must file in related to this or other pending projects. Conditions. accordance with Rules 211 and 214 of For assistance, contact FERC Online Commission Issues Final August 30, 2012. the Commission’s Rules of Practice and Support. EIS. Procedure (18 CFR 385.211, 385.214). n. Anyone may submit comments, a Protests will be considered by the protest, or a motion to intervene in p. Final amendments to the Commission in determining the accordance with the requirements of application must be filed with the appropriate action to be taken, but will Rules of Practice and Procedure, 18 CFR Commission no later than 30 days from not serve to make protestants parties to 385.210, .211, .214. In determining the the issuance date of this notice. the proceeding. Any person wishing to appropriate action to take, the q. A license applicant must file no become a party must file a notice of Commission will consider all protests or intervention or motion to intervene, as other comments filed, but only those later than 60 days following the date of issuance of the notice of acceptance and appropriate. The Respondent’s answer who file a motion to intervene in and all interventions, or protests must ready for environmental analysis accordance with the Commission’s be filed on or before the comment date. provided for in 5.22: (1) A copy of the Rules may become a party to the The Respondent’s answer, motions to proceeding. Any comments, protests, or water quality certification; (2) a copy of intervene, and protests must be served motions to intervene must be received the request for certification, including on the Complainants. on or before the specified comment date proof of the date on which the certifying The Commission encourages for the particular application. agency received the request; or (3) electronic submission of protests and All filings must (1) bear in all capital evidence of waiver of water quality interventions in lieu of paper using the letters the title ‘‘PROTEST’’, ‘‘MOTION certification. ‘‘eFiling’’ link at http://www.ferc.gov. TO INTERVENE’’, ‘‘COMMENTS,’’ Dated: June 7, 2011. Persons unable to file electronically ‘‘REPLY COMMENTS,’’ Kimberly D. Bose, should submit an original and 14 copies ‘‘RECOMMENDATIONS,’’ of the protest or intervention to the ‘‘PRELIMINARY TERMS AND Secretary. Federal Energy Regulatory Commission, CONDITIONS,’’ or ‘‘PRELIMINARY [FR Doc. 2011–14634 Filed 6–13–11; 8:45 am] 888 First Street, NE., Washington, DC FISHWAY PRESCRIPTIONS;’’ (2) set BILLING CODE 6717–01–P 20426. forth in the heading the name of the This filing is accessible on-line at applicant and the project number of the http://www.ferc.gov, using the application to which the filing ‘‘eLibrary’’ link and is available for responds; (3) furnish the name, address, and telephone number of the person 1 Midwest Independent Transmission System protesting or intervening; and (4) Operator, Inc., 124 FERC ¶ 61,183 (2008).

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review in the Commission’s Public the Commission’s Rules of Practice and Hydroelectric Project (Gartina Falls Reference Room in Washington, DC. Procedure (18 CFR 385.211, 385.214). Project) to be located on Gartina Creek, There is an ‘‘eSubscription’’ link on the Protests will be considered by the near Hoonah, Alaska. The sole purpose Web site that enables subscribers to Commission in determining the of a preliminary permit is to grant the receive e-mail notification when a appropriate action to be taken, but will permit holder priority to file a license document is added to a subscribed not serve to make protestants parties to application during the permit term. A docket(s). For assistance with any FERC the proceeding. Any person wishing to preliminary permit does not authorize Online service, please e-mail become a party must file a notice of the permit holder to perform any land- [email protected], or call intervention or motion to intervene, as disturbing activities or otherwise enter (866) 208–3676 (toll free). For TTY, call appropriate. The Respondent’s answer upon lands or waters owned by others (202) 502–8659. and all interventions or protests must be without the owners’ express permission. Comment Date: 5 p.m. Eastern Time filed on or before the comment date. The proposed run-of-river project on June 17, 2011. The Respondent’s answer, motions to consist of the following new facilities: (1) A 40-foot-wide, approximately 126- Dated: June 7, 2011. intervene, and protests must be served foot-long, 15-foot-high concrete Kimberly D. Bose, on the Complainants. The Commission encourages diversion structure with an inflatable Secretary. electronic submission of protests and gate at the head of Gartina Falls; (2) a [FR Doc. 2011–14632 Filed 6–13–11; 8:45 am] interventions in lieu of paper using the 20-foot-wide 40-foot-long concrete BILLING CODE 6717–01–P ‘‘eFiling’’ link at http://www.ferc.gov. intake structure; (3) an 8-foot-wide, 40- Persons unable to file electronically foot-long sluiceway on the left abutment should submit an original and 14 copies of the diversion dam; (4) an DEPARTMENT OF ENERGY of the protest or intervention to the approximately 54-inch-diameter, 200- Federal Energy Regulatory Commission, foot-long, steel penstock that would Federal Energy Regulatory convey water from the diversion dam to Commission 888 First Street, NE., Washington, DC 20426. the powerhouse; (5) a 15-foot-wide and [Docket No. EL11–42–000] This filing is accessible on-line at 10-foot-long, rock-lined tailrace; (6) a http://www.ferc.gov, using the powerhouse containing a single 600- Astoria Generating Company, L.P., ‘‘eLibrary’’ link and is available for kilowatt turbine/generator unit; (7) a NRG Power Marketing LLC, Arthur Kill review in the Commission’s Public small switchyard located adjacent to the Power LLC, Astoria Gas Turbine Power Reference Room in Washington, DC. powerhouse; (8) an approximately 4- LLC, Dunkirk Power LLC, Huntley There is an ‘‘eSubscription’’ link on the mile-long, 12.5-kilovolt transmission Power LLC, Oswego Harbor Power Web site that enables subscribers to line connecting the project switchyard LLC, TC Ravenswood, LLC; v. New receive e-mail notification when a to an interconnection near Hoonah York Independent System Operator, document is added to a subscribed airport; (9) an approximately 0.3-mile- Inc.; Notice of Complaint docket(s). For assistance with any FERC long access road; and (10) appurtenant Online service, please e-mail facilities. The estimated annual Take notice that on June 3, 2011, generation output for the project is 1.8 pursuant to sections 206 and 306 of the [email protected], or call (866) 208–3676 (toll free). For TTY, call gigawatt-hours. Federal Power Act, 16 U.S.C. 824e and Applicant Contact: Mr. Peter A. Bibb, (202) 502–8659. 825e (2006) and Rule 206 of the Rules Operations Manager, Inside Passage Comment Date: 5 p.m. Eastern Time of Practice and Procedure of the Federal Electric Cooperative, P.O. Box 210149, on June 23, 2011. Energy Regulatory Commission 12480 Mendenhall Loop Road, Auke (Commission), 18 CFR 385.206 (2011), Dated: June 7, 2011. Bay, AK 99821, Phone (907) 789–3196. Astoria Generating Company, L.P., NRG Kimberly D. Bose, FERC Contact: Patrick Murphy; Power Marketing LLC, Arthur Kill Secretary. phone: (202) 502–8755. Deadline for Power LLC, Astoria Gas Turbine Power [FR Doc. 2011–14631 Filed 6–13–11; 8:45 am] filing comments, motions to intervene, LLC, Dunkirk Power LLC, Huntley BILLING CODE 6717–01–P competing applications (without notices Power LLC, Oswego Harbor Power LLC of intent), or notices of intent to file and TC Ravenswood, LLC (collectively competing applications: 60 days from Complainants), filed a complaint against DEPARTMENT OF ENERGY the issuance of this notice. Competing the New York Independent System applications and notices of intent must Operator, Inc. (NYISO or Respondent), Federal Energy Regulatory meet the requirements of 18 CFR 4.36. alleging that (1) The NYISO’s Commission Comments, motions to intervene, implementation of buyer-side market notices of intent, and competing [Project No. 14066–000] power mitigation provisions set forth in applications may be filed electronically Attachment H of the NYISO Market Inside Passage Electric Cooperative via the Internet. See 18 CFR Administration and Control Area 385.2001(a)(1)(iii) and the instructions Services Tariff (Services Tariff) is in Notice of Preliminary Permit on the Commission’s Web site http:// contravention of the requirements of the Application Accepted for Filing and www.ferc.gov/docs-filing/efiling.asp. Services Tariff, and Commission orders Soliciting Comments, Motions To Commenters can submit brief comments and policy; or (2) if such Intervene, and Competing Applications up to 6,000 characters, without prior implementation does not violate the registration, using the eComment system Services Tariff, the buyer-side market On January 20, 2011, and at http://www.ferc.gov/docs-filing/ power mitigation provisions of the supplemented on May 18, 2011, the ecomment.asp. You must include your Services Tariff are unjust, unreasonable Inside Passage Electric Cooperative filed name and contact information at the end and unduly discriminatory. an application for a preliminary permit, of your comments. For assistance, Any person desiring to intervene or to pursuant to section 4(f) of the Federal please contact FERC Online Support at protest this filing must file in Power Act (FPA), proposing to study the [email protected] or toll accordance with Rules 211 and 214 of feasibility of the Gartina Falls free at 1–866–208–3676, or for TTY,

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(202) 502–8659. Although the Constitution Avenue, NW., Washington, waiver of preemption under section Commission strongly encourages DC. The Public Reading Room is open 209(b) of the Clean Air Act for electronic filing, documents may also be to the public on all Federal government California’s motor vehicle greenhouse paper-filed. To paper-file, mail an working days from 8:30 a.m. to 4:30 gas (‘‘GHG’’) regulations.1 EPA initially original and seven copies to: Kimberly p.m.; generally, it is open Monday denied that request, and published that D. Bose, Secretary, Federal Energy through Friday, excluding holidays. The denial in a Federal Register notice on Regulatory Commission, 888 First telephone number for the Reading Room March 6, 2008.2 CARB subsequently Street, NE., Washington, DC 20426. is (202) 566–1744. The Air and submitted a request that EPA reconsider More information about this project, Radiation Docket and Information that waiver denial on January 21, 2009. including a copy of the application, can Center’s Web site is http://www.epa.gov/ EPA took action on that request for be viewed or printed on the ‘‘eLibrary’’ oar/docket.html. The electronic mail (e- reconsideration by reopening its public link of Commission’s Web site at mail) address for the Air and Radiation process.3 The agency held a public http://www.ferc.gov/docs-filing/ Docket is: [email protected], the hearing to hear oral testimony and elibrary.asp. Enter the docket number telephone number is (202) 566–1742, received thousands of written comments (P–14066–000) in the docket number and the fax number is (202) 566–9744. from a wide variety of interested field to access the document. For An electronic version of the public persons. EPA’s decision on assistance, contact FERC Online docket is available through the Federal reconsideration—granting California’s Support. government’s electronic public docket waiver request—was issued on June 30, Dated: June 7, 2011. and comment system. You may access 2009, and published in the Federal 4 Kimberly D. Bose, EPA dockets at http:// Register on July 8, 2009. www.regulations.gov. After opening the Secretary. http://www.regulations.gov Web site, B. CARB’s Motor Vehicle Greenhouse [FR Doc. 2011–14630 Filed 6–13–11; 8:45 am] enter EPA HQ–OAR–2010–0653 in the Gas Amendments BILLING CODE 6717–01–P ‘‘Enter Keyword or ID’’ fill-in box to Since EPA’s grant of a waiver of view documents in the record of CARB’s preemption for California’s greenhouse passenger vehicle GHG amendments gas emission regulations, CARB has ENVIRONMENTAL PROTECTION within-the-scope waiver request. promulgated two sets of amendments, AGENCY Although a part of the official docket, which are at issue here. Both sets of the public docket does not include [FRL–9318–7] amendments are intended to ease Confidential Business Information manufacturer compliance burdens. California State Motor Vehicle (‘‘CBI’’) or other information whose CARB’s Board adopted the first set of Pollution Control Standards; Within- disclosure is restricted by statute. amendments in September 2009. The the-Scope Determination for EPA’s Office of Transportation and September 2009 amendments, known as Amendments to California’s Motor Air Quality (‘‘OTAQ’’) maintains a Web the ‘‘Section 177 State ‘Pooling’ Vehicle Greenhouse Gas Regulations; page that contains many historical Amendments,’’ include provisions Notice of Decision documents regarding California’s intended to streamline manufacturers’ greenhouse gas waiver request, obligations by: (1) Providing AGENCY: Environmental Protection including those associated with this manufacturers with the option of Agency (EPA). within-the-scope confirmation request; pooling vehicle sales across California ACTION: Notice of Within-the-Scope the page is accessible at http:// and in states that have adopted Determination. www.epa.gov/otaq/climate/ca- California’s greenhouse gas standards waiver.htm. OTAQ also maintains a SUMMARY: EPA confirms that starting with model years 2009 through Web page that contains general 2011,5 and (2) revising certification amendments promulgated by the information on its review of California California Air Resources Board requirements to accept data from the waiver requests. Included on that page Federal Corporate Average Fuel (‘‘CARB’’) are within the scope of an are links to prior waiver Federal 6 existing waiver of preemption issued by Economy (‘‘CAFE’’) program. CARB’s Register notices, some of which are Board adopted the second set of EPA for California’s motor vehicle cited in today’s notice; the page can be greenhouse gas emissions program. EPA amendments in February 2010. The accessed at http://www.epa.gov/otaq/ February 2010 amendments are known also finds, in the alternative, that cafr.htm. California’s standards, as amended, as the ‘‘2012–2016 Model Year National meet the requirements for a new waiver FOR FURTHER INFORMATION CONTACT: Program Amendments’’; they provide of preemption. Kristien G. Knapp, Attorney-Advisor, that compliance with EPA’s greenhouse Compliance and Innovative Strategies gas standards will be deemed DATES: Petitions for review must be filed Division, Office of Transportation and compliance with the California by August 15, 2011. Air Quality, U.S. Environmental ADDRESSES: EPA has established a Protection Agency, 1200 Pennsylvania 1 See 72 FR 21260 (Apr. 30, 2007). docket for this action under Docket ID Avenue (6405J), NW., Washington, DC 2 73 FR 12156 (March 6, 2008). EPA–HQ–OAR–2010–0653. All 20460. Telephone: (202) 343–9949. Fax: 3 74 FR 7040 (February 12, 2009). documents relied upon in making this (202) 343–2800. E-mail: 4 74 FR 32744 (July 8, 2009). The Chamber of decision, including those submitted to [email protected]. Commerce of the United States and the National EPA by CARB, and public comments, Automobile Dealers Association (‘‘NADA’’) sought SUPPLEMENTARY INFORMATION: review of EPA’s July 8, 2009 waiver decision in the are contained in the public docket. United States Court of Appeals for the District of Publicly available docket materials are I. Background Columbia Circuit (No. 09–1237). On April 29, 2011, available either electronically through the Court dismissed the petition for review for lack www.regulations.gov or in hard copy at A. Chronology of jurisdiction. 5 California Code of Regulations, Title 13 the Air and Radiation Docket in the EPA On December 21, 2005, the California 1961.1(a)(1)(A)(i). Headquarters Library, EPA West Air Resources Board (‘‘CARB’’) 6 California Code of Regulations, Title 13 Building, Room 3334, located at 1301 submitted a request to EPA, seeking a 1961(a)(1)(B).

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standards during the 2012 through 2016 requests that EPA vacate the underlying from new motor vehicles or new motor model years.7 waiver; and the third comment supports vehicle engines subject to this part. No state CARB’s amendments, and encourages shall require certification, inspection or any C. EPA’s Review of California’s EPA to confirm that the amendments are other approval relating to the control of Greenhouse Gas Within-the-Scope emissions from any new motor vehicle or within the scope of CARB’s greenhouse Request new motor vehicle engine as condition gas waiver. The written comments are precedent to the initial retail sale, titling (if By letter dated June 28, 2010, CARB from a private citizen,9 the National any), or registration of such motor vehicle, submitted a request to EPA seeking Automobile Dealers Association motor vehicle engine, or equipment. confirmation that these two sets of 10 (‘‘NADA’’), and the Association of Through operation of section 209(b) of amendments are within the scope of the Global Automakers (‘‘Global the Act, California is able to seek and waiver of preemption issued by EPA 11 Automakers’’), respectively. The receive a waiver of section 209(a)’s under section 209(b) of the Clean Air private citizen’s comment is not preemption. Section 209(b)(1) requires a Act on June 30, 2009. EPA announced responsive to the issues under EPA’s waiver to be granted for any State that its receipt of California’s within-the- consideration as described in EPA’s had adopted standards (other than scope confirmation request in a Federal January 31, 2011 Federal Register crankcase emission standards) for the Register notice on January 31, 2011.8 In 12 notice. NADA comments that control of emissions from new motor that notice, EPA offered an opportunity California’s amendments effectively vehicles or new motor vehicle engines for public hearing and comment on eliminate any need for California’s prior to March 30, 1966,14 if the State CARB’s request. greenhouse gas standards, and therefore determines that its standards will be, in Although CARB’s request regarding EPA should vacate the underlying its ‘‘Section 177 State ‘Pooling’ the aggregate, at least as protective of waiver. NADA did not offer any public health and welfare as applicable Amendments’’ and its ‘‘2012–2016 comment specifically on whether Model Year National Program Federal standards (this is known as California’s amendments meet the California’s ‘‘protectiveness Amendments’’ was submitted as a within-the-scope criteria, and it did not within-the-scope request, EPA invited determination’’). However, no waiver is explicitly offer substantive comments to be granted if EPA finds that: (A) comment on several issues. Within the on any of those criteria. NADA did context of a within-the-scope analysis, California’s above-noted ‘‘protectiveness comment on whether California’s determination’’ is arbitrary and EPA invited comment on whether regulations met the second criterion of 15 California’s standards: (1) Undermine capricious; (B) California does not a full waiver, concerning whether need such State standards to meet California’s previous determination that California needs State standards to meet its standards, in the aggregate, are at compelling and extraordinary compelling and extraordinary conditions; 16 or (C) California’s least as protective of public health and conditions. NADA also requests that welfare as comparable Federal standards and accompanying EPA delay taking action on CARB’s enforcement procedures are not standards; (2) affect the consistency of within-the-scope request until the California’s requirements with section consistent with section 202(a) of the litigation related to the underlying Act.17 Regarding consistency with 202(a) of the Act; and (3) raise any other waiver has been completed. Global new issues affecting EPA’s previous section 202(a), EPA reviews California’s Automakers comments that it standards for technological feasibility waiver determinations. EPA also ‘‘unreservedly supports’’ California’s requested comment on issues relevant to and evaluates testing and enforcement amendments, and encourages EPA to procedures to determine whether they a full waiver analysis, in the event that confirm that the amendments are within EPA determined that California’s would be inconsistent with Federal test the scope of the previously issued procedures (e.g., if manufacturers would standards should not be considered greenhouse gas waiver.13 As noted within the scope of CARB’s previous be unable to meet both California and below, Global Automakers offered Federal test requirements using the waivers, and should instead be specific comments on all of the issues 18 subjected to a full waiver analysis. same test vehicle). described for public comment in EPA’s If California amends regulations that Specifically, EPA sought comment on: January 31, 2011 Federal Register were previously granted a waiver of (a) Whether CARB’s determination that notice. preemption, EPA can confirm that the its standards, in the aggregate, are at amended regulations are within the least as protective of public health and D. Clean Air Act Waivers of Preemption scope of the previously granted waiver welfare as applicable Federal standards Section 209(a) of the Clean Air Act if three conditions are met. These is arbitrary and capricious; (b) whether preempts states and local governments conditions are discussed below. California needs separate standards to from setting emission standards for new meet compelling and extraordinary motor vehicles and engines. It provides: E. Burden of Proof conditions; and (c) whether California’s No State or any political subdivision In Motor and Equip. Mfrs Assoc. v. standards and accompanying thereof shall adopt or attempt to enforce any EPA, 627 F.2d 1095 (DC Cir. 1979) enforcement procedures are consistent standard relating to the control of emissions (‘‘MEMA I’’), the U.S. Court of Appeals with section 202(a) of the Act. stated that the Administrator’s role in a No party requested an opportunity for 9 Comments of Joyce Dillard, EPA–HQ–OAR– section 209 proceeding is to: a hearing to present oral testimony, and 2010–0653–0004 (March 17, 2011). EPA received only three written 10 Comments of NADA, EPA–HQ–OAR–2010– consider all evidence that passes the comments. One of the comments is not 0653–0005 (March 17, 2011). threshold test of materiality and * * * responsive or relevant to the issues EPA 11 Comments of the Association of Global Automakers (‘‘Global Automakers’’), EPA–HQ– 14 Because California was the only state to have sought comment on; a second comment OAR–2010–0653–0003 (March 17, 2011). adopted standards prior to 1966, it is the only state 12 This comment generally appears to express that is qualified to seek and receive a waiver. See 7 California Code of Regulations, Title 13 concern for public health and welfare. Because this S.Rep. No. 90–403 at 632 (1967). 1961.1(a)(1)(A)(ii). The National Program and EPA’s comment is not responsive to the issues before EPA 15 CAA section 209(b)(1)(A). greenhouse gas standards referred to in California’s or to EPA’s request for comments, EPA is not 16 CAA section 209(b)(1)(B). regulation can be found at 75 FR 25323 (May 7, responding to this comment. 17 CAA section 209(b)(1)(C). 2010). 13 Comments of Global Automakers, EPA–HQ– 18 See, e.g., 74 FR at 32767 (July 8, 2009); see also 8 76 FR 5368 (January 31, 2011). OAR–2011–0653–003. MEMA I, 627 F.2d at 1126.

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thereafter assess such material evidence have been met. As found in MEMA I, that its standards, in the aggregate, are against a standard of proof to determine this obligation rests firmly with at least as protective of public health whether the parties favoring a denial of the opponents of the waiver in a section 209 and welfare as applicable Federal waiver have shown that the factual proceeding: standards. Second, the amended circumstances exist in which Congress regulations must not undermine our intended a denial of the waiver.19 [t]he language of the statute and it’s legislative history indicate that California’s previous determination with respect to The court in MEMA I considered the regulations, and California’s determinations consistency with section 202(a) of the standards of proof under section 209 for that they must comply with the statute, when Act. Third, the amended regulations the two findings related to granting a presented to the Administrator are presumed must not raise any new issues affecting waiver for an ‘‘accompanying to satisfy the waiver requirements and that EPA’s prior waiver determinations. enforcement procedure’’ (as opposed to the burden of proving otherwise is on CARB, in its Resolution 09–53 the standards themselves): (1) whoever attacks them. California must (September 25, 2009),27 and Resolution present its regulations and findings at the Protectiveness in the aggregate and (2) 28 hearing and thereafter the parties opposing 10–15 (February 25, 2010), expressly consistency with section 202(a) the waiver request bear the burden of stated that its greenhouse gas findings. The court instructed that ‘‘the persuading the Administrator that the waiver amendments meet each of these criteria. standard of proof must take account of request should be denied.24 the nature of the risk of error involved 1. California’s Protectiveness The Administrator’s burden, on the in any given decision, and it therefore Determination other hand, is to make a reasonable varies with the finding involved. We When granting a waiver of evaluation of the information in the need not decide how this standard preemption for California’s greenhouse record in coming to the waiver decision. operates in every waiver decision.’’ 20 gas emission standards, EPA found that As the court in MEMA I stated: ‘‘here, The court upheld the Administrator’s opponents of the waiver had not met too, if the Administrator ignores position that, to deny a waiver, there their burden to demonstrate that evidence demonstrating that the waiver must be ‘‘clear and compelling California’s protectiveness should not be granted, or if he seeks to evidence’’ to show that proposed determination was arbitrary and overcome that evidence with procedures undermine the capricious. The protectiveness unsupported assumptions of his own, protectiveness of California’s determination at issue in EPA’s he runs the risk of having his waiver standards.21 The court noted that this previous greenhouse gas waiver decision set aside as ‘arbitrary and standard of proof also accords with the proceeding was primarily based upon a capricious.’ ’’ 25 Therefore, the congressional intent to provide comparison of California’s greenhouse Administrator’s burden is to act California with the broadest possible gas emission standards to then non- ‘‘reasonably.’’ 26 discretion in setting regulations it finds existent Federal greenhouse gas protective of the public health and II. Discussion emission standards.29 In the July 30, welfare.22 2009 decision, EPA noted that ‘‘[i]f A. Within-the-Scope Analysis With respect to the consistency federal greenhouse gas standards are finding, the court did not articulate a EPA sought comment on a range of promulgated in the future, and if such standard of proof applicable to all issues, including those applicable to a standards bring this determination into proceedings, but found that the within-the-scope analysis as well as question, then EPA can revisit this opponents of the waiver were unable to those applicable to a full waiver decision at that time.’’ We also noted meet their burden of proof even if the analysis. Even though EPA sought that ‘‘EPA would then determine standard were a mere preponderance of comment on whether California’s whether these changes are within-the- the evidence. Although MEMA I did not amendments should be subjected to a scope of its prior waiver or if a new, full explicitly consider the standards of full waiver analysis, no party expressed waiver determination would need to be proof under section 209 concerning a the opinion that California’s made, as would be required if California waiver request for ‘‘standards,’’ as amendments require such an analysis. decided to increase the stringency of its compared to accompanying enforcement Global Automakers, the only commenter greenhouse gas standards.’’ 30 procedures, there is nothing in the to address this threshold issue of which California’s greenhouse gas opinion to suggest that the court’s criteria to apply, stated the amendments amendments, as described above, do not analysis would not apply with equal at issue qualify for a within-the-scope increase the numerical stringency of its force to such determinations. EPA’s past determination. Global Automakers greenhouse gas emission standards or waiver decisions have consistently points out that California’s greenhouse change the California fleet average made clear that: ‘‘[E]ven in the two areas gas amendments do not increase the greenhouse gas emission limits. In concededly reserved for Federal stringency of any emission standard, or addition, although EPA has judgment by this legislation—the add any new pollutant or other emission 27 existence of ‘compelling and standard to California’s existing CARB Resolution 09–53, EPA–HQ–OAR–2010– greenhouse gas regulations. Therefore, 0653–0002.7 (September 24, 2009). extraordinary’ conditions and whether 28 CARB Resolution 10–15, EPA–HQ–OAR–2010– the standards are technologically we have evaluated CARB’s request by 0653–0002.17 (February 25, 2010). feasible—Congress intended that the application of our traditional within- 29 See 74 FR 332744, 32749–32759. EPA also standards of EPA review of the State the-scope analysis. examined then existing CAFE standards decision to be a narrow one.’’ 23 EPA can confirm that amended promulgated by the NHTSA. EPA found that such regulations are within the scope of a standards are not ‘‘applicable federal standards,’’ Opponents of the waiver bear the and even if they were considered as such, burden of showing that the criteria for previously granted waiver of opponents of the waiver had not demonstrated that a denial of California’s waiver request preemption if three conditions are met. CARB’s protectiveness determination was arbitrary First, the amended regulations must not and capricious. EPA also examined whether CARB’s protectiveness determination was arbitrary 19 undermine California’s determination MEMA I, 627 F.2d at 1122. and capricious based on the real world in-use 20 Id. effects of the GHG standards, and found that 21 Id. 24 MEMA I, 627 F.2d at 1121. opponents of the waiver had not met their burden 22 Id. 25 Id. at 1126. of proof. 23 See, e.g., 40 FR 21102–103 (May 28, 1975). 26 Id. at 1126. 30 74 FR 32752–32753 (July 8, 2009).

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subsequently promulgated its own equivalent to California standards in comment on this issue, from Global emission limits for greenhouse gases, 2016. CARB also found that emission Automakers. Global Automakers those limits do not begin until the 2012 reductions in California and the section believes that California’s amendments model year, in contrast to CARB’s 177 states might be reduced slightly if ‘‘do not cause California’s requirements standards, which began in the 2009 manufacturers meet California to be inconsistent with Section 202(a) of model year. As such, if EPA were to regulations by demonstrating the Act.’’ 34 Global Automakers further undertake a comparison of California-to- compliance with Federal standards, states that harmonizing the California Federal greenhouse gas emission rather than meeting the pre-existing program with EPA’s Federal program standards, that analysis would compare California standards.31 NADA does not renders California’s regulations to be three years of existing California take issue with this finding. Thus, at the ‘‘more consistent’’ with the Clean Air standards against three years of non- very least, compliance with California’s Act. existent Federal standards. Thus, EPA greenhouse gas standards under the The first prong of EPA’s inquiry into agrees with CARB that California’s revised regulations will result in the consistency with section 202(a) of the greenhouse gas amendments do not same, if not more, emission reductions Act depends upon technological undermine California’s previous than would occur in the absence of the feasibility. This requires EPA to protectiveness determination with California standards. NADA provides no evaluate whether adequate technology regard to the 2009 through 2011 model evidence that CARB’s standards are less already exists; or if it does not, whether years. protective than the applicable Federal there is adequate time to develop and In its June 28, 2010 Letter requesting standards. As such, NADA fails to apply the technology before the a within-the scope determination, CARB present any evidence or make any standards go into effect. Here, CARB has points out that it made an additional showing that the amendments not changed its overall California fleet finding that its standards are in the undermine California’s previous average greenhouse gas emission aggregate at least as protective of public determination that its standards, in the standards. The amendments at issue health and welfare as comparable aggregate, are at least as protective of have been adopted to provide additional Federal greenhouse gas emission public health and welfare as applicable means and flexibilities for standards, and that California’s Federal standards. manufacturers to comply with the amendments do not undermine the After evaluating the materials standards. These amendments do not emission reductions from the previously submitted by CARB, as well as the require the development or application waived California standards. public comments from Global of any additional technology beyond The comment from Global Automakers and NADA on this issue, that already required by California’s Automakers states that California’s EPA confirms that California’s original greenhouse gas emission amendments do not cause California’s greenhouse gas amendments do not standards. EPA received no comments greenhouse gas standards to be less undermine California’s previous indicating that CARB’s amendments protective than the Federal standards. determination that its standards, in the present lead-time or technology issues Global Automakers asserts that the aggregate, are at least as protective of with respect to consistency under ‘‘deem to comply’’ prong of California’s public health and welfare as applicable section 202(a) and knows of no other amendments render emission benefits to Federal standards. evidence to that effect. Consequently, be equally protective as between the CARB’s amendments do not affect our California and Federal programs. 2. Consistency With Section 202(a) of prior determination regarding In its comments, NADA notes that the Clean Air Act consistency with section 202(a), based CARB stated that the national program EPA has stated in the past that on lead-time or technological feasibility ‘‘will achieve equal or better GHG California standards and accompanying issues. emission reduction benefits from MY test procedures would be inconsistent The second prong of EPA’s inquiry 2012–16 light-duty vehicles compared with section 202(a) of the Clean Air Act into consistency with section 202(a) of to those sold in California and states if: (1) There is inadequate lead time to the Act depends on the compatibility of that have adopted California’s Pavley permit the development of technology the Federal and California test standards as provided in Section 177 of necessary to meet those requirements, procedures. CARB’s greenhouse gas the Clean Air Act.’’ NADA believes that giving appropriate consideration to cost amendments are designed to deem CARB’s statement leads to the of compliance within the lead time manufacturer compliance with EPA’s conclusion that ‘‘vacating the waiver provided, or (2) the Federal and greenhouse gas emission standards as * * * likewise will result in no adverse California test procedures impose compliant with California’s environmental effects * * *.’’ However, inconsistent certification requirements. CARB further points out such a conclusion does not logically requirements.32 CARB states that the that its amendments are intended to follow from the statement CARB made. amendments do not undermine our provide flexibility and reduce CARB’s statement was in reference to previous determination with respect to compliance costs. Therefore, CARB the fact that the national program affects consistency with section 202(a) because asserts that its amended regulations vehicles in all 50 states, whereas the California’s standards have remained strengthen CARB’s previous analysis pre-existing California program only the same and the amendments were that its regulations are consistent with affected vehicles in California and intended to provide flexibility and section 202(a) of the Clean Air Act. EPA section 177 states; it was not a statement reduce the costs of compliance with the agrees with this analysis, and EPA with regard to the emission reduction regulations.33 EPA received one public received no comments that dispute this benefits of the California standards analysis. Because CARB’s regulations themselves in California and the section 31 California Air Resources Board, Staff Report: provide additional flexibilities, which 177 states. In reviewing the California Initial Statement of Reasons for Rulemaking standards themselves, CARB found that (January 7, 2010), at page 7, EPA–HQ–OAR–2010– Greenhouse Gas Regulations Be Found Within the the national program greenhouse gas 0653–0002.6. Scope of the Existing Waiver of Clean Air Act 32 See, e.g., 75 FR 8056 (February 23, 2010) and Preemption, EPA–HQ–OAR–2010–0653–0002, standards from 2012 to 2015 were 70 FR 22034 (April 28, 2005). (June 28, 2010), at page 4. slightly less stringent than comparable 33 CARB, Request that Amendments to 34 Comments of Global Automakers, EPA–HQ– California standards, and were California’s New Passenger Motor Vehicle OAR–2010–0653–0003, page 5.

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reduce compliance costs and even make California if it finds that California indication that EPA’s prior CARB compliance more flexible to the ‘‘does not need such State standards to determination on this issue is extent that Federal compliance is meet compelling and extraordinary undermined in any way. Therefore, its deemed to comply with California’s conditions.’’ comments do not show that California’s requirements, CARB has made their EPA does not believe that California’s amendments raise any new issues compliance program, including its test amendment allowing compliance with relevant to EPA’s initial waiver procedures, more compatible with the federal greenhouse gas regulations as an decision. Federal compliance program. option for compliance with California’s Moreover, although NADA’s Consequently, nothing in the greenhouse gas regulations raises any comments reference the words of the amendments undermines our prior new issues regarding our prior section 209(b)(1)(B), ‘‘need * * * to determination concerning consistency determination concerning CAA section meet compelling and extraordinary of California’s test procedures with our 209(b)(1)(B). circumstances’’ criterion, they do not own. In the underlying waiver decision, appear to be directed towards the For the reasons set forth above, EPA EPA found that ‘‘the better approach for geographical or climatological confirms that California’s greenhouse analyzing the need for ‘such State conditions that are being referred to by gas amendments do not undermine our standards’ to meet ‘compelling and the words ‘‘compelling and prior determination concerning extraordinary conditions’ is to review extraordinary circumstances.’’ Instead, consistency with section 202(a) of the California’s need for its program, as a NADA’s comments appear to be Clean Air Act. whole, for the class or category of directed at the stringency of the vehicles being regulated, as opposed to greenhouse gas standards. The 3. New Issues 38 its need for individual standards.’’ stringency of California’s standards is at EPA has stated in the past that if EPA also reiterated its traditional issue in section 209(b)(1)(A), where California promulgates amendments understanding that ‘‘the term Congress addressed the comparison of that raise new issues affecting compelling and extraordinary California standards to federal previously granted waivers, we would conditions ‘do not refer to the levels of standards, but it is not an issue under not confirm that those amendments are pollution directly.’ Instead, the term section 209(b)(1)(B). As noted in EPA’s 35 within the scope of previous waivers. refers primarily to the factors that tend underlying waiver decision, section CARB states that it is not aware of any to produce higher levels of pollution— 209(b)(1)(A) calls for a review of new issues presented by its greenhouse ‘geographical and climatic conditions California standards ‘‘in the aggregate,’’ 36 gas amendments. Similarly, Global (like thermal inversions) that, when and EPA can only deny a waiver if it Manufacturers state that the combined with large numbers and high finds that California was arbitrary and amendments do not raise any new concentrations of automobiles, create capricious in its finding that ‘‘its 39 issues affecting the Administrator’s serious air pollution problems.’ ’’ EPA standards will be, in the aggregate, at previous waiver: ‘‘[T]he amendments further found that CARB has repeatedly least as protective of public health and merely provide manufacturers the demonstrated the need for its motor welfare as applicable Federal increased compliance flexibility of vehicle program to address compelling standards.’’ EPA notes that the language pooling their California and Section 177 and extraordinary conditions in of section 209(b)(1)(A) clearly indicates 40 State fleets, and using compliance with California.’’ In its initial greenhouse Congress’s determination that EPA the Federal program to show gas Waiver Request letter, CARB stated: review the effect of stringency on the compliance with the California California—the South Coast and San protectiveness of California’s standards program.’’ 37 Joaquin Air basins in particular—continues ‘‘in the aggregate,’’ and that EPA cannot The comments from NADA do not to experience some of the worst air quality deny a waiver on the grounds of specifically state that the amendments in the nation. California’s ongoing need for dramatic emission reductions generally and protectiveness if California standards create new issues, but the comments are at least equally protective as Federal appear to suggest NADA’s belief that from passenger vehicles specifically is abundantly clear from its recent adoption of standards. ‘‘Redundancy’’ is not the they do. NADA states that the provision state implementation plans for the South criterion; it is whether California’s that allows compliance with Federal Coast and other California air basins.41 The standards are, in the aggregate, at least greenhouse gas regulations as an unique geographical and climatic conditions, as protective as applicable Federal alternative compliance option for and the tremendous growth in the vehicle standards. Furthermore, NADA does not compliance with California’s population and use which moved Congress to address California’s standards ‘‘in the greenhouse gas regulations renders authorize California to establish separate vehicle standards in 1967, still exist today.42 aggregate’’ and, as noted above, does not California’s greenhouse gas standards provide any evidence to suggest, even redundant and because of this ‘‘CARB NADA’s comments do not indicate with regard to California’s greenhouse cannot claim that its rules any longer that, as a result of the amendments, gas standards, that California was are needed to meet compelling and California no longer needs a separate arbitrary and capricious in its finding extraordinary circumstances.’’ This motor vehicle emissions program to that its standards are at least as quote is a reference to the requirement address compelling and extraordinary protective as comparable federal in Clean Air Act section 209(b)(1)(B) conditions in California, or provide any standards. The stringency issue raised that EPA shall not grant a waiver to by NADA is not relevant under section 38 74 FR at 32762. 209(b)(1)(B), and it would be 35 See, e.g., 75 FR 8056 (February 23, 2010), and 39 74 FR at 32759. 70 FR 22034 (April 28, 2005). 40 74 FR at 32762–32763. inconsistent with the intent of Congress 36 CARB, Request that Amendments to 41 See, e.g., Approval and Promulgation of State to deny a waiver or a within-the-scope California’s New Passenger Motor Vehicle Implementation Plans; California—South Coast, 64 determination based on section Greenhouse Gas Regulations Be Found Within the FR 1770, 1771 (January 12, 1999). See also 69 FR 209(b)(1)(B) for reasons Congress clearly Scope of the Existing Waiver of Clean Air Act 23858, 23881–90 (April 30, 2004) (designating 15 addressed and clearly determined Preemption, EPA–HQ–OAR–2010–0653–0002, areas in California as nonattainment for the federal (June 28, 2010), at page 5. 8-hour ozone national ambient air quality standard). should not be the basis for a denial 37 Comments of Global Automakers, EPA–HQ– 42 California Air Resources Board, EPA–HQ– under section 209(b)(1)(A). NADA’s OAR–2010–0653–0003, page 5. OAR–2006–0173–0004.1, at page 16. comments, therefore, do not raise any

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new issues regarding our preexisting standards at issue in a given waiver waiver, EPA was unable to find that waiver for California greenhouse gas request. That comparison is undertaken California was arbitrary and capricious emission standards. within the broader context of the in its making its protectiveness For these reasons, EPA confirms that previously waived California program, determination. Against this backdrop, California’s greenhouse gas amendments which relies upon protectiveness California made new protectiveness raise no new issues with respect to determinations that EPA previously determinations when amending its previously granted waivers of found were not arbitrary and capricious. motor vehicle greenhouse gas emissions preemption. In our existing waiver for California’s program. In both of the CARB rulemakings for 4. Within-the-Scope Confirmation greenhouse gas standards, we reviewed California’s protectiveness the amendments at issue here, the CARB For all the reasons set forth above, determination: Board found that the amendments did EPA can confirm that California’s not undermine the Board’s previous amendments to its motor vehicle California made a protectiveness determination with regard to its greenhouse determination that the regulation’s greenhouse gas emissions program are gas regulations in Resolution 04–28, adopted emission standards, other emission within the scope of existing waivers of by the California Air Resources Board on related requirements, and associated preemption. September 23, 2004. Included in that enforcement procedures are, in the B. Full Waiver of Preemption Analysis Resolution were several bases to support aggregate, at least as protective of public California’s protectiveness determination. health and welfare as applicable Federal In our January 31, 2011 Federal Most generally, CARB made a broad finding standards.44 The CARB Board found Register notice, EPA requested that observed and projected changes in that no basis existed for it to find that comment on the within-the-scope California’s climate are likely to have a significant adverse impact on public health its previous protectiveness criteria, and on issues relevant to a full determination would be undermined by waiver analysis, in the event that EPA and welfare in California, and that California is attempting to address those impacts by the amendments. With respect to the determined that California’s standards regulating in a field for which there are no 2009–2011 model years, the fleet should not be considered within the comparable federal regulations. CARB also average greenhouse gas emission limits scope of CARB’s previous waivers, and found that its greenhouse gas standards will remain unchanged from the previously should instead be subjected to a full increase the health and welfare benefits from waived standards; moreover, they waiver analysis. Specifically, EPA its broader motor vehicle emissions program remain the only greenhouse gas sought comment on: (a) Whether by directly reducing upstream emissions of emission limits in existence for those criteria pollutants from decreased fuel CARB’s determination that its model years. Because of those factors, standards, in the aggregate, are at least consumption. Beyond that analysis of the new regulations’ impact on its broader California maintains that those as protective of public health and program, CARB projected consumer response standards are ‘‘undisputedly more welfare as applicable Federal standards to the greenhouse gas regulations. With protective.’’ 45 With respect to the 2012– is arbitrary and capricious; (b) whether respect to consumer shifts due to a potential 2016 model years, in addition to making California needs separate standards to ‘‘scrappage effect’’ (the impact of increased a new protectiveness determination, meet compelling and extraordinary vehicle price on fleet age) and ‘‘rebound CARB’s Executive Officer made an conditions; and (c) whether California’s effect’’ (the impact of lower operating costs additional protectiveness determination standards and accompanying on vehicle miles travelled), CARB found after reviewing EPA’s final rule enforcement procedures are consistent minor impacts—but net reductions—on criteria pollutant emissions. Further, even promulgating Federal greenhouse gas 46 with section 202(a) of the Act. As assuming larger shifts in consumer demand emission standards. discussed above, EPA confirms that attributable to the greenhouse gas emission No commenter expressed an opinion California’s amendments meet the standards, CARB found that the result or presented any evidence suggesting within-the-scope criteria. Additionally, remains a net reduction in both greenhouse that CARB was arbitrary and capricious because we received comment that gas emissions and criteria pollutant in making its three above-noted appears to dispute this within-the-scope emissions. That is, CARB found that the protectiveness findings. Therefore, determination, we have applied our addition of its greenhouse gas emission based on the record before me, I cannot traditional full waiver analysis to standards to its larger motor vehicle find that California was arbitrary and emissions program (LEV II), which generally California’s amendments in the aligns with the federal motor vehicle capricious in its findings that alternative to that determination. We emissions program (Tier II), renders the California’s motor vehicle greenhouse have determined that those in whole program to be more protective of gas emission standards, as amended, opposition to granting a waiver have not public health and welfare. CARB noted that are, in the aggregate, at least as met their burden of showing that EPA has already determined that California protective of public health and welfare California’s regulations, as amended, do was not arbitrary and capricious in its as applicable Federal standards. determination that the pre-existing California not meet the criteria for a new waiver 2. California’s Need for State Standards of preemption. standards for light-duty vehicles and trucks, known as LEV II, is at least as protective as To Meet Compelling and Extraordinary 1. California’s Protectiveness comparable Federal standards, the Tier II Conditions Determination standards. Implicit in California’s greenhouse Under section 209(b)(1)(B) of the Act, gas protectiveness determination, then, is Section 209(b)(1)(A) of the Act that the inclusion of greenhouse gas I cannot grant a waiver if I find that requires EPA to deny a waiver if the standards into California’s existing motor California ‘‘does not need such State Administrator finds that California was vehicle emissions program will not cause standards to meet compelling and arbitrary and capricious in its California’s program to be less protective extraordinary conditions.’’ EPA has determination that its State standards than the federal program.43 (citations traditionally interpreted this provision will be, in the aggregate, at least as omitted) protective of public health and welfare After reviewing California’s 44 California Air Resources Board, Resolution 09– 53 (September 25, 2009) and Resolution 10–15 as applicable Federal standards. When protectiveness determination and the (February 25, 2010). evaluating California’s protectiveness evidence presented by opponents of the 45 CARB Request Letter at page 4. determination, EPA compares the 46 CARB Executive Order G–10–051 (June 28, stringency of the California and Federal 43 74 FR 32749–32750 (July 8, 2009). 2010).

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as considering whether California needs enforcement procedures are not ‘‘do not cause California’s requirements a separate motor vehicle emissions consistent with section 202(a) of the to be inconsistent with Section 202(a) of program to meet compelling and Act. The scope of EPA’s review under the Act.’’ 48 Global Automakers further extraordinary conditions. In EPA’s this criterion is narrow. EPA has stated states that harmonizing the California greenhouse gas waiver decision issued on many occasions that the program with EPA’s Federal program on June 30, 2009, EPA followed its determination is limited to whether renders California’s regulations to be traditional interpretation and was those opposed to the waiver have met ‘‘more consistent’’ with the Clean Air unable to identify any change in their burden of establishing that Act. No commenter expressed any circumstances or any evidence to California’s standards are disagreement with these statements suggest that the conditions that technologically infeasible, or that from CARB, and no commenter California identified as giving rise to California’s test procedures impose presented any evidence opposing serious air quality problems in requirements inconsistent with Federal CARB’s assertions regarding California no longer exist. Therefore, test procedures. Previous waivers of technological feasibility, lead-time, and EPA was unable to deny the waiver Federal preemption have stated that cost of compliance. Therefore, EPA is request under section 209(b)(1)(B). California’s standards are not consistent unable to find that California’s EPA also reviewed California’s with section 202(a) if there is greenhouse gas emission standards, as greenhouse gas standards on the two inadequate lead time to permit the amended, are not technologically alternative grounds relied upon in the development of technology necessary to feasible within the available lead-time, March 2006 decision to deny a waiver. meet those requirements, giving giving appropriate consideration to the EPA reviewed California’s greenhouse appropriate consideration to the cost of cost of compliance. gas standards separately from its compliance within that time. program and found that it could not find California’s accompanying enforcement 4. Full Waiver of Preemption that opponents of the waiver had procedures would be inconsistent with Determination demonstrated that California did not section 202(a) if the Federal and After a review of the information need its greenhouse gas emission California test procedures conflict, i.e., submitted by CARB and other parties to standards to meet compelling and if manufacturers would be unable to this proceeding, I find that those extraordinary conditions, or that meet both the California and Federal opposing California’s request have not opponents of the waiver had test requirements with the same test met the burden of demonstrating that a demonstrated that the impacts of vehicle. waiver of California’s amended climate change in California are not In the June 30, 2009 waiver decision, greenhouse gas regulations should be compelling and extraordinary. While EPA found that industry opponents had denied based on any of the three recognizing that EPA was not adopting not met their burden of producing the statutory criteria of section 209(b)(1). these alternative interpretations of evidence necessary for EPA to find that For this reason, I find that, in the section 209(b)(1)(B), EPA determined California’s greenhouse gas standards alternative, even if California’s revisions that it would be unable to deny the are not consistent with section 202(a) of to its greenhouse gas standards were not waiver request under section the Act. EPA determined that CARB within-the-scope of the earlier waiver, 209(b)(1)(B) under these alternative demonstrated a reasonable projection California’s amended motor vehicle grounds. that compliance with California’s greenhouse gas emission regulations As discussed above in section II.A.3, greenhouse gas standards was would receive a full waiver. CARB has repeatedly demonstrated the reasonable based on availability of need for its motor vehicle emissions technologies in the lead-time provided C. Other Issues program to address compelling and and consideration of cost of compliance. NADA requests that EPA not take extraordinary conditions in California. Therefore, EPA was unable to find that action on this within-the-scope request Furthermore, no commenter has California’s greenhouse gas emission until after the Court of Appeals for the presented any argument or evidence to standards were not technologically District of Columbia Circuit has acted suggest that California no longer needs feasible within the available lead-time, on NADA’s petition for review of the a separate motor vehicle emissions giving appropriate consideration to the underlying waiver related to California’s program to address compelling and cost of compliance. greenhouse gas emission standards. On extraordinary conditions in California, In its within-the-scope request, CARB April 29, 2011, the Court of Appeals or that EPA’s prior determination on states that its greenhouse gas acted on NADA’s petition for review, this issue is undermined in any way. amendments ‘‘do not undermine [its] dismissing it for want of jurisdiction. Therefore, I determine that I cannot previous discussions [regarding The request by NADA is therefore moot. deny California a waiver for its motor consistency with section 202(a)] both vehicle greenhouse gas emission because the California standards have III. Decision standards, as amended, under section remained the same (i.e., covering the The Administrator has delegated the 209(b)(1)(B). Furthermore, no same vehicles for the same model-years authority to grant California a section commenter has presented any argument at the same stringency) and because the 209(b) waiver of preemption to the or evidence to suggest that EPA’s prior amendments were intended to provide Assistant Administrator for Air and determinations regarding the alternative flexibility and reduce the costs of Radiation. This includes the authority to interpretations discussed in the June 30, manufacturers’ compliance, thereby determine whether amendments to its 2009 waiver decision are undermined in increasing the feasibility of meeting the regulations are within the scope of a any way. standards.’’ 47 CARB also asserts that its prior wavier. CARB’s June 28, 2010 amendments may reduce compliance letter seeks confirmation from EPA that 3. Consistency With Section 202(a) of costs. EPA received one public the Clean Air Act CARB’s amendments to its new comment on this issue, from Global passenger motor vehicle greenhouse gas Under section 209(b)(1)(C) of the Act, Automakers. Global Automakers regulations are within the scope of its EPA must deny a California waiver believes that California’s amendments request if the Agency finds that 48 Comments of Global Automakers, EPA–HQ– California standards and accompanying 47 CARB Request at page 4. OAR–2010–0653–0003, page 5.

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existing waiver of preemption. After requirements in order to produce ‘‘critical use’’ claim and must do so by evaluating CARB’s amendments, vehicles for sale in California. For this the deadline specified in this notice CARB’s submissions, and the public reason, I determine and find that this is even if they have applied for an comments, EPA confirms that a final action of national applicability exemption in previous years. Today’s California’s regulatory amendments for purposes of section 307(b)(1) of the notice also invites interested parties to meet the three criteria that EPA uses to Act. Pursuant to section 307(b)(1) of the provide EPA with new data on the determine whether amendments by Act, judicial review of this final action technical and economic feasibility of California are within the scope of may be sought only in the United States methyl bromide alternatives. previous waivers. First, EPA agrees with Court of Appeals for the District of DATES: Applications for the 2014 critical CARB that the greenhouse gas Columbia Circuit. Petitions for review use exemption must be postmarked on amendments do not undermine must be filed by August 15, 2011. or before August 15, 2011. California’s protectiveness Judicial review of this final action may ADDRESSES: EPA encourages users to determination from its previously not be obtained in subsequent submit their applications electronically waived greenhouse gas request. Second, enforcement proceedings, pursuant to to Jeremy Arling, Stratospheric EPA agrees with CARB that California’s section 307(b)(2) of the Act. greenhouse gas amendments do not Protection Division, at undermine EPA’s prior determination IV. Statutory and Executive Order [email protected]. If the regarding consistency with section Reviews application is submitted electronically, 202(a) of the Act. Third, EPA agrees As with past authorization and waiver applicants must fax a signed copy of with CARB that California’s greenhouse decisions, this action is not a rule as Worksheet 1 to 202–343–2338 by the gas amendments do not present any new defined by Executive Order 12866. application deadline. Applications for issues which would affect the Therefore, it is exempt from review by the methyl bromide critical use previously issued waiver for California’s the Office of Management and Budget as exemption can also be submitted by greenhouse gas regulations. Therefore, I required for rules and regulations by U.S. mail to: U.S. Environmental confirm that CARB’s greenhouse gas Executive Order 12866. Protection Agency, Office of Air and amendments are within the scope of In addition, this action is not a rule Radiation, Stratospheric Protection EPA’s waiver of preemption for as defined in the Regulatory Flexibility Division, Attention Methyl Bromide California’s greenhouse gas regulations. Act, 5 U.S.C. 601(2). Therefore, EPA has Team, Mail Code 6205J, 1200 While EPA has confirmed that the not prepared a supporting regulatory Pennsylvania Ave., NW., Washington, amendments to California’s greenhouse flexibility analysis addressing the DC 20460 or by courier delivery to: U.S. gas regulations are within the scope of impact of this action on small business Environmental Protection Agency, EPA’s prior waiver, we have also, in the entities. Office of Air and Radiation, alternative analyzed California’s Further, the Congressional Review Stratospheric Protection Division, greenhouse gas regulations, as amended, Act, 5 U.S.C. 801, et seq., as added by Attention Methyl Bromide Review under the criteria for a full waiver. the Small Business Regulatory Team, 1310 L St., NW., Room 1047E, Based on that analysis, we have Enforcement Fairness Act of 1996, does Washington DC 20005. determined that EPA could not deny a not apply because this action is not a FOR FURTHER INFORMATION CONTACT: waiver of preemption for California’s rule for purposes of 5 U.S.C. 804(3). General Information: U.S. EPA regulations, as amended. California has Dated: June 8, 2011. Stratospheric Ozone Information made a determination that its Hotline, 1–800–296–1996; also http:// Gina McCarthy, regulations as amended are at least as www.epa.gov/ozone/mbr. protective as the Federal GHG Assistant Administrator for Air and Radiation. Technical Information: Bill Chism, standards, and those opposing the U.S. Environmental Protection Agency, waiver have not met the burden of [FR Doc. 2011–14686 Filed 6–13–11; 8:45 am] Office of Pesticide Programs (7503P), demonstrating that any of the three BILLING CODE 6560–50–P 1200 Pennsylvania Ave., NW., statutory criteria for a denial under Washington, DC, 20460, 703–308–8136. section 209(b)(1) have been met. E-mail: [email protected]. Therefore, having given consideration to ENVIRONMENTAL PROTECTION Regulatory Information: Jeremy all the material submitted for this AGENCY Arling, U.S. Environmental Protection record, and other relevant information, [EPA–HQ–OAR–2011–0431, FRL–9318–5] Agency, Stratospheric Protection I find that I cannot make the Division (6205J), 1200 Pennsylvania determinations required for a denial of Protection of Stratospheric Ozone: Ave., NW., Washington, DC, 20460, a waiver pursuant to section 209(b) of Request for Methyl Bromide Critical 202–343–9055. E-mail: the Act. I find that, even if California’s Use Exemption Applications for 2014 [email protected]. revisions to its greenhouse gas standards were not within-the-scope of its earlier AGENCY: Environmental Protection SUPPLEMENTARY INFORMATION: waiver, California’s amended motor Agency (EPA). Table of Contents vehicle greenhouse gas emission ACTION: Notice of solicitation of regulations would receive a full waiver. applications and information on I. What do I need to know to respond to this Consequently, even if the amendments alternatives. request for applications? were not within the scope of the earlier A. Who can respond to this request for waiver, I am, in the alternative, granting SUMMARY: EPA is soliciting applications information? California a full waiver of preemption for the critical use exemption from the B. Who can I contact to find out if a phaseout of methyl bromide for 2014. consortium is submitting an application for its amended motor vehicle form for my methyl bromide use? greenhouse gas regulations. Critical use exemptions last only one C. How do I obtain an application form for My decision will affect not only year. All entities interested in obtaining the methyl bromide critical use persons in California, but also a critical use exemption for 2014 must exemption? manufacturers outside the State who provide EPA with technical and D. What must applicants address when must comply with California’s economic information to support a applying for a critical use exemption?

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E. What if I applied for a critical use C. How do I obtain an application form plans which includes the pest(s), exemption in a previous year? for the methyl bromide critical use chemical(s) or management practice(s) F. What if I submit an incomplete exemption? that you will be testing in the future to application? An application form for the methyl support this CUE. Also include G. What portions of the applications will information on what pest control be considered confidential business bromide critical use exemption can be information? obtained either in electronic or hard- practices organic producers are using for II. What is the legal authority for the critical copy form. EPA encourages use of the their commodity. Structures and Facilities (flour mills, use exemption? electronic form. Applications can be rice mills, pet food): Applicants must A. What is the Clean Air Act (CAA) obtained in the following ways: address potential pest losses, quality, authority for the critical use exemption? 1. PDF format and Microsoft Excel at B. What is the Montreal Protocol authority timing changes and economic EPA’s Web site: http://www.epa.gov/ for the critical use exemption? implications to producers when C. What is the timing for applications for ozone/mbr/cueinfo.html; converting to alternatives such as: 2. Hard copy ordered through the the 2014 control period? sulfuryl fluoride, micro-sanitation, and Stratospheric Ozone Protection Hotline heat. If relevant, the applicant should I. What do I need to know to respond at 1–800–296–1996; to this request for applications? include the costs to retrofit equipment 3. PDF format and Microsoft Excel at for these pest control methods. List how A. Who can respond to this request for Docket ID No. EPA–HQ–OAR–2011– many mills have been fumigated with information? 0431. The docket can be accessed at the methyl bromide over the last three http://www.regulations.gov site. To years, rate, volume and target Entities interested in obtaining a obtain hard copies of docket materials, critical use exemption must complete Concentration—Time (CT) of methyl please e-mail the EPA Docket Center: a- bromide at each location, volume of the application form available at http:// [email protected]. www.epa.gov/ozone/mbr/cueinfo.html. each facility, number of fumigations per The application may be submitted either D. What must applicants address when year, and date facility was constructed. by a consortium representing multiple applying for a critical use exemption? The Agency must have a description of your future research plans which users who have similar circumstances or To support the assertion that a includes the pest(s), chemical(s) or by individual users who anticipate specific use of methyl bromide is needing methyl bromide in 2014 and management practice(s) you will be ‘‘critical,’’ applicants must demonstrate testing in the future to support this CUE. have evaluated alternatives and as a that there are no technically and result of that evaluation, believe they Also include information on what pest economically feasible alternatives control practices organic producers are have no technically and economically available for that use. In 2011, the U.S. feasible alternatives. EPA encourages using for their facilities. submitted an index of alternatives, Ham: List how many facilities have groups of users with similar which includes the current registration been fumigated with methyl bromide circumstances of use to submit a single status of available and potential over the last three years, rate, volume application (for example, any number of alternatives, to the Ozone Secretariat. and target CT of methyl bromide at each pre-plant users with similar soil, pest, That index is reproduced in Table 1 and location, volume of each facility, and climactic conditions can join can be accessed at http://www.epa.gov/ number of fumigations per year, and together to submit a single application). ozone/mbr/alts.html. Specifically, date facility was constructed. The In addition to requesting information applications must include the following Agency must have a description of your from applicants for the critical use information for the U.S. to successfully future research plans which includes exemption, this solicitation for defend its nominations for critical uses. the pest(s), chemical(s) or management information provides an opportunity for The information requested below is practice(s) you will be testing in the any interested party to provide EPA included in the application form but we future to support this CUE. with information on methyl bromide are highlighting specific areas that Cucurbits, Eggplant, Pepper, and alternatives (e.g., technical and/or applicants must address. Tomato: Applicants must address economic feasibility research). Commodities such as dried fruit and potential yield, quality, and timing nuts: Applicants must address potential B. Who can I contact to find out whether changes or economic implications for pest losses, quality, timing changes and a consortium is submitting an growers and/or your region’s production economic implications to producers application for my methyl bromide use? of these crops when converting to when converting to alternatives such as: alternatives such as: iodomethane plus You should contact your local, state, sulfuryl fluoride and phosphine. If chloropicrin, the Georgia three way regional or national commodity relevant, the applicant should also mixture of 1,3-dichloropropene plus association to find out whether it plans include the costs to retrofit equipment chloropicrin plus metam (sodium or to submit an application on behalf of or design and construct new fumigation potassium), and dimethyl disulfide your commodity group. Additionally, chambers for these uses. Applicants (DMDS) and any fumigationless system you should contact your state regulatory must include information on the (if data are available). If relevant, the agency (generally this will be the state’s amount of methyl bromide and any applicant should include the costs to agriculture or environmental protection other fumigants used as well as the retrofit equipment for these uses. The agency) to receive information about its amounts of commodity treated with Agency must have a description of your involvement in the process. If your state each fumigant. Include information on future research plans which includes agency has chosen to participate, EPA the size of fumigation chambers where the pest(s), chemical(s) or management recommends that you first submit your methyl bromide is used, the percent of practice(s) you will be testing in the application to the state agency, which commodity fumigated under tarps, the future to support this CUE. will then forward applications to EPA. length of the harvest season, peak of the Strawberry Fruit: Applicants must The National Pesticide Information harvest season and duration, and address potential yield, quality, and Center Web site identifies the lead volume of commodity treated daily at timing changes, or economic pesticide agency in each state (http:// the harvest peak. The Agency must have implications for growers when npic.orst.edu/state1.htm). a description of your future research converting to alternatives such as:

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iodomethane plus chloropicrin, the of the information by placing on (or EPA regulations at 40 CFR 82.4 Georgia three way mixture of 1,3- attaching to) the information, at the time prohibit the production and import of dichloropropene plus chloropicrin plus it is submitted to EPA, a cover sheet, methyl bromide in excess of the amount metam (sodium or potassium), and any stamped or typed legend, or other of unexpended critical use allowances fumigationless system (if data are suitable form of notice employing held by the producer or importer, unless available). If relevant, the applicant language such as ‘‘trade secret,’’ authorized under a separate exemption. should include the costs to retrofit ‘‘proprietary,’’ or ‘‘company Methyl bromide produced or imported equipment for these uses. The Agency confidential.’’ You should clearly by expending critical use allowances must have a description of your future identify the allegedly confidential may be used only for the appropriate research plans which includes the portions of otherwise non-confidential category of approved critical uses as pest(s), chemical(s) or management documents, and you may submit them listed in Appendix L to the regulations practice(s) you will be testing in the separately to facilitate identification and (40 CFR 82.4(p)(2)). The use of methyl future to support this CUE. handling by EPA. If you desire bromide that was produced or imported Nursery stock, Orchard Replant, confidential treatment only until a through the expenditure of production Ornamentals, and Strawberry Nursery: certain date or until the occurrence of a or consumption allowances prior to Applicants must address potential yield, certain event, your notice should state 2005 is not confined to critical uses quality, and timing changes, or that. Information covered by a claim of under EPA’s phaseout regulations; economic implications for growers and confidentiality will be disclosed by EPA however, other restrictions may apply. your region’s production of these crops only to the extent, and by means of the B. What is the Montreal Protocol when converting to alternatives such as: procedures, set forth under 40 CFR part authority for the critical use exemption? iodomethane plus chloropicrin, the 2, subpart B; 41 FR 36752, 43 FR 40000, Georgia three way mixture of 1,3- 50 FR 51661. If no claim of The Montreal Protocol provides that dichloropropene plus chloropicrin plus confidentiality accompanies the the Parties may exempt ‘‘the level of metam (sodium or potassium), and information when EPA receives it, EPA production or consumption that is dimethyl disulfide (if registered in your may make it available to the public necessary to satisfy uses agreed by them state), and steam. If relevant the without further notice. to be critical uses’’ (Art. 2H para 5). The applicant should include the costs to Parties to the Protocol included this If you are asserting a business retrofit equipment for these uses. The language in the treaty’s methyl bromide confidentiality claim covering part or all Agency must have a description of your phaseout provisions in recognition that of the information in the application, future research plans which includes alternatives might not be available by please submit a non-confidential the pest(s), chemical(s) or management 2005 for certain uses of methyl bromide version that EPA can place in the public practice(s) you will be testing in the agreed by the Parties to be ‘‘critical docket for reference by other interested future to support this CUE. uses.’’ parties. Do not include on the In their Ninth Meeting (1997), the E. What if I applied for a critical use ‘‘Worksheet 6: Application Summary’’ Parties to the Protocol agreed to exemption in a previous year? page of the application any information Decision IX/6, setting forth the Critical use exemptions are valid for that you wish to claim as confidential following criteria for a ‘‘critical use’’ only one year and do not renew business information. Any information determination and an exemption from automatically. Users desiring to obtain on Worksheet 6 shall not be considered the production and consumption an exemption for 2014 must apply to confidential and will not be treated as phaseout: EPA. Because of the latest changes in such by the Agency. EPA will place a (a) That a use of methyl bromide registrations, costs, and economic copy of Worksheet 6 in the public should qualify as ‘‘critical’’ only if the aspects for producing critical use crops domain. Please note, claiming business nominating Party determines that: and commodities, all applicants will be confidentiality may delay EPA’s ability (i) The specific use is critical because required to fill out the application form to review your application. the lack of availability of methyl completely. II. What is the legal authority for the bromide for that use would result in a critical use exemption? significant market disruption; and F. What if I submit an incomplete (ii) There are no technically and application? A. What is the Clean Air Act (CAA) economically feasible alternatives or EPA will not accept any applications authority for the critical use exemption? substitutes available to the user that are postmarked after August 15, 2011. If the acceptable from the standpoint of application is postmarked by the In October 1998, Congress amended environment and health and are suitable deadline but is incomplete or missing the Clean Air Act to require EPA to to the crops and circumstances of the any data elements, EPA will not accept conform the U.S. phaseout schedule for nomination. the application and will not include the methyl bromide to the provisions of the (b) That production and consumption, application in the U.S. nomination Montreal Protocol for industrialized if any, of methyl bromide for a critical submitted for international countries and to allow EPA to provide use should be permitted only if: consideration. If the application is a critical use exemption. These (i) All technically and economically substantially complete with only minor amendments were codified in Section feasible steps have been taken to errors, corrections will be accepted. EPA 604 of the Clean Air Act, 42 U.S.C. minimize the critical use and any reviewers may also call an applicant for 7671c. Under EPA implementing associated emission of methyl bromide; further clarification of an application, regulations, methyl bromide production (ii) Methyl bromide is not available in even if it is complete. and consumption were phased out as of sufficient quantity and quality from January 1, 2005. Section 604(d)(6), as existing stocks of banked or recycled G. What portions of the applications will added in 1998, allows EPA to exempt methyl bromide, also bearing in mind be considered confidential business the production and import of methyl the developing countries’ need for information? bromide from the phaseout for critical methyl bromide; You may assert a business uses, to the extent consistent with the (iii) It is demonstrated that an confidentiality claim covering part or all Montreal Protocol. appropriate effort is being made to

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evaluate, commercialize and secure ENVIRONMENTAL PROTECTION meeting. Responsibilities of HSRB national regulatory approval of AGENCY members include reviewing extensive alternatives and substitutes, taking into background materials prior to meetings [EPA–HQ–ORD–2011–0503; FRL–9318–9] consideration the circumstances of the of the Board, preparing draft responses particular nomination. * * * Non- Human Studies Review Board to Agency charge questions, attending Article 5 Parties [e.g., developed Advisory Committee Board meetings, participating in the countries, including the U.S.] must discussion and deliberations at these demonstrate that research programs are AGENCY: Environmental Protection meetings, drafting assigned sections of in place to develop and deploy Agency (EPA). meeting reports, and helping to finalize alternatives and substitutes. * * * ACTION: Request for Nominations to the Board reports. EPA compensates special EPA has defined ‘‘critical use’’ in its Human Studies Review Board (HSRB) government employees for their time regulations at 40 CFR 82.3 in a manner Advisory Committee. and provides reimbursement for travel similar to Decision IX/6 paragraph (a). and other incidental expenses SUMMARY: The U.S. Environmental associated with official government C. What is the timing for applications Protection Agency (EPA) invites business. Currently, EPA is seeking for the 2014 control period? nominations from a diverse range of nominations for individuals with qualified candidates with expertise in There is both a domestic and expertise in bioethics and toxicology. bioethics and toxicology to be international component to the critical EPA values and welcomes diversity. In considered for appointment to its use exemption process. The following an effort to obtain nominations of Human Studies Review Board (HSRB) outline projects a timeline for the diverse candidates, EPA encourages advisory committee. Vacancies are process for the 2014 critical use nominations of women and men of all anticipated to be filled by September 1, exemption. racial and ethnic groups. 2011. Sources in addition to this The qualifications of nominees for June 14, 2011: Solicit applications for Federal Register Notice may also be the methyl bromide critical use membership on the HSRB will be utilized in the solicitation of nominees. assessed in terms of the specific exemption for 2014. Background: On February 6, 2006, the August 15, 2011: Deadline for expertise sought for the HSRB. Qualified Agency published a final rule for the nominees who agree to be considered submitting critical use exemption protection of human subjects in research applications to EPA. further will be included in a ‘‘Short (71 FR 24 6138) that called for creating List.’’ The Short List of nominees’ Fall 2011: U.S. Government (through a new, independent human studies names and biographical sketches will be EPA, Department of State, U.S. review board (i.e., HSRB). The HSRB is posted for 14 calendar days for public Department of Agriculture, and other a Federal advisory committee operating comment on the HSRB Web site: interested Federal agencies) prepares in accordance with the Federal http://www.epa.gov/osa/hsrb/ U.S. Critical Use Nomination package. Advisory Committee Act (FACA) 5 index.htm. The public will be January 24, 2012: Deadline for U.S. U.S.C. App. 2 § 9 (Pub. L. 92–463). Each encouraged to provide additional Government to submit U.S. nomination year the HSRB experiences membership information about the nominees that package to the Protocol Parties. terms expiring, therefore needs EPA should consider. At the completion Early 2012: Technical and Economic candidates for consideration as of the comment period, EPA will select Assessment Panel (TEAP) and Methyl replacement members. The HSRB new Board members from the Short List. Bromide Technical Options Committee provides advice, information, and Candidates not selected for HSRB (MBTOC) reviews Parties’ nominations recommendations to EPA on issues membership at this time may be for critical use exemptions. related to scientific and ethical aspects considered for HSRB membership as Mid 2012: Parties consider TEAP/ of human subjects research. The major vacancies arise in the future or for MBTOC recommendations. objectives of the HSRB are to provide service as consultants to the HSRB. The November 2012: Parties decide advice and recommendations on: (1) Agency estimates that the names of whether to authorize critical use Research proposals and protocols; (2) Short List candidates will be posted in exemptions for methyl bromide for reports of completed research with July 2011. However, please be advised production and consumption in 2014. human subjects; and (3) how to that this is an approximate time frame Mid 2013: If the Parties authorize strengthen EPA’s programs for and the date is subject to change. If you critical uses, EPA publishes proposed protection of human subjects of have any questions concerning posting rule for allocating critical use research. The HSRB reports to the EPA of Short List candidates on the HSRB allowances in the U.S. for 2014. Administrator through EPA’s Science Web site, please consult the person Late 2013: EPA publishes final rule Advisor. General information listed under FOR FURTHER INFORMATION allocating critical use allowances in the concerning the HSRB, including its CONTACT. U.S. for 2014. charter, current membership, and Members of the HSRB are subject to January 1, 2014: Critical use activities can be found on the EPA Web the provisions of 5 CFR part 2634, exemption permits the limited site at http://www.epa.gov/osa/hsrb/. Executive Branch Financial Disclosure, production and import of methyl HSRB members serve as special as supplemented by the EPA in 5 CFR bromide for specified uses for the 2014 government employees or regular part 6401. In anticipation of this control period. government employees. Members are requirement, each nominee will be appointed by the EPA Administrator for asked to submit confidential financial Authority: 42 U.S.C. 7414, 7601, 7671– 7671q. either two or three year terms with the information that shall fully disclose, possibility of reappointment to among other financial interests, the Dated: June 6, 2011. additional terms, with a maximum of candidate’s employment, stocks and Elizabeth Craig, six years of service. The HSRB usually bonds, and where applicable, sources of Acting Director, Office of Atmospheric meets four times a year and the typical research support. The information Programs. workload for HSRB members is provided is strictly confidential and will [FR Doc. 2011–14571 Filed 6–13–11; 8:45 am] approximately 40 to 50 hours per not be disclosed to the public. Before a BILLING CODE 6560–50–P meeting, including the time spent at the candidate is considered further for

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service on the HSRB, EPA will evaluate 0503. Deliveries are accepted from 8:30 FEDERAL COMMUNICATIONS each candidate to assess whether there a.m. to 4:30 p.m., Monday through COMMISSION is any conflict of financial interest, Friday, excluding legal holidays. appearance of a lack of impartiality, or Special arrangements should be made Information Collection Being Reviewed prior involvement with matters likely to for deliveries of boxed information. by the Federal Communications be reviewed by the Board. Commission Under Delegated FOR FURTHER INFORMATION CONTACT: Nominations will be evaluated on the Jim Authority basis of several criteria, including: Their Downing, Designated Federal Official, AGENCY: Federal Communications professional background, expertise and Office of the Science Advisor, Mail Commission. experience that would contribute to the Code 8105R, U.S. Environmental diversity of perspectives of the Protection Agency, 1200 Pennsylvania ACTION: Notice and request for committee; interpersonal, verbal and Ave., NW., Washington, DC 20460; comments. written communication skills and other telephone number: (202) 564–2468, fax SUMMARY: As part of its continuing effort attributes that would contribute to the number: (202) 564–2070, e-mail: to reduce paperwork burden and as HSRB’s collaborative process; consensus [email protected]. required by the Paperwork Reduction building skills; absence of any financial Dated: June 8, 2011. Act (PRA) of 1995 (44 U.S.C. 3501— conflicts of interest or the appearance of Paul T. Anastas, 3520), the Federal Communications a lack of impartiality, or lack of EPA Science Advisor. Commission invites the general public independence, or bias; and the [FR Doc. 2011–14681 Filed 6–13–11; 8:45 am] and other Federal agencies to take this availability to attend meetings and opportunity to comment on the administrative sessions, participate in BILLING CODE 6560–50–P following information collection(s). teleconferences, develop policy Comments are requested concerning: recommendations to the Administrator, (a) Whether the proposed collection of and prepare recommendations and information is necessary for the proper advice in reports. FARM CREDIT ADMINISTRATION performance of the functions of the Nominations should include a resume Farm Credit Administration Board; Commission, including whether the or C.V. providing the nominee’s Sunshine Act; Special Meeting information shall have practical utility; educational background, qualifications, (b) the accuracy of the Commission’s leadership positions in national AGENCY: Farm Credit Administration. burden estimate; (c) ways to enhance associations or professional societies, the quality, utility, and clarity of the relevant research experience and SUMMARY: Notice is hereby given, information collected; (d) ways to publications along with a short (one pursuant to the Government in the minimize the burden of the collection of page) biography describing how the Sunshine Act (5 U.S.C. 552b(e)(3)), of information on the respondents, nominee meets the above criteria and the special meeting of the Farm Credit including the use of automated other information that may be helpful in Administration Board (Board). collection techniques or other forms of evaluating the nomination, as well as DATE AND TIME: The special meeting of information technology; and (e) ways to the nominee’s current business address, the Board will be held at the offices of further reduce the information burden e-mail address, and daytime telephone the Farm Credit Administration in for small business concerns with fewer number. Interested candidates may self- McLean, Virginia, on June 22, 2011, than 25 employees. nominate. from 10 a.m. until such time as the The FCC may not conduct or sponsor To help the Agency in evaluating the Board concludes its business. effectiveness of its outreach efforts, a collection of information unless it nominees are requested to inform the FOR FURTHER INFORMATION CONTACT: Dale displays a currently valid OMB control Agency of how you learned of this L. Aultman, Secretary to the Farm number. No person shall be subject to opportunity. Credit Administration Board, (703) 883– any penalty for failing to comply with Final selection of HSRB members is a 4009, TTY (703) 883–4056. a collection of information subject to the Paperwork Reduction Act (PRA) that discretionary function of the Agency ADDRESSES: Farm Credit and will be announced on the HSRB does not display a valid OMB control Administration, 1501 Farm Credit Drive, number. Web site at http://www.epa.gov/osa/ McLean, Virginia 22102–5090. hsrb/index.htm as soon as selections are DATES: Written Paperwork Reduction made. SUPPLEMENTARY INFORMATION: This Act (PRA) comments should be ADDRESSES: Submit your nominations meeting of the Board will be open to the submitted on or before August 15, 2011. by July 6, 2011, identified by Docket ID public (limited space available). In order If you anticipate that you will be No. EPA–HQ–ORD–2011–0503, by any to increase the accessibility to Board submitting PRA comments, but find it of the following methods: meetings, persons requiring assistance difficult to do so within the period of Internet: http://www.regulations.gov: should make arrangements in advance. time allowed by this notice, you should Follow the on-line instructions for The matter to be considered at the advise the FCC contact listed below as submitting comments. meeting is: soon as possible. E-mail: [email protected]. Open Session ADDRESSES: Submit your PRA comments USPS Mail: ORD Docket, to Nicholas A. Fraser, Office of Environmental Protection Agency, • Request to Merge U.S. AgBank FCB Management and Budget, via fax at 202– Mailcode: 28221T, 1200 Pennsylvania with CoBank ACB 395–5167 or via Internet at _ _ Ave., NW., Washington, DC 20460. Dated: June 10, 2011. Nicholas A. [email protected] and Hand or Courier Delivery: EPA Docket to Benish Shah, Federal Center (EPA/DC), Room 3304, EPA West Dale L. Aultman, Communications Commission, via the Building, 1301 Constitution Ave., NW., Secretary, Farm Credit Administration Board. Internet at [email protected]. To Washington, DC 20460, Attention [FR Doc. 2011–14855 Filed 6–10–11; 4:15 pm] submit your PRA comments by e-mail Docket ID No. EPA–HQ–ORD–2011– BILLING CODE 6705–01–P send them to: [email protected].

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FOR FURTHER INFORMATION CONTACT: receiver, similar to the following as (DVT) and pulmonary embolism (PE), Benish Shah, Office of Managing described in section 15.121: yet these conditions receive little Director, (202) 418–7866. Warning: Modification of this device attention. DVT/PE is an SUPPLEMENTARY INFORMATION: to receive cellular radiotelephone underdiagnosed, serious, preventable OMB Control No.: 3060–0532. service signals is prohibited under FCC medical condition that occurs when a Title: Sections 2.1033 and 15.121, Rules and Federal Law. blood clot forms in a deep vein. These Scanning Receiver Compliance Exhibits. The Commission uses the information clots usually develop in the lower leg, Form No.: N/A. required in this equipment thigh, or pelvis, but they can also occur Type of Review: Extension of a authorization process to determine in the arm. In more than one third of currently approved collection. whether the equipment that is being people affected by DVT, clots can travel Respondents: Business or other for- marketed complies with the to the lungs and cause PE, a potentially Congressional mandate in the profit. fatal condition. Telephone Disclosure and Dispute Number of Respondents: 25 The precise number of people affected Resolution Act of 1992 (TDDRA) and respondents; 25 responses. by DVT/PE is unknown, but estimates applicable Commission rules. Estimated Time per Response: 1 hour. range from 300,000 to 600,000 annually Frequency of Response: One time Federal Communications Commission. in the United States. DVT/PE is reporting requirement and third party Marlene H. Dortch, associated with substantial morbidity and mortality: One third of people with disclosure requirement. Secretary, Office of the Secretary, Office of DVT/PE will have a recurrence within Obligation to Respond: Required to Managing Director. 10 years and one third of people die obtain or retain benefits. The statutory [FR Doc. 2011–14642 Filed 6–13–11; 8:45 am] within 1 month of diagnosis. Among authority for this information collection BILLING CODE 6712–01–P people who have had a DVT, one third is contained in 47 U.S.C. Sections will have long-term complications (post- 154(i), 301, 302, 303(e), 303(f), 303(g), thrombotic syndrome), such as swelling, 303(r), 304 and 307. DEPARTMENT OF HEALTH AND pain, discoloration, and scaling in the Total Annual Burden: 25 hours. HUMAN SERVICES affected limb. In some cases, the Annual Cost Burden: $1,250. symptoms can be so severe that a person Privacy Act Impact Assessment: N/A. Centers for Disease Control and Prevention can become disabled. More troubling, Nature and Extent of Confidentiality: sudden death is the first symptom in The Commission’s rules require that [30Day–11–11DD] about one quarter of people who have a certain portions of scanning receiver PE. applications for certification will remain Agency Forms Undergoing Paperwork The Division of Blood Disorders confidential after the effective date of Reduction Act Review submitted questions to the 2007 the grant of the application. No other HealthStyles survey to determine the assurances of confidentiality are The Centers for Disease Control and Prevention (CDC) publishes a list of public’s knowledge of DVT, its common provided to respondents. symptoms, and risk factors. Although Needs and Uses: This collection will information collection requests under review by the Office of Management and over 60% of respondents identified pain be submitted as an extension (no change and swelling as symptoms, 60% did not in reporting and/or third party Budget (OMB) in compliance with the Paperwork Reduction Act (44 U.S.C. identify tenderness (often the first sign disclosure requirements) after this 60- chapter 35). To request a copy of these of DVT) as a symptom. Only 38% of day comment period to the Office of requests, call the CDC Reports Clearance respondents knew that a DVT was a Management and Budget (OMB) in order Officer at (404) 639–5960 or send an blood clot in a vein, and most could not to obtain the full three year clearance. e-mail to [email protected]. Send written identify common risk factors for DVT The FCC rules under 47 CFR 2.1033 comments to CDC Desk Officer, Office of such as sitting for a long period of time and 15.121 require manufacturers of Management and Budget, Washington, (e.g., during air travel); having a leg or scanning receivers to design their DC or by fax to (202) 395–5806. Written foot injury; having a family member equipment so that it has 38 dB of image comments should be received within 30 who has had a DVT; taking birth control rejection for Cellular Service days of this notice. pills; or getting older; and certain frequencies, tuning, control and filtering groups could not identify risk factors circuitry are inaccessible and any Proposed Project that specifically applied to their risk. attempt to modify the scanning receiver Focus Group Study for Raising Public The results of this survey demonstrate to receive Cellular Service transmissions Awareness of Deep Vein Thrombosis/ the need for greater awareness of DVT will likely render the scanning receiver Pulmonary Embolism—New—National and its risk factors and the data show inoperable. The Commission’s rules also Center on Birth Defects and that there are many opportunities to require manufacturers to submit Developmental Disabilities (NCBDDD), develop audience specific messages that information with any application for Centers for Disease Control and are age specific and culturally certification that describes the testing Prevention (CDC). appropriate. method used to determine compliance Much of the morbidity and mortality with the 38 dB image rejection ratio, the Background and Brief Description associated with DVT/PE could be design features that prevent The Division of Blood Disorders, prevented with early and accurate modification of the scanning receiver to located within the National Center on diagnosis and management. DVT/PE is receive Cellular Service transmissions, Birth Defects and Developmental preventable. It is important for people to and the design steps taken to make Disabilities, implements health be able to recognize the signs and tuning, control, and filtering circuitry promotion and wellness programs symptoms and know when to seek care inaccessible. Furthermore, the FCC designed to prevent secondary and available treatment. Individuals, requires equipment to carry a statement conditions in people with bleeding and families, and their support communities assessing the vulnerability of the clotting disorders. can reduce their risk by understanding scanning receiver to modification and to There are few public health problems DVT/PE and its risk factors. DVT/PE have a label affixed to the scanning as serious as deep vein thrombosis affects people of all races and ages.

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Many of the acquired risks such as nine (9) participants in each focus group Message testing participants will obesity, advanced age, air travel, to explore consumer knowledge, include adults (aged 25–64) who have chronic diseases, cancer, and attitudes, and beliefs (KABs) toward been hospitalized in the last year and hospitalization are increasing in the DVT. Message concepts will be seniors (aged 65–80). Participants will United States, and we can expect to see developed from insights emerging from be recruited to participate in one of increasing numbers of people affected this exploratory research phase. The sixteen in-person focus groups that will by DVT/PE. Contractor will conduct eight (8) focus be conducted in the following cities: The CDC’s Division of Blood groups with nine (9) participants in • Atlanta, Baltimore, Pittsburgh, and Disorders will conduct focus groups to each focus group during the second Tampa (formative research task), and develop messaging concepts that will be stage to test the message concepts and • Atlanta, Baltimore, Pittsburgh, and used in a public awareness campaign to identify possible ways to present the build knowledge and awareness of DVT/ Tampa (message testing task). messages. PE, increase recognition of the It is estimated that a total of 144 symptoms and risk factors for DVT/PE, The Contractor selected will work respondents will have to be screened in and empower people to take action. with CDC to identify and recruit focus order to recruit 36 focus group The project will address these group participants. Formative research participants for each year. There are no objectives in two stages: in the first stage participants will include adults (aged costs to the respondents other than their the Contractor selected will conduct 25–64) who have been hospitalized in time. The estimated annualized burden eight (8) formative focus groups with the last year and seniors (aged 65–80). hours are 125.

ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number re- burden per Type of respondent Form name respondents sponses per response respondent (in hours)

Seniors (65–80) ...... Participant Screener ...... 144 1 5/60 Adults (25–64) recently hospitalized Seniors (65–80) ...... Participant Re-screener ...... 36 1 9/60 Adults (25–64) recently hospitalized Seniors (65–80)...... Moderator’s Guide: Formative Research 36 1 1.5 Focus Groups. Adults (25–64) recently hospitalized Seniors (65–80) ...... Moderator’s Guide: Message Testing Focus 36 1 1.5 Groups. Adults (25–64) recently hospitalized Seniors (65–80) ...... Informed Consent Form ...... 36 1 6/60 Adults (25–64) recently hospitalized

Dated: June 3, 2011. (CDC), located within the Department of including any personal or proprietary Daniel L. Holcomb, Health and Human Services (HHS), information provided. An electronic Reports Clearance Officer, Centers for Disease published a Notification of Proposed version of the draft is available to Control and Prevention. Altered System of Records for its system download at http:// [FR Doc. 2011–14422 Filed 6–13–11; 8:45 am] of records, 09–20–0147, ‘‘Occupational www.regulations.gov. BILLING CODE 4163–18–P Health Epidemiological Studies and Written comments, identified by EEOICPA Program Records, HHS/CDC/ Docket No. CDC–2011–0006, and/or NIOSH.’’ This document offers Privacy Act System of Records Number DEPARTMENT OF HEALTH AND clarifications to the May publication. 09–20–0147, will be available for public HUMAN SERVICES DATES: Comments must be received on inspection Monday through Friday, or before June 27, 2011. except for legal holidays, from 9 a.m. Centers for Disease Control and until 3 p.m., Eastern Daylight Time, at ADDRESSES: You may submit written Prevention 4770 Buford Highway—M/S: F–35, comments, identified by the Privacy Act Atlanta, GA 30341. Please call ahead to [Docket Number CDC–2011–0006] System of Records Number 09–20–0147, (770) 488–8660, and ask for a to the following address: HHS/CDC representative from Office of the Chief [RIN 0920–ZA03] Senior Official for Privacy (SOP), Office Information Security Officer (OCISO) to of the Chief Information Security Officer Privacy Act of 1974; System of schedule your visit. Comments may also (OCISO), 4770 Buford Highway—M/S: Records be viewed at http:// F–35, Atlanta, GA 30341. www.regulations.gov. AGENCY: Department of Health and You may also submit written Human Services (HHS), Centers for comments electronically to http:// FOR FURTHER INFORMATION CONTACT: Disease Control and Prevention (CDC), www.regulations.gov. Comments must Beverly E. Walker, Chief Privacy Officer, National Institute for Occupational be identified by Docket No. CDC–2011– Centers for Disease Control and Safety and Health (NIOSH). 0006. Please follow directions at Prevention, 4770 Buford Highway—M/ S: F–35, Atlanta, Georgia 30341, (770) ACTION: Notification of proposed altered http://www.regulations.gov to submit system of records; clarification. comments. 488–8660. This is not a toll-free number. All relevant comments received will SUPPLEMENTARY INFORMATION: In the May SUMMARY: On May 27, 2011, the Centers be posted publicly to http:// 27, 2011, notice (76 FR 31212), CDC for Disease Control and Prevention www.regulations.gov without change, provided information regarding the

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amendment of the categories of to the Department of Justice and its Center when no longer needed for individuals covered by the system of contractors to provide terrorist evaluation and analysis are destroyed records; the categories of records; the screening support in accordance with after 75 years for epidemiologic studies, authorities; and the purposes for this statutory obligation to qualify unless needed for further study. Records maintenance of the system of records. In individuals under this program. We are from health hazard evaluations will be addition, we proposed to add new retaining the language that describes the retained at least 20 years. Energy routine uses. The purpose of these information released to the Department Employees Occupational Illness modifications was to provide notice as of Justice and that this disclosure is for Compensation Program Act (EEOICPA) to how the National Institute for the purpose of permitting the program records are transferred to the Occupational Safety and Health Department of Justice to perform the Federal Records Center 15 years after (NIOSH), a component of CDC, is terrorist screening required by Title the case file becomes inactive and are complying with the Privacy Act in XXXIII of the Public Service Act. We destroyed after 75 years. WTC Health executing its responsibilities under the have added a sentence at the end of the Program records are transferred to the James Zadroga 9/11 Health and description of the routine uses for the Federal Records Center 15 years after Compensation Act of 2010 found at WTC Health Program records affirming Title XXXIII of the Public Health that NIOSH will comply with applicable the case file becomes inactive and are Service Act, 42 U.S.C. 300mm— Federal law with respect to the records destroyed after 75 years. 300mm–61 (Title XXXIII). CDC offers in this system. We have also added In our May 27, 2011, notice, we the following clarifications. language to provide a more complete provided opportunity to comment until 1. We are adding a clause to the first explanation of the information the June 27, 2011, on the new routine uses sentence of the section entitled Department of Justice will retain in the altered system of records as is ‘‘Categories of records in the system’’ to consistent with Justice/FBI–019, required under the Privacy Act, 5 U.S.C. address the information that is in the Terrorist Screening Center Records 552a(e)(11). By publishing in the record system for individuals presumed System. That routine use has been Federal Register, the agency provides to be enrolled in the World Trade Center clarified, as follows: individuals with notice of the (WTC) Health Program as of July 1, 2011. We are also adding a sentence at Disclosure to the Department of Justice and information that the agency will be its contractors to provide terrorist screening disclosing and the purpose of that the end of the section to notify support in accordance with NIOSH’s individuals that information that is disclosure. Britt v. Naval Investigative statutory obligation to determine whether an Service, 886 F.2d 544, 548 (3rd Cir. provided to HHS that is from a system individual is on the ‘‘terrorist watch list’’ as of records under the control of the specified in Section 3311 and Section 3321 1989). ‘‘A new ‘routine use’ is one Terrorist Screening Center (TSC), of the Zadroga Act and is eligible and which involves disclosure of records for Federal Bureau of Investigation, qualified to be enrolled or certified in the a new purpose * * * or to a new Department of Justice, remains law WTC Health Program as specified by statute. recipient or category of recipients.’’ 40 enforcement information and retains the Disclosure by NIOSH, under this routine use, FR 28948, 28966 (July 9, 1975). In the exemptions listed in Justice/FBI–019, 72 will be limited to only the information that May 27, 2011, notice, we specified we is necessary to determine eligibility and FR 47073 (Aug. 22, 2007) and qualification under the statute. The would be providing information to the promulgated under 28 CFR 16.96(r). Department of Justice will only retain Department of Justice for the purpose of Accordingly, that section now reads, information provided by HHS that relates to that agency conducting the terrorist in relevant part: (1) Individuals known or appropriately screening under specified provisions of Categories of records in the system: suspected to be or have been engaged in Title XXXIII of the Public Health * * * Also included are applications conduct constituting, in preparation for, in Service Act and that the information for enrollment in the World Trade aid of, or related to terrorism (‘‘known or disclosed would be limited to that Center (WTC) Health Program and, suspected terrorists’’); (2) individuals information on individual enrolled or identified during the terrorism screening information needed for this screening otherwise claiming eligibility and process as a possible identity match to a purpose. The clarifications provided in known or suspected terrorist; (3) individuals this notice do not establish a new qualification for enrollment; once who are misidentified as a possible identity enrolled, information on these purpose, new recipient or category of match to a known or suspected terrorist in recipients, notwithstanding additional individuals may include screening and order to expedite future screening of those medical records, and financial records individuals and to support the appeals information provided as to the retention related to payment and reimbursements process; and/or (4) individuals about whom by the Department of Justice of certain for care under the WTC program. a terrorist watchlist-related appeal inquiry information identified in the May 27, Information that is provided to HHS that has been made. Information that does not fall 2011, notice. Since the additional is from a system of records under the into one of the above listed categories will information does not create a new control of the Terrorist Screening Center not be retained by the Department of Justice. routine use or substantively alter the (TSC), Federal Bureau of Investigation, 3. We are modifying the Retention language pertaining to the information Department of Justice, remains law and disposal section to delete any that NIOSH will disclose or why it is enforcement information and retains the reference to the Department of Justice disclosing it, the comment period will exemptions listed in Justice/FBI–019, 72 which adheres to its own records remain the same and comments must be FR 47073 (Aug. 22, 2007) and retention schedule. This section will received on or before June 27, 2011 as promulgated under 28 CFR 16.96(r). now read as follows: specified in the May 27, 2011 notice 2. Provisions of the Zadroga Act Retention and disposal: Records are specified above. The entire resulting mandate that no individual on the retained and disposed of according to system of records notice, as amended terrorist watchlist may be qualified as the provisions of the CDC Electronic and clarified, appears below. eligible to receive the benefits under Records Control Schedule for NIOSH this Act. In order to implement this records. Research records are provision, NIOSH published a routine maintained in the agency for three years use that would permit disclosure of after the close of the study. Records certain personal identifying information transferred to the Federal Records

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Dated: June 7, 2011. agents or other workplace hazards that AUTHORITY FOR MAINTENANCE OF THE SYSTEM: James D. Seligman, may damage the human body in any Public Health Service Act, Section Chief Information Officer, Centers for Disease way. Some examples are: (1) Organic 301, ‘‘Research and Investigation’’ (42 Control and Prevention. carcinogens; (2) inorganic carcinogens; U.S.C. 241); Occupational Safety and (3) mucosal or dermal irritants; (4) Health Act, Section 20, ‘‘Research and fibrogenic materials; (5) acute toxic Related Activities’’ (29 U.S.C. 669); the SYSTEM NAME: agents including sensitizing agents; (6) Federal Mine Safety and Health Act of Occupational Health Epidemiological neurotoxic agents; (7) mutagenic (male 1977, Section 501, ‘‘Research’’ (30 Studies and EEOICPA Program Records and female) and teratogenic agents; (8) U.S.C. 951) and the Energy Employees and WTC Health Program Records, bio-accumulating non-carcinogen Occupational Illness Compensation HHS/CDC/NIOSH agents; (9) chronic vascular disease- Program Act of 2000 (EEOICPA) (42 SECURITY CLASSIFICATION: causing agents; and (10) ionizing U.S.C.S. 7384, et seq.); and the Public None. radiation. Also included are those Health Service Act, Title XXXIII, individuals in the general population ‘‘World Trade Center Health Program’’ SYSTEM LOCATION: who have been selected as control (42 U.S.C. 300mm–300mm–61). WTC Health Program, NIOSH, groups. Workers employed by the PURPOSE(S): Century Center Boulevard, Building Department of Energy and its 2400, Mail Stop E–74, Atlanta, GA Studies carried out under this system predecessor agencies and their 30329. are to evaluate mortality and morbidity Division of Surveillance, Hazard contractors are also included, as are of occupationally related diseases and Evaluation, and Field Studies cancer-related claimants under the injuries, to determine their causes, and (DSHEFS), National Institute for Energy Employees Occupational Illness to lead toward prevention of Occupational Safety and Health Compensation Program Act of 2000 occupationally related diseases and (NIOSH), Robert A. Taft Laboratories, (EEOICPA). Individuals enrolled in or injuries in the future. EEOICPA records 4676 Columbia Parkway, Cincinnati, OH otherwise claiming eligibility and are maintained to enable NIOSH to 45226. qualification for enrollment in the WTC fulfill its dose reconstruction Division of Respiratory Disease Health Program created under Title responsibilities under the Act. WTC Studies (DRDS), National Institute for XXXIII of the Public Health Service Act. Health Program records in this system Occupational Safety and Health are maintained and used to enable (NIOSH), 1095 Willowdale Road, CATEGORIES OF RECORDS IN THE SYSTEM: NIOSH to fulfill WTC Program Morgantown, WV 20505–2888. Administrator responsibilities make Physical exams, sputum cytology Pittsburgh Research Laboratory, determinations about eligibility and results, questionnaires, urine test NIOSH, 626 Cochrans Mill Road, qualification, provide for medical care, records, X-rays, medical history, Pittsburgh, PA 15156. pay for that care, and coordinate with Spokane Research Laboratory, NIOSH, pulmonary function test records, other health benefit programs under 315 E. Montgomery Avenue, Spokane, medical disability forms, blood test Title XXXIII of the Public Health WA 99207. records, hearing test results, smoking Service Act, 42 U.S.C. 300mm–300mm– Office of Compensation Analysis and history, occupational histories, previous 61. Support (OCAS), NIOSH, Robert A. Taft and current employment records, union Laboratories, 4676 Columbia Parkway, membership records, driver’s license ROUTINE USES OF RECORDS MAINTAINED IN THE Cincinnati, Ohio 45226, and Federal data, demographic information, SYSTEM, INCLUDING CATEGORIES OF USERS AND Records Center, 3150 Bertwynn Drive, exposure history information and test THE PURPOSES OF SUCH USES: Dayton, OH 45439. results are examples of the records in In the event of litigation where the Data are also occasionally located at this system. The specific types of defendant is: (a) The Department, any contractor sites as studies are records collected and maintained are component of the Department, or any developed, data collected, and reports determined by the needs of the employee of the Department in his or written. A list of contractor sites where individual study. Also included are her official capacity; (b) the United individually identifiable data are records of cancer-related claimants States where the Department determines that the claim, if successful, is likely to currently located is available upon under EEOICPA.’’ Also included are request to the system manager. directly affect the operations of the applications for enrollment in the World Also, occasionally data may be Department or any of its components; or Trade Center (WTC) Health Program and located at the facilities of collaborating (c) any Department employee in his or researchers where analyses are information on individuals enrolled in her individual capacity where the performed, data collected and reports or otherwise claiming eligibility and Department of Justice has agreed to written. A list of these facilities is qualification for enrollment; once represent such employee, for example, available upon request to the system enrolled, information on these in defending a claim against the Public manager. Data may be located only at individuals may include screening and Health Service based upon an those facilities that have an adequate medical records, and financial records individual’s mental or physical data security program and the related to payment and reimbursements condition and alleged to have arisen collaborating researcher must return the for care under the WTC program. because of activities of the Public Health data to NIOSH or destroy individual Information that is provided to HHS that Service in connection with such identifiers at the conclusion of the is from a system of records under the individual, disclosure may be made to project. control of the Terrorist Screening Center the Department of Justice to enable that (TSC), Federal Bureau of Investigation, CATEGORIES OF INDIVIDUALS COVERED BY THE Department to present an effective SYSTEM: Department of Justice remains law defense, provided that such disclosure enforcement information and retains the That segment of the population is compatible with the purpose for exemptions listed in Justice/FBI–019, 72 exposed to physical and/or chemical which the records were collected. FR 47,073 (Aug. 22, 2007) and Records may be disclosed to the promulgated under 28 CFR 16.96 (r). Department of Justice when (1) HHS, or

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any component thereof; or (2) any THE FOLLOWING ROUTINE USES APPLY ONLY TO pertaining to Department of Energy employee of HHS in his or her official EPIDEMIOLOGICAL STUDIES: employees and other cancer-related capacity; or (3) any employee of HHS in In the event of litigation initiated at claimants covered under the Energy his or her individual capacity where the the request of NIOSH, the Institute may Employees Occupational Illness Department of Justice or HHS has agreed disclose such records as it deems Compensation Program Act may be to represent the employee; or (4) the desirable or necessary to the Department made to the Department of Labor to be United States, is a party to litigation or of Justice and to the Department of used in determining eligibility for has an interest in such litigation, and Labor, Office of the Solicitor, where compensation payments to such the use of such records by the appropriate, to enable the Departments claimants and in defending its Department of Justice is deemed by HHS to effectively represent the Institute, determinations under the Act. to be relevant and necessary to the provided such disclosure is compatible Disclosure of personal identifying litigation; provided, however, that in with the purpose for which the records information associated with cancer- each case it has been determined that were collected. The only types of related claims under the Energy litigation proceedings that NIOSH is Employees Occupational Illness the disclosure is compatible with the authorized to request are: (1) Compensation Program Act may be purpose for which the records were Enforcement of a subpoena issued to an made to the Department of Energy, other collected. employer to provide relevant Federal agencies, other government or Records may be disclosed to a information; and (2) administrative private entities and to private-sector contractor performing or working on a search warrants to obtain access to employers to permit these entities to contract for HHS and who has a need to places of employment and relevant retrieve records required to reconstruct have access to the information in the information therein and related radiation doses and to enable NIOSH to performance of its duties or activities for contempt citations against an employer evaluate petitions for inclusion in the the HHS in accordance with law and for failure to comply with a warrant Special Exposure Cohort. with the contract. The contractor is obtained by the Institute; and (3) Completed dose reconstruction required to comply with the applicable injunctive relief against employers or reports for cancer-related claims under provisions of the Privacy Act. mine operators to obtain access to the Energy Employees Occupational Illness Compensation Program Act may Records subject to the Privacy Act are relevant information. Portions of records (name, Social be released to the Department of Energy disclosed to private firms for data entry, Security number if known, date of birth, and the Department of Labor to permit scientific support services, nosology and last known address) may be these entities to fulfill EEOICPA and coding, computer systems analysis and disclosed to one or more of the sources HHS dose reconstruction regulation computer programming services. The selected from those listed in Appendix requirements to notify claimants of their contractors promptly return data entry I, as applicable. This may be done for dose reconstruction results. records after the contracted work is obtaining a determination regarding an Disclosure of personal identifying completed. The contractors are required individual’s health status and last information associated with cancer- to maintain Privacy Act safeguards. known address. If the sources determine related claims under the Energy Certain diseases or exposures may be that the individual is dead, NIOSH may Employees Occupational Illness reported to State and/or local health obtain death certificates, which state the Compensation Program Act may be departments where the State has a cause of death, from the appropriate made to identified witnesses as legally constituted reporting program for Federal, State or local agency. If the designated by the Office of communicable diseases and which individual is alive, NIOSH may obtain Compensation Analysis and Support to provides for the confidentiality of the information on health status from assist NIOSH in obtaining information information. disease registries or on last known required to complete the dose address in order to contact the reconstruction process and to enable Disclosure of records or portions of individual for a health study or to NIOSH to evaluate petitions for records may be made to a Member of inform him or her of health findings. inclusion in the Special Exposure Congress or a Congressional staff This information on health status Cohort. member submitting a verified request enables NIOSH to evaluate whether Records may also be disclosed when involving an individual who is entitled excess occupationally related mortality deemed desirable or necessary, to the to the information and has requested or morbidity is occurring. Department of Justice, and/or the assistance from the Member or staff Disclosure of epidemiologic study Department of Labor, to enable those member. The Member of Congress or records pertaining to uranium workers Departments to effectively represent the Congressional staff member must may be made to the Department of Department of Health and Human provide a copy of the individual’s Justice to be used in determining Services and/or the Department of Labor written request for assistance. eligibility for compensation payments to in litigation involving the Energy Disclosure may be made to NIOSH the uranium workers or their survivors. Employees Occupational Illness collaborating researchers (e.g., NIOSH Records may be disclosed by CDC in Compensation Program Act of 2000 contractors, grantees, cooperative connection with public health activities (EEOICPA). to the Social Security Administration agreement holders, or other Federal or THE FOLLOWING ROUTINE USES APPLY ONLY TO for sources of locating information to State scientists) in order to accomplish WTC HEALTH PROGRAM RECORDS: accomplish the research or program the research purpose for which the Disclosure to the Department of purposes for which the records were records are collected. The collaborating Justice and its contractors to provide collected. researchers must agree in writing to terrorist screening support in comply with the confidentiality THE FOLLOWING ROUTINE USES APPLY ONLY TO accordance with NIOSH’s statutory provisions of the Privacy Act and EEOICPA PROGRAM RECORDS: obligation to determine whether an NIOSH must have determined that the Disclosure of dose reconstructions, individual is on the ‘‘terrorist watch researchers’ data security procedures epidemiologic study records and list’’ as specified in Section 3311 and will protect confidentiality. employment and medical information Section 3321 of the Zadroga Act and is

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eligible and qualified to be enrolled or 2. PHYSICAL SAFEGUARDS: compliance with applicable security certified in the WTC Health Program as Hard copy records are kept in locked standards. specified by statute. Disclosure by cabinets in locked rooms. Guard service NIOSH, under this routine use, will be in buildings provides screening of RETENTION AND DISPOSAL: limited to only the information that is visitors. The limited access, secured Records are retained and disposed of necessary to determine eligibility and computer room contains fire according to the provisions of the CDC qualification under the statute. The extinguishers and an overhead sprinkler Electronic Records Control Schedule for Department of Justice will only retain system. Computer workstations and NIOSH records. Research records are information provided by HHS that automated records are located in maintained in the agency for three years relates to (1) Individuals known or secured areas. Electronic anti-intrusion after the close of the study. Records suspected to be or have been engaged in devices are in operation at the Federal transferred to the Federal Records conduct constituting, in preparation for, Records Center. Center when no longer needed for in aid of, or related to terrorism evaluation and analysis are destroyed 3. PROCEDURAL SAFEGUARDS: (‘‘known or suspected terrorists’’); (2) after 75 years for epidemiologic studies, Data sets are password protected and/ individuals identified during the unless needed for further study. Records or encrypted. Protection for terrorism screening process as a possible from health hazard evaluations will be computerized records both on the identity match to a known or suspected retained at least 20 years. EEOICPA mainframe and the NIOSH Local Area terrorist; (3) individuals who are program records are transferred to the Network (LAN) includes programmed misidentified as a possible identity Federal Records Center 15 years after verification of valid user identification match to a known or suspected terrorist the case file becomes inactive and are code and password prior to logging on in order to expedite future screening of destroyed after 75 years. WTC Health to the system, mandatory password those individuals and to support the Program records are transferred to the changes, limited log-ins, virus appeals process; and/or (4) individuals Federal Records Center 15 years after protection, and user rights/file attribute about whom a terrorist watchlist-related the case file becomes inactive and are restrictions. Password protection appeal inquiry has been made. destroyed after 75 years. Information that does not fall into one imposes user name and password log-in requirements to prevent unauthorized Paper files that have been scanned to of the above listed categories will not be create electronic copies are disposed of retained by the Department of Justice. access. Each user name is assigned limited access rights to files and after the copies are verified. Disposal Disclosure of personally identifying methods include erasing computer tapes information to applicable entities for the directories at varying levels to control file sharing. There are routine daily and burning or shredding paper purpose of reducing or recouping WTC materials. Health Program payments made to backup procedures and secure off-site individuals under a workers’ storage is available for backup tapes. SYSTEM MANAGER(S) AND ADDRESS: compensation law or plan of the United Additional safeguards may be built into Director, WTC Health Program, States, a State, or locality, or other work- the program by the system analyst as NIOSH, Century Center Boulevard, related injury or illness benefit plan of warranted by the sensitivity of the data. Building 2400, Mail Stop E–74, Atlanta, the employer of such worker or public Employees and contractor staff who GA 30329. or private health plan as required under maintain records are instructed to check Title XXXIII of the Public Health with the system manager prior to Program Management Officer, Service Act. NIOSH will maintain, use, making disclosures of data. When Division of Surveillance, Hazard and disclose the information in the individually identified data are being valuations, and Field Studies (DSHEFS), System of Records in accordance with used in a room, admittance at either National Institute for Occupational applicable Federal law. government or contractor sites is Safety and Health (NIOSH), Robert A. restricted to specifically authorized Taft Laboratories, Rm. 40A, 4676 POLICIES AND PRACTICES FOR STORING, personnel. Privacy Act provisions are Columbia Parkway, Cincinnati, OH RETRIEVING, ACCESSING, RETAINING, AND included in contracts, and the Project 45226. DISPOSING OF RECORDS IN THE SYSTEM: Director, contract officers and project Director, Division of Respiratory STORAGE: officers oversee compliance with these Disease Studies (DRDS), National Manager files, card files, electronic requirements. Upon completion of the Institute for Occupational Safety and computer tapes, disks, files and contract, all data will be either returned Health (NIOSH), Bldg. ALOSH, Rm. printouts, microfilm, microfiche, and to CDC or destroyed, as specified by the H2920, 1095 Willowdale Road, other files as appropriate. contract. Morgantown, WV 26505–2888.

RETRIEVABILITY: 4. IMPLEMENTATION GUIDELINES: Director, Pittsburgh Research Laboratory, NIOSH, 626 Cochrans Mill Name, assigned identification The safeguards outlined above are in Road, Pittsburgh, PA 15156. number, or social security number. accordance with the HHS Information Security Program Policy and FIPS Pub Director, Spokane Research SAFEGUARDS: 200, ‘‘Minimum Security Requirements Laboratory, NIOSH, 315 E. Montgomery 1. AUTHORIZED USERS: for Federal Information and Information Avenue, Spokane, WA 99207. A database software security package Systems.’’ Data maintained on CDC’s Director, Office of Compensation and is utilized to control unauthorized Mainframe and the NIOSH LAN are in Support (OCAS), NIOSH, Robert A. Taft access to the system. Access is granted compliance with OMB Circular A–130, Laboratories, 4676 Columbia Parkway, to only a limited number of physicians, Appendix III. Security is provided for Cincinnati, OH 45226 scientists, statisticians, and designated information collection, processing, Policy coordination is provided by: support staff or contractors, as transmission, storage, and Director, National Institute for authorized by the system manager to dissemination in general support Occupational Safety and Health accomplish the stated purposes for systems and major applications. The (NIOSH), Bldg. HHH, Rm. 715H, 200 which the data in this system have been CDC LAN currently operates under a Independence Avenue, SW., collected. Microsoft Windows Server and is in Washington, DC 20201.

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NOTIFICATION PROCEDURE: from medical providers who have Denver, Colorado 80202–4367 to An individual may learn if a record treated eligible individuals, and from reconsider CMS’ decision to disapprove exists about himself or herself by data centers that are repositories of Colorado SPA 10–034. contacting the system manager at the demographic and clinical information DATES: Requests to participate in the above address. Requesters in person about WTC responders and survivors. hearing as a party must be received by must provide driver’s license or other the presiding officer by June 29, 2011. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS positive identification. Individuals who OF THE ACT: FOR FURTHER INFORMATION CONTACT: do not appear in person must either: (1) None. Benjamin Cohen, Presiding Officer, Submit a notarized request to verify CMS, 2520 Lord Baltimore Drive, their identity; or (2) certify that they are Appendix I—Potential Sources for Suite L, Baltimore, Maryland 21244, the individuals they claim to be and that Determination of Health Status, Vital Telephone: (410) 786–3169. they understand that the knowing and Status and/or Last Known Address SUPPLEMENTARY INFORMATION: This willful request for or acquisition of a Military records notice announces an administrative record pertaining to an individual under Appropriate State Motor Vehicle Registration hearing to reconsider CMS’ decision to false pretenses is a criminal offense Departments disapprove Colorado SPA 10–034 which under the Privacy Act subject to a Appropriate State Driver’s License was submitted on September 30, 2010, $5,000 fine. Departments and disapproved on March 10, 2011. An individual who requests Appropriate State Government Division of: The SPA proposed to revise the notification of or access to medical Assistance Payments (Welfare), Social methods and standards for establishing records shall, at the time the request is Services, Medical Services, Food Stamp payment rates for non-brokered and made, designate in writing a responsible Program, Child Support, Board of brokered non-emergency medical representative who is willing to review Corrections, Aging, Indian Affairs, Worker’s Compensation, Disability transportation. the record and inform the subject Insurance The disapproval was based on a individual of its contents at the Retail Credit Association follow-up finding that the State had not complied representative’s discretion. A subject Veterans Administration files with the requirements of section individual will be granted direct access Appropriate employee union or association 1902(a)(73)(A) of the Social Security Act to a medical record if the system records to solicit advice from designees of manager determines direct access is not Appropriate company pension or Indian Health Programs and Urban likely to have adverse effect on the employment records Indian Organizations prior to Company group insurance records subject individual. submission of a SPA likely to have a The following information must be Appropriate State Vital Statistics Offices direct effect on Indians, Indian Health provided when requesting notification: Life insurance companies Programs, or Urban Indian (1) Full name; (2) the approximate date Railroad Retirement Board Area nursing homes Organizations. and place of the study, if known; and (3) Area Indian Trading Posts The issues to be considered at the nature of the questionnaire or study in Mailing List Correction Cards (U.S. Postal hearing are: which the requester participated. Service) • Applicability: Whether the statutory Letters and telephone conversations with RECORD ACCESS PROCEDURES: requirement in section 1902(a)(73)(A) of former employees of the same Same as notification procedures. the Social Security Act (the Act) for establishment as cohort member solicitation of advice prior to the Requesters should also reasonably Appropriate local newspaper (obituaries) specify the record contents being Social Security Administration submission of a SPA that is likely to sought. An accounting of disclosures Internal Revenue Service have a direct effect on Indians, Indian that have been made of the record, if National Death Index Health Programs, or Urban Indian any, may be requested. Centers for Medicare & Medicaid Services Organizations is applicable to this SPA Pension Benefit Guarantee Corporation when there are significant numbers of CONTESTING RECORD PROCEDURES: State Disease Registries Indian beneficiaries who receive Contact the official at the address Commercial Telephone Directories transportation services, and Indian specified under System Manager above, [FR Doc. 2011–14807 Filed 6–10–11; 4:15 pm] Health Programs and Urban Indian reasonably identify the record and BILLING CODE 4163–18–P Organizations that are transportation specify the information being contested, providers in the State. the corrective action sought, and the • Solicitation of Advice: Whether reasons for requesting the correction, DEPARTMENT OF HEALTH AND Colorado met the statutory requirement along with supporting information to HUMAN SERVICES (HHS) at section 1902(a)(73)(A) to solicit show how the record is inaccurate, advice when it did not include in any Centers for Medicare & Medicaid incomplete, untimely, or irrelevant. issuance to Indian health programs and Services Urban Indian Organizations prior to the RECORD SOURCE CATEGORIES: submission of the SPA any specific Notice of Hearing; Reconsideration of For research studies, vital status solicitation of advice or comment on the Disapproval of Colorado State Plan information is obtained from Federal, SPA (or any description of a process for Amendments (SPA) 10–034 State and local governments and other the submission of comments or available sources selected from those AGENCY: Centers for Medicare & initiation of a dialogue with the State). listed in Appendix I, but information is Medicaid Services (CMS), HHS. • Timing: Whether Colorado met the obtained directly from the individual ACTION: Notice of hearing. statutory requirement at section and employer records, whenever 1902(a)(73)(A) to solicit advice when it possible. EEOICPA records are obtained SUMMARY: This notice announces an issued general public notice on June 25, from the individual subject and the administrative hearing to be held on 2010, of the rate reductions that were to employer’s records. WTC Health August 4, 2011, at the CMS Denver go into effect July 1, 2010, but did not Program Records are obtained from Regional Office, Colorado State Bank issue notice to the Indian health individual applicants and enrollees, Building, 1600 Broadway, Suite 700, programs or Urban Indian Organizations

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until September 24, 2010, which was complied with the requirements of be changed by written agreement only 6 days prior to the date Colorado section 1902(a)(73)(A) of the Social between CMS and the State. The hearing submitted the SPA to CMS. This issue Security Act to solicit advice from will be governed by the procedures is whether 6 days is a reasonable time designees of Indian Health Programs prescribed by Federal regulations at 42 period to allow for the submission and and Urban Indian Organizations prior to CFR part 430. consideration of comments. submission of a SPA likely to have a I am designating Mr. Benjamin Cohen • Sufficiency of Solicitation: Whether direct effect on Indians, Indian Health as the presiding officer. If these Colorado met the statutory requirement Programs, or Urban Indian arrangements present any problems, at section 1902(a)(73) to solicit advice Organizations. please contact the presiding officer at when the notice to the tribes did not The issues to be considered at the (410) 786–3169. In order to facilitate any describe the potential impact that the hearing are: communication which may be necessary rate reduction for transportation would • Applicability: Whether the statutory between the parties to the hearing, have on the tribes, Indians, Indian requirement in section 1902(a)(73)(A) of please notify the presiding officer to health providers, or urban Indian the Social Security Act (the Act) for indicate acceptability of the hearing organizations. solicitation of advice prior to the date that has been scheduled, and to Section 1116 of the Act and Federal submission of a SPA that is likely to provide names of the individuals who regulations at 42 CFR part 430, establish have a direct effect on Indians, Indian will represent the State at the hearing. Department procedures that provide an Health Programs, or Urban Indian Sincerely, Organizations is applicable to this SPA administrative hearing for Donald M. Berwick, M.D. when there are significant numbers of reconsideration of a disapproval of a Section 1116 of the Social Security State plan or plan amendment. CMS is Indian beneficiaries who receive transportation services, and Indian Act (42 U.S.C. section 1316; 42 CFR required to publish a copy of the notice section 430.18) to a State Medicaid agency that informs Health Programs and Urban Indian the agency of the time and place of the Organizations that are transportation (Catalog of Federal Domestic Assistance hearing, and the issues to be considered. providers in the State. program No. 13.714, Medicaid Assistance • Program.) If we subsequently notify the agency of Solicitation of advice: Whether additional issues that will be considered Colorado met the statutory requirement Dated: June 8, 2011, at the hearing, we will also publish that at section 1902(a)(73)(A) to solicit Donald M. Berwick, notice. advice when it did not include in any Administrator, Centers for Medicare & Any individual or group that wants to issuance to Indian health programs and Medicaid Services. participate in the hearing as a party Urban Indian Organizations prior to the [FR Doc. 2011–14674 Filed 6–13–11; 8:45 am] submission of the SPA any specific must petition the presiding officer BILLING CODE P within 15 days after publication of this solicitation of advice or comment on the notice, in accordance with the SPA (or any description of a process for requirements contained at 42 CFR the submission of comments or DEPARTMENT OF HEALTH AND initiation of a dialogue with the State). 430.76(b)(2). Any interested person or • HUMAN SERVICES organization that wants to participate as Timing: Whether Colorado met the amicus curiae must petition the statutory requirement at section Centers for Medicare & Medicaid presiding officer before the hearing 1902(a)(73)(A) to solicit advice when it Services issued general public notice on June 25, begins in accordance with the [CMS–5501–N2] requirements contained at 42 CFR 2010, of the rate reductions that were to 430.76(c). If the hearing is later go into effect July 1, 2010, but did not Medicare Program; Pioneer rescheduled, the presiding officer will issue notice to the Indian health Accountable Care Organization Model; notify all participants. programs or Urban Indian Organizations Extension of the Submission The notice to Colorado announcing an until September 24, 2010, which was Deadlines for the Letters of Intent and administrative hearing to reconsider the only 6 days prior to the date Colorado Applications disapproval of its SPAs reads as follows: submitted the SPA to CMS. This issue is whether 6 days is a reasonable time AGENCY: Centers for Medicare & Ms. Laurel Karabotsos, period to allow for the submission and Medicaid Services (CMS), HHS. Acting Medical Director, consideration of comments. ACTION: Notice of extension of Department of Health Care Policy and • Sufficiency of Solicitation: Whether deadlines. Financing, Colorado met the statutory requirement Medical & CHP+ Administration Office, at section 1902(a)(73) to solicit advice SUMMARY: This notice extends the 1570 Grant Street, when the notice to the tribes did not deadlines for the submission of the Denver, CO 80203–1818. describe the potential impact that the Pioneer Accountable Care Organization Dear Ms. Karabotsos: rate reduction for transportation would Model letters of intent to June 30, 2011 I am responding to your request for have on the tribes, Indians, Indian and the applications to August 19, 2011. reconsideration of Centers for Medicare health providers, or urban Indian DATES: Letter of Intent Submission & Medicaid Services’ (CMS) decision to organizations. Deadline: Interested organizations must disapprove the Colorado State Plan I am scheduling a hearing on your submit a non-binding letter of intent by Amendment (SPA) 10–034, which was request for reconsideration to be held on June 30, 2011 as described on the submitted to CMS on September 30, August 4, 2011, at the CMS Denver Innovation Center Web site at http:// 2010, and disapproved on March 10, Regional Office, Colorado State Bank innovations.cms.gov/areas-of-focus/ 2011. The SPA proposed to revise the Building, 1600 Broadway, Suite 700, seamless-and-coordinated-care-models/ methods and standards for establishing Denver, Colorado 80202–4367, in order pioneer-aco. payment rates for non-brokered and to reconsider the decision to disapprove Application Submission Deadline: brokered non-emergency medical SPA 10–034. Applications must be postmarked on or transportation. The disapproval was If this date is not acceptable, CMS before August 19, 2011. The Pioneer based on a finding that the State had not rules provide that the hearing date may Accountable Care Organization Model

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Application is available at: http:// for application which is available on the ACTION: Notice. innovations.cms.gov/areas-of-focus/ Innovation Center Web site at http:// seamless-and-coordinated-care-models/ innovations.cms.gov/areas-of-focus/ SUMMARY: This notice announces our pioneer-aco-application/. seamless-and-coordinated-care-models/ intention to sponsor Federally Funded ADDRESSES: Applications should be pioneer-aco. However, in the May 20, Research and Development Center submitted by mail to the following 2011 notice, we specified that the (FFRDC) to facilitate the modernization address by the date specified in the submission deadlines were June 10, of business processes and supporting DATES section of this notice: 2011 and not later than 5 p.m. on July systems and their operations. This is the Pioneer ACO Model, Attention: Maria 19, 2011, respectively. Therefore, in the third of three notices which must be Alexander, Center for Medicare and June 8, 2011 Federal Register (76 FR published over a 90-day period in order Medicaid Innovation, Centers for 33306), we published a correction to advise the public of the agency’s Medicare and Medicaid Services, Mail notice that corrected our error in the intention to sponsor an FFRDC. Stop S3–13–05, 7500 Security application submission deadline. DATES: We must receive comments on or before July 5, 2011. Boulevard, Baltimore, MD 21244– II. Provisions of the Notice 1850. ADDRESSES: Comments on this notice The Innovation Center is committed FOR FURTHER INFORMATION CONTACT: must be mailed to the Centers for to working with stakeholders to develop Maria Alexander, (410) 786–4792. Medicare & Medicaid Services, Candice initiatives to test innovative payment SUPPLEMENTARY INFORMATION: Savoy, Contracting Officer, 7500 and service delivery models to reduce Security Boulevard, Mailstop C2–01–10, I. Background program expenditures while enhancing Baltimore, MD 21244 or e-mail at the quality of care available to We are committed to achieving the [email protected]. beneficiaries. Being responsive to the three-part aim of better health, better suggestions of the stakeholder FOR FURTHER INFORMATION CONTACT: health care, and lower per-capita costs community is critical to the success of Candice Savoy, (410) 786–7494 or for Medicare, Medicaid, and Children’s the Innovation Center’s efforts to [email protected]. Health Insurance Program beneficiaries. achieve the three-part aim of better One potential mechanism for achieving SUPPLEMENTARY INFORMATION: The healthcare, better health, and reduced this goal is for CMS to partner with Centers for Medicare & Medicaid costs through improvement. As part of groups of health care providers of Services (CMS), an operating division this commitment, and based on the services and suppliers with a within the Department of Health and feedback from the community of mechanism for shared governance that Human Services (DHHS), intends to potential applicants, the Innovation have formed an Accountable Care sponsor a Federally Funded Research Center is extending the following Organization (ACO) through which they and Development Center (FFRDC) to deadlines relating to the Pioneer ACO work together to manage and coordinate facilitate the modernization of business Model: (1) The deadline for submission care for a specified group of patients. processes and supporting systems and of the letter of intent has been extended We will pursue such partnerships their operations. Some of the broad task to June 30, 2011; and (2) the deadline through two complementary efforts, the areas that will be utilized include for the submission of the application Medicare Shared Savings Program, and strategic/tactical planning, conceptual has been extended to August 19, 2011. initiatives undertaken by the Center for planning, design and engineering, Therefore in the DATES section of this Medicare and Medicaid Innovation procurement assistance, organizational notice, we included the new (Innovation Center). planning, research and development, The Pioneer ACO Model is an submissions deadlines and in the continuous process improvement, Innovation Center initiative targeted at ADDRESSES section we provide the Independent Verification and Validation organizations that can demonstrate the address to which the applications must (IV&V)/compliance, and security improvements in financial and clinical be mailed. planning. Further analysis will consist performance with respect to the care of Authority: Section 1115A of the Social of expert advice and guidance in the Medicare beneficiaries that are possible Security Act. areas of program and project in a mature ACO. To be eligible to Dated: June 8, 2011. management focused on increasing the participate in the Pioneer ACO Model, Donald M. Berwick, effectiveness and efficiency of strategic information management, prototyping, organizations would ideally already be Administrator, Centers for Medicare & coordinating care for a significant Medicaid Services. demonstrations, and technical activities. The FFRDC may also be utilized by non- portion of patients under financial risk [FR Doc. 2011–14678 Filed 6–9–11; 4:15 pm] sharing contracts and be positioned to sponsors, within DHHS. BILLING CODE 4120–01–P transform both their care and financial The FFRDC will be established under models from fee-for-service to a three- the Federal Acquisition Regulations (48 part aim, value based model. DEPARTMENT OF HEALTH AND CFR 35.017). On May 17, 2011, we posted a request HUMAN SERVICES The FFRDC will be available to for applications to participate in the provide a wide range of support Pioneer ACO Model on the Innovation Centers for Medicare & Medicaid including, but not limited to: Center Web site and we subsequently Services • Strategic/tactical planning published a notice announcing the including assisting with planning for request for applications in the May 20, [CMS–7031–NC3] future CMS program policy, innovation, 2011 Federal Register (76 FR 29249). Proposed Establishment of a Federally development, and support for Medicare On the Innovation Center Web site, we and Medicaid. Funded Research and Development • specified that the submission deadline Center—Third Notice Conceptual planning including for the letter of intent was June 10, 2011 operations, analysis, requirements, and that the application deadline was to AGENCY: Centers for Medicare & procedures, and analytic support. be postmarked on or before July 18, Medicaid Services (CMS), Department • Design and engineering including 2011. For more details see the request of Health & Human Services (DHHS). technical architecture direction.

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• Procurement assistance, review/ • Supporting systems integration, DEPARTMENT OF HEALTH AND recommendations for current contract data management, and data exchange HUMAN SERVICES processes to include, contract reform, that contribute to a larger DHHS intra technical guidance, price and cost and inter-agency enterprise as well as Administration for Children and estimating, and source selection collaboration with States, local tribal Families evaluation support. governments, the business sector (for- • Organizational planning including Proposed Information Collection profit and not-for-profits), academia and Activity; Comment Request functional and gap analysis. the public. • Research and development, • Providing recommendations for Title: Voluntary Agencies Matching assessment of new technologies and Grant Program. advice on medical and technical standards for top-level DHHS systems requirements and performance metrics OMB No.: New. innovation and health information. Description: The Voluntary Agencies best practices for an integrated DHHS • Continuous process improvement, Matching Grant Program was initiated approach to systems solutions and Investment Life Cycle (ILC)/current in 1979 as an early employment practices review and recommendations, structured and unstructured data alternative to public cash assistance. implementation of best practices and architecture. The goal of the Matching Grant Program code reviews. • Understanding key DHHS is to assist individuals eligible for ORR • IV&V/Compliance, DUA organizations and their specific role and funded services in attaining economic surveillance and Web site content major acquisition requirements and self-sufficiency within 120 to 180 days review. support them in the requirements from their date of eligibility. Self- • Security including Security development phase of the acquisition sufficiency must be achieved without Assessments and Security Test and lifecycle. accessing public cash assistance. Evaluations (ST&E). Identify, define, With the projected expansion of the • The FFRDC must function so and resolve problems as an integral part Voluntary Agencies Matching Grant effectively as to act as an agent for the of the sponsor’s management team. Program to 11 grantees in FY 2012, the sponsor in the design and pursuit of • Providing independent analysis Office of Refugee Resettlement (ORR) about DHHS vulnerabilities and the mission goals. intends to seek approval from Office of effectiveness of systems deployed to • The FFRDC must provide rapid Management and Budget (OMB) for make DHHS more effective in providing responsiveness to changing information collection associated with healthcare services and implementation requirements for personnel in all the program. This includes a pre-award of new healthcare initiatives. aspects of strategic, technical and template for each local service provider • Providing intra-departmental and program management. site location and the data points the inter-agency cross-cutting, risk-informed • The FFRDC must recognize program currently collects. analysis of alternative resource government objectives as its own The Local Service Provider Site approaches. Project Design template provides ORR objectives, partnering with the sponsor • Developing and deploying with the information necessary to in pursuit of excellence in public analytical tools and techniques to evaluate the appropriateness of the evaluate system alternatives (for service. service delivery according to the example, policy-operations-technology • The FFRDC must allow for non- capacity of the service provider to tradeoffs), and life-cycle costs that have sponsor (other than CMS) work for deliver required services and the broad application across CMS. operating Divisions within DHHS. potential of those enrolled in the • Developing measurable We are publishing this notice in program to achieve self-sufficiency. The performance metrics, models, and accordance with 48 CFR 5.205(b) of the collection instrument is a template 1 simulations for determining progress in FAR, to enable interested members of composed of a ⁄2 page table with securing DHHS data or other authorized the public to provide comments on this contact and capacity data, a narrative of data sources, (non-DHHS data sources, 1 2 proposed action. We note that this is the up to 2 ⁄ pages covering 11 elements such as the census data or Department related to capacity and service delivery, third of three notices issued under the of Labor data, Veterans Administration, and a line-item budget. This form is FAR. Department of Defense, data in required as part of the initial grant developing performance metrics, and The Request for Proposal will be application and with each annual award models). posted on FedBizOpps in the Summer renewal. • Providing independent and of 2011. Alternatively, a copy can be The Data points are aggregate objective operational test and evaluation received by contacting the person listed measures for each site where Matching analysis support. in the ‘‘FOR FURTHER INFORMATION Grant Program services are provided. • Developing recommendations for CONTACT’’ section above. The data points will be collected using guidance on the best practices for Dated: June 8, 2011. SF–PPR D. ORR has found these data standards, particularly to improve the points to be essential for evaluating inter-operability of DHHS components. Donald M. Berwick, grantee and program performance in • Assessing technologies and Administrator, Centers for Medicare & meeting the requirements of both the evaluating technology test-beds for Medicaid Services. Refugee Act and ORR regulations. Data accurate simulation of operational [FR Doc. 2011–14706 Filed 6–13–11; 8:45 am] points are recorded at enrollment and conditions and delivery system BILLING CODE 4120–01–P 120 days and/or 180 days from the point innovation models. when the enrolled individual became • Supporting critical thinking about eligible for the program. Data points the DHHS enterprise, business include, eligible immigration status, intelligence and analytic tools that can employment eligibility and status, wage be applied consistently across DHHS level, reasons for dropping out of the and CMS programs. program (if applicable), and self-

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sufficiency outcomes. Grantees report Respondents: Voluntary agencies that agreement with the U.S. Department of data points to ORR triennially (every already provide Reception & Placement State (DOS) or the U.S. Department of four-months) and annually. services through a cooperative Homeland Security (DHS).

ANNUAL BURDEN ESTIMATES

Number of re- Average burden Instruments Number of sponses per hours per Total burden respondents respondent response hours

Local Service Provider Site Project Design Template ...... 11 21 .90 1 240.90 SF PPR D Spreadsheet ...... 11 1 1.10 12.10

Estimated Total Annual Burden DEPARTMENT OF HEALTH AND www.regulations.gov. Submit written Hours: 253 HUMAN SERVICES comments to the Division of Dockets In compliance with the requirements Management (HFA–305), Food and Drug Food and Drug Administration of Section 3506(c)(2)(A) of the Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852. Paperwork Reduction Act of 1995, the [Docket No. FDA–2010–D–0530] Administration for Children and FOR FURTHER INFORMATION CONTACT: Ritu Nalubola, Office of Policy, Office of the Families is soliciting public comment Draft Guidance for Industry; Considering Whether an FDA- Commissioner,Food and Drug on the specific aspects of the Regulated Product Involves the Administration, 10903 New Hampshire information collection described above. Application of Nanotechnology; Ave., Bldg. 32, rm. 4236, Silver Spring, Copies of the proposed collection of Availability MD 20993–0002, 301–796–4830, e-mail: information can be obtained and [email protected]; or Carlos comments may be forwarded by writing AGENCY: Food and Drug Administration, Pen˜ a, Office of the Chief Scientist, to the Administration for Children and HHS. Office of the Commissioner, Food and Families, Office of Administration, ACTION: Notice. Drug Administration, 10903 New Office of Information Services, 370 Hampshire Ave., Bldg. 32, rm. 4264, SUMMARY: The Food and Drug L’Enfant Promenade, SW., Washington, Silver Spring, MD 20993–0002, 301– DC 20447, Attn: ACF Reports Clearance Administration (FDA) is announcing the 796–4880, e-mail: Officer. E-mail address: availability of a draft guidance for [email protected]. industry entitled ‘‘Considering Whether [email protected]. All requests an FDA–Regulated Product Involves the SUPPLEMENTARY INFORMATION: should be identified by the title of the Application of Nanotechnology’’. This I. Background information collection. guidance is intended to provide The Department specifically requests industry with FDA’s current thinking on FDA is announcing the availability of a draft guidance for industry entitled comments on: (a) Whether the proposed whether FDA-regulated products ‘‘Considering Whether an FDA- collection of information is necessary contain nanomaterials or otherwise Regulated Product Involves the for the proper performance of the involve the application of Application of Nanotechnology’’. The functions of the agency, including nanotechnology. The points to consider guidance is intended for manufacturers, are intended to be broadly applicable to whether the information shall have suppliers, importers, and other all FDA-regulated products, with the practical utility; (b) the accuracy of the stakeholders. The guidance describes understanding that additional guidance agency’s estimate of the burden of the FDA’s current thinking on whether may be articulated for specific product proposed collection of information; (c) FDA-regulated products contain areas, as appropriate in the future. the quality, utility, and clarity of the nanomaterials or otherwise involve the information to be collected; and (d) DATES: Although you can comment on application of nanotechnology. As a first ways to minimize the burden of the any guidance at any time (see 21 CFR step toward developing FDA’s collection of information on 10.115(g)(5)), to ensure that the Agency framework for considering whether respondents, including through the use considers your comment on this draft FDA-regulated products include of automated collection techniques or guidance before it begins work on the nanomaterials or otherwise involve other forms of information technology. final version of the guidance, submit nanotechnology, the Agency has Consideration will be given to either electronic or written comments developed the points discussed in the comments and suggestions submitted on the draft guidance by August 15, guidance. These points to consider are 2011. within 60 days of this publication. intended to be broadly applicable to all ADDRESSES: Submit written requests for FDA-regulated products, with the Robert Sargis, single copies of the guidance to the understanding that additional guidance Reports Clearance Officer. Office of Policy, Office of the may be articulated for specific product [FR Doc. 2011–14584 Filed 6–13–11; 8:45 am] Commissioner, Food and Drug areas, as appropriate in the future. The BILLING CODE 4184–01–P Administration, 10903 New Hampshire guidance document does not establish Ave., Silver Spring, MD 20993–0002. any regulatory definitions. Rather, it is Send one self-addressed adhesive label intended to help industry and others to assist that office in processing your identify when they should consider requests. See the SUPPLEMENTARY potential implications for regulatory INFORMATION section for electronic status, safety, effectiveness, or public access to the draft guidance document. health impact that may arise with the Submit electronic comments on the application of nanotechnology in FDA- draft guidance to http:// regulated products. Public input on the

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guidance may also inform the individuals associated with the grant Contact Person: Bo Hong, PhD, Scientific development of any future actions, as applications, the disclosure of which Review Officer, Center for Scientific Review, needed. would constitute a clearly unwarranted National Institutes of Health, 6701 Rockledge invasion of personal privacy. Drive, Room 6194, MSC 7804, Bethesda, MD II. Significance of Guidance 20892, 301–435–5879, [email protected]. Name of Committee: National Institute of This level 1 draft guidance is being Name of Committee: Center for Scientific Neurological Disorders and Stroke Initial Review Special Emphasis Panel, Member issued consistent with FDA’s good Review Group, Neurological Sciences and Conflict: Vascular Hematology. guidance practices regulation (21 CFR Disorders K. Date: July 11–12, 2011. 10.115). The draft guidance, when Date: June 23–24, 2011. Time: 1 p.m. to 5 p.m. finalized, will represent the Agency’s Time: 8 a.m. to p.m. Agenda: To review and evaluate grant current thinking on this topic. It does Agenda: To review and evaluate grant applications. not create or confer any rights for or on applications. Place: National Institutes of Health, 6701 any person and does not operate to bind Place: Hyatt Regency Bethesda, One Rockledge Drive, Bethesda, MD 20892, FDA or the public. An alternative Bethesda Metro Center, 7400 Wisconsin (Virtual Meeting). Avenue, Bethesda, MD 20814. Contact Person: Anshumali Chaudhari, approach may be used if such approach Contact Person: Shanta Rajaram, PhD, PhD, Scientific Review Officer, Center for satisfies the requirements of the Scientific Review Officer, Scientific Review Scientific Review, National Institutes of applicable statutes and regulations. Branch, Division of Extramural Research, Health, 6701 Rockledge Drive, Room 4124, MSC 7802, Bethesda, MD 20892, (301) 435– III. Comments NINDS/NIH/DHHS/Neuroscience Center, 6001 Executive Blvd., Suite 3208, MSC 9529, 1210, [email protected]. Interested persons may submit to the Bethesda, MD 20892–9529, 301–435–6033, Name of Committee: AIDS and Related Division of Dockets Management (see [email protected]. Research Integrated Review Group, ADDRESSES) either electronic or written (Catalogue of Federal Domestic Assistance NeuroAIDS and other End-Organ Diseases comments regarding this document. It is Program Nos. 93.853, Clinical Research Study Section. only necessary to send one set of Related to Neurological Disorders; 93.854, Date: July 12, 2011. Biological Basis Research in the Time: 8 a.m. to 5 p.m. comments. It is no longer necessary to Agenda: To review and evaluate grant send two copies of mailed comments. Neurosciences, National Institutes of Health, HHS) applications. Identify comments with the docket Place: The Westin Seattle, 1900 5th number found in brackets in the Dated: June 7, 2011. Avenue, Seattle, WA 98101. heading of this document. Received Jennifer S. Spaeth, Contact Person: Eduardo A Montalvo, PhD, comments may be seen in the Division Director, Office of Federal Advisory Scientific Review Officer, Center for of Dockets Management between 9 a.m. Committee Policy. Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5108, and 4 p.m., Monday through Friday. [FR Doc. 2011–14718 Filed 6–13–11; 8:45 am] MSC 7852, Bethesda, MD 20892, (301) 435– IV. Electronic Access BILLING CODE 4140–01–P 1168, [email protected]. Name of Committee: Center for Scientific Persons with access to the Internet Review Special Emphasis Panel, RFA Panel: may obtain the draft guidance at either DEPARTMENT OF HEALTH AND Indo-US Program on Reproductive Health. http://www.fda.gov/ HUMAN SERVICES Date: July 13, 2011. RegulatoryInformation/Guidances/ Time: 8 a.m. to 12 p.m. ucm257698.htm or http:// National Institutes of Health Agenda: To review and evaluate grant www.regulations.gov. applications. Center for Scientific Review; Notice of Place: Hyatt Regency Bethesda, One Dated: June 2, 2011. Closed Meetings Bethesda Metro Center, 7400 Wisconsin Leslie Kux, Avenue, Bethesda, MD 20814. Acting Assistant Commissioner for Policy. Pursuant to section 10(d) of the Contact Person: Gary Hunnicutt, PhD, Scientific Review Officer, Center for [FR Doc. 2011–14643 Filed 6–13–11; 8:45 am] Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is Scientific Review, National Institutes of BILLING CODE 4160–01–P hereby given of the following meetings. Health, 6701 Rockledge Drive, Room 6164, The meetings will be closed to the MSC 7892, Bethesda, MD 20892, 301–435– 0229, [email protected]. DEPARTMENT OF HEALTH AND public in accordance with the provisions set forth in sections Name of Committee: Center for Scientific HUMAN SERVICES Review Special Emphasis Panel. Fellowship: 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Chemical and Bioanalytical Sciences, National Institutes of Health as amended. The grant applications and Date: July 13, 2011. the discussions could disclose Time: 8:30 a.m. to 6 p.m. National Institute of Neurological confidential trade secrets or commercial Agenda: To review and evaluate grant Disorders and Stroke; Notice of Closed property such as patentable material, applications. Meeting and personal information concerning Place: Courtyard by Marriott, 5520 Wisconsin Avenue, Chevy Chase, MD 20815. Pursuant to section 10(d) of the individuals associated with the grant applications, the disclosure of which Contact Person: Sergei Ruvinov, PhD, Federal Advisory Committee Act, as Scientific Review Officer, Center for would constitute a clearly unwarranted amended (5 U.S.C. App.), notice is Scientific Review, National Institutes of hereby given of the following meeting. invasion of personal privacy. Health, 6701 Rockledge Drive, Room 4158, The meeting will be closed to the Name of Committee: Center for Scientific MSC 7806, Bethesda, MD 20892, 301–435– public in accordance with the Review Special Emphasis Panel, Radiation 1180, [email protected]. provisions set forth in sections Therapy and Biology SBIR/STTR. Name of Committee: Center for Scientific 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Date: July 11, 2011. Review Special Emphasis Panel, Small Time: 8 a.m. to 5 p.m. as amended. The grant applications and Business: Skeletal Muscle and Exercise Agenda: To review and evaluate grant Physiology. the discussions could disclose applications. Date: July 13, 2011. confidential trade secrets or commercial Place: Doubletree Hotel Washington, 1515 Time: 1 p.m. to 3:30 p.m. property such as patentable materials, Rhode Island Ave, NW., Washington, DC Agenda: To review and evaluate grant and personal information concerning 20005. applications.

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Place: National Institutes of Health, 6701 Boulevard, Rockville, MD 20852, (Telephone Date: June 29, 2011. Rockledge Drive, Bethesda, MD 20892, Conference Call). Time: 1 p.m. to 4 p.m. (Telephone Conference Call). Contact Person: Megan Libbey, PhD, Agenda: To review and evaluate grant Contact Person: Richard Ingraham, PhD, Scientific Review Officer, Division of applications. Scientific Review Officer, Center for Extramural Activities, National Institute of Place: National Institutes of Health, Scientific Review, National Institutes of Mental Health, NIH, Neuroscience Center, Neuroscience Center, 6001 Executive Health, 6701 Rockledge Drive, Room 4116, 6001 Executive Blvd., Room 6148, MSC 9609, Boulevard, Rockville, MD 20852, (Telephone MSC 7814, Bethesda, MD 20892, 301–496– Rockville, MD 20852–9609, 301–402–6807, Conference Call) 8551, [email protected]. [email protected]. Contact Person: Vinod Charles, PhD, Name of Committee: Center for Scientific Name of Committee: National Institute of Scientific Review Officer, Division of Review Special Emphasis Panel, RFA Panel: Mental Health Special Emphasis Panel, Extramural Activities, National Institute of Indo-US Program on Reproductive Health. Fellowships and Dissertation Grants. Mental Health, NIH, Neuroscience Center, Date: July 13, 2011. Date: July 20, 2011. 6001 Executive Blvd., Room 6151, MSC 9606, Time: 12:30 p.m. to 6 p.m. Time: 1 p.m. to 4 p.m. Bethesda, MD 20892–9606, 301–443–1606, Agenda: To review and evaluate grant Agenda: To review and evaluate grant [email protected]. applications. applications. Name of Committee: National Institute of Place: Hyatt Regency Bethesda, One Place: National Institutes of Health, Mental Health Special Emphasis Panel, Bethesda Metro Center, 7400 Wisconsin Neuroscience Center, 6001 Executive Conflicts and Eating Disorders 2011. Avenue, Bethesda, MD 20814. Boulevard, Rockville, MD 20852, (Telephone Date: July 7, 2011. Contact Person: Dianne Hardy, PhD, Conference Call). Time: 12:30 p.m. to 5 p.m. Scientific Review Officer, Center for Contact Person: David W. Miller, PhD, Agenda: To review and evaluate grant Scientific Review, National Institutes of Scientific Review Officer, Division of applications. Health, 6701 Rockledge Drive, Room 6175, Extramural Activities, National Institute of Place: National Institutes of Health, Bethesda, MD 20892, 301–435–1154, Mental Health, NIH, Neuroscience Center, Neuroscience Center, 6001 Executive [email protected]. 6001 Executive Boulevard, Room 6140, MSC Boulevard, Rockville, MD 20852, (Telephone (Catalogue of Federal Domestic Assistance 9608, Bethesda, MD 20892–9608, 301–443– Conference Call). Program Nos. 93.306, Comparative Medicine; 9734, [email protected]. Contact Person: Francois Boller, MD, PhD, 93.333, Clinical Research, 93.306, 93.333, (Catalogue of Federal Domestic Assistance Scientific Review Officer, Division of 93.337, 93.393–93.396, 93.837–93.844, Program Nos. 93.242, Mental Health Research Extramural Activities, National Institute of 93.846–93.878, 93.892, 93.893, National Grants; 93.281, Scientist Development Mental Health, NIH, Neuroscience Center, Institutes of Health, HHS) Award, Scientist Development Award for 6001 Executive Blvd., Room 6142, MSC 9606, Dated: June 7, 2011. Clinicians, and Research Scientist Award; Bethesda, MD 20892–9606, 301–443–1513, 93.282, Mental Health National Research Jennifer S. Spaeth, [email protected]. Service Awards for Research Training, (Catalogue of Federal Domestic Assistance Director, Office of Federal Advisory National Institutes of Health, HHS) Committee Policy. Program Nos. 93.242, Mental Health Research [FR Doc. 2011–14716 Filed 6–13–11; 8:45 am] Dated: June 7, 2011. Grants; 93.281, Scientist Development Jennifer S. Spaeth, Award, Scientist Development Award for BILLING CODE 4140–01–P Clinicians, and Research Scientist Award; Director, Office of Federal Advisory 93.282, Mental Health National Research Committee Policy. Service Awards for Research Training, DEPARTMENT OF HEALTH AND [FR Doc. 2011–14714 Filed 6–13–11; 8:45 am] National Institutes of Health, HHS) HUMAN SERVICES BILLING CODE 4140–01–P Dated: June 7, 2011. National Institutes of Health Jennifer S. Spaeth, National Institute of Mental Health; DEPARTMENT OF HEALTH AND Director, Office of Federal Advisory Notice of Closed Meetings HUMAN SERVICES Committee Policy. [FR Doc. 2011–14712 Filed 6–13–11; 8:45 am] Pursuant to section 10(d) of the National Institutes of Health BILLING CODE 4140–01–P Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is National Institute of Mental Health; hereby given of the following meetings. Notice of Closed Meetings DEPARTMENT OF HEALTH AND The meetings will be closed to the Pursuant to section 10(d) of the HUMAN SERVICES public in accordance with the Federal Advisory Committee Act, as provisions set forth in sections amended (5 U.S.C. App.), notice is National Institutes of Health 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., hereby given of the following meetings. National Institute of Diabetes and as amended. The grant applications and The meetings will be closed to the the discussions could disclose Digestive and Kidney Diseases; Notice public in accordance with the of Closed Meetings confidential trade secrets or commercial provisions set forth in sections property such as patentable material, 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Pursuant to section 10(d) of the and personal information concerning as amended. The grant applications and Federal Advisory Committee Act, as individuals associated with the grant the discussions could disclose amended (5 U.S.C. App.), notice is applications, the disclosure of which confidential trade secrets or commercial hereby given of the following meetings. would constitute a clearly unwarranted property such as patentable material, The meetings will be closed to the invasion of personal privacy. and personal information concerning public in accordance with the Name of Committee: National Institute of individuals associated with the grant provisions set forth in sections Mental Health Special Emphasis Panel, NIH applications, the disclosure of which 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Pathway to Independence (PI) Award. would constitute a clearly unwarranted as amended. The grant applications and Date: July 12, 2011. invasion of personal privacy. the discussions could disclose Time: 12 p.m. to 5 p.m. Agenda: To review and evaluate grant Name of Committee: National Institute of confidential trade secrets or commercial applications. Mental Health Special Emphasis Panel, property such as patentable material, Place: National Institutes of Health, National Cooperative Drug Discovery and and personal information concerning Neuroscience Center, 6001 Executive Development Group. individuals associated with the grant

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applications, the disclosure of which (Catalogue of Federal Domestic Assistance Name of Committee: Center for Scientific would constitute a clearly unwarranted Program Nos. 93.847, Diabetes, Review Special Emphasis Panel, Mutation invasion of personal privacy. Endocrinology and Metabolic Research; Rate and Genomic Variation, 93.848, Digestive Diseases and Nutrition Date: June 20, 2011. Name of Committee: National Institute of Research; 93.849, Kidney Diseases, Urology Time: 11 a.m. to 2 p.m. Diabetes and Digestive and Kidney Diseases and Hematology Research, National Institutes Agenda: To review and evaluate grant Special Emphasis Panel, NIDDK Telephone of Health, HHS.) applications. SEP. Dated: June 8, 2011. Place: National Institutes of Health, 6701 Date: July 8, 2011. Rockledge Drive, Bethesda, MD 20892, Time: 11 a.m. to 12 p.m. Jennifer S. Spaeth, (Telephone Conference Call). Agenda: To review and evaluate grant Director, Office of Federal Advisory Contact Person: David J Remondini, PhD, applications. Committee Policy. Scientific Review Officer, Center for Place: National Institutes of Health, Two [FR Doc. 2011–14695 Filed 6–13–11; 8:45 am] Scientific Review, National Institutes of Democracy Plaza, 6707 Democracy BILLING CODE 4140–01–P Health, 6701 Rockledge Drive, Room 2210, Boulevard, Bethesda, MD 20892, (Telephone MSC 7890, Bethesda, MD 20892, 301–435– Conference Call). 1038, [email protected]. Contact Person: Xiaodu Guo, MD, PhD, DEPARTMENT OF HEALTH AND This notice is being published less than 15 Scientific Review Officer, Review Branch, HUMAN SERVICES days prior to the meeting due to the timing DEA, NIDDK, National Institutes of Health, limitations imposed by the review and Room 761, 6707 Democracy Boulevard, funding cycle. Bethesda, MD 20892–5452, (301) 594–4719, National Institutes of Health [email protected]. (Catalogue of Federal Domestic Assistance Center for Scientific Review; Amended Program Nos. 93.306, Comparative Medicine; Name of Committee: National Institute of Notice of Meeting 93.333, Clinical Research, 93.306, 93.333, Diabetes and Digestive and Kidney Diseases 93.337, 93.393–93.396, 93.837–93.844, Special Emphasis Panel, Teen-LABS. Notice is hereby given of a change in 93.846–93.878, 93.892, 93.893, National Date: July 15, 2011. the meeting of the Center for Scientific Institutes of Health, HHS) Time: 2 p.m. to 2 p.m. Agenda: To review and evaluate grant Review Special Emphasis Panel, June Dated: June 7, 2011. applications. 16, 2011, 2 p.m. to June 16, 2011, 4 Jennifer S. Spaeth, Place: National Institutes of Health, Two p.m., National Institutes of Health, 6701 Director, Office of Federal Advisory Democracy Plaza, 6707 Democracy Rockledge Drive, Bethesda, MD 20892 Committee Policy. Boulevard, Bethesda, MD 20892, (Telephone which was published in the Federal [FR Doc. 2011–14693 Filed 6–13–11; 8:45 am] Conference Call). Register on June 2, 2011, 76 FR 31966– BILLING CODE 4140–01–P Contact Person: Paul A. Rushing, PhD, 31967. Scientific Review Officer, Review Branch, The meeting will be held June 28, DEA, NIDDK, National Institutes Of Health, Room 747, 6707 Democracy Boulevard, 2011. The meeting time and location DEPARTMENT OF HEALTH AND Bethesda, MD 20892–5452, (301) 594–8895, remain the same. The meeting is closed HUMAN SERVICES [email protected]. to the public. Name of Committee: National Institute of Dated: June 7, 2011. National Institutes of Health Diabetes and Digestive and Kidney Diseases Jennifer S. Spaeth, Special Emphasis Panel, Islet Autoantibodies National Institute on Alcohol Abuse Director, Office of Federal Advisory Ancillary Studies. and Alcoholism; Notice of Closed Committee Policy. Date: July 15, 2011. Meeting Time: 4 p.m. to 5 p.m. [FR Doc. 2011–14694 Filed 6–13–11; 8:45 am] Agenda: To review and evaluate grant BILLING CODE 4140–01–P Pursuant to section 10(d) of the applications. Federal Advisory Committee Act, as Place: National Institutes of Health, Two amended (5 U.S.C. App.), notice is Democracy Plaza, 6707 Democracy DEPARTMENT OF HEALTH AND hereby given of the following meeting. Boulevard, Bethesda, MD 20892, (Telephone HUMAN SERVICES The meeting will be closed to the public Conference Call). in accordance with the provisions set Contact Person: Carol J. Goter-Robinson, National Institutes of Health PhD, Scientific Review Officer, Review forth in sections 552b(c)(4) and Branch, DEA, NIDDK, National Institutes of Center for Scientific Review; Notice of 552b(c)(6), Title 5 U.S.C., as amended. Health, Room 748, 6707 Democracy Closed Meeting The grant applications and the Boulevard, Bethesda, MD 20892–5452, (301) discussions could disclose confidential 594–7791, Pursuant to section 10(d) of the trade secrets or commercial property [email protected]. Federal Advisory Committee Act, as such as patentable material, and Name of Committee: National Institute of amended (5 U.S.C. App.), notice is personal information concerning Diabetes and Digestive and Kidney Diseases hereby given of the following meeting. individuals associated with the grant Special Emphasis Panel, GUDMAP Project The meeting will be closed to the applications, the disclosure of which Cooperative Grants. would constitute a clearly unwarranted Date: July 25, 2011. public in accordance with the Time: 9 a.m. to 12 p.m. provisions set forth in sections invasion of personal privacy. Agenda: To review and evaluate grant 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Name of Committee: National Institute on applications. as amended. The grant applications and Alcohol Abuse and Alcoholism Special Place: Bethesda Marriott Suites, 6711 the discussions could disclose Emphasis Panel, Review of NIAAA Member Democracy Boulevard, Bethesda, MD 20817. confidential trade secrets or commercial Conflict Applications. Contact Person: Carol J. Goter-Robinson, property such as patentable material, Date: July 19, 2011. PhD, Scientific Review Officer, Review Time: 1 p.m. to 3 p.m. Branch, DEA, NIDDK, National Institutes of and personal information concerning Agenda: To review and evaluate grant Health, Room 748, 6707 Democracy individuals associated with the grant applications. Boulevard, Bethesda, MD 20892–5452, (301) applications, the disclosure of which Place: National Institutes of Health, 5635 594–7791, would constitute a clearly unwarranted Fishers Lane, Bethesda, MD 20892, [email protected]. invasion of personal privacy. (Telephone Conference Call).

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Contact Person: Richard A. Rippe, PhD, 93.701, ARRA Related Biomedical Research Place: National Institutes of Health, 6701 National Institute on Alcohol Abuse and and Research Support Awards, National Rockledge Drive, Bethesda, MD 20892, Alcoholism, 5635 Fishers Lane, Room 2109, Institutes of Health, HHS.) (Virtual Meeting). Contact Person: Valerie Durrant, PhD, Rockville, MD 20852, 301–443–8599, Dated: June 7, 2011. [email protected]. Scientific Review Officer, Center for Jennifer S. Spaeth, (Catalogue of Federal Domestic Assistance Scientific Review, National Institutes of Program Nos. 93.271, Alcohol Research Director, Office of Federal Advisory Health, 6701 Rockledge Drive, Room 3148, Career Development Awards for Scientists Committee Policy MSC 7770, Bethesda, MD 20892, (301) 827– and Clinicians; 93.272, Alcohol National [FR Doc. 2011–14691 Filed 6–13–11; 8:45 am] 6390, [email protected]. Research Service Awards for Research BILLING CODE 4140–01–P (Catalogue of Federal Domestic Assistance Training; 93.273, Alcohol Research Programs; Program Nos. 93.306, Comparative Medicine; 93.891, Alcohol Research Center Grants; 93.333, Clinical Research, 93.306, 93.333, 93.701, ARRA Related Biomedical Research DEPARTMENT OF HEALTH AND 93.337, 93.393–93.396, 93.837–93.844, and Research Support Awards, National HUMAN SERVICES 93.846–93.878, 93.892, 93.893, National Institutes of Health, HHS.) Institutes of Health, HHS) Dated: June 7, 2011. National Institutes of Health Dated: June 8, 2011. Jennifer S. Spaeth, Jennifer S. Spaeth, Director, Office of Federal Advisory Center for Scientific Review; Cancellation of Meeting Director, Office of Federal Advisory Committee Policy. Committee Policy. [FR Doc. 2011–14692 Filed 6–13–11; 8:45 am] Notice is hereby given of the [FR Doc. 2011–14689 Filed 6–13–11; 8:45 am] BILLING CODE 4140–01–P cancellation of the Center for Scientific BILLING CODE 4140–01–P Review Special Emphasis Panel, June 28, 2011, 8 a.m. to June 29, 2011, 3 p.m., DEPARTMENT OF HEALTH AND National Institutes of Health, 6701 DEPARTMENT OF HEALTH AND HUMAN SERVICES Rockledge Drive, Bethesda, MD, 20892 HUMAN SERVICES which was published in the Federal National Institutes of Health Register on May 23, 2011, 76 FR 29770– National Institutes of Health National Institute on Alcohol Abuse 29771. The meeting is cancelled due to the Center for Scientific Review; Notice of and Alcoholism; Notice of Closed Closed Meetings Meeting reassignment of the applications. Dated: June 8, 2011. Pursuant to section 10(d) of the Pursuant to section 10(d) of the Jennifer S. Spaeth, Federal Advisory Committee Act, as Federal Advisory Committee Act, as Director, Office of Federal Advisory amended (5 U.S.C. App.), notice is amended (5 U.S.C. App.), notice is Committee Policy. hereby given of the following meetings. hereby given of the following meeting. The meetings will be closed to the The meeting will be closed to the [FR Doc. 2011–14690 Filed 6–13–11; 8:45 am] BILLING CODE 4140–01–P public in accordance with the public in accordance with the provisions set forth in sections provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., DEPARTMENT OF HEALTH AND as amended. The grant applications and as amended. The grant applications and HUMAN SERVICES the discussions could disclose the discussions could disclose confidential trade secrets or commercial confidential trade secrets or commercial National Institutes of Health property such as patentable material, property such as patentable material, and personal information concerning and personal information concerning Center for Scientific Review; Notice of individuals associated with the grant individuals associated with the grant Closed Meeting applications, the disclosure of which applications, the disclosure of which Pursuant to section 10(d) of the would constitute a clearly unwarranted would constitute a clearly unwarranted invasion of personal privacy. invasion of personal privacy. Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is Name of Committee: Center for Scientific Name of Committee: National Institute on hereby given of the following meeting. Review Special Emphasis Panel, Alcohol Abuse and Alcoholism Special The meeting will be closed to the CounterAct—Countermeasures Against Emphasis Panel, Review of NIAAA Member Chemical Threats. Conflict Applications. public in accordance with the provisions set forth in sections Date: July 14, 2011. Date: July 14, 2011. Time: 8 a.m. to 5 p.m. Time: 1 p.m. to 3 p.m. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Agenda: To review and evaluate grant Agenda: To review and evaluate grant as amended. The grant applications and applications. applications. the discussions could disclose Place: Donovan House, 1155 14th Street, Place: National Institutes of Health, 5635 confidential trade secrets or commercial NW., Washington, DC 20005. Fishers Lane, Bethesda, MD 20892, property such as patentable material, Contact Person: Geoffrey G Schofield, PhD, (Telephone Conference Call). and personal information concerning Scientific Review Officer, Center for Contact Person: Richard A. Rippe, PhD, individuals associated with the grant Scientific Review, National Institutes of National Institute on Alcohol Abuse and applications, the disclosure of which Health, 6701 Rockledge Drive, Room 4040–A, Alcoholism, 5635 Fishers Lane, Room 2109, MSC 7850, Bethesda, MD 20892, 301–435– Rockville, MD 20852, 301–443–8599, would constitute a clearly unwarranted 1235, [email protected]. invasion of personal privacy. [email protected]. Name of Committee: Center for Scientific (Catalogue of Federal Domestic Assistance Name of Committee: Center for Scientific Review Special Emphasis Panel, Program Nos. 93.271, Alcohol Research Review Special Emphasis Panel Member Fellowships: Reproductive Sciences and Career Development Awards for Scientists Conflict: Chronic Diseases Development. and Clinicians; 93.272, Alcohol National Date: June 28–29, 2011 Date: July 14, 2011. Research Service Awards for Research Time: 8 a.m. to 3 p.m. Time: 8 a.m. to 6 p.m. Training; 93.273, Alcohol Research Programs; Agenda: To review and evaluate grant Agenda: To review and evaluate grant 93.891, Alcohol Research Center Grants; applications. applications.

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Place: National Institutes of Health, 6701 DEPARTMENT OF HEALTH AND property such as patentable material, Rockledge Drive, Bethesda, MD 20892, HUMAN SERVICES and personal information concerning (Virtual Meeting). individuals associated with the grant Contact Person: Dianne Hardy, PhD, National Institutes of Health applications, the disclosure of which Scientific Review Officer, Center for would constitute a clearly unwarranted Scientific Review, National Institutes of National Institute on Aging; Notice of invasion of personal privacy. Health, 6701 Rockledge Drive, Room 6175, Closed Meeting Name of Committee: National Institute on MSC 7892, Bethesda, MD 20892, 301–435– Pursuant to section 10(d) of the Aging Special Emphasis Panel, 1154, [email protected]. Federal Advisory Committee Act, as Frontotemporal Dementia. Name of Committee: AIDS and Related amended (5 U.S.C. App.), notice is Date: July 26, 2011. Research Integrated Review Group, hereby given of the following meeting. Time: 12 p.m. to 3:30 p.m. Behavioral and Social Science Approaches to The meeting will be closed to the Agenda: To review and evaluate grant applications. Preventing HIV/AIDS Study Section. public in accordance with the Date: July 14–15, 2011. Place: National Institute on Aging, provisions set forth in sections Gateway Building, 7201 Wisconsin Avenue, Time: 8 a.m. to 5 p.m. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Suite 2C212, Bethesda, MD 20892, Agenda: To review and evaluate grant as amended. The grant applications and (Telephone Conference Call). applications. the discussions could disclose Contact Person: William Cruce, PhD, Place: Westin Seattle Hotel, 1900 5th confidential trade secrets or commercial Scientific Review Officer, National Institute Avenue, Seattle, WA 98101. property such as patentable material, on Aging, Scientific Review Branch, Gateway Contact Person: Jose H Guerrier, PhD, and personal information concerning Building 2C–212, 7201 Wisconsin Ave., Scientific Review Officer, Center for individuals associated with the grant Bethesda, MD 20814, 301–402–7704, [email protected]. Scientific Review, National Institutes of applications, the disclosure of which Health, 6701 Rockledge Drive, Room 5222, would constitute a clearly unwarranted Name of Committee: National Institute on MSC 7852, Bethesda, MD 20892, 301–435– Aging Special Emphasis Panel, Antecedent invasion of personal privacy. 1137, [email protected]. Biomarkers For AD. Date: July 28, 2011. Name of Committee: Center for Scientific Name of Committee: National Institute on Aging Special Emphasis Panel, Skeletal Time: 1 p.m. to 4:30 p.m. Review Special Emphasis Panel, Fellowship: Indicators, Health and Aging. Agenda: To review and evaluate grant Genes, Genomes, and Genetics. Date: July 7, 2011. applications. Date: July 14–15, 2011. Time: 11 a.m. to 3 p.m. Place: National Institute on Aging, Time: 8 a.m. to 5 p.m. Agenda: To review and evaluate grant Gateway Building, 7201 Wisconsin Avenue, Agenda: To review and evaluate grant applications. Suite 2C212, Bethesda, MD 20892, applications Place: National Institute on Aging, (Telephone Conference Call). Place: Hotel Nikko San Francisco, 222 Gateway Building, 7201 Wisconsin Avenue, Contact Person: William Cruce, PhD, Mason Street, San Francisco, CA 94102. Suite 2C212, Bethesda, MD 20892. Scientific Review Officer, National Institute Contact Person: Michael A Marino, PhD, (Telephone Conference Call) on Aging, Scientific Review Branch, Gateway Scientific Review Officer, Center for Contact Person: Rebecca J. Ferrell, PhD, Building 2C–212, 7201 Wisconsin Ave., Scientific Review Officer, National Institute Bethesda, MD 20814, 301–402–7704, Scientific Review, National Institutes of on Aging, Gateway Building Rm. 2C212, 7201 [email protected]. Health, 6701 Rockledge Drive, Room 2216, Wisconsin Avenue, Bethesda, MD 20892, MSC 7890, Bethesda, MD 20892, (301) 435– (Catalogue of Federal Domestic Assistance 301–402–7703, [email protected]. Program Nos. 93.866, Aging Research, 0601, [email protected]. (Catalogue of Federal Domestic Assistance National Institutes of Health, HHS) Name of Committee: Center for Scientific Program Nos. 93.866, Aging Research, Dated: June 8, 2011. Review Special Emphasis Panel, Small National Institutes of Health, HHS.) Jennifer S. Spaeth, Business: Respiratory Sciences. Dated: June 8, 2011. Date: July 14–15, 2011. Director, Office of Federal Advisory Jennifer S. Spaeth, Time: 9 a.m. to 5 p.m. Committee Policy. Agenda: To review and evaluate grant Director, Office of Federal Advisory [FR Doc. 2011–14685 Filed 6–13–11; 8:45 am] Committee Policy. applications. BILLING CODE 4140–01–P Place: National Institutes of Health, 6701 [FR Doc. 2011–14687 Filed 6–13–11; 8:45 am] Rockledge Drive, Bethesda, MD 20892, BILLING CODE 4140–01–P (Virtual Meeting). DEPARTMENT OF HOMELAND Contact Person: Ghenima Dirami, PhD, SECURITY Scientific Review Officer, Center for DEPARTMENT OF HEALTH AND Scientific Review, National Institutes of HUMAN SERVICES [Docket No. DHS–2009–0026] Health, 6701 Rockledge Drive, Room 4122, Chemical Facility Anti-Terrorism MSC 7814, Bethesda, MD 20892, 301–594– National Institutes of Health Standards Personnel Surety Program 1321, [email protected]. National Institute on Aging; Notice of (Catalogue of Federal Domestic Assistance Closed Meetings AGENCY: National Protection and Program Nos. 93.306, Comparative Medicine; Programs Directorate, DHS. 93.333, Clinical Research, 93.306, 93.333, Pursuant to section 10(d) of the ACTION: Response to comments received 93.337, 93.393–93.396, 93.837–93.844, Federal Advisory Committee Act, as during 30-day comment period: New 93.846–93.878, 93.892, 93.893, National amended (5 U.S.C. App.), notice is information collection request 1670– Institutes of Health, HHS.) hereby given of the following meetings. NEW. The meetings will be closed to the Dated: June 8, 2011. public in accordance with the SUMMARY: The Department of Homeland Jennifer S. Spaeth, provisions set forth in sections Security (DHS or the Department), Director, Office of Federal Advisory 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., National Protection and Programs Committee Policy. as amended. The grant applications and Directorate (NPPD), Office of [FR Doc. 2011–14688 Filed 6–13–11; 8:45 am] the discussions could disclose Infrastructure Protection (IP), BILLING CODE 4140–01–P confidential trade secrets or commercial Infrastructure Security Compliance

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Division (ISCD) has submitted an the underlying ICR or of the 30- or 60- submit information to DHS, are referred information collection request (ICR) to day notices preceding this notice. The to in this notice as ‘‘affected the Office of Management and Budget CFATS Personnel Surety Program is not individuals.’’ 1 (OMB) for review and clearance in intended to halt, hinder, or replace Information will be submitted to accordance with the Paperwork these three other types of background NPPD through the Chemical Security Reduction Act of 1995 (PRA). The checks, nor is it intended to halt, Assessment Tool (CSAT), the online information collection is a new hinder, or replace high-risk chemical data collection portal for CFATS. The information collection. A 60-day public facilities’ performance of background high-risk chemical facility or its notice for comments was previously checks which are currently required for designees will submit the information of published in the Federal Register on employment or access to secure areas of affected individuals to DHS through June 10, 2009, at 74 FR 27555. A 30-day those facilities. CSAT. The submitters of this information (‘‘Submitters’’) for each public notice for comments was Background published in the Federal Register on high-risk chemical facility will also April 13, 2010, at 75 FR 18850. In the On October 4, 2006, the President affirm, to the best of their knowledge, 30-day notice the Department signed the DHS Appropriations Act of that the information is: (1) True, correct, responded to comments received during 2007 (the Act), Public Law 109–295. and complete; and (2) collected and the 60-day comment period. This notice Section 550 of the Act (Section 550) submitted in compliance with the responds to comments received during provides DHS with the authority to facility’s Site Security Plan (SSP) or the 30-day notice. This process is regulate the security of high-risk Alternative Security Program (ASP), as conducted in accordance with 5 CFR chemical facilities. DHS has reviewed and authorized and/or 1320.8. promulgated regulations implementing approved in accordance with 6 CFR Section 550, the Chemical Facility Anti- 27.245. The Submitter(s) of each high- FOR FURTHER INFORMATION: A copy of the Terrorism Standards, 6 CFR Part 27. risk chemical facility will also affirm ICR, with applicable supporting Section 550 requires that DHS that, in accordance with their Site documentation, may be obtained establish Risk Based Performance Security Plans, notice required by the through the Federal Rulemaking Portal Standards (RBPS) as part of CFATS. Privacy Act of 1974, 5 U.S.C. 552a, has at http://www.regulations.gov. RBPS–12 (6 CFR 27.230(a)(12)(iv)) been given to affected individuals before SUPPLEMENTARY INFORMATION requires that regulated chemical their information is submitted to DHS. Program Description facilities implement ‘‘measures DHS will send a verification of receipt designed to identify people with (previously referred to as a ‘‘verification The Chemical Facility Anti-Terrorism terrorist ties.’’ The ability to identify of submission’’ in the 60-day and 30-day Standards (CFATS), 6 CFR Part 27, individuals with terrorist ties is an notices) to the submitter(s) of each high- require high-risk chemical facilities to inherently governmental function and risk chemical facility when a high-risk submit information to the Federal requires the use of information held in chemical facility: (1) Submits government about facility personnel government-maintained databases, information about an affected individual and, as appropriate, unescorted visitors which are unavailable to high-risk for the first time; (2) submits additional, with access to restricted areas or critical chemical facilities. Therefore, DHS is updated, or corrected information about assets at those facilities. As part of the implementing the CFATS Personnel an affected individual; and/or (3) CFATS Personnel Surety Program this Surety Program, which will allow notifies DHS that an affected individual information will be vetted by the chemical facilities to comply with no longer has or is seeking access to that Federal government against the Terrorist RBPS–12 by implementing ‘‘measures facility’s restricted areas or critical Screening Database (TSDB) to identify designed to identify people with assets. known or suspected terrorists (KSTs). terrorist ties.’’ Upon receipt of each affected The TSDB is the Federal government’s DHS has submitted the proposed individual’s information in CSAT, consolidated and integrated terrorist information collection for the CFATS NPPD will send a copy of the watchlist of known and suspected Personnel Surety Program to OMB for information to TSA. Within TSA, the terrorists, maintained by the Department review and clearance in accordance Office of Transportation Threat of Justice (DOJ) Federal Bureau of with the Paperwork Reduction Act of Assessment and Credentialing (TTAC) Investigation’s (FBI) Terrorist Screening 1995. conducts vetting against the TSDB for Center (TSC). For more information on several DHS programs. TTAC will the TSDB, see DOJ/FBI—019 Terrorist Overview of CFATS Personnel Surety Process compare the information of affected Screening Records System, 72 FR 47073 individuals collected by DHS (via (August 22, 2007). The CFATS Personnel Surety Program CSAT) to information in the TSDB. High-risk chemical facilities must also will work with the DHS Transportation TTAC will forward potential matches to perform three other types of background Security Administration (TSA) to the TSC, which will make a final checks in order to comply with CFATS’ identify individuals who have terrorist determination of whether an Personnel Surety Risk-Based ties by vetting information submitted by individual’s information is identified as Performance Standard 12 (RBPS–12). each high-risk chemical facility against a match to a record in the TSDB. See 6 CFR 27.230(a)(12)(i)–(iii): High- the TSDB. In the event that an affected risk chemical facilities must ‘‘perform High-risk chemical facilities or their individual’s information is confirmed to appropriate background checks * * * designees will submit the information match a record in the TSDB (which DHS including (i) Measures designed to of: (1) Facility personnel who have or refers to as a ‘‘match to the TSDB,’’ or verify and validate identity; (ii) are seeking access, either unescorted or Measures designed to check criminal otherwise, to restricted areas or critical 1 Individual high-risk facilities may classify history; [and] (iii) Measures designed to assets; and (2) unescorted visitors who particular contractors or categories of contractors verify and validate legal authorization to have or are seeking access to restricted either as ‘‘facility personnel’’ or as ‘‘visitors.’’ This determination should be a facility-specific work.’’ These three other types of areas or critical assets. These persons, determination, and should be based on facility background checks are not the subjects about whom high-risk chemical security, operational requirements, and business of this notice, nor are they subjects of facilities and facilities’ designees will practices.

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simply as a ‘‘match’’), the TSC will vetting performed as part of the CFATS chemical facility, and which points of notify NPPD and the appropriate Personnel Surety Program. For purposes contact the Department or Federal law Federal law enforcement agency for of clarifying the exact data points which enforcement personnel may contact coordination, investigative action, and/ will be routinely collected as part of the with follow-up questions. A request for or response, as appropriate. NPPD will CFATS Personnel Surety Program, the additional information from DHS does not routinely provide vetting results to Department offers the following data not imply, and should not be construed high-risk chemical facilities nor will it clarification to the public. To verify to indicate, that an individual is known provide results to an affected individual enrollment in a DHS screening program, or suspected to be associated with whose information has been submitted the high-risk chemical facility must terrorism. by a high-risk chemical facility. As submit the affected individual’s: DHS may also collect information warranted, high-risk chemical facilities a. Full Name; provided by individuals or high-risk may be contacted by DHS or Federal law b. Date of Birth; and chemical facilities in support of any enforcement agencies as part of law c. Program-specific information or redress requests or any adjudications enforcement investigation activity. credential information, such as unique initiated under CFATS. number, or issuing entity (e.g., State for Information Collected DHS may request information Commercial Driver’s License with an pertaining to affected individuals, DHS may collect the following Hazardous Materials Endorsement). previously provided to DHS by high-risk information about affected individuals: When verifying enrollment in a DHS chemical facilities, in order to confirm • Full name; screening program, the high-risk the accuracy of that information, or to • Aliases; chemical facility may also (optionally) conduct data accuracy reviews and • Date of birth; submit the affected individual’s: • audits as part of the CFATS Personnel Place of birth; a. Aliases; Surety Program. • Gender; b. Place of birth; DHS will also collect administrative • Citizenship; c. Gender; or programmatic information (e.g., • Passport information; d. Citizenship; and affirmations or certifications of • Visa information; e. DHS Redress Number. • Alien registration number; If high-risk chemical facilities find it compliance, extension requests, brief • DHS Redress Number (if available). administratively easier to submit to DHS surveys for process improvement, etc.) For purposes of clarifying the exact the routine vetting information of an necessary to manage the CFATS data points which will be routinely affected individual, even if the affected Personnel Surety Program. collected as part of the CFATS individual has been previously vetted, The Department will also collect Personnel Surety Program, the facilities may do so. In that case, DHS information that will allow high-risk Department offers the following data will vet affected individuals against the chemical facilities to manage their data clarification to the public. Under this TSDB, and will not seek to verify an submissions. Specifically, the information collection, the Department affected individual’s enrollment in Department will make available to high- will require that high-risk chemical TWIC, HME, NEXUS, SENTRI or FAST. risk chemical facilities two blank data facilities submit the following DHS will collect information that fields. These blank data fields may be information about affected individuals identifies the high-risk chemical facility used by a high-risk chemical facility to that are U.S. Citizens and Lawful or facilities, to which the affected assign each record of an affected Permanent Residents, for vetting against individual has or is seeking access to individual a unique designation or the TSDB: restricted areas or critical assets. number that is meaningful to the high- a. Full name; DHS may contact a high-risk chemical risk chemical facility. Collecting this b. Date of birth; and facility to request additional information will enable a high-risk c. Citizenship or Gender. information (e.g., visa information) chemical facility to manage the The Department will require that pertaining to particular individuals in electronic records it submits into CSAT. high-risk chemical facilities submit the order to clarify suspected data errors or Entering this information into CSAT following information about affected resolve potential matches (e.g., in will be completely voluntary, and is individuals that are Non-U.S. Persons, situations where an affected individual intended solely to enable high-risk for vetting against the TSDB: has a common name). Such requests chemical facilities to search through, a. Full name; will not imply, and should not be sort, and manage the electronic records b. Date of birth; construed to indicate, that an they submit into. c. Citizenship; and individual’s information has been Responses to Comments Received d. Passport information and/or alien confirmed as a match to a TSDB record. During the CFATS Personnel Surety registration number. In the event that a confirmed match Program ICR 30-Day Comment Period To reduce the likelihood of false is identified as part of the CFATS positives in matching against the TSDB, Personnel Surety Program, DHS may The Department received 20 high-risk chemical facilities may also obtain references to and/or information comments in response to the 30-day (optionally) submit the following from other government law enforcement notice for comment. Comments were information about affected individuals: and intelligence databases, or other received from eight private sector a. Aliases; relevant databases that may contain companies; nine associations; one b. Gender (for Non-U.S. persons); terrorism information. training council; one union; and one c. Place of birth; and DHS may collect information council composed of chemical industry d. DHS Redress Number. necessary to assist in tracking trade associations. Many of the In lieu of conducting new TSDB submissions and transmission of comments were in response to the vetting of an affected individual, DHS records, including electronic questions posed by the Department in may collect information to verify that an verification that DHS has received a the 30-day notice for comments. The affected individual is currently enrolled particular record. Department first addresses comments in a DHS program that also requires a DHS may also collect information responding to questions posed in the 30- TSDB check equivalent to the TSDB about points of contact at each high-risk day notice, and then responds to

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unsolicited comments received in appropriate follow-up action if it individuals: (1) Serves no security response to the 30-day notice. determines that known or suspected purpose; (2) means that the Department terrorists have or seek access to (A) On Behalf of OMB, DHS Solicited is not granting TSDB vetting reciprocity restricted areas or critical assets at high- Comments That Evaluate Whether the between its own programs; and (3) is risk chemical facilities. Proposed Collection of Information Is redundant, particularly in situations Comment: One commenter stated that where commenters believe that other Necessary for the Proper Performance of the information collection and vetting the Functions of the Agency, Including DHS credentialing programs have more processes described in the 30-day notice stringent vetting criteria than CFATS. Whether the Information Will Have appeared to be an attempt to shift Practical Utility Several commenters requested responsibility from the government to clarification on which Federal Comment: The Department received the private sector. The commenter credentialing programs the Department several comments addressing whether suggested that the 30-day notice read as will recognize as conducting TSDB the proposed collection of information though facilities will assist the Federal checks equivalent to CFATS Personnel had any practical utility. One government in the performance of anti- Surety Program TSDB checks. commenter suggested that the CFATS terrorism duties. Personnel Surety Program does not Response: High-risk chemical Response: The 30-day notice provide owners or operators of regulated facilities will submit information reiterated the Department’s position, facilities with a value-added tool to pertaining to affected individuals to first outlined in the preamble to the IFR, screen potential personnel, contractors, DHS as part of the CFATS Personnel that DHS supports the sharing and reuse and visitors or to identify potential Surety Program. In the preamble to the of vetting results. See 72 FR 17709 (Apr. security risks. Another commenter CFATS Interim Final Rule (IFR), DHS 9, 2007). An affected individual will not suggested that the proposed program is stated that background checks need to undergo additional vetting as a one-way process that provides identifying individuals with terrorist part of the CFATS Personnel Surety information to the Department on ties, required by 6 CFR 27.230(a)(12)(iv), Program if he/she has successfully personnel with access to restricted can only be achieved by conducting undergone TSDB vetting, and possesses areas, without any feedback provided to vetting against the TSDB. See 72 FR a valid credential or endorsement, as the owners or operators of regulated 17709 (Apr. 9, 2007). Determining part of the Department’s Transportation facilities on their personnel. In contrast, whether individuals’ information Worker Identification Credential (TWIC) one commenter stated that, ‘‘[i]n the matches a record in the TSDB program, Hazardous Materials context of CFATS requirements for necessarily includes checks of data sets Endorsement (HME) program, NEXUS personal surety and protecting the that are not commercially available. The program, Secure Electronic Network for nation’s chemical infrastructure, the design of the CFATS Personnel Surety Travelers Rapid Inspection (SENTRI) consolidated and integrated terrorist Program will allow high-risk chemical program, or Free and Secure Trade watchlist, even with [its] limitations facilities to comply with 6 CFR (FAST) program. DHS must collect a * * * is likely the best check for 27.230(a)(12)(iv) by submitting limited amount of information for that potential terrorists by DHS compared to information necessary for DHS to affected individual, however, to other methods and information.’’ conduct vetting against the TSDB. Response: The CFATS Personnel Comment: DHS received comments determine that the affected individual is Surety Program is necessary for the regarding individuals who have currently enrolled in an above-listed proper performance of the functions of previously undergone TSDB vetting DHS program. This information is the Department, including protecting equivalent to CFATS Personnel Surety necessary (1) To verify that the affected chemical facilities and the nation from Program TSDB vetting, and who have individual is currently enrolled in the terrorist attacks. DHS will perform this been subsequently issued and currently DHS program, and (2) to enable DHS to responsibility by identifying individuals maintain active, valid credentials or access both the original enrollment data with terrorist ties that have or are endorsements (e.g., Transportation and the TSDB vetting results already in seeking access to restricted areas or Worker Identification Credentials) as a the possession of the Department, when critical assets at high-risk chemical result of that previous vetting. necessary. The following information is facilities. The CFATS Personnel Surety Commenters stated that the necessary to verify an affected Program also has practical utility— Department’s collection of information individual’s enrollment in a DHS enabling the Federal government to take from facilities about these affected program:

TWIC HME NEXUS SENTRI FAST

Name ...... Required ...... Required ...... Required ...... Required ...... Required. Date of Birth ...... Required ...... Required ...... Required ...... Required ...... Required. Unique Credential In- —TWIC Serial Num- —Commercial Driv- —PASS Number: Re- —PASS Number: Re- —PASS Number: Re- formation. ber: Required. er’s License (CDL) quired. quired. quired. —Expiration Date: Issuing State(s): —Expiration Date: —Expiration Date: —Expiration Date: Required. Required. Required. Required. Required. —CDL Number: Re- quired. —Expiration Date: Required.

If DHS cannot confirm an affected verified, DHS will either: (1) Notify the in a DHS program; and/or (2) vet the individual’s current enrollment in one high-risk chemical facility that the affected individual against the TSDB. of the previously mentioned programs, Department could not verify that the When a high-risk chemical facility is or if previous vetting results cannot be affected individual is currently enrolled notified that the Department could not

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verify that the affected individual is individuals’ personal data to DHS as agency without any corollary currently enrolled in a DHS program, part of the CFATS Personnel Surety enhancement to security. the high-risk chemical facility must Program in order for DHS to reuse Response: ATF conducts point-in- either: (1) Submit additional previously-submitted enrollment time vetting against the TSDB, which information, which corrects or updates information and previous vetting means that ATF’s checks are conducted the previous information to verify results. The CFATS Personnel Surety at only specified times, not on a enrollment; or (2) provide sufficient Program will require only the minimum recurrent basis. Recurrent vetting is a information for the Department to information necessary to verify affected DHS best practice, and compares an conduct vetting of the affected individuals’ enrollments in the TWIC, affected individual’s information against individual against the TSDB. Such HME, NEXUS, SENTRI, and FAST new and/or updated TSDB records as notifications from DHS will not imply, programs. new and/or updated records become and should not be construed to indicate, Comment: Several commenters available. that an individual has been confirmed suggested that it may be reasonable for (B) On Behalf of OMB, DHS Solicited as a match to the TSDB. DHS to require chemical facilities to Comments Which Evaluate the If high-risk chemical facilities find it perform visual inspections of TWICs Accuracy of the Department’s Estimate administratively easier to submit and other existing credentials, but that of the Burden of the Proposed Collection information about affected individuals requiring chemical facilities to submit of Information, Including the Validity of for vetting against the TSDB (rather than data pertaining to affected individuals the Methodology and Assumptions Used leveraging previous vetting against the possessing such other credentials would Comment: The Department received TSDB), high-risk chemical facilities may not serve any legitimate security comments which supported the do so. In that case, DHS will vet affected purpose. Further, one commenter stated proposed CFATS Personnel Surety individuals against the TSDB, and will that facilities not regulated under the Program information submission not seek to verify an affected Maritime Transportation Security Act schedule, published in the Federal individual’s enrollment in TWIC, HME, (MTSA) should not be expected to Register on April 13, 2010, at 75 FR NEXUS, SENTRI, or FAST. obtain ‘‘readers’’ for TWIC credentials. Comment: Several commenters 18853, as part of the Department’s 30- Response: As previously discussed, suggested that the Department was not day notice. The Department also DHS will collect information about following recently-issued White House received comments raising the point affected individuals who are currently recommendations to promote that the proposed schedule would create enrolled in certain DHS programs with comparability and reciprocity across situations in which an affected equivalent TSDB vetting to verify that credentialing and screening programs. individual’s name will be submitted to each affected individual is currently One commenter specifically referred to DHS after he/she no longer has access Recommendation 16 of the Surface enrolled in the TWIC, HME, NEXUS, to a high-risk chemical facility. Several Transportation Security Priority SENTRI, and/or FAST programs. commenters highlighted this issue by Assessment, which recommends that DHS agrees that there is no pointing out that commercial delivery the Federal government ‘‘Create a more expectation or requirement that non- companies may not always send the efficient Federal credentialing system by MTSA facilities be equipped with TWIC same driver to a high-risk chemical reducing credentialing redundancy, readers. DHS also emphasizes that facility. leveraging existing investments, and TWICs are not required for persons Response: Based in part on implementing the principle of ‘enroll accessing facilities regulated by CFATS. commenters’ concerns, DHS will revise once, use many’ to reuse the High-risk chemical facilities may, the proposed information submission information of individuals applying for however, choose to leverage TWIC schedule previously published in the multiple access privileges.’’ See The credentials as part of the identity, legal 30-day notice. The revised schedule will White House (March 2010), http:// authorization to work, and criminal be published in the Federal Register www.whitehouse.gov/sites/default/files/ history background checks they perform and/or disseminated to high-risk rss_viewer/STSA.pdf. as part of 6 CFR 27.230(a)(12)(i)–(iii). chemical facilities individually, and Response: The design of the CFATS The precise manners in which high-risk will align with the RBPS Metric 12.1 for Personnel Surety Program aligns with chemical facilities could leverage TWIC ‘‘new/prospective employees [facility the recommendations of the Surface credentials as part of identity, legal personnel] & unescorted visitors.’’ (See Transportation Security Priority authorization to work, and criminal Table 17 in the May 2009 Risk Based Assessment. history background checks could vary Performance Standards Guidance, In discussions with high-risk from facility to facility, and should be http://www.dhs.gov/xlibrary/assets/ chemical facilities, DHS has discovered described in individual facilities’ SSPs. chemsec_cfats_riskbased_performance_ that the concept of ‘‘enroll once, use The precise manners in which facilities standards.pdf.) Specifically, the revised many’’ may have been misinterpreted by could leverage TWIC credentials as part schedule will require high-risk chemical commenters as meaning that an of these other background checks are facilities to submit the information of individual should only need to submit beyond the scope of this Paperwork new affected individuals prior to access information to DHS once, and that DHS Reduction Act response to comments. to restricted areas or critical assets. The should never collect information from Comment: Several commenters Department is considering whether to that individual again. DHS, however, suggested that the Department should establish that high-risk chemical defines the ‘‘enroll once, use many’’ accept vetting results from other Federal facilities be required to submit the concept as the ability to reuse agencies, namely the Bureau of Alcohol, information at least 48 hours prior to previously-submitted program Tobacco, Firearms, and Explosives access to restricted areas or critical enrollment information and/or vetting (ATF), which conduct vetting against assets. The Department may, on a case results, upon collection of sufficient the TSDB. Commenters suggested that by case basis, allow for variances from information to confirm an individual’s without this accommodation, the the schedule. prior enrollment in a DHS program or Department would impose unreasonable In response to the comments received prior vetting results. High-risk chemical burdens on a segment of the community about commercial delivery drivers, DHS facilities will have to submit affected regulated by more than one Federal reminds the public that RBPS–12

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applies only to facility personnel with model facility categories. See CFATS Commenters also suggested that many access to a high-risk chemical facility’s Regulatory Assessment, section 5.1 high-risk facilities in the retail segment restricted areas or critical assets, and to (Apr. 1, 2007), http:// could see large numbers of visitors (i.e., unescorted visitors with access to a www.regulations.gov/ customers) entering facilities during high-risk chemical facility’s restricted #!documentDetail;D=DHS-2006-0073- peak retail times of the year. The areas or critical assets. Situations that 0116. Model facility categories were commenters suggested that depending require visitors to generally access a created using four variables: (1) To on how the Department defines high-risk chemical facility will not which of the four risk-based tiers a ‘‘unescorted visitor,’’ the total annual result in submission of information for covered facility is assigned; (2) whether number of respondents could be an vetting under the CFATS Personnel a covered facility is ‘‘enclosed’’ (inside order of magnitude greater than the Surety Program if the visitors do not a building) or ‘‘open’’ (not inside a 354,400 figure estimated by the agency. have access to restricted areas or critical building); (3) the size of a covered Commenters did not specify any order assets, or if the visitors are escorted facility (large or small); and (4) whether of magnitude, so the Department through restricted areas and critical the chemicals at a covered facility are at assumed that commenters were assets. If commercial delivery drivers risk of theft or diversion for subsequent suggesting that during peak times of the visiting high-risk chemical facilities are use as weapons or weapons year the Department should estimate an escorted, or if they do not have access components. These variables provided increase of one order of magnitude (i.e., to restricted areas or critical assets in the Department with 16 variations for 3,189,600 affected individuals) above the first place, then they will not be which different estimates could be the Department’s current annual affected individuals and will not be approximated. See CFATS Regulatory population estimate.2 The Department vetted under the CFATS Personnel Assessment at 23, table 15 (Apr. 1, does not believe that high-risk chemical Surety Program. 2007). Several of the variations of these facilities in the retail segment will opt If a high-risk chemical facility opts to model facility categories, notably Tier 4 to conduct the other background checks allow visitors (e.g., commercial truck Groups A, B, and C, do account for required under 6 CFR 27.230(a)12(i)– drivers) unescorted access to its agricultural retail or distribution (iii) on these individuals due to the cost restricted areas or critical assets, the facilities that cannot isolate restricted and burden that would place on the visitors will be considered affected areas or critical assets to a limited high-risk chemical facility. Hence, high- individuals and the facility will be number of employees or visitors. risk chemical facilities in the retail required to both (1) Perform background Therefore, the Department believes that segment will likely ensure, through checks on the unescorted visitors as the information collection does their access controls, that customers required under 6 CFR 27.230(a)(12)(i)– reasonably account for agricultural retail will not become affected individuals. (iii), and (2) submit information or distribution facilities that cannot Therefore, the Department has chosen pertaining to those visitors to the isolate restricted areas or critical assets not to modify the total number of Department to identify individuals with to a limited number of facility personnel respondents based upon peak retail terrorist ties. The Department recognizes or unescorted visitors. times of the year. that this may, or may not, necessitate Second, some commenters assumed The Department has concluded that changes in business operations of high- that the Department failed to account for the comments which estimated that the risk chemical facilities. respondents at facilities that would be total annual cost on the regulated Comment: Many commenters required to submit Top-Screen community of the CFATS Personnel suggested the Department did not consequence assessments to DHS if the Surety Program would be $120,000,000 accurately estimate the burden to high- ‘‘indefinite time extension’’ issued by were based on inaccurate assumptions. risk chemical facilities because it the Department on January 9, 2008 is Comment: One commenter stated that underestimated the affected population. lifted. The Department disagrees with it conducted a study of twelve industry The commenters suggested a total the commenters because the total members and subsequently concluded population of 10,000,000 affected respondent estimate used by the the Department had significantly individuals, rather than the Department was derived from the underestimated the burden on the Department’s estimate of 1,063,200 CFATS Regulatory Assessment, which industry. affected individuals. Using the was published (on April 1, 2007) prior Response: The Department requested Department’s estimated time per to the ‘‘indefinite time extension’’ from the commenter, and was respondent of 0.59 hours, commenters (issued on January 9, 2008). The CFATS subsequently provided, the survey data estimated 6,000,000 burden hours. The Regulatory Assessment assumed the underlying the study referenced in the majority of commenters used an average inclusion of these facilities when commenter’s response. The survey hourly rate of $20.00. Commenters estimating the population of individuals requested information and specific estimated that total annual cost of the affected by Personnel Surety costs. numeric data from 34 facilities (owned CFATS Personnel Surety Program The third assumption that and operated by 12 industry members). would be $120,000,000. commenters used to support an The facilities ranged from a small Response: DHS disagrees with several estimated total number of 10,000,000 research facility to several large of the commenters’ assumptions that affected individuals was that the facilities. The Department concluded resulted in the $120,000,000 estimate. Department should include the that an increase in the estimated First, commenters suggested that the population of individuals working at number of respondents was justified, ICR estimate of 1,063,200 total approximately 3,200 MTSA-regulated based on the survey data received. respondents (i.e., affected individuals) facilities in its estimate of the The Department has concluded that did not account for agricultural retail or population of affected individuals. The the type of facilities surveyed generally distribution facilities that cannot isolate Department is precluded from including aligned with Group A facilities restricted areas or critical assets to a any population in the total number of (described in section 5.1 of the CFATS limited number of employees or visitors. respondents explicitly excluded from In the CFATS Regulatory Assessment regulation under CFATS. MTSA 2 The estimate of 3,189,600 affected individuals is the Department approximated facilities are excluded from regulation derived from [(354,000 affected individuals x 10)— compliance costs through the use of under CFATS by Section 550. 354,400 affected individuals]

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Regulatory Assessment). Based on the and costs submitted to OMB as part of information to DHS. The commenter survey, and based on a brief description the CFATS Personnel Surety Program suggested that requiring covered of facilities responding to the survey, ICR are reflected at the conclusion of facilities to collect, verify, submit, and the Department increased, for the this notice. maintain this information creates an purposes of this ICR, the estimate of Comment: Many commenters increased legal liability for covered Group A facilities by an order of suggested that the Department did not facilities that have to accurately and magnitude thus matching the results of accurately estimate the burden because timely collect, verify, submit, maintain the survey. the estimate was limited to those and protect this sensitive information. In reviewing the comments, as well as activities listed in 5 CFR 1320.3(b)(1). Response: DHS presumes that the survey data provided, the Commenters suggested that such a limit chemical facilities, as employers, have Department identified a minor does not account for unnecessary access to basic biographical information computational error when calculating investigations, or for justified or (such as names, dates of birth, genders, the total annual number of respondents unjustified adverse employment and citizenships) of many facility in the 60-day and 30-day notices. decisions that could result from a personnel and visitors. Specifically, the Department in the 30- person’s possibly unjustified presence As part of RBPS–12, each high-risk day and 60-day notices improperly on the TSDB. One commenter expressed chemical facility is also required to assumed that total number of concern that the Department’s estimate conduct background checks to verify the respondents as 1,063,200 affected did not account for the burden on identity, legal authorization to work, individuals over a three-year period. affected individuals whose information and criminal history of affected Rather in the CFATS Regulatory matches that of records in the TSDB, but individuals. Many high-risk chemical Assessment the Department had who are not in fact terrorists. facilities are collecting, verifying, and assumed the total population of Response: The activities which the properly maintaining information individuals to be screened at 1,063,200 Department must account for when necessary for these other verifications with an additional annual turnover that estimating the burden of an ICR are already. This already-collected resulted in an additional 177,290 limited in scope to those activities listed information should include many, if not respondents during the second and in 5 CFR 1320.3(b)(1). Specifically, 5 most of the necessary data elements third years. Therefore, in the 60-day and CFR 1320.3(b)(1) requires the required for submission to DHS to 30-day notices the Department should Department to estimate the total time, complete the check for an individual’s have estimated a total number of effort, or financial resources expended ties to terrorism. respondents over three years as by persons to generate, maintain, retain, Comment: A few commenters stated 1,417,780 resulting in 472,593 annual disclose, or provide information to or that high risk chemical facilities are number of respondents. for a Federal agency. The potential rarely in a legal position to guarantee In accounting for this minor burden described by the commenters is the truth, correctness or completeness of computational error, and for the not related to the burden high-risk information related to contractors, increase of Group A facilities by an chemical facilities incur in collecting vendors, truck drivers or any other non- order of magnitude, the Department has and submitting the information of employees. Requiring signed documents revised its average total annual number affected individuals to DHS, nor is it by company officials will not ensure of respondents from 354,400 to within the scope of the activities listed that information from parties outside of 1,303,700. As a consequence, the in 5 CFR 1320.3(b)(1). their legal control is true, correct, and estimated time per respondent (i.e., total complete. One commenter expressed (C) On Behalf of OMB, DHS Solicited burden hours/number of respondents) concern that company or facility Comments To Enhance the Quality, was revised from 0.59 hours to 0.54 representatives are not experts in Utility, and Clarity of the Information hours. determining the validity of Comment: Three of the four To Be Collected identification, and the affirmation commenters that analyzed the estimated Comment: One commenter suggested statements the Department will require costs outlined in the 30-day notice that requiring covered facilities to each Submitter to affirm should be suggested an appropriate wage rate of collect, submit and maintain affected modified to be ‘‘the same information $20 per hour while the fourth individuals’ information creates a presented by the affected individual.’’ commenter suggested the wage rate situation subject to data entry errors and Response: Each Submitter will be would range between $20 and $40 per presents a significant challenge to expected to affirm, to the best of his/her hour. maintain current information. knowledge, that the information he/she Response: Based upon the Response: The Department has made submits to DHS on behalf of a high-risk commenters’ suggestions, the an effort to create a user-friendly Web chemical facility for vetting against the Department has modified the wage rate. tool (in CSAT) that will reduce data TSDB is true, correct, and complete. In Since comments on the appropriate entry errors. Hence, the Department the event that a high-risk chemical wage rate ranged from $20 to $40 per believes that Submitters of high-risk facility submits incorrect information hour, we picked the midpoint of $30 for chemical facilities will be able to affirm through no fault of its own, the our hourly wage rate. To account for the that, to the best of their knowledge, Department will expect the high-risk cost of employee benefits such as paid information submitted to DHS as part of chemical facility to update the leave, insurance, retirement, etc., we the CFATS Personnel Surety Program is information in accordance with the multiplied the base wage rate of $30 by true, correct, and complete. proposed submission schedule. Steps 1.4 to arrive at a fully loaded wage rate Comment: One commenter suggested that high-risk chemical facilities might of $42 per hour.3 The updated analysis that it would be inappropriate to require take to validate personal information facilities to submit affected individuals’ collected as part of identity, legal 3 The average hourly wage rate previously used authorization to work, or criminal by the Department in the 30-day and 60-day notices for passage of time since publication of the history checks are beyond the scope of was $84. This average hourly wage rate was based Regulatory Assessment. See CFATS Regulatory upon the hourly wage rate estimate for Site Security Assessment (Apr. 1, 2007), http:// this notice and are beyond the scope of Officers (SSO) contained in section 6.3.1 of the www.regulations.gov/#!documentDetail;D=DHS- the CFATS Personnel Surety Program CFATS Regulatory Assessment, adjusted to account 2006-0073-0116. ICR.

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Comment: The Department received specific determination, and should be Program, to be made available on the comments requesting clarity as to based on facility security, operational Department’s Web page at http://www. whether covered facilities should requirements, and business practices. dhs.gov/privacy and http://www.dhs. submit names of emergency personnel The Department’s estimates regarding gov/chemicalsecurity. The Department who would qualify as affected the information collection burden of the will also publish a System of Records individuals. One commenter noted a Personnel Surety Program reflect this Notice (SORN) for the CFATS Personnel CFATS Frequently Asked Question approach. Surety Program, and a Notice of (FAQ) which indicated that fire Comment: One commenter was not Proposed Rulemaking proposing to take department personnel would not be aware of any facility that currently certain Privacy Act exemptions for the required to undergo background checks. maintains, in an easily accessible or CFATS Personnel Surety Program Response: The Department expects transferrable format, the information System of Records. high-risk chemical facilities to submit required for submission discussed in the the information of affected individuals ICR. (D) On Behalf of OMB, DHS Solicited in accordance with the submission Response: The Department believes Comments Regarding the Minimization schedule to be published or that the information necessary to of the Burden of Information Collection disseminated by the Department. For identify individuals with terrorist ties is on Those Who Are To Respond, purposes of RBPS–12, the Department already in the possession of many high- Including Tthrough the Use of affirms that certain populations are not risk chemical facilities, due to the other Aappropriate Automated, Electronic, affected individuals. Specifically: background checks already performed Mechanical, or Other Technological (1) Federal officials that gain unescorted by those facilities. The burden outlined Collection Techniques or Other Forms of access to restricted areas or critical in this ICR accounts for the fact that Information Technology (e.g., Permitting assets as part of the performance of their some facilities do not possess this Electronic Submissions of Responses) official duties are not affected information, and that others do not Comment: Three commenters individuals; (2) law enforcement possess this information in easily suggested that the Department should officials at the state or local level that accessible or transferrable formats. allow private third parties to submit gain unescorted access to restricted Comment: One commenter suggested information of individuals to DHS on areas or critical assets as part of the that various flaws in the TSDB and behalf of chemical facilities. performance of their official duties are various flaws in the Federal Specifically, these commenters not affected individuals; and government’s watchlisting protocols suggested that if private third parties (3) emergency responders at the state or need to be addressed in order to make could directly submit information, local level that gain unescorted access to the CFATS Personnel Surety Program substantial burden could be eliminated restricted areas or critical assets during viable and fair. for high-risk chemical facilities. Another emergency situations are not affected Response: As indicated in the CFATS commenter suggested that the individuals. This aligns with the IFR, the Department has determined Department should provide a means population assumptions for the CFATS that a TSDB check is necessary for the through which non-employees would be Personnel Surety Program embedded purpose of protecting restricted areas able to directly provide their within the Regulatory Assessment. and critical assets of high-risk chemical information to the Department. The Department has updated FAQ facilities from persons who may have Response: As part of the Personnel 1368 (see http://csat-help.dhs.gov), and ties to terrorism. See 72 FR 17708 Surety Program, DHS will also allow appreciates the comment which brought (Apr. 9, 2007). The TSDB is the Federal facilities to designate third party the FAQ to the Department’s attention. government’s integrated and individuals as Submitters. Designated Comment: One commenter suggested consolidated terrorist watchlist and is individuals will be able to submit TSDB that the Department is requesting the appropriate database to use to screening information to DHS on behalf information beyond what is required to identify individuals with terrorist ties. of the facilities that designate them as identify people with terrorist ties when Discussions regarding TSDB flaws and Submitters. collecting work phone numbers and the Federal government’s watchlisting Comment: Commenters suggested that work email addresses. The commenter protocols are beyond the scope of this the ICR places undue burdens and costs also suggested that collecting additional notice. on businesses that operate multiple information for auditing purposes is Comment: One commenter requested regulated facilities where redundant beyond the scope of CFATS. clarity about the Department’s reference information submissions would be Response: DHS no longer plans to that it may ‘‘collect information on required for a given individual who routinely collect affected individuals’ affected individuals as necessary to visits multiple sites. work phone numbers and work email enable it to provide redress.’’ Another Response: The Department has taken addresses. The Department disagrees, commenter expressed concern that the steps to minimize the potential for an however, that collection of information CFATS Personnel Surety Program affected individual’s information to be for auditing purposes is beyond the design does not set up a uniform, submitted multiple times. Further, in scope of CFATS. thorough system that gives workers full the event that an affected individual’s Comment: Several commenters appeals or waiver procedures. Several information is submitted to the suggested that the burden would be commenters expressed concern about Department multiple times, only one difficult to estimate unless the how the Department would provide record will be transmitted to TSA to be Department provided definitions for meaningful redress under the design of vetted against the TSDB. such terms as ‘‘contractor’’ and the CFATS Personnel Surety Program. The primary step the Department has ‘‘vendor.’’ Response: An ICR is not the taken to minimize the potential for an Response: Individual high-risk appropriate vehicle for the Department affected individual’s information to be facilities may classify particular to use to address privacy and redress submitted multiple times is ensuring contractors or vendors, or categories of issues related to the CFATS Personnel that companies with many high-risk contractors or vendors, either as Surety Program. The Department will chemical facilities have flexibility to ‘‘facility personnel’’ or as ‘‘visitors.’’ publish a Privacy Impact Assessment consolidate CSAT user roles. This determination should be a facility- (PIA) about the CFATS Personnel Surety Specifically, CSAT will provide

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companies the flexibility either to of commenters, however, reiterated * * *’’ could mean that sometimes it is consolidate their user roles to allow a comments submitted during the 60-day appropriate not to conduct background single Submitter for many facilities, or comment period expressing checks on individuals with access to to elect for each facility to disagreement with the definition of restricted areas or critical assets at high- independently submit information to affected individuals. Commenters risk chemical facilities. the Department. Each company may described the definition as a ‘‘new’’ Response: DHS disagrees with the implement the best strategy for itself. CFATS requirement for escorted facility commenters’ interpretation of 6 CFR Comment: Several commenters personnel and inconsistent with 27.230(a)(12). That section of CFATS suggested that requiring facilities to congressional intent, regulatory requires that high-risk chemical update and correct information about language contained in CFATS, guidance facilities perform identity checks, affected individuals will neither DHS has issued on RBPS satisfaction criminal history checks, legal ‘‘increase the accuracy of data (available at http://www.dhs.gov/ authorization to work checks, and collected,’’ nor ‘‘decrease the probability xlibrary/assets/chemsec_cfats_risk terrorist ties checks on both (1) Facility of incorrect matches’’ against the TSDB. based_performance_standards.pdf), and personnel with access (unescorted or The commenters further suggested that with other regulatory programs designed otherwise) to restricted areas or critical updating and correcting information to enhance the security of the nation’s assets, and (2) unescorted visitors with will significantly increase the critical infrastructure. For example, access to restricted areas or critical administrative burden on companies some commenters mentioned that the assets.5 required to provide the information and U.S. Coast Guard permits individuals Comment: One commenter will also increase the likelihood that without TWICs to access the secure representing farmer-owned cooperatives data may be incomplete and/or areas of MTSA-regulated facilities so explained that it is common for farmers inaccurate. long as those individuals are escorted. to be unescorted in or near critical Response: The Department is Commenters requested additional assets or restricted areas of high-risk confident that matching correct and information as to why the Department chemical facilities when picking up accurate information against records in has seemingly crafted new categories of products sold by or available from those the TSDB increases the accuracy of the affected individuals in the context of facilities. The commenter stated that vetting process. The use of inaccurate or CFATS. such a farmer would be seen at various false data prevents DHS from accurately Response: The text of 6 CFR times by various people throughout screening individuals with or seeking 27.230(a)(12) identifies who should such facilities. The commenter access to high-risk chemical facilities for appropriately undergo background requested clarity as to whether or not ties to terrorism. checks as part of CFATS. The Comment: Several commenters such a farmer would be an affected population of individuals who must be individual. requested that the Department eliminate vetted under 6 CFR 27.230(a)(12) is the Response: The Department the requirement that facilities notify the same as described in both the 60-day emphasizes that each high-risk chemical Department when an affected individual and 30-day notices: (1) Facility facility has the ability to tailor its SSP no longer has access to a facility’s personnel who have or are seeking to meet its unique business and security restricted areas or critical assets. access (unescorted or otherwise) to needs, including the ability to tailor Response: For the duration that an restricted areas or critical assets, and access control procedures for restricted affected individual has or is seeking (2) unescorted visitors who have or are areas and critical assets. Each high-risk access to restricted areas or critical seeking access to restricted areas or chemical facility will need to consider assets at high-risk chemical facilities, critical assets.4 In this response to its unique security concerns when DHS will compare the affected comments, however, the Department determining which individuals will be individual’s information against new has clarified that certain populations are and/or updated TSDB records. When not affected individuals. Specifically: afforded access to restricted areas or the Department is made aware that an (1) Federal officials that gain unescorted critical assets. If a farmer-owned individual no longer has or is seeking access to restricted areas or critical cooperative, determined by the access, that individual’s information assets as part of the performance of their Department to be a high-risk chemical will no longer be vetted against the official duties are not affected facility, decided to establish access TSDB. Therefore, the Department will individuals; (2) law enforcement controls such that an unescorted not eliminate the requirement that officials at the State or local level that individual had access to restricted areas facilities must notify the Department gain unescorted access to restricted and critical assets within the high-risk when an affected individual no longer areas or critical assets as part of the chemical facility, then that unescorted has or is seeking access to a facility’s performance of their official duties are individual’s information would need to restricted areas or critical assets. not affected individuals; and be submitted to the Department. (3) emergency responders at the state or Comment: A few commenters (E) DHS Solicited Comments That local level that gain unescorted access to requested clarity from the Department Respond to the Department’s restricted areas or critical assets during as to whether or not the scope of RBPS– Interpretation of the Population emergency situations are not affected 12 extended beyond the physical Affected by RBPS–12’s Background individuals. perimeter of the high-risk chemical Check Requirement Comment: Some commenters facility and potentially impacted Comment: Some commenters suggested that the Department is individuals with access to networked acknowledged the plain reading of selecting only one possible computer systems. CFATS, describing what categories of interpretation of 6 CFR 27.230(a)(12). Response: If a networked computer individuals are affected individuals for Specifically, commenters suggested that system is listed as a restricted area or purposes of the CFATS Personnel a plain English interpretation of the text, critical asset in an approved SSP, then Surety Program, while expressing their ‘‘* * * appropriate background checks individuals with access to that dissatisfaction that the Department was on and ensure appropriate credentials networked computer system would be not pursuing rulemaking to modify the text of 6 CFR 27.230(a)(12). The majority 4 See footnote 1. 5 See footnote 1.

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affected individuals for purposes of facilities following vetting are beyond to submit updated or corrected RBPS–12. the scope of this notice. information about each affected Comment: One commenter individual, and to notify DHS when an (F) DHS Solicited Comments Which recommended that the Department affected individual no longer has or is Respond to the Statement That a collect information on all employees seeking access to that facility’s restricted Federal Law Enforcement Agency May, who have CFATS-related adverse areas or critical assets. if Appropriate, Contact the High-Risk employment decisions, and make this Although the Department will not Chemical Facility as a Part of a Law information (not including personal track the movement of affected Enforcement Investigation Into Terrorist identifiers) publically available. individuals between and among high- Ties of Facility Personnel Response: DHS will not collect risk chemical facilities, the Department Comment: The Department received information on employment decisions will associate an affected individual several comments suggesting that as part of the CFATS Personnel Surety with the high-risk chemical facility (or Federal law enforcement agencies Program. facilities) for which the high-risk should not be hindered in their (G) Respond to the Department’s chemical facility Submitter providing investigatory or anti-terrorism Intention To Collect Information That that affected individual’s information responsibilities. Most commenters Identifies the High-risk Chemical into CSAT is responsible. In the event believe, however, that both high-risk Facilities, Restricted Areas and Critical that a Submitter enters information into chemical facilities and individuals Assets to Which Each Affected CSAT on behalf of more than one facility, by default the Department will being vetted against the TSDB should, Individual Has Access on a routine basis, be notified of TSDB associate the affected individual with all vetting results. Comment: One commenter supported of the facilities for which the Submitter the Department’s intention to collect Response: It is the policy of the U.S. is responsible. A Submitter may, information that identifies the high-risk Government to neither confirm nor deny however, modify the lists of facilities chemical facilities to which each an individual’s status in the TSDB. with which particular affected affected individual has access. Most Comment: Several commenters individuals are associated. The commenters generally objected, suggested that the policy of not Department may contact the designated however, to the Department’s intention routinely notifying high-risk chemical points of contact for particular high-risk to collect information that identifies the facilities of vetting results is chemical facilities for several reasons, high-risk chemical facilities to which inconsistent with other Federal security including to identify exactly at which each affected individual has access. One vetting programs. One commenter stated high-risk chemical facilities particular commenter expressed concern that the that another Federal background check affected individuals have access to ICR indicated that the Department was program provides notice to the facility restricted areas or critical assets. collecting information about specific Comment: Commenters objected to and the individual when an individual restricted areas or critical assets within the Department’s intention to collect has or has not cleared a background each facility. information that identifies high-risk check. The commenter further stated Response: As part of the Personnel chemical facilities because commenters that, ‘‘[t]his notice does not reveal to the Surety Program the Department does not claimed that this would cause the employer facts that led the agency to intend to collect information that Department to run the risk of amassing disqualify the employee, but it does identifies the specific restricted areas so much information that the allow the employer the opportunity to and critical assets within high-risk information collected will be immediately, if appropriate, remove the chemical facilities to which each meaningless. employee from work functions that affected individual has or is seeking Response: The Department disagrees. would allow the individual to [perform access. DHS requires a minimum amount of sensitive work functions].’’ Comment: A common objection made information to perform checks to Response: Providing a vetting result by commenters was that the Department determine if affected individuals have back to the facility or the individual was creating a tool to track individuals’ ties to terrorism, and to identify the being vetted would conflict with the movement from site to site, resulting in facilities to which affected individuals U.S. Government policy to neither a program which far exceeds the have access. DHS requires this confirm nor deny an individual’s status Department’s stated goal of identifying information in order to carry out the in the TSDB. individuals that have ties to terrorism. terrorist ties checks required by CFATS. Comment: Several commenters Response: DHS has no intention to DHS is confident that that it can requested additional information about and will not track the movement of effectively collect and maintain this the process and procedures the Federal affected individuals between and among information, as appropriate. Government would follow in the event high-risk chemical facilities. The Comment: A few commenters that a known or suspected terrorist is Department will only require a high-risk reported that during a meeting between identified who has or seeks access to chemical facility to submit information DHS and the Chemical Sector restricted areas or critical assets at a about an affected individual to the Coordinating Council on April 28, 2010, high-risk chemical facility. Department (through CSAT) for the the Department stated its intention to Response: DHS will not routinely purpose of identifying individuals with collect information that identifies the notify high-risk chemical facilities of terrorist ties once. A high-risk chemical high-risk chemical facilities, restricted CFATS Personnel Surety Program facility will not need to submit to DHS areas, and critical assets to which each vetting results. DHS will coordinate information about a single affected affected individual has access, and that with Federal law enforcement entities to individual each time that affected it would use this information to conduct monitor and/or prevent situations in individual accesses restricted areas or analysis and investigations. which known or suspected terrorists critical assets. Response: DHS met with the have access to high-risk chemical As mentioned previously in this Chemical Sector Coordinating Council facilities. The precise manners in which notice, in accordance with the proposed on April 28, 2010, and reiterated the DHS or Federal law enforcement entities submission schedule, high-risk Department’s intention to collect could contact high-risk chemical chemical facilities will also be required information that identifies the high-risk

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chemical facilities to which each given to affected individuals before their Comment: Many commenters affected individual has access. The information is submitted to DHS. suggested that this ICR is improper Department clarified that in the event The Department’s request for an because it makes changes to CFATS and that a match to a record in the TSDB is exception to the requirement under 5 results in de facto rulemaking. identified, the Department would be CFR 1320.8(b)(3) would not exempt Specifically, commenters suggested that able to quickly identify the specific high-risk chemical facilities from having four elements of the CFATS Personnel chemicals of interest (COI) the match to adhere to applicable Federal, state, Surety Program are changes to CFATS may have access to and the contact local, or tribal laws, or to regulations or prescribing specific protocols for information of the appropriate person at policies pertaining to the privacy of administering background checks that the chemical facility. This information facility personnel and the privacy of take a categorically different approach may prove useful in determining an unescorted visitors. than all other TSDB background check appropriate Federal, state, or local (I) DHS Also Received Unsolicited programs currently administered in the response in the event that one is Comments in Response to the 30-day United States. Those elements were: (1) necessary. The Department emphasizes Notice Related to the CFATS Personnel The Department’s plan to conduct that there will be no ‘‘tracking’’ of Surety Program ‘‘recurrent vetting’’ of affected affected individuals, nor will DHS individuals, thus requiring facilities to collect information on specific restricted Comment: Several commenters notify the Department when a person no areas or critical assets to which an suggested that the CFATS Personnel longer has access to restricted areas or affected individual has or is seeking Surety Program outlined in the ICR critical assets; (2) the Department’s access, as part of the CFATS Personnel exceeds the Department’s statutory intention to require facilities to submit Surety Program. authority, because the proposed CFATS updates on an approved schedule Comment: Several commenters Personnel Surety Program design whenever an affected individual’s conflicts with Section 550. Commenters suggested that the Department should information has changed; (3) the suggested that the CFATS Personnel reach out to the facility contact that possibility that the Department would Surety Program’s design eliminates a submitted an individual’s information not recognize TSDB vetting results high-risk facility’s flexibility to achieve to determine specifics about the completed by other Federal programs as compliance with RBPS–12. Specifically, individual’s site access when satisfying RBPS–12’s terrorist ties check the commenters suggested that the circumstances warrant. requirement; and (4) the Department’s CFATS Personnel Surety Program Response: DHS will collect intention to link each affected design precludes a facility from information about facility points of individual to particular high-risk satisfying RBPS–12 by leveraging contact in case follow-up is necessary. chemical facilities. measures other than the CFATS (H) DHS Solicited Comments Which Personnel Surety Program to identify Response: The ICR, and the associated Respond to the Department’s Intention ties to terrorism, which commenters 60-day and 30-day notices, do not make to Seek an Exception to the Notice assert is a possible violation of Section changes to CFATS. The ICR and Requirement Under 5 CFR 1320.8(b)(3). 550. associated notices provide descriptions Comment: The Department received Response: The CFATS Personnel of the nature of the CFATS Personnel only a few comments in response to this Surety Program will not exceed the Surety Program’s information collection, question. None of these comments Department’s statutory authority, nor categories of respondents, estimated supported the Department’s intention to will it violate or conflict with Section burden, and costs. The PRA requires the seek an exception to the notice 550. DHS will provide and approve Department to provide sufficient detail requirement under 5 CFR 1320.8(b)(3). sufficient alternative methods for about how the Department would Response: The Department carefully facility satisfaction of the terrorism ties collect information under the CFATS reviewed the comments, but disagrees background check portion of RBPS–12. Personnel Surety Program to enable the that an exception to the Paperwork Specifically, the CFATS Personnel public to provide comment on that Reduction Act (PRA) requirement, as Surety Program will provide several information collection. contained in 5 CFR 1320.8(b)(3), that options to high-risk chemical facilities, Comment: Many commenters requires information collections to including the following options: suggested that the Department did not provide certain reasonable notices, will Facilities can restrict the numbers and properly account for Executive Order pose a risk to privacy. Therefore, the types of persons whom they allow to 12866 in issuing the 60- and 30-day Department will request from OMB an access their restricted areas and critical notices preceding this notice. Among exception for the CFATS Personnel assets, thus limiting the number of other things, Executive Order 12866 Surety Program to the PRA requirement, persons who will need to be vetted directs agencies to assess the effects of as contained in 5 CFR 1320.8(b)(3), against the TSDB. Facilities additionally Federal regulatory actions on state, which requires Federal agencies to have wide latitude in how they define local, and tribal governments, and the confirm that their information their restricted areas and critical assets private sector, and to provide qualitative collections provide certain reasonable in their SSPs, and thus are able to limit and quantitative assessments of the notices to affected individuals. If this or control the numbers and types of anticipated costs and benefits of Federal exception is granted, DHS will be persons requiring TSDB screening. mandates resulting in annual relieved of the potential obligation to Facilities can choose to escort visitors to expenditures of $100,000,000 or more, require high-risk chemical facilities to restricted areas and critical assets in lieu including the costs and benefits to state, collect signatures or other positive of performing the background checks local, and tribal governments, and the affirmations of these notices from required by RBPS–12 on them. Facilities private sector. Commenters suggested affected individuals. Whether or not this can also submit different biographic that the Department carefully consider exception is granted, DHS will still information to DHS through CSAT for whether the CFATS Personnel Surety require high-risk facilities to affirm that, affected individuals holding TWIC, Program ICR qualifies as a significant in accordance with their Site Security HME, NEXUS, SENTRI, or FAST rulemaking such that it is subject to Plans, notice required by the Privacy credentials than for affected individuals various requirements of Executive Order Act of 1974, 5 U.S.C. 552a, has been not holding such credentials. 12866.

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Response: The Department disagrees the commenter requested that the Comment: Several commenters that this information collection alone Department allow employees to apply suggested that collecting sufficient will generate expenditures in excess of for TWICs, if their individual jobs information to conduct the background $100,000,000. The Department also require them to have access to restricted checks required by RBPS–12 might disagrees that this information areas or critical assets at high-risk cause high-risk chemical facilities to collection constitutes rulemaking. When chemical facilities. The commentor violate State privacy laws and/or the the Department published CFATS, suggested that there is no language in Fair Credit Reporting Act, 15 U.S.C. however, it did consider CFATS to be a MTSA that expressly prohibits the use 1681 et seq. significant rulemaking. Therefore, in of TWICs at non-maritime facilities. Response: The Department does not compliance with the requirements of Response: TWIC’s authorizing statute, agree that participation in the CFATS Executive Order 12866, the Department the Maritime Transportation Security Personnel Surety Program will cause outlined in the CFATS Regulatory Act of 2002 (MTSA), as amended, 46 high-risk chemical facilities to violate Assessment the assumptions it used to U.S.C. 70101 et seq., explicitly applies the Fair Credit Reporting Act. Similarly, estimate the costs of CFATS, which ‘‘transportation security card’’ the Department does not agree that included the Department’s estimates requirements to: ‘‘individual[s] allowed participation in the CFATS Personnel related to Personnel Surety in section unescorted access to secure area[s] Surety Program will cause high-risk 6.3.10 of the CFATS Regulatory designated in * * * [maritime] vessel or chemical facilities to violate State law. Assessment. [maritime] facility security plan[s]’’ High-risk chemical facilities may Comment: A few commenters (70105(b)(2)(A)); certain MTSA license conduct the identity, legal authorization suggested that this information and permit holders (70105(b)(2)(B)); to work, and criminal history collection will have a significant maritime vessel pilots (70105(b)(2)(C)); background checks required by 6 CFR economic impact on a substantial maritime towing vessel personnel 27.230(a)(12)(i)–(iii) in a variety of number of small entities, which requires (70105(b)(2)(D)); individuals with access ways. Although identity, legal the Department to conduct a Regulatory to certain protected maritime security authorization to work, and criminal Flexibility Analysis in accordance with information (70105(b)(2)(E)); and certain history background checks are not the the Regulatory Flexibility Act (RFA). other individuals (70105(b)(2)(F)–(G)). subject of this notice, the Department Response: The RFA mandates that an Further, individuals are eligible to believes that high-risk chemical agency conduct an analysis when an receive a TWIC unless, among other facilities can structure and carry out agency is required to publish a notice of criteria, they have committed certain these background checks in compliance proposed rulemaking, not when ‘‘disqualifying criminal offense[s],’’ or with all applicable Federal and state soliciting comments in preparation of do not meet certain ‘‘immigration status laws, including the Fair Credit submitting an ICR to OMB for review requirements.’’ 49 CFR 1572.5(a)(1)–(2). Reporting Act and state privacy laws. and clearance in accordance with the The CFATS authorizing statute, Comment: One commenter stated that PRA. See 5 U.S.C. 603(a). The however, applies to ‘‘chemical facilities screening databases and watchlists Department concluded in the preamble that * * * present high levels of should be publicly accessible to allow to the IFR that because Congress security risk.’’ Department of Homeland for efficient and consistent background authorized DHS to proceed in Security Appropriations Act of 2007, checks. The commenter stated that other promulgating CFATS without the Pub. L. 109–295, 550 (Oct. 4, 2006). traditional notice-and-comment CFATS ‘‘does not apply to facilities U.S. and partner nation agencies share required by the Administrative regulated pursuant to the Maritime this information in the public domain, Procedure Act, the Department was not Transportation Security Act of 2002.’’ 6 which allows for regulated entities to required to prepare an Initial Regulatory CFR 27.110(b). CFATS Personnel Surety engage third-party vendors to facilitate Flexibility Analysis (IRFA) under the Program screening requirements apply background screening. The commenter Regulatory Flexibility Act. See 72 FR only to high-risk chemical facilities’ cited specifically Office of Foreign 17722 (Apr. 9, 2007). Even so, the ‘‘personnel, and as appropriate * * * Assets Control watch lists, which are Department did consider the impacts of unescorted visitors with access to available to the public. CFATS on small entities. Specifically, restricted areas or critical assets.’’ 6 CFR Response: The Department does not the CFATS Regulatory Assessment 27.230(a)(12). Individuals are not agree that the TSDB should be publicly contains the Department’s analysis of eligible for TWICs solely because they available. The TSDB is the U.S. the impacts of CFATS on small entities. have access to high-risk chemical government’s consolidated and After consideration of the percentage of facilities covered by CFATS. integrated terrorist watchlist, used to small entities that may have to comply Accordingly, the CFATS Personnel identify known or suspected terrorists, with the risk-based performance Surety Program is not duplicative with containing sensitive information not standards (which include background the TWIC program in terms of type of appropriate for public consumption. checks under the CFATS Personnel facilities covered or program objectives. The TSDB remains an effective tool in Surety Program) required by CFATS and High-risk chemical facilities may, the government’s counterterrorism the compliance costs explained in the however, choose to leverage TWIC efforts because its contents are not CFATS Regulatory Assessment, the credentials as part of the identity, legal disclosed. For example, if it was Department determined that CFATS authorization to work, and criminal revealed who was in the TSDB, terrorist may have a significant economic impact history background checks they perform organizations would be able to on a substantial number of small under CFATS. See 6 CFR circumvent the purpose of the terrorist entities. 27.230(a)(12)(i)–(iii). The precise watchlist by determining in advance Comment: One commenter requested manners in which high-risk chemical which of their members are likely to be that the Department remove facilities could leverage TWIC questioned or detained. administrative roadblocks that either credentials as part of identity, legal Comment: One commenter stated that complicate the CFATS Personnel Surety authorization to work, and criminal there is no central database that covered Program or prohibit measures that history background checks could vary entities could query to validate that an would simplify and enhance the CFATS from facility to facility, and should be already-existing background screening Personnel Surety Program. Specifically, described in individual facilities’ SSPs. may be on file with the Department.

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Response: DHS agrees that there is on them, is beyond the scope of this Signed: June 6, 2011. currently no central database that allows notice. David Epperson, the public to determine that an Conclusion Chief Information Officer, National Protection individual has already undergone and Programs Directorate, Department of screening by the Department. As mentioned in the summary section Homeland Security. Comment: One commenter was of this notice, DHS has submitted an [FR Doc. 2011–14382 Filed 6–13–11; 8:45 am] troubled by the information pertaining ICR to OMB for review and clearance in BILLING CODE 9110–9–P to RBPS–12 contained in Appendix C of accordance with the Paperwork the May 2009 Risk-Based Performance Reduction Act of 1995. This notice Standards Guidance (http://www.dhs. responds to comments received during DEPARTMENT OF HOMELAND gov/xlibrary/assets/chemsec_cfats_risk the 30-day notice. SECURITY based_performance_standards.pdf), Prior to implementation of the CFATS because the commenter believes that Personnel Surety Program, the Office of the Secretary certain types of measures, procedures, Department will also publish a Privacy [Docket No. DHS–2011–0032] policies, and plans mentioned in Impact Assessment (PIA) about the Appendix C are not appropriate for CFATS Personnel Surety Program, Privacy Act of 1974; Department of determining if chemical facility available on the Department’s Web page Homeland Security/National Protection personnel are terrorist threats. at http://www.dhs.gov/privacy and and Programs Directorate—002 Response: The Department expects http://www.dhs.gov/chemicalsecurity. Chemical Facility Anti-Terrorism high-risk chemical facilities to The Department will also publish a Standards Personnel Surety Program implement appropriate security System of Records Notice (SORN) for System of Records measures to conduct identity, criminal the CFATS Personnel Surety Program, AGENCY: Privacy Office, DHS. history, and legal authorization to work and a Notice of Proposed Rulemaking background checks. These security proposing to take certain Privacy Act ACTION: Notice of Privacy Act system of measures can vary from facility to exemptions for the CFATS Personnel records. facility commensurate with facility- Surety Program System of Records. SUMMARY: In accordance with the specific risks, security issues, and The Department will also publish a Privacy Act of 1974, the Department of business practices. The guidance notice, and/or send notice to high-risk Homeland Security proposes to referenced by the commenter (see pages chemical facilities individually, stating establish a new system of records notice 180 to 186 of the Risk-Based that the CFATS Personnel Surety titled, ‘‘Department of Homeland Performance Standards Guidance), and Program has been implemented. In that Security/National Protection and other guidance addressing identity, notice, the Department will include Programs Directorate—002 Chemical criminal history, and legal authorization description of how the CFATS Facility Anti-Terrorism Standards to work background checks, however, is Personnel Surety Program will be Personnel Surety Program System of not guidance addressing compliance implemented, as well as the information Records.’’ This new system of records with 6 CFR 27.230(a)(12)(iv), and as submission schedule high-risk chemical collects information on individuals,— such is not the subject of this notice, nor facilities will be required to follow. The facility personnel and unescorted is it the subject of the underlying ICR or notice will also describe how a high-risk of the 30- or 60-day notices preceding visitors—who have or are seeking access chemical facility can request a variance to restricted areas and critical assets at this notice. from the submission schedule. Comment: One commenter requested high risk chemical facilities and that the Department clarify what appeal Analysis compares this information to the or waiver options an affected individual Terrorist Screening Database, the Agency: Department of Homeland terrorist watchlist maintained by the has if his/her employer takes an adverse Security, National Protection and employment action against him/her Federal Bureau of Investigation’s Programs Directorate, Office of Terrorist Screening Center. The based on RBPS–12 background checks Infrastructure Protection, Infrastructure or based on information received or Department of Homeland Security is Security Compliance Division. issuing a Notice of Proposed obtained under the CFATS Personnel Title: CFATS Personnel Surety Rulemaking concurrently with this Surety Program. The commenter also Program. system of records elsewhere in the requested that the Department prevent Form: DHS Form 11000–29. high-risk chemical facilities from using OMB Number: 1670–NEW. Federal Register to exempt portions of personal information collected from Frequency: As required by a DHS- the system of records from one or more affected individuals as part of RBPS–12 approved schedule. provisions of the Privacy Act because of for purposes other than conducting the Affected Public: High-risk chemical criminal, civil, and administrative background checks required by RBPS– facilities as defined in 6 CFR Part 27, enforcement requirements. This newly 12. high-risk chemical facility personnel, established system of records will be Response: High risk chemical and as appropriate, unescorted visitors included in the Department of facilities’ employment actions are not with access to restricted areas or critical Homeland Security’s inventory of regulated by CFATS. assets. record systems. The ICR the Department will submit Number of Respondents: 1,303,700 DATES: Submit comments on or before to OMB, this notice, the 60-day notice, individuals. July 14, 2011. This system will be and the 30-day notice address the Estimated Time per Respondent: 0.54 effective July 14, 2011. CFATS Personnel Surety Program, not hours (32.4 minutes). ADDRESSES: You may submit comments, the identity, legal authorization to work, Total Burden Hours: 707,200 annual identified by docket number [DHS– and criminal history background checks burden hours. 2011–0032] by one of the following required by 6 CFR 230(a)(12)(i)–(iii). Total Burden Cost (capital/startup): methods: Discussion of information collected as $0.00. • Federal e-Rulemaking Portal: part of those other three background Total Burden Cost (operating/ http://www.regulations.gov. Follow the checks, or employment decisions based maintaining): $29,704,000. instructions for submitting comments.

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• Fax: 703–483–2999. designed to identify people with information about an affected individual • Mail: Mary Ellen Callahan, Chief terrorist ties.’’ for the first time; (2) submits additional, Privacy Officer, Privacy Office, The CFATS Personnel Surety Program updated, or corrected information about Department of Homeland Security, will work with the DHS Transportation an affected individual; and/or (3) Washington, DC 20528. Security Administration (TSA) to notifies DHS that an affected individual • Instructions: All submissions identify individuals who have terrorist no longer has or is seeking access to that received must include the agency name ties by vetting information submitted by facility’s restricted areas or critical and docket number for this rulemaking. each high-risk chemical facility against assets. All comments received will be posted the Terrorist Screening Database Upon receipt of each affected without change to http:// (TSDB). The TSDB is the Federal individual’s information in CSAT, DHS/ www.regulations.gov, including any government’s consolidated and NPPD will send a copy of the personal information provided. integrated terrorist watchlist of known information to DHS/TSA. Within DHS/ • Docket: For access to the docket to and suspected terrorists, maintained by TSA, the Office of Transportation Threat read background documents or the Department of Justice (DOJ) Federal Assessment and Credentialing (TTAC) comments received go to http:// Bureau of Investigation’s (FBI) Terrorist conducts vetting against the TSDB for www.regulations.gov. Screening Center (TSC). For more several DHS programs. DHS/TSA/TTAC information on the TSDB, see DOJ/FBI— will compare the information of affected FOR FURTHER INFORMATION CONTACT: For 019 Terrorist Screening Records System, individuals collected by DHS (via general questions please contact: Emily 72 FR 47073 (August 22, 2007). CSAT) to information in the TSDB. Andrew (703–235–2182), Privacy High-risk chemical facilities or their DHS/TSA/TTAC will forward potential Officer, National Protection and designees will submit the information matches to the DOJ/FBI/TSC, which will Programs Directorate, Department of of: (1) Facility personnel who have or make a final determination of whether Homeland Security, Washington, DC are seeking access, either unescorted or an individual’s information is identified 20528. For privacy issues please otherwise, to restricted areas or critical as a match to a record in the TSDB. contact: Mary Ellen Callahan (703–235– assets; and (2) unescorted visitors who In certain instances, DHS/NPPD may 0780), Chief Privacy Officer, Privacy have or are seeking access to restricted contact a high-risk chemical facility to Office, Department of Homeland areas or critical assets. These persons, request additional information (e.g., visa Security, Washington, DC 20528. about whom high-risk chemical information) pertaining to particular SUPPLEMENTARY INFORMATION: facilities and facilities’ designees will individuals in order to clarify suspected I. Background submit information to DHS, are referred data errors or resolve potential matches to in this notice as ‘‘affected (e.g., in situations where an affected In accordance with the Privacy Act of individuals.’’ Individual high-risk individual has a common name). Such 1974, 5 U.S.C. 552a, the Department of facilities may classify particular requests will not imply, and should not Homeland Security (DHS)/National contractors or categories of contractors be construed to indicate that an Protection and Programs Directorate either as ‘‘facility personnel’’ or as individual’s information has been (NPPD) proposes to establish a DHS ‘‘visitors.’’ This determination should be confirmed as a match to a TSDB record. system of records titled, ‘‘DHS/NPPD— a facility-specific determination, and DHS/NPPD may also conduct data 002 Chemical Facility Anti-Terrorism should be based on facility security, accuracy reviews and audits as part of Standards Personnel Surety Program operational requirements, and business the CFATS Personnel Surety Program. System of Records.’’ practices. Such reviews may be conducted on On October 4, 2006, the President Information will be submitted to random samples of affected individuals. signed the DHS Appropriations Act of DHS/NPPD through the Chemical To assist with this activity, DHS/NPPD 2007 (the Act), Public Law 109–295. Security Assessment Tool (CSAT), the may request information pertaining to Section 550 of the Act (Section 550) online data collection portal for CFATS. affected individuals that was previously provides DHS with the authority to The high-risk chemical facility or its provided to DHS/NPPD by high-risk regulate the security of high-risk designees will submit the information of chemical facilities, in order to confirm chemical facilities. DHS has affected individuals to DHS through the accuracy of that information. promulgated regulations implementing CSAT. The submitters of this Consistent with the Department’s Section 550, the Chemical Facility Anti- information (‘‘Submitters’’) for each information sharing mission, Terrorism Standards (CFATS), 6 CFR high-risk chemical facility will also information stored in the DHS/NPPD— part 27. affirm, to the best of their knowledge, 002 Chemical Facility Anti-Terrorism Section 550 requires that DHS that the information is: (1) True, correct, Standards Personnel Surety Program establish Risk Based Performance and complete; and (2) collected and System of Records may be shared with Standards (RBPS) as part of CFATS. submitted in compliance with the other DHS components, as well as RBPS–12 (6 CFR 27.230(a)(12)(iv)) facility’s Site Security Plan (SSP) or appropriate Federal, state, local, Tribal, requires that regulated chemical Alternative Security Program (ASP), as foreign, or international government facilities implement ‘‘measures reviewed and authorized and/or agencies. This sharing will only take designed to identify people with approved in accordance with 6 CFR place after DHS determines that the terrorist ties.’’ The ability to identify 27.245. The Submitter(s) of each high- receiving component or agency has a individuals with terrorist ties is an risk chemical facility will also affirm need to know the information to carry inherently governmental function and that, in accordance with their Site out national security, law enforcement, requires the use of information held in Security Plans, notice required by the immigration, intelligence, or other government-maintained databases, Privacy Act of 1974, 5 U.S.C. § 552a, has functions consistent with the routine which are unavailable to high-risk been given to affected individuals before uses set forth in this system of records chemical facilities. Therefore, DHS is their information is submitted to DHS. notice. implementing the CFATS Personnel DHS will send a verification of receipt Additionally, DHS is issuing a Notice Surety Program, which will allow to the Submitter(s) of each high-risk of Proposed Rulemaking (NPRM) chemical facilities to comply with chemical facility when a high-risk concurrently with this system of RBPS–12 by implementing ‘‘measures chemical facility: (1) Submits records, to be published elsewhere in

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the Federal Register, to exempt portions SECURITY CLASSIFICATION: as part of the CFATS Personnel Surety of the system of records from provisions Unclassified, sensitive, law Program. Instead of submitting the of the Privacy Act because of criminal, enforcement sensitive, for official use information listed in category (1), above, civil, and administrative enforcement only, and classified. high risk chemical facilities may submit requirements. the following information for such This newly established system of SYSTEM LOCATION: individuals: records will be included in the Records are maintained at DHS and a. Full name; Department’s inventory of record Component headquarters in b. Date of birth; systems. Washington, DC, and at field offices. c. Name of the DHS program which conducts equivalent vetting against the II. Privacy Act CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: TSDB, such as the Transportation The Privacy Act embodies fair Worker Identification Credential (TWIC) information principles in a statutory (1) High-risk chemical facility program or the Hazardous Materials framework governing the means by personnel and unescorted visitors who Endorsement (HME) program; which the United States government have or are seeking access to restricted d. Unique number, or other program collects, maintains, uses, and areas or critical assets at high-risk specific verifying information associated disseminates individuals’ records. The chemical facilities (see 6 CFR with a DHS screening program, Privacy Act applies to information that 27.230(a)(12)); necessary to verify an individual’s (2) High-risk chemical facility is maintained in a ‘‘system of records.’’ enrollment, such as TWIC Serial personnel or designees who contact A ‘‘system of records’’ is a group of any Number for the TWIC program, or DHS/NPPD or a Federal law records under the control of an agency Commercial Driver’s License (CDL) enforcement entity with follow-up for which information is retrieved by Number and CDL issuing state(s) for the questions regarding submission of an the name of an individual or by some HME program; and individual’s information to DHS/NPPD; identifying number, symbol, or other e. Expiration date of the credential (3) Individuals listed in the TSDB identifying particular assigned to the endorsed or issued by the DHS against whom potential or confirmed individual. In the Privacy Act, screening program. individuals are defined to encompass matches have been made; and (4) Individuals who have been or seek This alternative is optional—high-risk United States citizens and lawful chemical facilities may either submit permanent residents. As a matter of to be distinguished from individuals in the TSDB through redress or other the information listed in category (1) for policy, DHS extends administrative such individuals, or may submit the Privacy Act protections to all means as a result of the Personnel Surety Program. information listed in category (3) for individuals where systems of records such individuals. maintain information on U.S. citizens, CATEGORIES OF RECORDS IN THE SYSTEM: (4) When high-risk chemical facilities lawful permanent residents, and (1) High-risk chemical facilities are choose to submit the information listed visitors. Individuals may request access required to submit the following in category (3), above, they may also to their own records that are maintained information on all facility personnel and (optionally) submit the following in a system of records in the possession unescorted visitors who have or are information on facility personnel and or under the control of DHS by seeking access to restricted areas or unescorted visitors who have or are complying with DHS Privacy Act critical assets: seeking access to restricted areas or regulations, 6 CFR Part 5. a. U.S. Citizens and Lawful critical assets: The Privacy Act requires each agency Permanent Residents a. Aliases; to publish in the Federal Register a i. Full name; b. Place of Birth; description denoting the type and ii. Date of birth; and c. Gender; character of each system of records that iii. Citizenship or Gender. d. Citizenship; and the agency maintains, and the routine b. Non-U.S. persons e. Redress Number. uses that are contained in each system i. Full name; (5) DHS could collect additional in order to make agency record keeping ii. Date of birth; identifying information from a high-risk practices transparent, to notify iii. Citizenship; and chemical facility, as necessary to individuals regarding the uses to which iv. Passport information and/or alien confirm or clear a potential match to a their records are put, and to assist registration number. TSDB record. Information collected by individuals to more easily find such (2) To reduce the likelihood of false high-risk chemical facilities and records within the agency. Below is the positives in matching against the TSDB, submitted to DHS for this purpose could description of the DHS/NPPD—002 high-risk chemical facilities may also include any information listed in Chemical Facility Anti-Terrorism (optionally) submit the following categories (1) through (4), passport Standards Personnel Surety Program information on facility personnel and information, visa information, driver’s System of Records. unescorted visitors who have or are license information, or other available In accordance with 5 U.S.C. 552a(r), seeking access to restricted areas or identifying particulars, used to compare DHS has provided a report of this critical assets: the identity of an individual being system of records to the Office of a. Aliases; screened with information listed in the Management and Budget and to b. Gender (for Non-U.S. persons); TSDB; Congress. c. Place of birth; and (6) In the event that a confirmed System of Records d. Redress Number. match is identified as part of the CFATS DHS/NPPD—002 (3) High-risk chemical facilities may Personnel Surety Program, in addition submit different information on to other records listed under the SYSTEM NAME: individuals who maintain DHS categories of records section of this DHS/NPPD—002 Chemical Facility screening program credentials or SORN, DHS will obtain references to Anti-Terrorism Standards Personnel endorsements that require TSDB checks and/or information from other Surety Program System of Records. equivalent to the checks to be performed government law enforcement and

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intelligence databases, or other relevant government agencies pursuant to I. To an appropriate Federal, state, databases that may contain terrorism records management inspections being Tribal, local, international, or foreign information; conducted under the authority of 44 agency or other appropriate authority (7) Information necessary to assist in U.S.C. 2904 and 2906. regarding individuals who pose, or are tracking submissions and transmission D. To an agency, organization, or suspected of posing a risk to national of records, including electronic individual for the purpose of performing security. verification that DHS has received a audit or oversight operations as J. To an appropriate Federal, state, particular record; and authorized by law, but only such Tribal, local, international, foreign (8) Information provided by information as is necessary and relevant agency, other appropriate governmental individuals covered by this system in to such audit or oversight function. entities or authority to: support of any redress request, E. To appropriate agencies, entities, 1. Determine whether an individual is including DHS Redress Numbers and/or and persons when: a positive identity match to an identity any of the above categories of records. 1. DHS suspects or has confirmed that in the TSDB; 2. Facilitate operational, law AUTHORITY FOR MAINTENANCE OF THE SYSTEM: the security or confidentiality of information in the system of records has enforcement, or intelligence responses, DHS Appropriations Act of 2007, if appropriate, when vetted individuals’ Section 550, Public Law 109–295, 120 been compromised; 2. The Department has determined identities match identities in the TSDB; Stat. 1355 (October 4, 2006), as 3. Provide information and analysis amended; and the Chemical Facility that as a result of the suspected or confirmed compromise there is a risk of about terrorist encounters and known or Anti-Terrorism Standards, 6 CFR part 27 suspected terrorist associates to (published April 9, 2007), as amended. harm to economic or property interests, identity theft or fraud, or harm to the appropriate domestic and foreign PURPOSE(S): security or integrity of this system or government agencies and officials for Information is collected to identify other systems or programs (whether counterterrorism purposes; or persons listed in the TSDB, who have or maintained by DHS or another agency or 4. Perform technical implementation are seeking access to restricted areas or entity) or harm to the individual that functions necessary for the CFATS critical assets at high-risk chemical relies upon the compromised Personnel Surety Program. information; and facilities. DISCLOSURE TO CONSUMER REPORTING 3. The disclosure made to such AGENCIES: ROUTINE USES OF RECORDS MAINTAINED IN THE agencies, entities, and persons is SYSTEM, INCLUDING CATEGORIES OF USERS AND None. THE PURPOSES OF SUCH USES: reasonably necessary to assist in connection with the Department’s POLICIES AND PRACTICES FOR STORING In addition to those disclosures , efforts to respond to the suspected or RETRIEVING, ACCESSING, RETAINING, AND generally permitted under 5 U.S.C. confirmed compromise and prevent, DISPOSING OF RECORDS IN THE SYSTEM: 552a(b), all or a portion of the records minimize, or remedy such harm. or information contained in this system STORAGE: F. To contractors and their agents, may be disclosed outside DHS as a Records may be maintained at secured grantees, experts, consultants, and routine use pursuant to 5 U.S.C. government facilities, Federal contractor others performing or working on a 552a(b)(3) as follows: locations, or locations of other parties A. To the Department of Justice contract, service, grant, cooperative that perform functions related to the (including United States Attorney agreement, or other assignment for DHS, CFATS Personnel Surety Program. Offices) or other Federal agency when necessary to accomplish an Records are stored on magnetic disc, conducting litigation or in proceedings agency function related to this system of tape, digital media, and CD–ROM, and before any court, adjudicative or records. Individuals provided may also be retained in hard copy administrative body, when it is information under this routine use are format in secure file folders or safes. necessary to the litigation and one of the subject to the same Privacy Act following is a party to the litigation or requirements and limitations on RETRIEVABILITY: has an interest in such litigation: disclosure as are applicable to DHS Records are retrievable by searching 1. DHS or any component thereof; officers and employees. any of the categories of records listed 2. Any employee of DHS in his/her G. To an appropriate Federal, state, above. Records may also be retrievable official capacity; Tribal, territorial, local, international, or by relevant chemical facility name, 3. Any employee of DHS in his/her foreign law enforcement agency or other chemical facility location, chemical individual capacity where the appropriate authority charged with facility contact information, and by Department of Justice or DHS has agreed investigating or prosecuting a violation other facility-specific data points. to represent the employee; or or enforcing or implementing a law, 4. The United States, or any agency rule, regulation, or order, where a SAFEGUARDS: thereof, is a party to the litigation or has record, either on its face or in Records in this system are an interest in such litigation, and DHS conjunction with other information, safeguarded in accordance with determines that the records are both indicates a violation or potential applicable rules and policies, including relevant and necessary to the litigation violation of law, which includes all applicable DHS automated systems and the use of such records is criminal, civil, or regulatory violations security and access policies. Strict compatible with the purpose for which and such disclosure is proper and controls have been imposed to minimize DHS collected the records. consistent with the official duties of the the risk of compromising the B. To a congressional office from the person making the disclosure. information that is being stored. Access record of an individual in response to H. To Federal, state, local, Tribal, to the computer systems containing the an inquiry from that congressional office territorial, foreign, multinational, or records in this system is limited to those made at the request of the individual to private sector entities as appropriate to individuals who have a need to know whom the record pertains. assist in coordination of terrorist threat the information for the performance of C. To the National Archives and awareness, assessment, analysis or their official duties and who have Records Administration or other Federal response. appropriate clearances or permissions.

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RETENTION AND DISPOSAL: The retention periods for these Without this bulleted information the A proposed schedule for the retention records provide reasonable amounts of component(s) may not be able to and disposal of records collected under time for law enforcement, intelligence, conduct an effective search, and your the DHS/NPPD—002 Chemical Facility or redress matters involving individuals request may be denied due to lack of Anti-Terrorism Standards Personnel who have or are seeking access to specificity or lack of compliance with Surety Program System of Records is restricted areas or critical assets at high- applicable regulations. being developed by the DHS and NPPD risk chemical facilities. Offices of Records Management for RECORD ACCESS PROCEDURES: approval by the National Archives and SYSTEM MANAGER AND ADDRESS: See ‘‘Notification procedure’’ above. Records Administration (NARA). CFATS Personnel Surety Program The length of time DHS/NPPD will Manager, 250 Murray Lane, SW., Mail CONTESTING RECORD PROCEDURES: retain information on individuals will Stop 0610, Washington, DC 20528. be dependent on individual TSDB NOTIFICATION PROCEDURE: See ‘‘Notification procedure’’ above. vetting results. Specifically, individuals’ information will be retained as The Secretary of Homeland Security RECORD SOURCE CATEGORIES: described below, based on the is proposing to exempt this system from Information is primarily obtained individuals’ placements into three the notification, access, and amendment from high-risk chemical facilities and categories: procedures of the Privacy Act. DHS/ (1) Information pertaining to an NPPD, however, will consider their designees. High-risk chemical individual who is not a potential or individual requests to determine facilities shall provide notice to each confirmed match to a TSDB record will whether or not information may be affected individual prior to submission be retained for one year after a high-risk released. Individuals seeking of the affected individual’s information chemical facility has notified NPPD that notification of and access to any record to DHS/NPPD. This will include notice the individual no longer has or is contained in this system of records, or that additional information may be seeking access to the restricted areas or seeking to contest its content, may requested after the initial submission. critical assets of the facility; submit a request in writing to the DHS/ Information may also be obtained from (2) Information pertaining to an NPPD Freedom of Information Act other DHS programs when DHS verifies individual who may originally have (FOIA) Officer, whose contact enrollment of an affected individual in appeared to be a match a TSDB record, information can be found at http:// another vetting or credentialing but who was subsequently determined www.dhs.gov/foia under ‘‘contacts.’’ program. Information may also be not to be a match, will be retained for When seeking records about yourself obtained from the DOJ/FBI—019 seven years after completion of TSDB from this system of records or any other Terrorist Screening Records System, 72 matching, or one year after the high-risk Department system of records your FR 47073 (August 22, 2007), or from chemical facility that submitted that request must conform with the Privacy other FBI sources. individual’s information has notified Act regulations set forth in 6 CFR part DHS/NPPD that the individual no 5. You must first verify your identity, EXEMPTIONS CLAIMED FOR THE SYSTEM: longer has or is seeking access to the meaning that you must provide your full Concurrently with publication of this restricted areas or critical assets of the name, current address, and date and system of records notice, the Secretary facility, whichever is later; and place of birth. You must sign your of Homeland Security is publishing a (3) Information pertaining to an request, and your signature must either notice of proposed rulemaking individual who is a positive match to a be notarized or submitted under 28 proposing to exempt this system from TSDB record will be retained for ninety- U.S.C. 1746, a law that permits the following provisions of the Privacy nine years after completion of matching statements to be made under penalty of Act, subject to the limitations set forth activity, or seven years after DHS/NPPD perjury as a substitute for notarization. therein: 5 U.S.C. 552a(c)(3); (d); (e)(1), learns that the individual is deceased, While no specific form is required, you (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). whichever is earlier. may obtain forms for this purpose from These exemptions are made pursuant to DHS/TSA/TTAC will maintain the Chief Privacy Officer and Chief 5 U.S.C. 552a(k)(1) and (k)(2). records within its possession in Freedom of Information Act Officer, accordance with the DHS/TSA–002— http://www.dhs.gov or 1–866–431–0486. Further, DHS derivatively claims Transportation Security Threat In addition you should provide the some exemptions for this system of Assessment System of Records, 75 FR following: records because it may contain records 28046 (May 19, 2010). DHS/CBP will • An explanation of why you believe or information recompiled from or maintain records in its possession in the Department would have information created from information contained in accordance with the DHS/CBP–002— about you; the TSDB. For more information on the Global Enrollment System of Records, • Identify which component(s) of the FBI’s Terrorist Screening Records 71 FR 20708 (April 21, 2006). Department you believe may have the System, see DOJ/FBI—019 Terrorist DHS/NPPD will also retain records to information about you; Screening Records System, 72 FR 47073 conduct inspections or audits under 6 • Specify when you believe records (August 22, 2007). CFR 27.245 and 6 CFR 27.250 to ensure containing information about you would DHS does not claim any exemptions that high-risk chemical facilities are in have been created; for the information high-risk chemical compliance with CFATS. These records • Provide any other information that facilities (or their designees) submit to could include the names of individuals will help the FOIA staff determine DHS as part of this system of records. with access to high-risk chemical which DHS component agency may Dated: June 6, 2011. facilities’ restricted areas and critical have responsive records; and assets, the periods of time during which • If your request is seeking records Mary Ellen Callahan, high-risk chemical facilities indicate pertaining to another living individual, Chief Privacy Officer, Department of that such individuals have/had access, you must include a statement from that Homeland Security. and any other information listed individual certifying his/her agreement [FR Doc. 2011–14383 Filed 6–13–11; 8:45 am] elsewhere in this notice, as appropriate. for you to access his/her records. BILLING CODE 9110–9P–P

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DEPARTMENT OF HOMELAND Monday through Friday, except Federal and (4) ways to minimize the burden of SECURITY holidays. The telephone number is 202– the collections on respondents, 366–9329. including the use of automated Coast Guard (4) Fax: (a) To DMF, 202–493–2251. collection techniques or other forms of (b) To OIRA at 202–395–6566. To information technology. These [USCG–2011–0119] ensure your comments are received in a comments will help OIRA determine Collection of Information Under timely manner, mark the fax, attention whether to approve the ICRs referred to Review by Office of Management and Desk Officer for the Coast Guard. in this Notice. Budget; OMB Control Numbers: 1625– The DMF maintains the public docket We encourage you to respond to this 0020, 1625–0022, 1625–0029 and 1625– for this Notice. Comments and material request by submitting comments and 0031 received from the public, as well as related materials. Comments to Coast documents mentioned in this Notice as Guard or OIRA must contain the OMB AGENCY: Coast Guard, DHS. being available in the docket, will Control Number of the ICR. They must ACTION: Thirty-day notice requesting become part of the docket and will be also contain the docket number of this comments. available for inspection or copying at request, [USCG–2011–0119], and must room W12–140 on the West Building be received by July 14, 2011. We will SUMMARY: In compliance with the Ground Floor, 1200 New Jersey Avenue, post all comments received, without Paperwork Reduction Act of 1995 the SE., Washington, DC, between 9 a.m. change, to http://www.regulations.gov. U.S. Coast Guard is forwarding and 5 p.m., Monday through Friday, They will include any personal Information Collection Requests (ICRs), except Federal holidays. You may also information you provide. We have an abstracted below, to the Office of find the docket on the Internet at agreement with DOT to use their DMF. Management and Budget (OMB), Office http://www.regulations.gov. Please see the ‘‘Privacy Act’’ paragraph of Information and Regulatory Affairs Copies of the ICRs are available below. (OIRA), requesting approval of a through the docket on the Internet at Submitting Comments revision to the following collections of http://www.regulations.gov. information: 1625–0020, Security Additionally, copies are available from: If you submit a comment, please Zones, Regulated Navigation Areas and Commandant (CG–611), Attn: include the docket number [USCG– Safety Zones, 1625–0022, Application Paperwork Reduction Act Manager, U.S. 2011–0119], indicate the specific section of the document to which each for Tonnage Measurement of Vessels, Coast Guard, 2100 2nd St., SW., Stop comment applies, providing a reason for 1625–0029, Self-propelled Liquefied 7101, Washington, DC 20593–7101. Gas Vessels, and 1625–0031, Plan each comment. If you submit a comment FOR FURTHER INFORMATION CONTACT: Ms. online (via http://www.regulations.gov), Approval and Records for Electrical Kenlinishia Tyler, Office of Information Engineering Regulations—Title 46 CFR it will be considered received by the Management, telephone 202–475–3652 Coast Guard when you successfully Subchapter J. The sixty-day notice was or fax 202–475–3929, for questions on previously published as an extension. transmit the comment. If you fax, hand these documents. Contact Ms. Renee V. deliver, or mail your comment, it will be Due to a new instruction sheet added to Wright, Program Manager, Docket this collection, this Notice is being considered as having been received by Operations, 202–366–9826, for the Coast Guard when it is received at submitted as a revision. questions on the docket. Our ICRs describe the information we the DMF. We recommend you include SUPPLEMENTARY INFORMATION: seek to collect from the public. Review your name, mailing address, an e-mail and comments by OIRA ensure we only Public Participation and Request for address, or other contact information in impose paperwork burdens Comments the body of your document so that we can contact you if we have questions commensurate with our performance of This Notice relies on the authority of duties. regarding your submission. the Paperwork Reduction Act of 1995; You may submit comments and DATES: Comments must reach the Coast 44 U.S.C. Chapter 35, as amended. An material by electronic means, mail, fax, Guard and OIRA on or before July 14, ICR is an application to OIRA seeking or hand delivery to the DMF at the 2011. the approval, extension, or renewal of a address under ADDRESSES, but please ADDRESSES: You may submit comments Coast Guard collection of information submit them by only one means. To identified by Coast Guard docket (Collection). The ICR contains submit your comment online, go to number [USCG–2011–0119] to the information describing the Collection’s http://www.regulations.gov, and type Docket Management Facility (DMF) at purpose, the Collection’s likely burden ‘‘USCG–2011–0119’’ in the ‘‘Keyword’’ the U.S. Department of Transportation on the affected public, an explanation of box. If you submit your comments by (DOT) and/or to OIRA. To avoid the necessity of the Collection, and mail or hand delivery, submit them in duplicate submissions, please use only other important information describing an unbound format, no larger than 81⁄2 one of the following means: the Collections. There is one ICR for by 11 inches, suitable for copying and (1) Online: (a) To Coast Guard docket each Collection. electronic filing. If you submit at http://www.regulations.gov. (b) To The Coast Guard invites comments on comments by mail and would like to OIRA by e-mail via: OIRA- whether these ICRs should be granted know that they reached the Facility, [email protected]. based on the Collections being please enclose a stamped, self-addressed (2) Mail: (a) DMF (M–30), DOT, West necessary for the proper performance of postcard or envelope. We will consider Building Ground Floor, Room W12–140, Departmental functions. In particular, all comments and material received 1200 New Jersey Avenue, SE., the Coast Guard would appreciate during the comment period and will Washington, DC 20590–0001. (b) To comments addressing: (1) The practical address them accordingly. OIRA, 725 17th Street, NW., utility of the Collections; (2) the Washington, DC 20503, attention Desk accuracy of the estimated burden of the Viewing Comments and Documents Officer for the Coast Guard. Collections; (3) ways to enhance the To view comments, as well as (3) Hand Delivery: To DMF address quality, utility, and clarity of documents mentioned in this Notice as above, between 9 a.m. and 5 p.m., information subject to the Collections; being available in the docket, go to

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http://www.regulations.gov, click on the to determine licensing, inspection, Council (NBSAC). This Council advises ‘‘read comments’’ box, which will then safety requirements, and operating fees. the Secretary of the Department of become highlighted in blue. In the Forms: CG–5397. Homeland Security through the Coast ‘‘Keyword’’ box insert ‘‘USCG–2011– Burden Estimate: The estimated Guard on recreational boating safety 0119’’ and click ‘‘Search.’’ Click the burden has decreased from 33,499 hours regulations and other major boating ‘‘Open Docket Folder’’ in the ‘‘Actions’’ to 19,160 hours a year. safety matters. column. You may also visit the DMF in 3. Title: Self-propelled Liquefied Gas DATES: Applicants should submit a Room W12–140 on the ground floor of Vessels. cover letter and resume in time to reach the DOT West Building, 1200 New OMB Control Number: 1625–0029. the Alternate Designated Federal Officer Jersey Avenue, SE., Washington, DC Type of Request: Revision of a (ADFO) on or before August 15, 2011. previously approved collection. 20590, between 9 a.m. and 5 p.m., ADDRESSES: Applicants should send Respondents: Owners and operators Monday through Friday, except Federal their cover letter and resume to the of self-propelled vessels carrying holidays. following address: Commandant (CG– OIRA posts its decisions on ICRs liquefied gas. Abstract: We need the information 5422)/NBSAC, Attn: Mr. Jeff Ludwig, online at http://www.reginfo.gov/public/ U.S. Coast Guard, 2100 Second St., SW., do/PRAMain after the comment period sought in this collection, which includes forms CG–4355 and CG–5148, Stop 7581, Washington, DC 20593– for each ICR. An OMB Notice of Action 7581. You can also call 202–372–1061; on each ICR will become available via to ensure compliance with our rules for the design and operation of liquefied gas or e-mail [email protected]. a hyperlink in the OMB Control This notice is available in our online carriers. Number: USCG–2011–0119. docket, USCG–2010–0316, at http:// Forms: CG–4355, CG–5148. Privacy Act Burden Estimate: The estimated www.regulations.gov. Anyone can search the electronic burden has increased from 6,566 hours FOR FURTHER INFORMATION CONTACT: Jeff form of comments received in dockets to 6,754 hours a year. Ludwig, ADFO of National Boating by the name of the individual 4. Title: Plan Approval and Records Safety Advisory Committee; telephone submitting the comment (or signing the for Electrical Engineering Regulations— 202–372–1061; fax 202–372–1908; or e- comment, if submitted on behalf of an Title 46 CFR Subchapter J. mail at jeffrey.a.ludwig @uscg.mil. association, business, labor union, etc.). OMB Control Number: 1625–0031. SUPPLEMENTARY INFORMATION: The You may review a Privacy Act statement Type of Request: Revision of a National Boating Safety Advisory regarding Coast Guard public dockets in previously approved collection. Council (NBSAC) is a Federal advisory the January 17, 2008, issue of the Respondents: Owners, operators, committee under 5 U.S.C. App. (Pub. L. Federal Register (73 FR 3316). shipyards, designers, and manufacturers 92–463). It was established under of vessels. authority of 46 U.S.C. 13110 and advises Previous Request for Comments Abstract: The information sought here the Secretary of the Department of This request provides a 30-day is needed to ensure compliance with Homeland Security through the Coast comment period required by OIRA. The our rules on electrical engineering for Guard on boating safety regulations and Coast Guard has published the 60-day the design and construction of U.S.-flag other major boating safety matters. notice (76 FR 15330, March 21, 2011) commercial vessels. NBSAC has 21 members: Seven required by 44 U.S.C. 3506(c)(2). That Forms: None. representatives of State officials Notice elicited no comments. Burden Estimate: The estimated responsible for State boating safety burden has increased from 3,529 hours programs, seven representatives of Information Collection Requests to 4,754 hours a year. recreational vessel manufacturers and 1. Title: Security Zones, Regulated Authority: The Paperwork Reduction Act associated equipment manufacturers, Navigation Areas, and Safety Zones. of 1995; 44 U.S.C. Chapter 35, as amended. and seven representatives of national OMB Control Number: 1625–0020. Dated: June 3, 2011. recreational boating organizations and Type of Request: Revision of a C.A. Mathieu, the general public, at least five of whom previously approved collection. are representatives of national Respondents: Federal, State, and local Captain, U.S. Coast Guard, Acting Assistant Commandant for Command, Control, recreational boating organizations. government agencies, owners and Communications, Computers and Members are appointed by the operators of vessels and facilities. Information Technology. Secretary. Abstract: The Coast Guard collects [FR Doc. 2011–14620 Filed 6–13–11; 8:45 am] The Council meets at least twice each this information only when someone BILLING CODE 9110–04–P year at a location selected by the Coast seeks a security zone, regulated Guard. It may also meet for navigation area, or safety zone. It uses extraordinary purposes with the the information to assess the need to DEPARTMENT OF HOMELAND approval of the Designated Federal establish one of these areas. SECURITY Officer. Subcommittees or working Forms: Not applicable. groups may also meet to consider Burden Estimate: The estimated Coast Guard specific problems. burden has decreased from 296 hours to We will consider applications for [Docket No. USCG–2010–0316] 272 hours a year. seven positions that expire or become 2. Title: Application for Tonnage vacant on December 31, 2011: National Boating Safety Advisory • Measurement of Vessels. Committee; Vacancies Three representatives of State OMB Control Number: 1625–0022. officials responsible for State boating Type of Request: Revision of a AGENCY: Coast Guard, DHS. safety programs; • previously approved collection. ACTION: Request for applications. Two representatives of recreational Respondents: Owners of vessels. boat and associated equipment Abstract: The information is used by SUMMARY: The Coast Guard seeks manufacturers; and the Coast Guard to help determine a applications for membership on the • Two representatives of national vessel’s tonnage. Tonnage in turn helps National Boating Safety Advisory recreational boating organizations.

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Applicants are considered for Register on May 12, 2009, (74 FR 22174) Comments may also be submitted to membership on the basis of their and May 10, 2010, (75 FR 25872) will DHS via facsimile to 202–272–0997 or particular expertise, knowledge, and be considered for the 2011 vacancies via e-mail at [email protected], and to the experience in recreational boating and do not need to submit another cover OMB USCIS Desk Officer via facsimile safety. To be eligible, you should have letter or resume. Applicants for years at 202–395–5806 or via e-mail at experience in one of the categories prior to 2010 should submit an updated [email protected]. When listed above. Registered lobbyists are not resume with cover letter to ensure submitting comments by e-mail please eligible to serve on Federal advisory consideration for the vacancies make sure to add OMB Control Number committees. Registered lobbyists are announced in this notice. 1615–0024 in the subject box. Written lobbyists required to comply with Dated: June 1, 2011. comments and suggestions from the provisions contained in the Lobbying K.S. Cook, public and affected agencies should Disclosure Act of 1995 (Pub. L. 110–81, address one or more of the following as amended). Rear Admiral, U.S. Coast Guard, Director of Prevention Policy. four points: Each member serves for a term of (1) Evaluate whether the proposed [FR Doc. 2011–14621 Filed 6–13–11; 8:45 am] three years. Members may be considered collection of information is necessary to serve consecutive terms. All members BILLING CODE 9110–04–P for the proper performance of the serve at their own expense and receive functions of the agency, including no salary, or other compensation from whether the information will have the Federal Government. The exception DEPARTMENT OF HOMELAND SECURITY practical utility; to this policy is when attending NBSAC (2) Evaluate the accuracy of the meetings, members are reimbursed for U.S. Citizenship and Immigration agencies estimate of the burden of the travel expenses and provided per diem Services proposed collection of information, in accordance with Federal Travel including the validity of the Regulations. Agency Information Collection methodology and assumptions used; In support of the policy of the Coast Activities: HRIFA Instructions for Form (3) Enhance the quality, utility, and Guard on gender and ethnic I–485, Supplement C; Extension of a clarity of the information to be nondiscrimination, we encourage Currently Approved Information collected; and qualified men and women and members Collection; Comment Request (4) Minimize the burden of the of all racial and ethnic groups to apply. collection of information on those who The Coast Guard values diversity; all the ACTION: 30-day notice of information are to respond, including through the different characteristics and attributes of collection under review: HRIFA use of appropriate automated, persons that enhance the mission of the instructions for Form I–485, electronic, mechanical, or other Coast Guard. Supplement C; OMB Control No. 1615– technological collection techniques or If you are selected as a member drawn 0024. from the general public, you will be other forms of information technology, appointed and serve as a special The Department of Homeland e.g., permitting electronic submission of Government employee (SGE) as defined Security, U.S. Citizenship and responses. in section 202(a) of title 18, United Immigration Services (USCIS) will be Overview of this information States Code. As a candidate for submitting the following information collection: appointment as a SGE, applicants are collection request to the Office of (1) Type of Information Collection: required to complete a Confidential Management and Budget (OMB) for Extension of a currently approved Financial Disclosure Report (OGE Form review and clearance in accordance information collection. 450). A completed OGE Form 450 is not with the Paperwork Reduction Act of (2) Title of the Form/Collection: releasable to the public except under an 1995. The information collection was HRIFA Instructions for Form I–485, order issued by a Federal court or as previously published in the Federal Supplement C. otherwise provided under the Privacy Register on March 23, 2011, at 76 FR (3) Agency form number, if any, and Act (5 U.S.C. 552a). Only the Designated 16436, allowing for a 60-day public the applicable component of the Agency Ethics Official or his or her comment period. USCIS did not receive Department of Homeland Security designate may release a Confidential any comments for this information sponsoring the collection: Form I–485, Financial Disclosure Report. collection. Supplement C; U.S. Citizenship and If you are interested in applying to The purpose of this notice is to allow Immigration Services (USCIS). become a member of the Committee, an additional 30 days for public (4) Affected public who will be asked send your cover letter and resume to Jeff comments. Comments are encouraged or required to respond, as well as a brief Ludwig, Alternate Designated Federal and will be accepted until July 14, 2011. abstract: Primary: Individuals or Officer (ADFO) of NBSAC at This process is conducted in accordance Households. The information provided Commandant (CG–5422)/NBSAC, U.S. with 5 CFR 1320.10. on the Form I–485 Supplement C, in Coast Guard, 2100 Second St., SW., Stop Written comments and/or suggestions combination with the information 7581, Washington, DC 20593–7581. regarding the item(s) contained in this collected on Form I–485 (Application to Send your cover letter and resume in notice, especially regarding the Register Permanent Resident or Adjust time for it to be received by the ADFO estimated public burden and associated Status), is necessary in order for the U.S. on or before August 15, 2011. To visit response time, should be directed to the Citizenship and Immigration Services our online docket, go to http:// Department of Homeland Security (USCIS) to make a determination that www.regulations.gov, enter the docket (DHS), and to the Office of Management the adjustment of status eligibility number for this notice (USCG–2010– and Budget (OMB) USCIS Desk Officer. requirements and conditions are met by 0316) in the Search box, and click ‘‘Go.’’ Comments may be submitted to: USCIS, the applicant of Haitian nationality Please do not post your resume on this Chief, Regulatory Products Division, pursuant to HRIFA. site. Office of the Executive Secretariat, 20 (5) An estimate of the total number of Applicants for the 2010 and 2011 Massachusetts Avenue, NW., respondents and the amount of time vacancies announced in the Federal Washington, DC 20529–2020. estimated for an average respondent to

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respond: 2,000 responses at 30 minutes this proposed information collection to Affected Public: Individuals. (.50) per response. the Office of Information and Regulatory Estimated Number of Respondents: (6) An estimate of the total public Affairs, Office of Management and 25,000. burden (in hours) associated with the Budget. Comments should be addressed Estimated Number of Responses per collection: 1,000 annual burden hours. to the OMB Desk Officer for Customs Respondent: 1. If you need a copy of the information and Border Protection, Department of Estimated Time per Response: 10 collection instrument, please visit the Homeland Security, and sent via minutes. Web site at: http://www.regulations.gov. electronic mail to Estimated Total Annual Burden We may also be contacted at: USCIS, [email protected] or faxed Hours: 4,150. Regulatory Products Division, Office of to (202) 395–5806. Estimated Total Annual Cost: the Executive Secretariat, 20 SUPPLEMENTARY INFORMATION: U.S. $14,625,000. Massachusetts Avenue, NW., Customs and Border Protection (CBP) If additional information is required Washington, DC 20529–2020; encourages the general public and contact: Tracey Denning, U.S. Customs Telephone 202–272–8377. affected Federal agencies to submit and Border Protection, Regulations and Rulings, Office of International Trade, Dated: June 9, 2011. written comments and suggestions on 799 9th Street, NW., 5th Floor, Sunday Aigbe, proposed and/or continuing information collection requests pursuant to the Washington, DC 20229–1177, at 202– Chief, Regulatory Products Division, Office 325–0265. of the Executive Secretariat, U.S. Citizenship Paperwork Reduction Act (Pub. L. 104– and Immigration Services, Department of 13). Your comments should address one Dated: June 8, 2011. Homeland Security. of the following four points: Tracey Denning, [FR Doc. 2011–14696 Filed 6–13–11; 8:45 am] (1) Evaluate whether the proposed Agency Clearance Officer, U.S. Customs and BILLING CODE 9111–97–P collection of information is necessary Border Protection. for the proper performance of the [FR Doc. 2011–14607 Filed 6–13–11; 8:45 am] functions of the agency/component, BILLING CODE 9111–14–P DEPARTMENT OF HOMELAND including whether the information will SECURITY have practical utility; (2) Evaluate the accuracy of the DEPARTMENT OF HOMELAND Customs and Border Protection agencies/components estimate of the SECURITY burden of the proposed collection of Agency Information Collection information, including the validity of U.S. Customs and Border Protection Activities: Application for Waiver of the methodology and assumptions used; Passport and/or Visa (3) Enhance the quality, utility, and Agency Information Collection Activities: Automated Clearinghouse AGENCY: U.S. Customs and Border clarity of the information to be Protection, Department of Homeland collected; and AGENCY: U.S. Customs and Border (4) Minimize the burden of the Security. Protection, Department of Homeland collections of information on those who ACTION: 30-Day notice and request for Security. are to respond, including the use of comments; Extension of an existing ACTION: 30-Day notice and request for information collection: 1651–0107. appropriate automated, electronic, mechanical, or other technological comments; Extension of an existing information collection: 1651–0078. SUMMARY: U.S. Customs and Border techniques or other forms of Protection (CBP) of the Department of information. SUMMARY: U.S. Customs and Border Homeland Security will be submitting Title: Application for Waiver of Protection (CBP) of the Department of the following information collection Passport and/or Visa. Homeland Security will be submitting request to the Office of Management and OMB Number: 1651–0107. the following information collection Budget (OMB) for review and approval Form Number: DHS Form I–193. Abstract: The data collected on DHS request to the Office of Management and in accordance with the Paperwork Budget (OMB) for review and approval Reduction Act: Application for Waiver Form I–193, Application for Waiver of Passport and/or Visa, is used by CBP to in accordance with the Paperwork of Passport and/or Visa (DHS Form I– Reduction Act: Automated 193). This is a proposed extension of an determine an applicant’s eligibility to enter the United States under 8 CFR Clearinghouse (CBP Form 400). This is information collection that was a proposed extension of an information previously approved. CBP is proposing parts 211.1(b)(3) and 212.1(g). This form is filed by aliens who wish to waive the collection that was previously that this information collection be approved. CBP is proposing that this extended with no change to the burden documentary requirements for passports and/or visas due to an unforeseen information collection be extended with hours. This document is published to a change to the burden hours. This obtain comments from the public and emergency such as an expired passport, or a lost, stolen, or forgotten passport or document is published to obtain affected agencies. This proposed comments from the public and affected information collection was previously permanent resident card. This information collected on DHS Form agencies. This proposed information published in the Federal Register (76 collection was previously published in FR 17426) on March 29, 2011, allowing I–193 is authorized by Section 212(a)(7)(B) of the Immigration and the Federal Register (76 FR 19121) on for a 60-day comment period. This April 6, 2011, allowing for a 60-day notice allows for an additional 30 days Nationality Act. This form is accessible at http://forms.cbp.gov/pdf/ comment period. This notice allows for for public comments. This process is _ _ an additional 30 days for public conducted in accordance with 5 CFR CBP Form i193.pdf. Current Actions: This submission is comments. This process is conducted in 1320.10. being made to extend the expiration accordance with 5 CFR 1320.10. DATES: Written comments should be date with no change to information DATES: Written comments should be received on or before July 14, 2011. collected or to DHS Form I–193. received on or before July 14, 2011. ADDRESSES: Interested persons are Type of Review: Extension (without ADDRESSES: Interested persons are invited to submit written comments on change). invited to submit written comments on

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this proposed information collection to updated estimates by CBP. There is no FOR FURTHER INFORMATION CONTACT: the Office of Information and Regulatory change to the information being Regina M. Montgomery at (202) 402– Affairs, Office of Management and collected. 3593 (this is not a toll free number) for Budget. Comments should be addressed Type of Review: Extension (with copies of the proposed forms and other to the OMB Desk Officer for Customs change). available documents. and Border Protection, Department of Affected Public: Businesses. SUPPLEMENTARY INFORMATION: The Homeland Security, and sent via Estimated Number of Respondents: Department is submitting the proposed electronic mail to 1,443. information collection to OMB for [email protected] or faxed Estimated Number of Responses per review as required by the Paperwork to (202) 395–5806. Respondent: 2. Reduction Act of 1995 (44 U.S.C. SUPPLEMENTARY INFORMATION: U.S. Estimated Number of Total Annual chapter 35, amended). Customs and Border Protection (CBP) Responses: 2,886. This Notice is soliciting comments encourages the general public and Estimated Time per Response: 5 from members of the public and affected affected Federal agencies to submit minutes. agencies concerning the proposed written comments and suggestions on Estimated Total Annual Burden collection of information to: (1) Evaluate proposed and/or continuing information Hours: 240. whether the proposed collection of collection requests pursuant to the If additional information is required information is necessary for the proper Paperwork Reduction Act (Pub. L. 104– contact: Tracey Denning, U.S. Customs performance of the functions of the 13). Your comments should address one and Border Protection, Regulations and agency, including whether the of the following four points: Rulings, Office of International Trade, information will have practical utility; (1) Evaluate whether the proposed 799 9th Street, NW., 5th Floor, (2) Evaluate the accuracy of the agency’s collection of information is necessary Washington, DC 20229–1177, at 202– estimate of the burden of the proposed for the proper performance of the 325–0265. collection of information; (3) Enhance the quality, utility, and clarity of the functions of the agency/component, Dated: June 7, 2011. information to be collected; and (4) including whether the information will Tracey Denning, have practical utility; Minimize the burden of the collection of Agency Clearance Officer, U.S. Customs and information on those who are to (2) Evaluate the accuracy of the Border Protection. agencies/components estimate of the respond; including through the use of [FR Doc. 2011–14608 Filed 6–13–11; 8:45 am] appropriate automated collection burden of the proposed collection of BILLING CODE 9111–14–P information, including the validity of techniques or other forms of information the methodology and assumptions used; technology, e.g., permitting electronic (3) Enhance the quality, utility, and submission of responses. The Notice is clarity of the information to be DEPARTMENT OF HOUSING AND soliciting comments from members of collected; and URBAN DEVELOPMENT the public and affected agencies concerning the proposed collection of (4) Minimize the burden of the [Docket No. FR–5481–N–06] collections of information on those who information to: evaluate whether the are to respond, including the use of Notice of Proposed Information proposed collection of information is appropriate automated, electronic, Collection; Comment Request, necessary for the proper performance of mechanical, or other technological Entitlement and State Community the functions of the agency, including techniques or other forms of Development Block (CDBG) Program whether the information will have information. practical utility; evaluate the accuracy Title: Automated Clearinghouse. AGENCY: Office of the Assistant of the agency’s estimate. This Notice also lists the following OMB Number: 1651–0078. Secretary for Community Planning and Development, HUD. information: Form Number: CBP Form 400. Title of Proposal(s): Closeout Notice ACTION: Notice. Abstract: The Automated for CDBG Programs. Clearinghouse (ACH) allows SUMMARY: The proposed information HUD 7082–Funding Approval Form. participants in the Automated Broker OMB Control Number, if applicable: Interface (ABI) to transmit daily collection requirement described below will be submitted to the Office of Description of the need for the statements, deferred tax, and bill information and proposed use: payments electronically through a Management and Budget (OMB) for financial institution directly to a CBP review, as required by the Paperwork Closeout Notice for CDBG Programs account. ACH debit allows the payer to Reduction Act. The Department is The closeout instructions apply to exercise more control over the payment soliciting public comments on the Community Development Block Grant process. In order to participate in ACH subject proposal. (CDBG) programs (State CDBG Program, debit, companies must complete CBP DATES: Comments Due Date: August 15, CDBG Disaster Recovery Supplemental Form 400, ACH Application. 2011. Funding, CDBG–Recovery Act (CDBG– Participants also use this form to notify ADDRESSES: Interested persons are R)) and Neighborhood Stabilization CBP of changes to bank information or invited to submit comments regarding Programs (NSP) 1, 2, & 3. Section contact information. The ACH this proposal. Comments should refer to 570.509 of the CDBG regulations procedure is authorized by 19 U.S.C. the proposal by name and/or OMB contains the grant closeout criteria for 1202, and provided for by 19 CFR 24.24 Control Number and should be sent to: Entitlement jurisdictions when HUD (b). CBP Form 400 is accessible at LaRuth Harper, Reports Management determines, in consultation with the http://www.cbp.gov/xp/cgov/toolbox/ Officer, OTAM, Department of Housing recipients that a grant can be closed. forms/. and Urban Development, 451 7th Street, The State CDBG program does not have Current Actions: This submission is SW., Room 7233, Washington, DC a regulatory requirement for closeouts being made to extend the expiration 20410; telephone, 202–402–4696 (this is but has relied on administrative date of this information collection with not a toll-free number), or e-mail Ms. guidance. This is also true for the NSP, a change to the burden hours due to Harper at [email protected]. CDBG Disaster Recovery and CDBG–R

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programs administrated by the state. I of the Housing and Community funding approval form. The proposed States will use the Notice as a vehicle Development Act of 1974, as amended, frequency of the response to the to verify that State CDBG funds have (42 USC 5301 et seq.). HUD will make collection of information is annual to been properly spent before a grant may the funding assistance as specified to initiate the grant closeout reporting and be officially closed. The HUD field the grantee upon execution of the submission of the funding approval office will prepare and send a closeout Agreement. agreement. The total annual reporting package that includes a transmittal Agency for numbers, if applicable: for grant closeout is estimated at letter, grant closeout agreement, grantee Not applicable 2399.34 hours for 1,621 grant recipients. closeout certification and a closeout Members of affected public: This The annual submission of the HUD 7082 checklist to the grantee via email or information collection applies to all funding approval form is estimated at standard mail. The information in the States, Entitlement jurisdictions, Insular 364 hours for 1,456 grant recipients. Areas, non-entitlement counties in closeout package will assist the Status of the Proposed Information Department in determining whether all Hawaii and those non-entitlement Collection: requirements of the contract between counties directly funded by NSP 3. the Department and the Grantee have Estimation of the Total Numbers of This is a new collection. been completed. Hours Needed To Prepare the Authority: The paperwork Reduction Act Information Collection Including of 1995, 44 U.S.C. Chapter 35, as amended. The HUD 7082 Funding Approval Form Number of Respondent, Frequency of The Grant Agreement between the Response, and Hours of Response: The Dated: May 27, 2011. Department of Housing and Urban estimated combined number of Mercedes Ma´rquez, Development (HUD) and the Grantee is respondents is 3,077 for the grant Assistant Secretary for Community Planning made pursuant to the authority of Title closeout task and for the HUD 7082 and Development.

GRANT CLOSEOUT

Annual Grant program closeout task Number of frequency per Burden hours Total burden respondents response per response hours

State

CDBG States ...... 50 1 3 150 CDBG–R ...... 50 .33 3 49.5 Disaster 1 ...... 10 1 3 30 NSP 2 ...... 51 1 3 153

States Total ...... 161 3.33 12 382.5

Nonentitlement Counties in Hawaii

CDBG–R ...... 3 .33 3 2.97

Counties in Hawaii Total ...... 3 .33 3 2.97

Entitlement Jurisdictions

NSP 2 ...... 288 1 3 864 CDBG–R ...... 1110 .33 3 1098.9

Entitlement Total ...... 1398 1.33 6 1962.9

Nonentitlement Direct Grantees

NSP–3 ...... 31 .25 3 23.25

Nonentitlement Total ...... 31 .25 3 23.25

Non-Profit and Quasi-Public Direct Grantees Responsibilities

NSP–2 ...... 20 .33 3 19.8

Non-Profits and Quasi-Public Total ...... 20 .33 3 19.8

Insular Areas

NSP–1 ...... 4 .33 3 3.96 CDBG–R ...... 4 .33 3 3.96

Insular Area Total ...... 8 .66 6 7.92

Grant Closeout Total ...... 1,621 6.23 33 2399.34 1 Disaster recovery funds are contingent upon if the President declared a major disaster and Congress provided a supplemental appropriation. 2 NSP includes 1, 2, & 3 unless otherwise specified.

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FUNDING APPROVAL/AGREEMENT 7082 FORM

Annual Funding approval/agreement form for grant programs Number of frequency Burden hours Total burden respondents per response per response hours

State

CDBG State ...... 50 1 .25 12.5 Disaster 1 ...... 10 1 .25 2.5 NSP–3 ...... 51 1 .25 12.75

State Total ...... 111 3 .75 27.75

Nonentitlement Counties in Hawaii

CDBG ...... 3 1 .25 .75

Counties in Hawaii Total ...... 3 1 .25 .75

Entitlement Jurisdictions

CDBG ...... 1,110 1 .25 277.5 NSP–3 ...... 197 1 .25 49.25

Entitlement Total ...... 1307 2 .50 326.75

Nonentitlement Direct Grantees

NSP–3 ...... 31 1 .25 7.75

Nonentitlement Direct Grantees Total ...... 31 1 .25 7.75

Insular Areas

CDBG ...... 4 1 .25 1.0

Insular Area Total ...... 4 1 .25 1.0

Funding Approval Total ...... 1,456 8 2.0 364 1 Disaster recovery funds are contingent upon if the President declared a major disaster and Congress provided a supplemental appropriation.

[FR Doc. 2011–14600 Filed 6–13–11; 8:45 am] DATES: Comments Due Date: June 28, described below. The purpose of the BILLING CODE 4210–67–P 2011. LEPI NOFA is to help ensure limited English proficient (LEP) communities ADDRESSES: Interested persons are invited to submit comments regarding have access to information in their DEPARTMENT OF HOUSING AND this proposal. Comments must be native languages on HUD programs, URBAN DEVELOPMENT services, and activities. In coordination received within 14 days from the date with local HUD grantees, successful of this Notice. Comments should refer to [Docket No. FR–5480–N–49] applicants will develop and conduct, the proposal by name (or OMB approval workshops, training sessions, and/or Notice of Submission of Proposed number) and should be sent to: HUD disseminate LEP material to the targeted Information Collection to OMB; Desk Officer, Office of Management and LEP communities. LEP individuals are Emergency Comment Request; Notice Budget, New Executive Office Building, persons who do not speak English as of Funding Availability (NOFA) for Washington, DC 20503; e-mail: their primary language and who have a Fiscal Year 2010 Limited English [email protected]; fax: limited ability to read, write, speak, or Proficiency Initiative (LEPI) Program; 202–395–3086. understand English. Examples of groups Notice of Proposed Information FOR FURTHER INFORMATION CONTACT: Collection for Public Comment likely to include LEP individuals who Reports Management Officer, QDAM, are encountered and served by HUD AGENCY: Office of the Chief Information Department of Housing and Urban grantees include, but are not limited to: Officer. Development, 4517th Street, SW., (1) Individuals who are seeking housing Washington, DC 20410; e-mail ACTION: Notice of proposed information assistance from a public housing agency [email protected]; telephone collection. or assisted housing provider; (2) (202) 708–2374. This is not a toll-free individuals seeking assistance for lead- SUMMARY: The proposed information number. Copies of available documents based paint removal or abatement; (3) collection requirement described below submitted to OMB may be obtained individuals seeking general fair housing has been submitted to the Office of from the Reports Management Officer. information or information on how to Management and Budget (OMB) for SUPPLEMENTARY INFORMATION: This file a housing discrimination complaint, emergency review and approval, as Notice informs the public that the U.S. housing-related training, social services, required by the Paperwork Reduction Department of Housing and Urban or any other assistance from HUD Act. The Department is soliciting public Development (HUD) has submitted to grantees. HUD programs include, but are comments on the subject proposal. OMB, for emergency processing, as not limited to HUD’s Offices of Public

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and Indian Housing, Community Authority: The Paperwork Reduction Act review, as required by the Paperwork Planning and Development, Sustainable of 1995, 44 U.S.C. chapter 35, as amended. Reduction Act of 1995 (44 U.S.C. Housing and Communities, Fair Dated: June 7, 2011. chapter 35, as amended). This Notice is Housing and Equal Opportunity, Policy Colette Pollard, soliciting comments from members of Development and Research, Housing, Departmental Reports Management Officer, the public and affected agencies and Healthy Homes and Lead Hazard Office of the Chief Information Officer. concerning the proposed collection of Control. For additional information, [FR Doc. 2011–14601 Filed 6–13–11; 8:45 am] information to: (1) Evaluate whether the refer to the User’s Guide to HUD BILLING CODE 4210–67–P proposed collection of information is Programs at: http://archives.hud.gov/ necessary for the proper performance of funding/2009/snuserguide.pdf. LEP the functions of the agency, including communities are groups of LEP DEPARTMENT OF HOUSING AND whether the information will have individuals sharing a common language URBAN DEVELOPMENT practical utility; (2) evaluate the that are located within the intended area accuracy of the agency’s estimate of the to be served and comprise part of the [Docket No. FR–5481–N–08] burden of the proposed collection of community intended to be served by Notice of Proposed Information information; (3) enhance the quality, HUD grantees. The objectives of the Collection for Public Comment; utility, and clarity of the information to LEPI NOFA are to: (1) Identify and meet Continuum of Care Check-up be collected; and (4) minimize the the needs of the targeted LEP Assessment Tool burden of the collection of information communities; (2) improve the on those who are to respond, including participation of LEP individuals in HUD AGENCY: U.S. Department of Housing through the use of appropriate programs, services, and activities and Urban Development (HUD), Office automated collection techniques or beyond the 12-month grant period; and of the Assistant Secretary for other forms of information technology; (3) enhance the dissemination and Community Planning and Development. e.g., permitting electronic submission of communication of HUD programs, . responses. services, and activities in languages ACTION: Notice of proposed information This Notice also lists the following targeted to meet the needs of local collection. information: communities. Title of Proposal: Continuum of Care This Notice also lists the following SUMMARY: The proposed information Check-up Assessment Tool. information: collection requirement described below Description of the need for the Title of Proposal: Notice of Funding will be submitted to the Office of information proposed: The CoC Check- Availability (NOFA) for Fiscal Year Management and Budget (OMB) for up Tool will enhance CoCs awareness of 2010 Limited English Proficiency review, as required by the Paperwork their functional capacity to assume the Initiative (LEPI) Program. Reduction Act. The Department is new responsibilities outlined in the Description of Information Collection: soliciting public comments on the McKinney-Vento Act, as amended by The purpose of the LEPI NOFA is to subject proposal. HEARTH. Communities will self- provide direct services to LEP DATES: Comments Due Date: August 15, identify and prioritize areas where individuals by providing information on 2011. capacity improvement is needed. HUD accessing HUD programs, services, and ADDRESSES: Interested persons are will garner information to assess and activities in languages native to the invited to submit comments regarding direct technical assistance needs, targeted LEP communities, in this proposal. Comments should refer to prepare for training conferences, coordination with local HUD grantees. the proposal by name/or OMB Control develop sample tools and templates, OMB Control Number: 2529–Pending. number and should be sent to: Colette guidebooks, white papers, webinars, Agency Form Numbers: HUD forms Pollard, Departmental Reports FAQs, and staff the Virtual Help Desk to have been identified in the Management Officer, QDAM, best help communities plan their Department’s General Section. Department of Housing and Urban transition. Members of Affected Public: Qualified Development, 451 7th Street, SW., Agency Form Numbers non-profit or faith-based community Room 4160, Washington, DC 20410– organizations that have engaged in 5000; telephone (202) 402–3400, (this is Members of the affected public: providing LEP services to diverse not a toll-free number) or e-mail Ms. Continuum of Care lead persons, HMIS populations and communities. Pollard at [email protected] for a administrators, ESG grantee lead Estimation of the Total Numbers of copy of proposed forms, or other persons, and select grantees under the Hours Needed to Prepare the available information. Persons with current CoC competitive grants (The Information Collection Including hearing or speech impairments may Supportive Housing Program [SHP], Number of Respondents, Frequency of access this number through TTY by Shelter Plus Care [S+C], and the Section Responses, and Hours of Response: calling the toll-free Federal Information 8 Moderate Rehabilitation for the Single Estimation of the total number of hours Relay Service at (800) 877–8339. Room Occupancy [SRO] Program), ESG needed to prepare the information FOR FURTHER INFORMATION CONTACT: Ann grants, and HPRP grants. collection is 30. On an annual basis Marie Oliva, Director, Office of Special Estimation of the total number of approximately 30 respondents Needs Assistance Programs, Office of hours needed to prepare the information (applicants) will submit one (1) Community Planning and Development, collection including number of Application to HUD with a burden hour Department of Housing and Urban respondents, frequency of response, and per response of 70 hours. It is estimated Development, 451 7th Street, SW., hours of response: 450 CoC respondents that 2 hours for the quarterly reporting Room 7262, Washington, DC 20410; × 8 respondents per CoC = 3,600 period will be required of the recipients telephone (202) 708–1590 (This is not a respondents. 3,600 respondents × 90 to fulfill HUD reporting requirements, toll-free number). minutes per response = 324,000 total for a total of 2,132 burden hours. SUPPLEMENTARY INFORMATION: The minutes or 5,400 hours. Status of the Proposed Information Department will submit the proposed Status of proposed information Collection: Proposed new collection. information collection to OMB for collection: New Collection

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Authority: Section 3506 of the Paperwork information is necessary for the proper reuse of older buildings and structures Reduction act of 1995, 44 U.S.C. chapter 35, performance of the functions of the for new purposes, and similar activities as amended. agency, including whether the with the goal of promoting Dated: June 8, 2011. information will have practical utility; sustainability at the local or Clifford D. Taffet, (2) evaluate the accuracy of the agency’s neighborhood level. HUD’s Community General Deputy Assistant Secretary for estimate of the burden of the proposed Challenge Planning Grant Program also Community Planning and Development. collection of information; (3) enhance supports the development of affordable [FR Doc. 2011–14724 Filed 6–13–11; 8:45 am] the quality, utility, and clarity of the housing through the development and BILLING CODE 4210–67–P information to be collected; and (4) adoption of inclusionary zoning minimize the burden of the collection of ordinances and other activities such as information on those who are to acquisition of land for affordable DEPARTMENT OF HOUSING AND respond, including through the use of housing projects. URBAN DEVELOPMENT appropriate automated collection In fiscal year 2010 a joint Notice of Funding Availability was issued for [Docket No. FR–5480–N–50] techniques or other forms of information technology; e.g., permitting electronic HUD’s Community Challenge Planning Notice of Submission of Proposed submission of responses. Grant program and DOT’s TIGER II Information Collection to OMB, This Notice also lists the following Planning Grant program, as a result both Emergency Comment Request; information: agencies successfully awarded 14 joint Communities Challenge Planning Title of Proposal: Communities grants. This fiscal year DOT did not Grant Challenge Planning Grant. receive transportation planning funds as OMB Control Number: 2501–0025. part of the National Infrastructure AGENCY: HUD’s, Office of Sustainable Agency Form Numbers: (a) Form SF– Investments program therefore a joint Housing and Communities. 424—Application for Federal NOFA will not be issued. ACTION: Notice of proposed information Assistance. Members of Affected Public: State, collection. (b) SF–424 Supplement Survey on Local Government and Non-profit Equal Opportunity for Applicants organization. SUMMARY: The proposed information (‘‘Faith Based EEO Survey (SF–424 Estimation of the Total Numbers of collection requirement described below SUPP)’’ on Grants.gov) (optional Hours Needed to Prepare the has been submitted to the Office of submission). Information Collection Including Management and Budget (OMB) for (c) HUD–424 CBW, HUD Detailed Number of Respondents, Frequency of emergency review and approval, as Budget Worksheet, (Include Total Responses, and Hours of Response: required by the Paperwork Reduction Budget (Federal Share and Matching) The estimated number of respondents Act. The Department is soliciting public and Budget Justification Narrative. is 600 and the number of responses is comments on the subject proposal. This (d) Form HUD 2880—Applicant/ 1. There will be in total, approximately data collection is for applications Recipient Disclosure/Update Report 900 total responses. The total reporting received under the community (‘‘HUD Applicant Recipient Disclosure burden is 1800 hours. Challenge Planning Grants Notice of Report’’ on Grants.gov). Status of the Proposed Information Funding Availability. (e) Form SF–LLL—Disclosure of Collection: Reinstatement, with change, DATES: Comments Due Date: June 28, Lobbying Activities (if applicable). of a previously approved collection for (f) Form HUD 96011—Third Party 2011. which approval has expired. Documentation Facsimile Transmittal ADDRESSES: Interested persons are (‘‘Facsimile Transmittal Form’’ on Authority: The Paperwork Reduction Act invited to submit comments regarding Grants.gov) (Used as the cover page to of 1995, 44 U.S.C. chapter 35, as amended. this proposal. Comments must be transmit third party documents and Dated: June 7, 2011. received within 14 days from the date other information designed for each Colette Pollard, of this Notice. Comments should refer to specific 4 application for tracking the proposal by name/or OMB approval Departmental Reports Management Officer, purposes. HUD will not read faxes that Office of the Chief Information Officer. number (2501–0025) and should be sent do not use the HUD–96011 as the cover to: HUD Desk Officer, Office of [FR Doc. 2011–14602 Filed 6–13–11; 8:45 am] page to the fax.) BILLING CODE 4210–67–P Management and Budget, New Description of Information Collection: Executive Office Building, Washington, The Department of Defense and Full- DC 20503; e-mail: oir submission Year Continuing Appropriations Act, DEPARTMENT OF HOUSING AND @omb.eop.gov; fax: 202–395–3086. 2011 (Pub. L. 112–10, approved April URBAN DEVELOPMENT FOR FURTHER INFORMATION CONTACT: 15, 2011) (Appropriations Act), Reports Management Officer, QDAM, provided $30,000,000 for HUD’s [Docket No. FR–5553–D–01] Department of Housing and Urban Community Challenge Planning Grant Development, 4517th Street, SW., Delegation of Authority to the Chief Program. Operating Officer Washington, DC 20410; e-mail HUD’s $30 million Community [email protected]; telephone Challenge Planning Grant Program will AGENCY: Office of the Deputy Secretary, (202) 708–2374. This is not a toll-free foster reform and reduce barriers to U.S. Department of Housing and Urban number. Copies of available documents achieving affordable, economically vital, Development (HUD). submitted to OMB may be obtained and sustainable communities. Such ACTION: Notice of delegation of from the Reports Management Officer. efforts may include amending or authority. SUPPLEMENTARY INFORMATION: This replacing local master plans, zoning Notice is soliciting comments from codes, and building codes, either on a SUMMARY: In this notice, the Deputy members of the public and affected jurisdiction wide basis or in a specific Secretary delegates to the Chief agencies concerning the proposed neighborhood, district, corridor, or Operating Officer all management and collection of information to: (1) Evaluate sector to promote mixed-use supervisory authority for the following whether the proposed collection of development, affordable housing, the offices: the Chief Information Officer

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(CIO); the Chief Human Capital Officer program, health and wellness; employee DEPARTMENT OF THE INTERIOR (CHCO); the Chief Procurement Officer and labor relations; pay, benefits and (CPO); the Director of Field Policy retirement center; human capital Fish and Wildlife Service Management (FPM); the Director of the information systems; budget; Executive [FWS–R9–IA–2011–N068; 96300–1671–0000 Office of Strategic Planning and Secretariat correspondence FY11–R4] Management; and the Chief Disaster and management; and processing of National Security Officer. Freedom of Information Act requests. Species Proposals for Consideration at DATES: Effective Date: April 15, 2011. the Sixteenth Regular Meeting of the 2. Office of the Chief Information FOR FURTHER INFORMATION CONTACT: Conference of the Parties to the Officer: This office is responsible for Lawrence D. Reynolds, Assistant Convention on International Trade in modernizing information technology General Counsel for Administrative Endangered Species of Wild Fauna systems, information security, and Law, Office of General Counsel, and Flora Department of Housing and Urban protecting privacy. AGENCY: Fish and Wildlife Service, 3. Office of the Chief Procurement Development, 451 7th Street, SW., Interior. Room 9256, Washington, DC 20410– Officer: This office is responsible for all ACTION: 0500, telephone number 202–402–3502. procurement and contracting activity by Notice. (This is not a toll-free number.) the Department. SUMMARY: We invite you to provide us Individuals with speech or hearing 4. Office of the Director of Field Policy with information and recommendations impairments may access this number Management: This office provides on animal and plant species that should through TTY by calling 1–800–877– direction and oversight for Regional and be considered as candidates for U.S. 8339. Field Office Directors. proposals to amend Appendices I and II SUPPLEMENTARY INFORMATION: of the Convention on International Certain 5. Office of the Chief Disaster and management and program functions Trade in Endangered Species of Wild National Security Officer: This office is previously performed by an Assistant Fauna and Flora (CITES or the responsible for the Department’s Secretary for Administration will now Convention) at the upcoming sixteenth be performed by a Chief Operating disaster response and recovery meeting of the Conference of the Parties Officer (COO). These functions include programs. (CoP16). Such amendments may executive scheduling, field 6. Office of Strategic Planning and concern the addition of species to administrative resources, security and Management: This office is responsible Appendix I or II, the transfer of species emergency planning, grants for the Department’s strategic planning, from one Appendix to another, or the management and oversight, executive and performance management and removal of species from Appendix II. secretariat, Freedom of Information Act measurement. Finally, with this notice, we also processing, budgeting, accounting, describe the U.S. approach to hiring and training employees, Section B. Authority Excepted preparations for CoP16. We will publish a second Federal Register notice to modernizing information technology The authority delegated in this solicit information and systems, information security, document does not include the protecting privacy, procurement and recommendations on possible authority to sue or be sued or to issue contracting, strategic planning, disaster resolutions, decisions, and agenda items or waive regulations. preparedness operations, and field for discussion at CoP16 and to provide policy and management. These function Section C. Authority to Redelegate information on how to request approved are performed in the offices of the Chief observer status. Human Capital Officer (CHCO), the The Chief Operating Officer may DATES: We will consider all information Chief Information Officer (CIO), the redelegate to employees of HUD any of and comments we receive on or before Chief Procurement Officer (CPO), the authority delegated under Section A August 15, 2011. Director of Field Policy Management, above. ADDRESSES: Send correspondence Chief Disaster and National Security Section D. Authority Superseded pertaining to species proposals to the Officer, and the Director of Strategic Division of Scientific Authority; U.S. Planning and Management. The COO This delegation revokes all previous Fish and Wildlife Service; 4401 North has been delegated management and delegations of authority from the Fairfax Drive; Room 110; Arlington, VA program authority for these offices. Secretary or the Deputy Secretary to the 22203; or via e-mail to: Additionally, the Chief Financial Officer Assistant Secretary for Administration. [email protected]. Comments and (CFO) Reports to the Chief Operating materials we receive pertaining to Officer. Authority: Section 7(d) Department of species proposals will be available for Housing and Urban Development Act, 42 public inspection, by appointment, from Section A. Authority U.S.C. 3535(d) 8 a.m. to 4 p.m., Monday through The Deputy Secretary of Housing and Dated: April 15, 2011. Friday, at the Division of Scientific Urban Development hereby delegates to Ron Sims, Authority. the Chief Operating Officer authority to manage and supervise the following Deputy Secretary. FOR FURTHER INFORMATION CONTACT: offices and functions: [FR Doc. 2011–14599 Filed 6–13–11; 8:45 am] Rosemarie Gnam, Chief, Division of 1. Office of the Chief Human Capital BILLING CODE 4210–67–P Scientific Authority; phone 703–358– Officer: This office is responsible for 1708; fax 703–358–2276; e-mail: employee performance management; [email protected]. executive resources; human capital field SUPPLEMENTARY INFORMATION: support; human capital policy, planning and training; facilities management Background services; recruitment and staffing; The Convention on International personnel security; employee assistance Trade in Endangered Species of Wild

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Fauna and Flora, hereinafter referred to that the United States is experiencing as Request for Information and as CITES or the Convention, is an a range country for species in trade? Recommendations for Amending international treaty designed to regulate Since our primary responsibility is the Appendices I or II international trade in certain animal and conservation of our domestic wildlife The purpose of this notice is to solicit plant species that are now, or resources, we will give native species information and recommendations that potentially may become, threatened the highest priority. We will place will help us identify species that the with extinction. These species are listed particular emphasis on terrestrial and United States should propose for in the Appendices to CITES, which are freshwater species with the majority of addition to, removal from, or available on the CITES Secretariat’s Web their range in the United States and its reclassification in the CITES site at http://www.cites.org/eng/app/ territories that are or may be traded in Appendices, or to identify issues index.shtml. significant numbers; marine species that warranting attention by the CITES Currently, 175 countries, including occur in U.S. waters or for which the specialists on zoological and botanical the United States, are Parties to CITES. United States is a major trader; and nomenclature. This request is not threatened and endangered species for The Convention calls for regular limited to species occurring in the which we and other Federal and State biennial meetings of the Conference of United States. Any Party may submit agencies already have statutory the Parties, unless the Conference proposals concerning animal or plant responsibility for protection and decides otherwise. At these meetings, species occurring in the wild anywhere recovery. We also consider CITES the Parties review the implementation in the world. We encourage the listings as a proactive measure to of CITES, make provisions enabling the submission of information on any monitor and manage trade in native CITES Secretariat in Switzerland to species for possible inclusion in the species to preclude the need for the carry out its functions, consider Appendices if these species are subject application of stricter measures, such as amendments to the list of species in to international trade that is, or may listing under the Endangered Species Appendices I and II, consider reports become, detrimental to the survival of presented by the Secretariat, and make Act of 1973, as amended (16 U.S.C. 1531 et seq.), or inclusion in CITES Appendix the species. We also encourage you to recommendations for the improved keep in mind the U.S. approach to effectiveness of CITES. Any country that I. (2) Does the proposed action address CoP16, described above in this notice, is a Party to CITES may propose when considering what species the amendments to Appendices I and II, a serious wildlife or plant trade issue for species not native to the United States? United States should propose for resolutions, decisions, and agenda items inclusion in the Appendices. for consideration by all the Parties at the As a major importer of wildlife, plants, and their products, the United States We are not necessarily requesting meeting. complete proposals, but they are always This is our first in a series of Federal has taken responsibility, by working in close consultation with range countries, welcome. However, we are asking you Register notices that, together with an to submit convincing information announced public meeting, provide you for addressing cases of potential over- exploitation of foreign species in the describing: (1) The status of the species, with an opportunity to participate in the especially trend information; (2) development of the U.S. submissions to wild. In some cases, the United States may not be a range country or a conservation and management programs and negotiating positions for the for the species, including the sixteenth regular meeting of the significant trading country for a species, but we will work closely with other effectiveness of enforcement efforts; and Conference of the Parties to CITES (3) the level of international as well as (CoP16). Our regulations governing this countries to conserve species being threatened by unsustainable domestic trade in the species, especially public process are found in Title 50 of trend information. You may also the Code of Federal Regulations (CFR) at exploitation for international trade. We will consider CITES listings for species provide any other relevant information, § 23.87. not native to the United States if those and we appreciate receiving a list of Announcement of the Sixteenth Meeting listings will assist in addressing cases of references. of the Conference of the Parties known or potential over-exploitation of The term ‘‘species’’ is defined in foreign species in the wild, and in CITES as ‘‘any species, subspecies, or We hereby notify you of the geographically separate population convening of CoP16, which is preventing illegal, unregulated trade, especially if the United States is a major thereof.’’ Each species for which trade is tentatively scheduled to be held in controlled under CITES is included in Pattaya, Thailand, in March 2013. importer. These species will be prioritized based on the extent of trade one of three Appendices, either as a U.S. Approach for CoP16 and status of the species, and also the separate listing or incorporated within role the species play in the ecosystem, the listing of a higher taxon. The basic What are the priorities for U.S. standards for inclusion of species in the submissions to CoP16? with emphasis on those species for which a CITES listing would offer the Appendices are contained in Article II Priorities for U.S. submissions to greatest conservation benefits to the of CITES (text of the Convention is on CoP16 continue to be consistent with species, associated species, and their the CITES Secretariat’s Web site at the overall objective of U.S. habitats. http://www.cites.org/eng/disc/ participation in the Convention: to (3) Does the proposed action provide text.shtml). Appendix I includes species maximize the effectiveness of the additional conservation benefit for a threatened with extinction that are or Convention in the conservation and species already covered by another may be affected by trade. Appendix II sustainable use of species subject to international agreement? The United includes species that, although not international trade. With this in mind, States will consider the listing of such necessarily now threatened with we plan to consider the following a species under CITES when it would extinction, may become so unless trade factors in determining what issues to enhance the conservation of the species in them is strictly controlled. Appendix submit for inclusion in the agenda at by ensuring that international trade is II also lists species that must be subject CoP16: effectively regulated and not to regulation in order that trade in other (1) Does the proposed action address detrimental to the survival of the CITES-listed species may be brought a serious wildlife or plant trade issue species. under effective control. Such listings

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usually are necessary because of (7) A short summary statement clearly Future Actions difficulty inspectors have at ports of presenting the rationale for inclusion in entry or exit in distinguishing one or removal or transfer from one of the As stated above, the next regular species from other species. Because Appendices, including which of the meeting of the Conference of the Parties Appendix III only includes species that criteria in Resolution Conf. 9.24 (Rev. (CoP16) is tentatively scheduled to be any Party may list unilaterally, we are CoP15) are met. held in Pattaya, Thailand, in March 2013. The United States must submit not seeking input on possible U.S. If you wish to submit more complete any proposals to amend Appendix I or Appendix-III listings with this notice, proposals for us to consider, please II, or any draft resolutions, decisions, or and we will not consider or respond to consult Resolution Conf. 9.24 (Rev. agenda items for discussion at CoP16, to comments received concerning CoP15) for the format for proposals and the CITES Secretariat 150 days Appendix-III listings. a detailed explanation of each of the (tentatively early October 2012) prior to CITES specifies that international categories. Proposals to transfer a the start of the meeting. In order to meet trade in any readily recognizable parts species from Appendix I to Appendix II this deadline and to prepare for CoP16, or derivatives of animals listed in or to remove a species from Appendix we have developed a tentative U.S. Appendices I or II, or plants listed in II must also be in accordance with the schedule. We plan to publish a Federal Appendix I, is subject to the same precautionary measures described in Register notice approximately 15 conditions that apply to trade in the Annex 4 of Resolution Conf. 9.24 (Rev. months prior to CoP16; in that notice, whole organisms. With certain standard CoP15). exclusions formally approved by the we intend to request potential Parties, the same applies to the readily What Will We Do With the Information resolutions, decisions, and agenda items recognizable parts and derivatives of We Receive? for discussion at CoP16, and to announce tentative species proposals most plant species listed in Appendix II. The information that you submit will the United States is considering Parts and derivatives often not included help us decide if we should submit or submitting for CoP16 and solicit further (i.e., not regulated) for Appendix-II co-sponsor with other Parties a proposal information and comments on them. plants are: Seeds, spores, pollen to amend the CITES Appendices. (including pollinia), and seedlings or However, there may be species that Approximately 9 months prior to tissue cultures obtained in vitro and qualify for CITES listing but for which CoP16, we plan to publish a Federal transported in sterile containers. You we may decide not to submit a proposal Register notice announcing proposed may refer to the CITES Appendices on to CoP16. Our decision will be based on resolutions, decisions, and agenda items the Secretariat’s Web site at http:// a number of factors, including available the United States is considering www.cites.org/eng/app/index.shtml for scientific and trade information; submitting for CoP16. further exceptions and limitations. In whether or not the species is native to Approximately 4 months prior to 1994, the CITES Parties adopted criteria the United States; and for foreign CoP16, we will post on our website an for inclusion of species in Appendices species, whether or not a proposal is announcement of the species proposals, I and II (in Resolution Conf. 9.24 (Rev. supported or co-sponsored by at least draft resolutions, draft decisions, and CoP15)). These criteria apply to all one range country for the species. These agenda items submitted by the United listing proposals and are available from factors and others are included in the States to the CITES Secretariat for the CITES Secretariat’s Web site at U.S. approach to CoP16, described consideration at CoP16. http://www.cites.org/eng/res/ above in this notice. We will carefully Through a series of additional notices index.shtml or upon request from the consider all factors of the U.S. approach and website postings in advance of Division of Scientific Authority at the when deciding which species the CoP16, we will inform you about address listed under ADDRESSES. United States should propose for preliminary negotiating positions on Resolution Conf. 9.24 (Rev. CoP15) also inclusion in the Appendices. resolutions, decisions, and amendments provides a format for proposals to We will consult range countries for to the Appendices proposed by other amend the Appendices. foreign species, and for species we share Parties for consideration at CoP16, and What Information Should be Submitted? with other countries, after receiving and about how to obtain observer status analyzing the information provided by from us. We will also publish an In response to this notice, to provide the public in response to this notice as announcement of a public meeting us with information and well as other information available to tentatively to be held approximately 3 recommendations on species subject to us. months prior to CoP16; that meeting international trade for possible One important function of the CITES will enable us to receive public input on proposals to amend the Appendices, Scientific Authority of each Party our positions regarding CoP16 issues. please include as much of the following country is monitoring the international The procedures for developing U.S. information as possible in your trade in plant and animal species, and documents and negotiating positions for submission: a meeting of the Conference of the (1) Scientific name and common ongoing scientific assessments of the Parties to CITES are outlined in 50 CFR name; impact of that trade on species. For (2) Population size estimates native U.S. species listed in Appendices 23.87. As noted, we may modify or (including references if available); I and II, we monitor trade and export suspend the procedures outlined there if (3) Population trend information; permits authorized so that we can they would interfere with the timely or (4) Threats to the species (other than prevent over-utilization and restrict appropriate development of documents trade); exports if necessary. We also work for submission to the CoP and of U.S. (5) The level or trend of international closely with the States to ensure that negotiating positions. trade (as specific as possible but without species are correctly listed in the CITES Author a request for new searches of our Appendices (or not listed, if a listing is records); not warranted). For these reasons, we The primary author of this notice is (6) The level or trend in total take actively seek information about U.S. and Patricia Ford, Division of Scientific from the wild (as specific as reasonable); foreign species subject to international Authority, U.S. Fish and Wildlife and trade. Service.

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Authority Director within thirty (30) days after the FR 11273, March 1, 2011) of the subject protest is filed. five-year review was adequate and that The authority for this action is the the respondent interested party group Endangered Species Act of 1973, as Danny A. West, response was inadequate. The amended (16 U.S.C. 1531 et seq.). Chief Cadastral Surveyor of Arizona. Commission did not find any other Dated: May 16, 2011. [FR Doc. 2011–14635 Filed 6–13–11; 8:45 am] circumstances that would warrant Rowan W. Gould, BILLING CODE 4310–32–P conducting a full review.1 Accordingly, Acting Director. the Commission determined that it [FR Doc. 2011–14605 Filed 6–13–11; 8:45 am] would conduct an expedited review BILLING CODE 4310–55–P INTERNATIONAL TRADE pursuant to section 751(c)(3) of the Act. COMMISSION Staff report. A staff report containing information concerning the subject [Investigation No. 731–TA–856 (Second DEPARTMENT OF THE INTERIOR Review)] matter of the review will be placed in the nonpublic record on June 30, 2011, Bureau of Land Management Ammonium Nitrate From Russia; and made available to persons on the Scheduling of an expedited five-year Administrative Protective Order service [LLAZ956000.L14200000.BJ0000.241A] review concerning the antidumping list for this review. A public version duty order on ammonium nitrate From will be issued thereafter, pursuant to Notice of Filing of Plats of Survey; AZ Russia section 207.62(d)(4) of the Commission’s rules. AGENCY: Bureau of Land Management, AGENCY: United States International Written submissions. As provided in Interior. Trade Commission. section 207.62(d) of the Commission’s ACTION: Notice of filing of plats of ACTION: Notice. rules, interested parties that are parties survey; Arizona. to the review and that have provided SUMMARY: The Commission hereby gives individually adequate responses to the SUMMARY: The plat of survey as notice of the scheduling of an expedited notice of institution,2 and any party described below is scheduled to be review pursuant to section 751(c)(3) of other than an interested party to the officially filed in the Arizona State the Tariff Act of 1930 (19 U.S.C. review may file written comments with Office, Bureau of Land Management, 1675(c)(3)) (the Act) to determine the Secretary on what determination the Phoenix, Arizona, thirty (30) days after whether revocation of the antidumping Commission should reach in the review. the date of publication of this notice in duty order on ammonium nitrate from Comments are due on or before July 6, the Federal Register. Russia would be likely to lead to 2011 and may not contain new factual FOR FURTHER INFORMATION CONTACT: The continuation or recurrence of material information. Any person that is neither plat will be available for inspection in injury within a reasonably foreseeable a party to the five-year review nor an the Arizona State Office, Bureau of Land time. For further information interested party may submit a brief Management, One North Central concerning the conduct of this review written statement (which shall not Avenue, Suite 800, Phoenix, Arizona and rules of general application, consult contain any new factual information) 85004–4427; phone 602–417–9200. the Commission’s Rules of Practice and pertinent to the review by July 6, 2011. Persons who use a telecommunications Procedure, part 201, subparts A through However, should the Department of device for the deaf (TDD) may call the E (19 CFR part 201), and part 207, Commerce extend the time limit for its Federal Information Relay Service subparts A, D, E, and F (19 CFR part completion of the final results of its (FIRS) at 1–800–877–8339 to contact the 207). review, the deadline for comments (which may not contain new factual above individual during normal DATES: Effective Date: June 6, 2011. business hours. The FIRS is available 24 information) on Commerce’s final FOR FURTHER INFORMATION CONTACT: results is three business days after the hours a day, 7 days a week, to leave a Amy Sherman (202–205–3289), Office message or question with the above issuance of Commerce’s results. If of Investigations, U.S. International comments contain business proprietary individual. You will receive a reply Trade Commission, 500 E Street SW., during normal business hours. information (BPI), they must conform Washington, DC 20436. Hearing- with the requirements of sections 201.6, SUPPLEMENTARY INFORMATION: impaired persons can obtain 207.3, and 207.7 of the Commission’s The Gila and Salt River Meridian, information on this matter by contacting rules. The Commission’s rules do not Arizona: The plat representing the the Commission’s TDD terminal on 202– authorize filing of submissions with the dependent resurvey of portions of 205–1810. Persons with mobility Secretary by facsimile or electronic Mineral Survey No. 1785, in sections 32 impairments who will need special means, except to the extent permitted by 1 and 33, Township 12 ⁄2 North, Range 1 assistance in gaining access to the section 201.8 of the Commission’s rules, West, accepted May 24, 2011, for Group Commission should contact the Office as amended, 67 FR 68036 (November 8, 1071, Arizona. of the Secretary at 202–205–2000. 2002). Even where electronic filing of a This plat was prepared at the request General information concerning the document is permitted, certain of the United States Forest Service. Commission may also be obtained by A person or party who wishes to accessing its Internet server (http:// 1 A record of the Commissioners‘ votes, the protest against any of these surveys www.usitc.gov). The public record for Commission’s statement on adequacy, and any must file a written protest with the this review may be viewed on the individual Commissioner’s statements will be Commission’s electronic docket (EDIS) available from the Office of the Secretary and at the Arizona State Director, Bureau of Land Commission’s Web site. Management, stating that they wish to at http://edis.usitc.gov. 2 The Commission has found the responses protest. SUPPLEMENTARY INFORMATION: submitted by the Committee for Fair Ammonium A statement of reasons for a protest Background. On June 6, 2011, the Nitrate Trade (‘‘COFANT’’) and its individual members, CF Industries, Inc. and El Dorado may be filed with the notice of protest Commission determined that the Chemical Co. to be individually adequate. to the State Director, or the statement of domestic interested party group Comments from other interested parties will not be reasons must be filed with the State response to its notice of institution (76 accepted (see 19 CFR 207.62(d)(2)).

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documents must also be filed in paper be recommended for inclusion on future DEPARTMENT OF JUSTICE form, as specified in II (C) of the Joint Board examinations in actuarial Commission’s Handbook on Electronic mathematics and methodology referred Antitrust Division Filing Procedures, 67 FR 68168, 68173 to in 29 U.S.C. 1242(a)(1)(B) and to (November 8, 2002). review the May 2011 Basic (EA–1) and United States et al. v. Comcast Corp., In accordance with sections 201.16(c) Pension (EA–2B) Joint Board et al.; Public Comments and Response and 207.3 of the rules, each document Examinations in order to make on Proposed Final Judgment filed by a party to the review must be recommendations relative thereto, Pursuant to the Antitrust Procedures served on all other parties to the review including the minimum acceptable pass and Penalties Act, 15 U.S.C. 16(b)–(h), (as identified by either the public or BPI score. Topics for inclusion on the the United States hereby publishes service list), and a certificate of service syllabus for the Joint Board’s below the comments received on the must be timely filed. The Secretary will examination program for the November proposed Final Judgment in United not accept a document for filing without 2011 Pension (EA–2A) Examination will States et al. v. Comcast Corp. et al., a certificate of service. be discussed. Civil Action No. 1:11–CV–00106–RJL, Authority: This review is being conducted A determination has been made as which were filed in the United States under authority of title VII of the Tariff Act required by section 10(d) of the Federal District Court for the District of of 1930; this notice is published pursuant to Advisory Committee Act, 5 U.S.C. App., Columbia on June 6, 2011, together with section 207.62 of the Commission’s rules. that the portions of the meeting dealing the response of the United States to the Issued: June 8, 2011. with the discussion of questions that comments. By order of the Commission. may appear on the Joint Board’s Copies of the comments and the James R. Holbein, examinations and the review of the May response are available for inspection at the Department of Justice Antitrust Secretary to the Commission. 2011 Joint Board examinations fall Division, 450 Fifth Street, NW., Suite [FR Doc. 2011–14582 Filed 6–13–11; 8:45 am] within the exceptions to the open meeting requirement set forth in 5 1010, Washington, DC 20530 BILLING CODE 7020–02–P U.S.C. 552b(c)(9)(B), and that the public (telephone: 202–514–2481), on the interest requires that such portions be Department of Justice’s Web site at closed to public participation. http://www.usdoj.gov/atr, and at the JOINT BOARD FOR THE Office of the Clerk of the United States The portion of the meeting dealing ENROLLMENT OF ACTUARIES District Court for the District of with the discussion of the other topics Columbia, 333 Constitution Avenue, Advisory Committee Meeting will commence at 1 p.m. on July 8 and NW., Washington, DC 20001. Copies of will continue for as long as necessary to any of these materials may be obtained AGENCY: Joint Board for the Enrollment complete the discussion, but not beyond upon request and payment of a copying of Actuaries. 3 p.m. Time permitting, after the close fee. ACTION: Notice of Federal Advisory of this discussion by Committee Committee meeting. members, interested persons may make Patricia A. Brink, statements germane to this subject. Director of Civil Enforcement. SUMMARY: The Executive Director of the Persons wishing to make oral statements UNITED STATES DISTRICT COURT Joint Board for the Enrollment of must notify the Executive Director in Actuaries gives notice of a meeting of FOR THE DISTRICT OF COLUMBIA writing prior to the meeting in order to UNITED STATES OF AMERICA, the Advisory Committee on Actuarial aid in scheduling the time available and Examinations (a portion of which will STATE OF CALIFORNIA, must submit the written text, or at a STATE OF FLORIDA, STATE OF MISSOURI, be open to the public) in Washington, minimum, an outline of comments they STATE OF TEXAS, and STATE OF DC at the Office of Professional propose to make orally. Such comments WASHINGTON, Responsibility on July 7 and July 8, will be limited to 10 minutes in length. Plaintiffs, 2011. All other persons planning to attend the v. DATES: Thursday, July 7, 2011, from 9 public session must also notify the COMCAST CORP., GENERAL ELECTRIC Executive Director in writing to obtain CO., and NBC UNIVERSAL, INC., a.m. to 5 p.m., and Friday, July 8, 2011, Defendants. from 8:30 a.m. to 5 p.m. building entry. Notifications of intent to CASE: 1:11–cv–00106 ADDRESSES: The meeting will be held at make an oral statement or to attend JUDGE: Leon, Richard J. the Internal Revenue Service Building, must be faxed, no later than June 30, 2011, to 202–622–8300, Attn: Executive PLAINTIFF UNITED STATES’S RESPONSE 1111 Constitution Avenue, NW., TO PUBLIC COMMENTS Washington, DC. Director. Any interested person also may file a written statement for Pursuant to the requirements of the FOR FURTHER INFORMATION CONTACT: Antitrust Procedures and Penalties Act, 15 Patrick W. McDonough, Executive consideration by the Joint Board and the U.S.C. § 16(b)–(h) (‘‘APPA’’ or ‘‘Tunney Director of the Joint Board for the Committee by sending it to the Act’’), the United States hereby files the Enrollment of Actuaries, 202–622–8225. Executive Director: Joint Board for the public comments concerning the proposed Enrollment of Actuaries, c/o Internal Final Judgment in this case and the United SUPPLEMENTARY INFORMATION: Notice is Revenue Service, Attn: Executive States’s response to those comments. After hereby given that the Advisory Director SE:OPR, Room 7238, 1111 careful consideration of the comments, the Committee on Actuarial Examinations Constitution Avenue, NW., Washington, United States continues to believe that the will meet in at the Internal Revenue DC 20224. proposed Final Judgment will provide an Service Building, 1111 Constitution effective and appropriate remedy for the Avenue, NW., Washington, DC on Dated: June 8, 2011. antitrust violations alleged in the Complaint. Thursday, July 7, 2011, from 9 a.m. to Patrick W. McDonough, The United States will move the Court, pursuant to 15 U.S.C. § 16(b)–(h), to enter the Executive Director. Joint Board for the 5 p.m., and Friday, July 8, 2011, from proposed Final Judgment after the public Enrollment of Actuaries. 8:30 a.m. to 5 p.m. comments and this Response have been The purpose of the meeting is to [FR Doc. 2011–14619 Filed 6–13–11; 8:45 am] published in the Federal Register pursuant to discuss topics and questions which may BILLING CODE 4830–01–P 15 U.S.C. § 16(d).

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I. PROCEDURAL HISTORY reviews in a coordinated and complementary Second, the proposed Final Judgment On January 18, 2011, the United States and fashion and created remedies that were both alters the JV’s relationship with Hulu, LLC the States of California, Florida, Missouri, comprehensive and consistent. As part of its (‘‘Hulu’’), an OVD in which the JV owns a 32 Texas, and Washington (‘‘the States’’), filed a investigation, the Department also reviewed percent interest. Hulu is one of the most Complaint in this matter, alleging that the and considered many of the thousands of successful OVDs to date. Section V.D of the formation of a Joint Venture (‘‘JV’’) among pages of comments filed in the FCC docket proposed Final Judgment requires the Comcast Corporation (‘‘Comcast’’), General in this matter that raised competition issues, Defendants to relinquish their voting and Electric Company (‘‘GE’’), NBC Universal, including but not limited to the comments other governance rights in Hulu, and Section Inc. (‘‘NBCU’’), and Navy, LLC, which gives filed by AAI and CFA/CU.1 IV.E prohibits them from receiving Comcast majority control over the NBC B. Proposed Final Judgment confidential or competitively sensitive broadcast and NBCU cable networks, would information concerning Hulu. At the same substantially lessen competition in the The proposed Final Judgment is designed time, Section V.G of the proposed Final market for timely distribution of professional, to preserve competition in the market for Judgment seeks to ensure that the JV full-length video programming to residential timely distribution of professional full-length continues to honor its commitments to consumers in violation of Section 7 of the video programming to residential consumers supply programming to Hulu at levels Clayton Act, 15 U.S.C. § 18. Simultaneously in the United States. The proposed Final commensurate with the supply of content with its filing of the Complaint, the United Judgment accomplishes this in a number of provided to Hulu by its other media partners. States filed a Competitive Impact Statement ways. First, the proposed Final Judgment Third, the proposed Final Judgment (‘‘CIS’’), a proposed Final Judgment, and a requires the JV to license its broadcast, cable, prohibits Defendants from engaging in Stipulation and Order signed by the United and film content to online video distributors certain conduct that could prevent OVDs or States and the Defendants consenting to entry (‘‘OVDs’’) on terms comparable to those MVPDs from competing effectively. Section of the proposed Final Judgment after contained in similar licensing arrangements V.A of the proposed Final Judgment prohibits compliance with the requirements of the with traditional multichannel video Defendants from discriminating against, APPA. programming distributors (‘‘MVPDs’’) or retaliating against, or punishing any content The proposed Final Judgment and CIS OVDs. It provides two options through which provider for providing programming to any were published in the Federal Register on an OVD may be able to obtain the JV’s OVD or MVPD. Section V.A also prohibits January 31, 2011. See 76 Fed. Reg. 5,440 content. The first option, set forth in Section Defendants from discriminating against, (2011). A summary of the terms of the IV.A of the proposed Final Judgment, retaliating against, or punishing any OVD or proposed Final Judgment and CIS, together requires the JV to license the linear feeds of MVPD for obtaining video programming, for with directions for the submission of written the JV’s video programming to OVDs on invoking any provisions of the proposed comments relating to the proposed Final terms that are economically equivalent to the Final Judgment or any FCC rule or order, or Judgment, were published in The terms contained in certain MVPDs’ video for furnishing information to the Department Washington Post for seven days, from programming agreements. The second option, concerning Defendants’ compliance with the January 31, 2011 through February 7, 2011. set forth in Section IV.B of the proposed proposed Final Judgment. The Defendants filed the statement required Final Judgment, requires the JV to license to Fourth, the proposed Final Judgment by 15 U.S.C. § 16(g) on April 18, 2011. The a qualified OVD the broadcast, cable, or film further protects the development of OVDs by 60-day period for public comments ended on content of the JV that is comparable in scope preventing Comcast from using its position as April 9, 2011, and eight comments were and quality to the content the OVD receives the nation’s largest MVPD or as the licensor, received as described below and attached from one of the JV’s defined programming through the JV, of important video 2 hereto, including a comment from The peers. While the first option ensures that programming, to enter into agreements American Antitrust Institute (‘‘AAI’’), a joint Comcast, through the JV, will not containing restrictive contracting terms. comment from The Consumers Federation of disadvantage OVD competitors in relation to Sections V.B and V.0 of the proposed Final America and Consumers Union (‘‘CFA/CU’’), MVPDs, the second option ensures that the Judgment set forth broad prohibitions on and six comments from individuals. programming licensed by the JV to OVDs will restrictive contracting practices, including reflect the licensing trends of its peers as the exclusives, with appropriately tailored II. THE INVESTIGATION AND PROPOSED industry evolves. If an OVD and the JV are RESOLUTION exceptions. In so doing, the proposed Final unable to reach an agreement for carriage of Judgment strikes a balance between allowing A. Investigation programming under either of these options, reasonable and customary exclusivity the OVD may apply to the Department to On December 3, 2009, Comcast, GE, NBCU provisions that enhance competition while submit the dispute to baseball-style and Navy LLC, entered into an agreement to prohibiting provisions that, without arbitration pursuant to Section VII of the form a JV to which Comcast and GE offsetting procompetitive benefits, hinder the proposed Final Judgment.3 contributed their cable and broadcast development of effective competition from networks, as well as NBCU’s interest in Hulu, OVDs. 1 LLC. Over the next 13 months, the United See, e.g., Comments of the American Antitrust Fifth, Section V.G requires Comcast to Institute, in re Applications of Comcast abide by certain restrictions on the operation States Department of Justice (‘‘Department’’) Corporation, General Electric Company, and NBC conducted a thorough and comprehensive and management of its Internet facilities, Universal, Inc. for Consent to Assign Licenses or which OVDs depend upon in order to deliver investigation of the potential impact of the JV Transfer Control of Licensees, FCC MB Docket No. on the video programming distribution 10–56 (June 21, 2010) (‘‘AAI’s FCC Comments’’); video content to OVD customers. Absent industry. The Department interviewed more Reply to Opposition of Free Press, Media Access such restrictions, Comcast would have the than 125 companies and individuals Project, Consumer Federation of America, and incentive and ability to undermine the involved in the industry, obtained testimony Consumer’s Union, In re Applications of Comcast from Defendants’ officers, required Corporation, General Electric Company, and NBC The arbitrator must choose one party’s proposal or Universal, Inc. for Consent to Assign Licenses or the other’s, with no option to implement a different Defendants to provide the Department with Transfer Control of Licensees, FCC MB Docket No. responses to numerous questions, reviewed set of price and other terms, e.g., a compromise 10–56 (Aug. 19, 2010). involving aspects of both. The name is derived from over one million business documents from 2 The programming peers include the owners of arbitrations of Major League Baseball player salary Defendants’ officers and employees, obtained the three major non-NBC broadcast networks (CBS, disputes in which this format has been employed and reviewed tens of thousands of third-party FOX, and ABC), the largest cable network groups for a number of years. The FCC has also adopted documents, obtained and extensively (including News Corporation, Time Warner, Inc., this format as part of the conditions set forth in analyzed large volumes of industry financial Viacom, Inc., and The Walt Disney Company), and several merger orders. See, e.g., Memorandum and economic data, consulted with industry the six largest production studios (including News Opinion and Order, In re General Motors and economic experts, organized product Corp., Viacom, Sony Corporation of America, Time Corporation and Hughes Electronics Corporation, Warner, and Disney). demonstrations, and conducted independent Transferors, and The News Corporation Limited, 3 ‘‘Baseball-style’’ arbitration is a method of Transferee, for Authority to Transfer Control, 19 industry research. The Department also alternative dispute resolution in which each party F.C.C.R. 473,¶ 222 (rel. Jan. 14, 2004), available at consulted extensively with the Federal submits its preferred price and other terms, and the http:// Communications Commission (‘‘FCC’’) to arbitrator selects the proposal that is most hraunfoss.fcc.goviedocs_publiclattachmatchIFCC- ensure that the agencies conducted their reasonable and fair in light of the relevant market. 03-330A1.pdf.

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effectiveness of the proposed Final Judgment a court may not ‘‘engage in an unrestricted standard ‘‘[t]he government need not prove by, for instance, giving priority to non-OVD evaluation of what relief would best serve the that the settlements will perfectly remedy the traffic on its network, thus adversely public.’’ United States v. BNS, Inc., 858 F.2d alleged antitrust harms, it need only provide affecting the quality of OVD services that 456, 462 (9th Cir. 1988) (citing United States a factual basis for concluding that the compete with Comcast’s OVD or MVPD v. Bechtel Corp., 648 F.2d 660, 666 (9th Cir. settlements are reasonably adequate remedies services. 1981)); see also Microsoft, 56 F.3d at 1460– for the alleged harms.’’ United States v. Finally, Sections IV.I–0 and VIII.A–B of the 62; United States v. Alcoa, Inc., 152 F. Supp. Abitibi-Consolidated Inc., 584 F. Supp. 2d proposed Final Judgment impose reporting 2d 37, 40 (D.D.C. 2001); InBev, 2009 U.S. 162, 165 (D.D.C. 2008) (citing SBC and document retention requirements on the Dist. LEXIS 84787, at *3. Courts have held Commc’ns, 489 F. Supp. 2d at 17). Defendants to better enable the Department that: Moreover, the Court’s role under the APPA to monitor compliance and to assist it in [t]he balancing of competing social and is limited to reviewing the remedy in enforcement proceedings. political interests affected by a proposed relationship to the violations that the United III. STANDARD OF JUDICIAL REVIEW antitrust consent decree must be left, in the States has alleged in its complaint, rather first instance, to the discretion of the than to ‘‘construct [its] own hypothetical case The APPA requires that proposed consent Attorney General. The court’s role in and then evaluate the decree against that judgments in antitrust cases brought by the protecting the public interest is one of United States be subject to a sixty-day case.’’ Microsoft, 56 F.3d at 1459. Because insuring that the government has not the ‘‘court’s authority to review the decree comment period, after which the court shall breached its duty to the public in consenting determine whether entry of the proposed depends entirely on the government’s to the decree. The court is required to exercising its prosecutorial discretion by Final Judgment ‘‘is in the public interest.’’ 15 determine not whether a particular decree is U.S.C. § 16(e)(1). In making that bringing a case in the first place,’’ it follows the one that will best serve society, but that ‘‘the court is only authorized to review determination in accordance with the statute, whether the settlement is ‘‘within the reaches the court is required to consider: the decree itself,’’ and not to ‘‘effectively of the public interest.’’ More elaborate redraft the complaint’’ to inquire into other (A) The competitive impact of such requirements might undermine the judgment, including termination of alleged matters that the United States did not pursue. effectiveness of antitrust enforcement by violations, provisions for enforcement and Id. at 1459–60. As this Court recently consent decree. modification, duration of relief sought, confirmed in SBC Communications, courts Bechtel, 648 F.2d at 666 (emphasis added) anticipated effects of alternative remedies ‘‘cannot look beyond the complaint in (citations omitted).4 In determining whether actually considered, whether its terms are making the public interest determination a proposed settlement is in the public ambiguous, and any other competitive unless the complaint is drafted so narrowly interest, the court ‘‘must accord deference to considerations bearing upon the adequacy of as to make a mockery of judicial power.’’ SBC such judgment that the court deems the government’s predictions about the Commc’ns, 489 F. Supp. 2d at 15. necessary to a determination of whether the efficacy of its remedies, and may not require In its 2004 amendments to the Tunney consent judgment is in the public interest; that the remedies perfectly match the alleged Act,5 Congress made clear its intent to and violations.’’ SBC Commc’ns, 489 F. Supp. 2d preserve the practical benefits of utilizing (B) the impact of entry of such judgment at 17; see also Microsoft, 56 F.3d at 1461 consent decrees in antitrust enforcement, upon competition in the relevant market or (noting the need for courts to be ‘‘deferential stating ‘‘[n]othing in this section shall be markets, upon the public generally and to the government’s predictions as to the construed to require the court to conduct an individuals alleging specific injury from the effect of the proposed remedies’’); United evidentiary hearing or to require the court to violations set forth in the complaint States v. Archer-Daniels-Midland Co., 272 F. permit anyone to intervene.’’ 15 U.S.C. including consideration of the public benefit, Supp. 2d 1, 6 (D.D.C. 2003) (noting that the § 16(e)(2). The clause reflects what Congress if any, to be derived from a determination of court should grant due respect to the United intended when it enacted the Tunney Act in the issues at trial. States’s prediction as to the effect of 1974, as Senator Tunney explained: ‘‘[t]he 15 U.S.C. § 16(e)(1)(A)–(B). In considering proposed remedies, its perception of the court is nowhere compelled to go to trial or these statutory factors, the court’s inquiry is market structure, and its views of the nature to engage in extended proceedings which necessarily a limited one as the government of the case). might have the effect of vitiating the benefits is entitled to ‘‘broad discretion to settle with Courts have greater flexibility in approving of prompt and less costly settlement through the defendant within the reaches of the proposed consent decrees than in crafting the consent decree process.’’ 119 Cong. Rec. public interest.’’ United States v. Microsoft their own decrees following a finding of 24,598 (1973) (statement of Senator Tunney). Corp., 56 F.3d 1448, 1461 (D.C. Cir. 1995). liability in a litigated matter. ‘‘[A] proposed Rather, the procedure for the public-interest See generally United States v. SBC decree must be approved even if it falls short determination is left to the discretion of the Commc’ns, Inc., 489 F. Supp. 2d 1 (D.D.C. of the remedy the court would impose on its court, with the recognition that the court’s 2007) (assessing public interest standard own, as long as it falls within the range of ‘‘scope of review remains sharply proscribed under the Tunney Act); United States v. acceptability or is ‘‘within the reaches of by precedent and the nature of Tunney Act InBev N.V./S.A., 2009–2 Trade Cas. (CCH) public interest.’’ United States v. Am. Tel. & proceedings.’’ SBC Commc ’ns, 489 F. Supp. ¶ 76,736, No. 08–1965 (JR), 2009 U.S. Dist. Tel. Co., 552 F. Supp. 131, 151 (D.D.C. 1982) 2d at 11. (citations omitted) (quoting United States v. LEXIS 84787, at *3 (D.D.C. Aug. 11, 2009) IV. SUMMARY AND RESPONSE TO PUBLIC Gillette Co., 406 F. Supp. 713, 716 (D. Mass. (noting that the court’s review of a consent COMMENTS judgment is limited and only inquires ‘‘into 1975)), aff’d sub nom. Maryland v. United whether the government’s determination that States, 460 U.S. 1001 (1983); see also United During the 60-day public comment period, the proposed remedies will cure the antitrust States v. Alcan Aluminum Ltd., 605 F. Supp. the United States received comments from violations alleged in the complaint was 619, 622 (W.D. Ky. 1985) (approving the the following associations and individuals: reasonable, and whether the mechanisms to consent decree even though the court would The American Antitrust Institute (‘‘AAI’’); enforce the Final Judgment are clear and have imposed a greater remedy). As this The Consumers Federation of America and manageable’’). Court has previously recognized, to meet this Consumers Union (‘‘CFA/CU’’), filing jointly; As the United States Court of Appeals for and Noelle Levesque, Chris Muse, David the District of Columbia Circuit has held, 4 Cf. BNS, 858 F.2d at 464 (holding that the Neckolaishen, Denna Teece, Ira Warren under the APPA, a court considers, among court’s ‘‘ultimate authority under the [APPA] is other things, the relationship between the limited to approving or disapproving the consent 5 The 2004 amendments substituted the word remedy secured and the specific allegations decree’’); United States v. Gillette Co., 406 F. Supp. ‘‘shall’’ for ‘‘may’’ when directing the courts to set forth in the government’s complaint, 713, 716 (D. Mass. 1975) (noting that, in this way, consider the enumerated factors and amended the whether the decree is sufficiently clear, the court is constrained to ‘‘look at the overall list of factors to focus on competitive considerations whether enforcement mechanisms are picture not hypercritically, nor with a microscope, and address potentially ambiguous judgment terms. but with an artist’s reducing glass’’). See generally Compare 15 U.S.C. § 16(e) (2004), with 15 U.S.C. sufficient, and whether the decree may Microsoft, 56 F.3d at 1461 (discussing whether ‘‘the § 16(e)(1) (2006); see also SBC Commc’ns, 489 F. positively harm third parties. See Microsoft, remedies [obtained in the decree are] so Supp. 2d at 11 (concluding that the 2004 56 F.3d at 1458–62. With respect to the inconsonant with the allegations charged as to fall amendments ‘‘effected minimal changes’’ to Tunney adequacy of the relief secured by the decree, outside of the ’reaches of the public interest’’). Act review).

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Patasnik, and Bill Dunn. Upon review, the potential efficiencies flowing from the and there is no evidence that it will not be United States believes that nothing in these transaction. an effective remedy in this case. comments demonstrates that the proposed AAI also criticizes the proposed Final AAI also claims that the proposed Final Final Judgment is not in the public interest. Judgment’s licensing provisions as Judgment relies on static benchmarks that fail Indeed, the joint comments filed by CFA/CU ‘‘requir[ing] ongoing oversight, monitoring, to account for change in an emerging and outline the numerous public benefits flowing and compliance’’ that antitrust enforcers and dynamic OVD industry.16 AAI is mistaken. from the proposed Final Judgment. What courts are ‘‘woefully’’ equipped to handle.12 The proposed Final Judgment explicitly follows is a summary of the comments and This criticism ignores the proposed Final recognizes that online video distribution is in the United States’s responses to those Judgment’s incorporation of an arbitration its infancy and that the identity of new comments. mechanism to resolve any disputes over competitors, and the terms and conditions whether the JV is meeting its obligations under which providers of programming will A. AAI under the proposed Final Judgment to license contract with them, may change. The AAI describes itself as ‘‘an independent popular NBCU content to competitors. proposed Final Judgment, therefore, sets Washington-based non-profit education, Arbitration is commonly used to resolve such forth different scenarios under which OVDs research, and advocacy organization.’’ 6 AAI’s disputes, and the arbitration mechanism may seek video programming from the JV, membership is comprised primarily of incorporated in the proposed Final Judgment both now and in the future. For example, antitrust lawyers and economists. It is should prevent the Department, or the Court, Section IV.B.6 of the proposed Final managed by a Board of Directors that from being unnecessarily embroiled in Judgment sets forth different scenarios under 13 authorized the filing of its comments in this difficult issues.’’ which a Qualified OVD may seek additional proceeding.7 AAI further argues that the proposed Final video programming from the JV. Similarly, AAI argues that because the proposed Final Judgment contains requirements with Section IV.B.7 defines the circumstances subjective terms that ‘‘will open the door to Judgment contains conduct remedies, it fails under which an OVD that subsequently disputes * * * ’’ 14 Any remedy, particularly to match the allegations of the Complaint becomes a Qualified OVD may seek new or one that involves a rapidly changing, high- with an appropriate cure and thereby additional video programming from the iv. technology market, will necessarily contain Finally, Section IV.G which governs the JV’s diverges from the Department’s Antitrust some open-ended or subjective terms to Division Policy Guide to Merger Remedies provision of video programming to Hulu, preserve needed flexibility. Arms-length contemplates that the JV will enter and from longstanding policy in vertical negotiations should resolve most issues agreements with Hulu on substantially the merger cases.8 AAI’s statement of Department regarding these terms. The proposed Final same terms and conditions as those of the policy is incorrect. The Department has long Judgment sets out a general framework of broadcast owner whose renewed agreement recognized that there may be certain access with a backstop of baseball-style is most economically advantageous to Hulu. situations, i.e., vertical mergers in particular, arbitration. Unlike the FCC’s arbitration 9 With respect to Hulu, AAI further argues ‘‘where a structural remedy is infeasible.’’ provisions, which are appealable, arbitration that the proposed Final Judgment’s In such cases, the Department’s choice under the proposed Final Judgment is delegation of voting rights in Hulu to the ‘‘necessarily will come down to stopping the binding on the parties. Thus, the parties have non-JV partners compromises the transaction or imposing a conduct an increased incentive under the proposed development of Hulu.17 Although there is no 10 remedy.’’ The Department analyzes each Final Judgment to reach a commercial question that Fox and ABC have a greater say merger according to its unique facts. In this agreement without intervention by a third- in Hulu as a consequence of the proposed case, the Department determined that the party arbitrator. To the extent that the parties Final Judgment’s requirement that Comcast transaction would result in anticompetitive cannot reach agreement, an aggrieved OVD vote its shares in line with their votes, AAI harm and that the harm was not outweighed may appeal to the Department for the right has not explained how this requirement is by merger-specific efficiencies. Contrary to to arbitrate. Under baseball-style arbitration, harmful to Hulu’s development. The AAI’s comments, the Complaint does not both parties submit their best offers to a integrated Comcast-NBCU has different allege that there were no efficiencies neutral, third-party arbitrator who then incentives vis-a`-vis Hulu than does a associated with the transaction. Rather, the decides which of the two offers is more standalone NBCU. By requiring the JV to Complaint alleges that ‘‘[Ole proposed JV reasonable based upon evidence in the relinquish its voting rights in Hulu to the will not generate verifiable, merger-specific record, including contracts with other non-JV partners, the proposed Final efficiencies sufficient to reverse the parties. Baseball-style arbitration has been Judgment does not deprive the decision- successfully employed as a vertical merger competitive harm of the proposed JV.’’ 11 The making process of an ‘‘independent’’ non- remedy pursuant to numerous FCC orders 15 proposed Final Judgment cures the voting member but, rather, restores how a anticompetitive harm while preserving the standalone media partner would have voted 12 AAI Comments at 11. AM’s criticism is with respect to Hulu. Additionally, Hulu, disingenuous. Elsewhere in its comments, AM 6 whose future competitiveness AAI purports Tunney Act Comments of the American suggests that a conduct remedy involving ‘‘[w]alling Antitrust Institute on the Proposed Final Judgment, off management decisions on the programming side to protect, does not object to the delegation United States, et al., v. Comcast Corp., et al., No. of the JV from decisions on the distribution side of voting rights. 1–II–cv–00106 (RJL) (D.D.C.), at 2 (Mar. 29, 2011) will help prevent foreclosure of OVDs.’’ Id. at 19– Ultimately, AAI’s comments boil down to (‘‘AAI Comments’’). These comments are attached 20. AAI does not explain how or why the proposed the argument that other remedies would be as Exhibit A. Final Judgment’s conduct remedies are less likely better than those contained in the proposed 7 Id. at 2. to be successful than AAI’s proposed conduct settlement. At some points, AAI contends 8 Id. at 5. remedy. that nothing short of a full prohibition of the 9 13 U.S. Dep’t of Justice, Antitrust Division Policy AAI’s criticism also ignores the ongoing merger would be adequate to redress the Guide to Merger Remedies, at 21 (Oct. 2004) regulation and oversight of this industry by the harm alleged in the Complaint.18 At other (‘‘Antitrust Division Remedies Guide’’). The FCC. Indeed, the FCC has imposed licensing Antitrust Division Remedies Guide clarifies the conditions on the Defendants similar to those policy considerations behind the Department’s contained in the proposed Final Judgment. See Order, In re Adelphia Communications Corp., Time merger remedies. It expressly states that conduct Memorandum Opinion and Order, In re Warner Cable Inc., and Comcast Corp., Applications remedies may provide effective relief for the likely Applications of Comcast Corp., General Electric Co. for Transfer of Control, 21 F.C.C.R. 8203, 8337–40 anticompetitive effects of some vertical mergers. Id. and NBC Universal, Inc. for Consent to Assign (2006); Memorandum Opinion and Order, In re Indeed, the Department has imposed conduct Licenses and Transfer Control of Licensees, FCC General Motors Corporation, Hughes Electronics remedies in decrees pertaining to previous MB Docket No. 10–56, 2011 WL 194538 (rel. Jan. Corporation, and News Corporation, Applications transactions involving vertical elements. See, e.g., 20, 2011), available at for Transfer of Control, 19 F.C.C.R. 473, 677–82 Final Judgment, United States v. Northrop litvilwww.fcc.govily_Releases_ Business12011/ (2004). Grumman Corp. et al., 2003–1 Trade Cas. (CCH) db0309/FCC-11-4A1pdf. 16 AAI Comments at 15. ¶ 74,057 (D.D.C. June 10, 2003), 2003 WL 21659404. 14 AAI Comments at 13. 17 Id. at 17. 10 Antitrust Division Remedies Guide at 22. 15 See, e.g., Memorandum Opinion and Order, In 18 See AAI Comments at 4, 18. This argument is 11 Complaint, United States, et al. v. Comcast re The DirecTV Group and Liberty Media Corp., not new. As noted above, AAI previously filed Corp., et al., No. 1–11–cv–00106 (RU), ¶ 56 (D.D.C. Applications for Transfer of Control, 23 F.C.C.R. comments with the FCC in which encouraged the filed Jan. 18, 2011). 3265, 3342–49 (2008); Memorandum Opinion and Continued

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points, it suggests a variety of modifications the licensing provisions are enforceable, but Re: Tunney Act Comments in U.S. v. to the proposed Final Judgment.19 Although that the proposed Final Judgment provides Comcast Corp., General Electric Co., and AAI concedes that ‘‘this Court is not the Defendants with strong incentives to NBC Universal, Inc. authorized to re-write the consent decree,’’ it reach commercially reasonable agreements Dear Ms. Goodman: appears to invite the Court to do exactly that. without invoking enforcement Attached please find comments of the 27 However, the Department in a Tunney Act mechanisms. For these and other reasons, American Antitrust Institute in U.S. vs. proceeding must show only that the CFA/CU concludes that ‘‘[c]onsumers and Comcast Corp., General Electric Co., and settlement is ‘‘within the range of competition will be better off as a result of NBC Universal, Inc., pursuant to Section acceptability or ‘within the reaches of the the judgment than if the merger had been 2(b) of the Antitrust Procedures and 20 As set forth in the CIS 28 public interest.’ ’’ denied.’’ Penalties Act, 15 U.S.C. § 16 (Tunney Act). and as discussed above, the Department believes that the proposed Final Judgment is C. Additional Comments Sincerely, not only ‘‘reasonably adequate,’’ 21 but that it The United States also received comments Diana L. Moss provides effective, carefully tailored relief from six citizen complainants.29 The citizen Vice President and Director that will prevent the anticompetitive harms complainants generally argue that the American Antitrust Institute alleged in the Complaint. Nothing in AAI’s Department should not have allowed the P.O. Box 20725 comments should dissuade this Court from transaction to have gone forward. None of Boulder, CO 80208 concluding that entry of the proposed Final these comments raises substantive issues phone: 720–233–5971 Judgment is in the public interest. regarding the efficacy of the relief contained e-mail: [email protected] B. CFA/CU in the proposed Final Judgment to remedy web: www.antitrustinstitute.org the competitive harm in the market for The Consumers Federation of America UNITED STATES DISTRICT COURT distribution of full-length professional video (‘‘CFA’’) is an association of three hundred FOR THE DISTRICT OF COLUMBIA programming to residential consumers nonprofit organizations that promote UNITED STATES OF AMERICA, alleged in the Complaint. consumer issues through research, education, STATE OF CALIFORNIA, and advocacy.22 Consumers Union (‘‘CU’’), V. CONCLUSION STATE OF FLORIDA, the publisher of Consumer Reports, is a non- After careful consideration of the public STATE OF MISSOURI, profit that provides consumers with comments, the United States concludes that STATE OF TEXAS, and information, education, and policy advice on entry of the proposed Final Judgment will STATE OF WASHINGTON, a range of issues affecting consumer health provide an effective and appropriate remedy Plaintiffs, 23 and welfare. Both CFA and CU met with for the antitrust violations alleged in the v. the Department and filed comments with the Complaint and is therefore in the public COMCAST CORP., GENERAL ELECTRIC 24 FCC relating to this transaction. While interest. The relatively small number of CO., and NBC UNIVERSAL, INC., CFA/CU’s ‘‘initial take’’ on the acquisition comments filed by persons objecting to the Defendants was that it should be blocked, CFA/CU now settlement, especially when weighed against Case: 1:11-cv-00106 believes that ‘‘the FCC and the DOJ have put the size and complexity of the transaction, is together a set of conditions and enforcement Judge: Richard, J. Leon itself indicative of the adequacy of the measures that * * * protect consumers and TUNNEY ACT COMMENTS OF THE proposed Final Judgment. Accordingly, after promote the public interest.’’ 25 Specifically, AMERICAN ANTITRUST INSTITUTE ON the comments and this response are CFA/CU argues that the proposed Final THE PROPOSED FINAL JUDGEMENT published, the United States will move this Judgment’s licensing conditions, which I. Introduction require the JV to match the best practices of Court to enter the proposed Final Judgment. its peers, as well as the proposed Final Dated: June 6, 2011 The American Antitrust Institute (AAI) is Judgment’s prohibitions on restrictive Respectfully submitted, an independent Washington-based nonprofit contracting practices, will better ensure the \s\ education, research, and advocacy organization. The AAI is devoted to availability of programming for online video Yvette F. Tarlov 26 advancing the role of competition in the distribution. CFA/CU not only believes that (D.C. Bar #442452) economy, protecting consumers, and Attorney sustaining the vitality of the antitrust laws. Commission to deny approval of the Comcast/ Telecommunications & Media Enforcement The AAI is managed by its Board of NBCU transaction. AAI’s FCC Comments at 7, 26. Section 19 Directors, which alone has approved this See, e.g., AAI Comments at 19. Antitrust Division 20 filing. Its Advisory Board consists of over 115 See United States v. Am. Tel. & Tel. Co., 552 U.S. Department of Justice F. Supp. 131, 151 (D.D.C. 1982) (citations omitted) prominent antitrust lawyers, economists, and (quoting United States v. Gillette Co., 406 F. Supp. 450 Fifth Street, N.W., Suite 7000 business leaders. The AAI has had an interest 713, 716 (D. Mass. 1975)), aff’d sub nom. Maryland Washington, DC 20530 in this proceeding because it raises critical v. United States, 460 U.S. 1001 (1983); see also, e.g., Telephone: (202) 514–5621 issues of competition policy and consumer SBC Commc’ns, 489 F. Supp. 2d at 17 (‘‘Further, Facsimile: (202) 514–6381 choice involving video programming and the Court must accord deference to the Email: [email protected] distribution and diversity in the media. In government’s predictions about the efficacy of its remedies, and may not require that the remedies March 29, 2011 June 2010, the AAI filed comments with the Federal Communications Commission (FCC) perfectly match the alleged violations because this VIA ELECTRONIC MAIL may only reflect underlying weakness in the in the docket assigned to the Comcast/NBCU government’s case or concessions made during Nancy Goodman joint venture (IV).1 Those comments discuss negotiation.’’). In this case, the Department Chief, Telecommunications & Media some of the key competitive issues raised by concluded that entry of the proposed Final Enforcement Section the JV and urge the FCC to reject the Judgment was preferable to incurring the costs and Antitrust Division transaction.2 risks associated with seeking an injunction to block Department of Justice the transaction, especially since the former may allow the realization of merger-specific efficiencies. 450 Fifth Street, NW., 1 See Federal Communications Commission, in 21 See SBC Commc ’ns, 489 F. Supp. 2d at 17. Suite 7000 the Matter of Applications of Comcast Corporation, General Electric Company and NBC Universal, Inc. 22 See Tunney Act Comments of Consumer Washington, DC 20530 for Consent to Assign Licenses or Transfer Control Federation of America and Consumers Union, of Licensees, MB Docket No. 10–56. United States, et al., v. Comcast Corp., et al., No. 27 Id. at 4–5. 2 American Antitrust Institute, Comments, in the 1–11–cv–00106 (RJL) (D.D.C.), at 1 n.1 (Apr. 1, 28 Id. at 5. Matter of Applications of Comcast Corporation, 2011) (‘‘CFAJCU Comments’’). These comments are 29 The citizen complainants are Noelle Levesque, attached as Exhibit B. General Electric Company and NBC Universal, Inc. Chris Muse, David Neckolaishen, Denna Teece, Ira 23 for Consent to Assign Licenses or Transfer Control Id. Warren Patasnik, and Bill Dunn. Their comments of Licensees, MB Docket No. 10–56 (June 21, 2010). 24 See supra note 1. are attached as Exhibits C–H. Pursuant to a specific Available at http://www.antitrustinstitute. 25 CFA/CU Comments at 2. request, the Department has redacted the e-mail and oresiteddefault/files/AAI_Comcast_ 26 See id. at 4. mailing addresses of the citizen complainants. NBCU%20Comments_2_070220101958.pdf.

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Pursuant to Section 2(b) of the Antitrust distribution conduits or channels. With the dangerous precedent for merger policy, for Procedures and Penalties Act (APPA), 15 JV, Comcast will be in a position to decide three major reasons. U.S.C. § 16 (Tunney Act), the AAI submits whether or not to sell important NBCU First, the troubling incongruity between these comments on the Proposed Final programming to its rivals, including other the strength of the DOJ’s Complaint and the Judgment (PFJ or consent decree) in the multi-video programming distributors weakness of the PFJ will only encourage the above-mentioned case.3 Congress has made (MVPDs) such as digital broadcast satellite very conduct identified in the Complaint; it this Court the final arbiter of the propriety of (DBS) providers, telcos, cable overbuilders, is reminiscent of when a larcenist gets off mergers under the antitrust laws. The Court and OVDs. Because the OVD segment of the with a warning and immediately repeats his must ‘‘determine that the entry of such video programming distribution (VPD) crime. This incongruity creates a standard 4 judgment is in the public interest.’’ If the market is in the early stages of development that is likely to serve as a green light for all Court cannot make this finding, it must reject and would benefit the most from competitive future mergers to come—no matter how the PFJ unless more adequate provisions are market forces, the JV is particularly anticompetitive or anti-consumer. made to protect the public interest. In the troublesome. And because Comcast is a Enforcement with a ‘‘bark but no bite’’ will following analysis, the AAI respectfully dominant supplier of cable modem HSI and limit the effectiveness of merger control as a argues that for the numerous reasons set cable television services in numerous tool for protecting competition in the U.S. forth, the consent decree is not in the public geographic areas in the U.S., its control over economy. interest and should be rejected by the Court. NBCU will enable it to determine, step-by- Second, the PFJ employs weak, regulatory- The AAI’s comments proceed as follows. style conduct remedies for a transaction that, Section II provides an overview of the step, how the delivery of programming via the two competing modes of distribution as discussed later, the DOJ Complaint states Comcast/NBCU JV and details the major is devoid of any countervailing efficiencies.10 reasons why it will establish poor precedent develops over time. As a result, the JV will Indeed, the antitrust agencies have reserved for merger policy. Section III summarizes the adversely affect competition in the market for conduct remedies for cases where they U.S. Department of Justice (DOJ) Complaint.5 VPD, to the detriment of consumers. specifically wish to preserve demonstrated Section IV outlines specific problems that Thousands of pages of comments and efficiencies resulting from vertical make the consent decree unsuitable, and protests in the FCC docket describe the integration. The Policy Guide states, for Section V concludes with suggested multitude of competitive and consumer modifications to the PFJ that would bring it harms potentially inflicted by the merger.6 example, that: more into line with the Complaint. The PFJ Questions, concerns, and calls for rigorous * * * the use of conduct remedies suffers from the following problems: merger enforcement have been raised in standing alone to resolve a merger’s • The PFJ lacks a strong justification for media commentaries, hearings, and other competitive concerns is rare and almost the use of open access remedies, which are public fora. Yet we need look no further than always in industries where there already is inconsistent with the DOJ’s guidelines and the DOJ Complaint itself to assess the gravity close government oversight. Stand-alone principles of antitrust remedies. of the JV’s anticompetitive effects: conduct relief is only appropriate when a • The PFJ contains requirements that are * * * the proposed joint venture * * * full-stop prohibition of the merger would defined by subjective terms and therefore would allow Comcast, the largest cable sacrifice significant efficiencies and a invite dispute, arbitration, delay, and company in the United States, to control structural remedy would similarly eliminate 11 expense. some of the most popular video programming such efficiencies or is simply infeasible. • The PFJ’s requirements are based on among consumers, including the NBC Whether this departure from the agency’s static benchmarks that will undoubtedly Television Network [ ] and the cable preferred practice reflects the undue change in an emerging and dynamic online networks of NBC Universal, Inc. []. If the JV influence of the regulatory culture in the video distribution (OVD) industry but for proceeds, tens of millions of U.S. consumers DOWFCC collaborative process or other which the PFJ envisions no adjustments or will pay higher prices for video programming forces, it is a dangerous line to cross. If the PFJ is not rejected, it is likely to set a flexibility. distribution services, receive lower-quality precedent for the use of weak behavioral • The PFJ’s delegation of NBCU’s voting services, and enjoy fewer benefits from remedies in similarly harmful transactions. rights in Hulu will compromise important innovation.7 Finally, we can expect that the voting dynamics regarding management and Herein lies the dilemma facing the court. demonstrated and documented problems governance, potentially affecting how the The DOJ’s failure to match its Complaint with conduct remedies will come to bear on most important OVD develops. with an appropriate cure diverges from its • the post-merger conduct of the JV, limiting Short of the DOJ suing to stop the own remedies guidelines and from long- their effectiveness and exposing competition transaction, no set of remedies will prevent standing precedent in vertical merger cases. and consumers to the harms so clearly the JV from controlling how rivalry develops For example, the DOJ’s Antitrust Division described in the Complaint. For example, between two major, important systems—the Policy Guide to Merger Remedies (Policy conduct remedies are known to be easy to delivery of programming through cable Guide) states: ‘‘There must be a significant circumvent. Moreover, such remedies are television and cable modem high-speed nexus between the proposed transaction, the internet (HSI). difficult to enforce and impose undue nature of the competitive harm, and the compliance and monitoring burdens on the II. Overview 8 proposed remedial provisions.’’ For the Courts. For these reasons, the antitrust The combined Comcast/NBCU will reasons set forth in Section IV below, the lack agencies themselves have typically arguably be the pre-breakup ‘‘Standard Oil’’ of such a nexus means that the PFJ will not disfavored such approaches. Adopting of modern video programming and protect or restore competition, which the conduct remedies here is unprecedented and distribution. By placing valuable and Supreme Court has emphasized is the effectively transforms the DOJ into a 9 important NBCU programming under paramount purpose of an antitrust remedy. regulatory agency. Comcast’s control, the JV will directly or Moreover, if the PFJ is found by the Court to indirectly control everything from the be in the public interest, it will set a III. The Complaint—Competitive Harm creation to delivery of video programming to Inflicted by the Proposed Comcast/NBCU JV the consumer through a variety of 6 See Federal Communications Commission According to the Complaint, by adding transaction team re: Comcast Corporation and NBC NBCU’s content to its existing arsenal of 3 U.S. Department of Justice, Proposed Final Universal. Available http://www.fcc.gov/ assets, Comcast will have the increased Judgment, U.S. and Plaintiff States v. Comcast transaction/comcast-nbcu.html#record. ability to cut off or raise the price of Corp., et al., No. 1:11–cv–00106 (D.C. Cir. January 7 Supra note 5, at para. 2. important NBCU programming to rival VPDs. 18, 2011). 8 United States Department of Justice, Antitrust Those distributors include both (1) 4 15 U.S.C. § 16(e). See, e .g., United States v. Division, ANTITRUST DIVISION POLICY GUIDE traditional MVPDs such as rival cable Microsoft Corp., 56 F.3d 1448, 1458 (D.C. Cir. TO MERGER REMEDIES (October 2004), at p. 2. companies, DBS, cable overbuilders, and 1995). Available http://www.justice.goviatr/public/ 5 U.S. Department of Justice, Complaint, U.S. and guidelines/205108.pdf. Plaintiff States v. Comcast Corp., et al., No. 1:11– 9 Id., at p. 4. Citing to United States v. E.I. du Pont 10 Supra, note 5, at para. 56. cv00106 (D.C. Cir. January 18, 2011). de Nemours & Co., 366 U.S. 316, 326 (1961). 11 Id. at para. 20.

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telcos, and (2) OVDs.12 These effects thus additional video programming distribution Presumably, the open access requirement capture standard anticompetitive vertical competition in Comcast’s cable franchise is designed to replicate a situation where foreclosure or raising rivals costs concerns areas.’’ 23 Impairing competition from OVDs competitive market forces govern how an associated with vertical integration. Comcast/ would therefore inflict particularly grave independent NBCU engages with OVDs. This NBCU, however, is a one-sided coin. Vertical harm on consumers. is a notoriously difficult task, however, and efficiencies such as economies of IV. The Proposed Final Judgment—Weak doing so in a nascent industry is a largely coordination and lower transaction costs that Conduct Remedies that Fail to Address untested and risky endeavor. This regulatory often have a countervailing effect on Competitive Harms and do not Preserve framework will shape how the industry anticompetitive harms are not present here. Competition evolves, the pace of innovation, and the The Complaint, in fact, states that the The breadth and depth of the competitive choices available to consumers, with proposed JV ‘‘will not generate verifiable, uncertain and potentially harmful effects merger-specific efficiencies sufficient to concerns articulated in the Complaint could, in theory, support a government decision to relative to what might happen if NBCU reverse the competitive harm of the proposed remained independent. The Policy Guide 13 seek a full-stop injunction that would JV.’’ again provides critical insight: ‘‘When used The loss of NBCU as an independent force prevent the parties from consummating the at all in Division decrees, such [conduct] in the production of programming will inflict transaction. Absent that, the strength of the provisions invariably require careful crafting particularly serious damage to competition Complaint warrants conditions that are far so that the judgment accomplishes the and consumers. For example, the Complaint stronger than the conduct remedies that are stresses the importance of NBCU’s contained in the consent decree. The critical goals of the antitrust remedy without 28 programming to both MVPDs and OVDs, contrived world in which the JV is allowed damaging market performance.’’ referring to it as ‘‘vital’’ and a ‘‘potent tool’’ to go forward will be defined by a series of Open access conditions have been favored which, if controlled by Comcast, could be prescriptive and far-reaching prohibitions, by regulators in restructuring industries such used to disadvantage VPD rivals.14 Moreover, requirements, and permissions regarding the as electricity, natural gas, and NBCU content is critical for rival distributors JV’s conduct, many of which are duplicated telecommunications. They have also been to ‘‘attract and retain customers’’ and to in the FCC’s order.24 The DOJ’s guidelines for employed in some cases as conditions ‘‘compete effectively.’’ 15 Further, NBCU has remedies clearly disfavor conduct-based required for regulatory approval of mergers.29 been one of the content providers ‘‘most fixes. The logic behind this is well known. Conduct remedies require ongoing oversight, willing to support OVDs and experiment For example, the Policy Guide states that: monitoring, and compliance that regulators with different methods of online ‘‘A carefully crafted divestiture decree is are institutionally set up to deal with, but distribution.’’ 16 The Complaint’s predicted simple, relatively easy to administer, and which the courts are woefully not. Such fixes effects of the IV include a diminution of sure to preserve competition. A conduct have even stymied regulators, as vertically- innovation in the relevant market for VPD, remedy, on the other hand, typically is more integrated firms find loopholes and ways to fewer choices for consumers, and higher difficult to craft, more cumbersome and work around the requirements to engage in prices for programming.17 costly to administer, and easier than a the discriminatory behavior that is in their 25 The likely effect of the JV on OVDs, structural remedy to circumvent.’’ best economic interest. Indeed, the DOJ’s however, is particularly pernicious. The The following sections address several Policy Guide identifies this very concern in Complaint notes that Comcast documents flaws in these myriad conditions that make discussing conduct remedies when it states: ‘‘consistently portray the emergence of OVDs them subject to dispute and arbitration, ‘‘* * * care must be taken to avoid potential as a significant competitive threat’’ 18 and relatively ineffective, difficult to enforce, and loopholes and attempted circumvention of therefore not in the public interest. that Comcast has taken steps to prevent its the decree.’’ 30 Perhaps the most notable A. The PFJ lacks a strong justification for cable customers from cord-shaving or cord- example is open access in the U.S. electricity 19 the use of open access remedies, which are cutting in favor of OVDs. The Complaint industry. Ongoing anticompetitive behavior inconsistent with the DOJ’s guidelines and characterizes the impact of the JV on by vertically-integrated transmission owners principles of antitrust remedies. emerging competition from OVDs as has perpetuated successive rulemakings The core of the PFJ describes what is ‘‘extremely troubling’’ given that OVDs are in designed to patch or close gaps in conduct the nascent stages of development and that essentially an open access or fair dealing 31 requirement for how Comcast/NBCU may requirements. they have the potential to ‘‘significantly Rarely have open access conditions been increase competition’’ by introducing deal with OVDs that the Complaint stresses are particularly imperiled by the JV. The employed as a merger remedy by an antitrust programming with new and innovative agency. In the merger of America Online/ features, packaging, pricing, and delivery open access requirement also covers how the Time Warner, the Federal Trade Commission methods.’’ 20 JV deals specifically with Hulu, a leading used an open access requirement to ensure Thus, by cutting off or raising prices of OVD, in which NBCU will be allowed to that the merged firm would not foreclose NBCU content to OVDs, the Complaint maintain its ownership interest. The FFJ rival internet service providers.32 However, predicts that Comcast could ‘‘curb’’ nascent requires the JV to provide programming to in comparison to the sweeping open access OVD competition and ‘‘encumber’’ the OVDs that is: (1) Economically equivalent to development of ‘‘nascent distribution what it provides to rival MVPDs and (2) requirements employed by the DOJ in technologies and the business models that economically equivalent and comparable to Comcast/NBCU, it was a tailored remedy and underlie them.* * *’’ 21 As a result, Comcast what a rival OVD receives from a peer (i.e., did not involve technologies or markets in will face less competitive pressure to broadcast networks, cable programmers, the same formative stage as OVDs. In light of innovate and the future evolution of OVDs etc.).26 The PFJ also requires the JV to the foregoing, the use of open access or fair will likely be muted.22 Given that entry in provide programming to Hulu comparable to dealing remedies are inconsistent with traditional VPD in Comcast’s many service that offered by a Hulu broadcast network internal guidelines and well-established areas is difficult and unlikely, the Complaint owner providing the greatest quantity of principles of antitrust remedies. As a result, states that OVDs’ are ‘‘likely the best hope for programming.27 28 Supra note 8, at p. 25. 12 Supra note 5, at para. 4. 23 Id., at para. 9. 29 See, e.g., Public Serv. Co. of Col., 58 F.E.R.C. 13 Id., at para. 56. 24 See Federal Communications Commission, 61,322, at 62,039 (1992) (approving the proposed 14 Id., at para. 4. Memorandum Opinion and Order, the Matter of merger because the parties agreed to provide Applications of Comcast Corporation, General transmission access to third parties). 15 Id., at para. 6 and 49. Electric Company and NBC Universal Inc. for 30 Supra note 8, at p. 6. 16 Id., at para 52. Consent to Assign Licenses or Transfer Control of 31 See, e.g., Preventing Undue Discrimination and 17 Id., at para 4. Licensees, MB Docket No. 10–56 (January 20, 2011), Preference in Transmission Service, Order No. 890, 18 Id., at para 36 and 46. Appendix A. FERC Stats. & Regs.1 ¶ 31,241, at para. 26. 19 Id., at para. 53. 25 Supra note 8, at p. 8 (internal citation and 32 See Federal Trade Commission, Decision and 20 Id., at para. 52. quotation omitted). Order, in the Matter of America Online Inc. and 21 Id., at para. 54. 26 Supra note 3, Sections IV(A) and (B). Time Warner Inc., Docket No. C–3989 (December 22 Id. 27 Id., Section IV(G). 14, 2000).

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there ought to be a strong justification for competitive disadvantage in time and for Hulu specifically, take no account of how their use here, which is lacking in the PFJ. expense to competitors. such entities will develop over time in an B. The PFJ contains requirements that are C. The PFJ’s requirements are based on emerging OVD market and how their defined by subjective terms and therefore static benchmarks that will undoubtedly programming needs will change as a result of invite dispute, arbitration, delay, and change in an emerging and dynamic OVD changes in the market. The DOJ’s Policy expense. industry but for which the PFJ envisions no Guide identifies this as a distinct downside Under the PFJ’s open access requirements, adjustments or flexibility. of conduct remedies when it states: ‘‘* * * programming to be provided by the JV to Key elements of the PFJ’s open access even where ‘effective,’ efforts to regulate a OVDs must be economically equivalent to requirements are defined by benchmarks that firm’s future conduct may prevent it from that which: (1) It provides to MVPDs and (2) will undoubtedly change as the nascent OVD responding efficiently to changing market 43 peers provide to OVDs. Economically industry develops over the time the PFJ is in conditions.’’ Tying the conduct of the firm equivalent means the ‘‘prices, terms, and effect. But the consent decree does not to parameters that are rooted in existing conditions that, in the aggregate, reasonably explain or account in any way for how such market conditions in a dynamic market benchmarks should be adjusted or modified approximate’’ those on which the JV provides situation runs the risk of shaping or as a result of changes in a dynamic industry. constraining how competition in a nascent programming to an MVPD.33 The open access There are three major areas where the open OVD market develops. Such conditions are requirement with respect to the programming access requirement suffers from this problem. ill-founded and likely to be ineffective, time provided by the JV to an OVD is also required First, the PFJ states that economic consuming, and expensive. The PFJ is devoid to be ‘‘comparable’’ or ‘‘reasonably similar in equivalence will be determined, in part, by of any provisions that specifically address kind and amount, considering the volume differences in the: (1) Advertising revenues the importance of this aspect of emerging and its value’’ to that which an OVD receives earned through MVPD versus OVD competition from OVDs that the Complaint 34 from a peer. Moreover, the programming to distribution and (2) value of programming so clearly states is at risk. be provided by the JV to Hulu must be received by the JV versus through a peer.39 D. Delegation of NBCU’s voting rights in ‘‘comparable’’ in terms of ‘‘type, quantity, As a preliminary matter, how these important Hulu will compromise important voting ratings, and quality’’ and provided on revenue and value differences should be dynamics regarding management and ‘‘substantially the same terms and interpreted is not explained in the PFJ, governance, potentially affecting how the conditions.’’ 35 making it a ‘‘black box’’ calculation that will most important OVD develops. Any condition containing subjective terms inevitably lead to disputes. More important, Hulu is one of the leading and most such as ‘‘in the aggregate’’ or ‘‘reasonably advertising revenue and value are innovative OVDs. Rather than require the approximate,’’ ‘‘reasonably similar,’’ or particularly dynamic concepts in a nascent divestiture of Hulu, in which NBCU has a 33 ‘‘substantially the same’’ lacks clarity and OVD market. As the market develops over the percent interest, the PFJ will allow the JV to requires the application of judgment. The seven years the PFJ is in effect, we could retain its ownership share, subject to a Policy Guide emphasizes that remedies must expect differences in these parameters to number of restrictions. The PFJ states, among be clear and understandable: change as a result of how OVDs and their other things, that the JV must delegate its ‘‘Consequently, decree provisions must be business models evolve and how the MVPD voting and other rights in Hutu ‘‘* * * in a as clear and straightforward as possible, segment of the VPD market responds to manner and amount proportional to the vote always focusing on how a judge not privy to changes in competition from OVD. of all other votes cast by other Hulu owners the settlement negotiations is likely to Second, the open access condition makes * * *’’ 44 The effect of this provision will be construe those provisions at a later time.’’ 36 the provision of video programming by the JV to proportionately ‘‘scale-up’’ the voting to OVDs contingent on a current set of OVD shares of the other Hulu owners—ABC, Fox, and: relationships. For example, provision of and Providence Equity Partners. In other ‘‘Remedial provisions that are vague or that programming by the JV is contingent on what words, each remaining owner will assume a can be construed when enforced in such a the OVD already receives—both in terms of portion of NBCU’s voting rights, in manner as to fall short of their intended the category of peer (e.g., broadcast network, proportion to its ownership share. purposes can render the enforcement effort 37 cable programmer, or production studio), This remedy will potentially affect useless.’’ choice of specific peer, and number of decision-making that has made Hulu an The need for clear and precise terms is peers.40 In regard specifically to Hulu, the innovative OVD and shaped competition in essential for establishing the starting set of PFJ requires the JV to continue to provide that segment of the VPD market. For open access conditions that constitute programming on ‘‘substantially the same’’ example, under the PFJ, each non-NBCU economic equivalency and comparability for terms and conditions that were in place on Hulu owner will have a larger vote in matters the JV’s provision of programming. Clarity January 1, 2011.41 Again, as the OVD relating to governance and management. This and precision, however, become particularly industry develops and matures, we would is akin to NBCU giving its proxy to the important when determining what expect change not only in the programming remaining three owners in proportion to their adjustments to the prices, terms, and that Hulu buys, but the types of peers with respective ownership shares. As a conditions for the JV’s programming are which Hulu deals. preliminary matter, the downsides of proxy 38 necessary over the term of the PFJ. The Third, the PFJ’s open access requirements voting are well-known, which deprives the meaning of these terms—which is not state that the provision of programming by decision-making process of the independent, specified in the PFJ—will be interpreted the JV to OVDs that is also provided to informed judgment of the non-voting differently by the JV and rival OVDs. This MVPDs may be conditioned on the ability of member. The scaling-up approach also will open the door to disputes and the OVD to ‘‘satisfy reasonable quality and changes the dynamics of consensus-building arbitration, thus impeding the technical requirements for the display and involving Hulu governance and management implementation of the remedies and secure protection of the JV’s decisions. For example, before the JV, NBCU increasing the costs of monitoring and programming.’’ 42 As in many other needed the vote of any one of the remaining compliance. Predictability, which is so instances, the PFJ does not state how such three owners to gain a majority. But unless important for investment decisions that will quality and technical requirements are to be the remaining three owners all teamed up, be critical to this industry’s future, is absent. determined. More importantly, the consent they could not gain a majority. Post-JV, any Unpredictability is inherently advantageous decree does not make provisions for how of the three owners with adjusted voting to the JV, whose decisions will have to be quality and technical standards might change shares would gain a majority if they team up challenged after the fact, implying a as the OVD industry develops and matures. with only one other owner. The adjustment Static benchmarks for setting the JV’s of voting shares under the PFJ condition will 33 Supra note 3, at Section IV(A). programming terms for OVDs generally, and soften the internal ‘‘give and take’’ among the 34 Id., at Section IV(B). Hulu owners necessary to reach consensus 35 Id., at Section IV(G). 39 Supra note 3, at Section IV(A)(1). on key decisions. 36 Supra note 7, at p. 6. 40 Id., at Section IV(B)(5). 37 Id., at p. 5. 41 Id., at Section (IV)(G). 43 Supra note 7, at pp 8–9. 38 Supra note 3, at Section IV(B)(4). 42 Supra note 3, at Section IV(A)(6). 44 Supra note 3, at Section IV(D).

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The critical question therefore is whether programming side of the JV from decisions Communications Commission (FCC) and met the scaling-up of voting shares envisioned by on the distribution side will help prevent with the team reviewing the merger at the the consent decree will preserve the foreclosure of OVDs. Under this condition, Department of Justice (DOJ). CF/CU have dynamics that have been responsible for all officers and directors of the JV should be decades of experience in examining mergers Hulu’s innovative strategy and growth. This unaffiliated with either of the JV owners. and public policy in the sectors affected by dynamic has, in turn, played a fundamental Second, NBCU should divest its ownership this merger—multichannel video role in shaping competition in the OVD interest in 1-lulu to an independent party programming distribution (MVPD), Internet segment of the VPD market. The scaling-up that will exercise full voting rights and inject access, and media markets.3 condition will likely not protect competition the competitive discipline that is an essential The Competitive and Consumer Benefits of (as is required for the PFJ to be in the public part of corporate decision-making. That Hulu the Proposed Final Judgment interest) relative to a scenario that preserves is a key player in the OVD industry stresses In testimony before the Senate over a year the pre-JV structure of voting on Hulu the importance of divestiture as the only way to ensure that it does not suffer ago, the Consumer Federation of America governance and management matters. Such and Consumers Union pointed to critical an approach would require NBCU to divest anticompetitive harm at the hands of the JV and that it remains a viable entity, unfettered moments in the recent history of the its interest in Hulu to a viable third party multichannel video market when policy by the constraints of the JV. buyer. makers had failed to effectively protect E. Short of the DOJ suing to stop the Respectfully Submitted, competition and consumers. transaction, no set of remedies will prevent Diana Moss, Vice President and Director Over the past quarter century there have the IV from controlling how rivalry develops American Antitrust Institute been a few moments when a technology between two major, important systems—the P.O. Box 20725 comes along that holds the possibility of delivery of programming through cable Boulder, CO 80308 breaking the choke hold that cable has on the television and cable modem HSI. phone: 720–233–5971 multi-channel video programming market, As described in the Complaint, the adverse e-mail: dmoss(a)antitrustinstitute.org but on each occasion policy mistakes were effect the IV will have on competition can be web: www.antitrustinstitute.org made that allowed the cable industry to viewed through a slightly different lens. In its strangle competition. This is the first big comments to the FCC, for example, the AAI UNITED STATES DISTRICT COURT policy moment for determining whether the characterized the competitive problem as one FOR THE DISTRICT OF COLUMBIA Internet will function as an alternative in which the JV will increase Comcast/ United States of America, State of California, platform to compete with cable. We all hope NBCU’s control over two major programming State of Florida, State of Missouri, the Internet will change everything in the and distribution systems—cable television State of Texas, State of Washington video product space, but it has not yet * * * and cable modem HSI. Such control allows Plaintiffs, If policymakers allow this merger to go the JV to potentially forestall inter-system v forward without fundamental reform of the rivalry, by monitoring and controlling the Comcast Corp., General Electric Co., and NBC underlying industry structure, the prospects development, pace of innovation, Universal Inc. for a more competition-friendly, consumer- accessibility, quality, positioning, and friendly multichannel video marketplace will viability of the two systems.45 Indeed, the Case: 1:11-cv-00106 be dealt a severe setback. Complaint highlights the fact that Comcast Judge: Richard, J. Leon Our initial take was that the merger should has taken actions to control how consumers TUNNEY ACT COMMENTS OF THE be rejected, but the FCC and the DOI have make choices between programming CONSUMER FEDERATION OF AMERICA put together a set of conditions and delivered via the two competing systems.46 AND CONSUMERS UNION enforcement measures that we believe will Absent the JV, market forces would be the protect consumers and promote the public Commenters determining factor in how the delivery of interest. The Proposed Final Judgment in the programming to consumers via the two rival The Consumer Federation of America instant proceeding, combined with the systems evolves over time. In light of the (CFA) 1 and Consumers Union (CU) 2 conditions included in the Memorandum and flaws in the PFJ’s conditions and participated actively in the review of the Order transferring various broadcast and requirements described above, there is a high Comcast-NBCU merger at the Federal cable license issued by the Federal probability that the JV will exercise Communications Commission (FCC),4 mark significant control over how the OVD system 1 The Consumer Federation of America is one of an important milestone in the quarter of a develops relative to the cable television the nation’s oldest and largest consumer groups. century long struggle to protect consumers distribution system, to the detriment of Formed in 1968, CFA is an association of some 300 from the abuse of market power that was competition and consumers. non-profit organizations, working to advance the unleashed by the Cable Deregulation of 1984. consumer interest through research, education, and V. Conclusion These comments review both key conditions advocacy. Dr. Mark Cooper is Director of Research in the Proposed Final Judgment and the FCC at CFA. Based on the foregoing analysis, the AAI Memorandum and Order, in so far as it respectfully suggests that the weaknesses in 2 Consumers Union of United States, Inc., publisher of Consumer Reports, is a nonprofit affects the online video market. We state the the remedies set forth in the PFJ are ill- obvious, when we point out that if the DOI matched to the competitive harms outlined membership organization chartered in 1936 to provide consumers with information, education, had locked the merger, none of the public in the Complaint. The Court should not give and counsel about goods, services, health and interest benefits that flow from the DOJ ‘‘a pass’’ in its review of this merger. personal finance. Consumers Union’s publications Memorandum and Order would be realized. There is little in the PFJ that is likely to have a combined paid circulation of approximately The post-merger marketplace with the preserve effective competition in the relevant 7.3 million. These publications regularly carry conditions will be friendlier to Internet markets, or to prevent the consumer harm articles on Consumers Union’s own product testing; consumers and more supportive of video that will flow from the impairment of on health, product safety, and marketplace competition than if the FCC and the DOI competition. We understand that this Court economics; and on legislative, judicial, and is not authorized to re-write the consent regulatory actions that affect consumer welfare. Consumers Union’s income is solely derived from 3 Testimony of Dr. Mark Cooper, Director of decree, but it can note the availability of the sale of Consumer Reports, its other publications Research, Consumer Federation of America on modifications to which the parties might and services, fees, and noncommercial behalf of Consumer Federation of America, Free agree in order to meet the public interest test. contributions and grants. Consumers Union’s Press and Consumers Union before the Commerce First, rather than risking the inevitable publications and services carry no outside Committee, U.S. Senate, Regarding, ‘‘Consumers, disputes and abuse that open access remedies advertising and receive no commercial support. Competition and Consolidation in the Video invite, independent management and Patti! P. Desai is communications policy counsel for Broadband Market,’’ March 11, 2010, p. 11. 4 governance of the JV should be considered. Consumers Union, working out of the Washington, In the Matter of Applications of Comcast Walling off management decisions on the DC office. Parul manages the organization’s Corporation, General Electric Company and NBC advocacy efforts on cable, wireless, telephone, and Universal, Inc. For Consent to Assign Licenses and Internet policy. She is also responsible for working Transfer Control of Licensees Memorandum 45 Supra note 2, at pp. 4, 6, and 17. closely with Federal policy makers on opinion and order, NB Docket No. 10–56, January 46 Supra note 20. telecommunications and media law and policy. 20, 2011.

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would have blocked the merger in three The Flow of Programming Onto the Internet DO NOT APPROVE THIS!!!!!!!!!! critical ways: Platform THIS IS GOING TO STIFLE • Consumer access to broadband, The availability of programming for COMPETITION!!!!!!!!!! • distributor access to consumers, and Internet distribution will be better. CORPORATION TAKING OVER OTHER • the availability of programming on the • NBC will be required to match the best CORPORATIONS IS NOT GOOD FOR THE Internet platform. practices in making content available by AMERICAN PEOPLE!!!!!!!!!! The Proposed Final Judgment adopts a independent programmers that are similar in NBC UNIVERSAL NEEDS TO BE BROKEN UP INTO SMALLER COMPANIES!!!!!!!!!! framework that we have advocated for size. decades and presented in comments to the • The contracting practices of Comcast and Noelle FCC and testimony to the Congress. It defines NBC will be constrained with respect to From: the markets carefully to assess the potential Internet distribution. To: ATR–OPS Citizen Complaint Center • for the abuse of market power by the post- The DOJ consent decree and the FCC Subject: Comcast + NBC = The antithesis of merger firm. order lay the foundation for ensuring that the LAW + ECONOMICS + JUSTICE FOR THE • It rests its concern on the local market Internet TV enjoys the Communications Act AMERICA = CAPITULATION AND protections from the abuse of market power. BETRAYAL of the PEOPLE power of the cable operators, including high • current market shares protected by The DOJ has tackled the problem of Date: Sunday, January 23, 2011 9:12:06 PM vertical integration more effectively than has substantial barriers to entry. ANTITRUST DEPARTMENT • been the case in decades. It defines the product market as the What a disgrace. To permit further media professional video programming industry, Enforcement concentration by an industry pariah. I’ll brushing aside the claim that all manner of These conditions will be enforceable and never forget Brian Robert’s father (Ralph short form content competes with long-form the enforcement mechanisms have been Roberts) sitting behind him at a hearing programming content. strengthened in two ways. before a Congressional Committee, as if this • It identifies online video distribution • The Federal Communications were a small Father and Son operation (OVD) as an important nascent model that Commission has outlined improvements in representing the American Dream in a competes with the incumbent multichannel its complaint process to accelerate dispute festival of generosity to the American video program distributors (MVPD). resolution and give. PEOPLE, rather than showing it for what it • It identifies two specific types of Most importantly, the Department of is, a cannibalistic, predatory mega- anticompetitive conduct that would be Justice will have the ability to enforce a oligopolistic American Nightmare. This rendered much more likely as a result of the consent decree. merger is anathema to competition and the merger. These two improvements will work hand spirit of Antitrust, Justice, the Protection of the American People from concentration in • The withholding of must have content in hand. Since Comcast will have a strong incentive to avoid being hauled into the industries where there are few competitors, from potential or actual competitors could antitrust court, it will have an incentive to high barriers to entry, anticompetitive weaken competition. • bargain in good faith and resolve disputes at behaviour by the would be acquisitionor, The provision of broadband Internet the FCC. predatory behaviour, and all of the earmarks access service, as the key choke point and the Progress and Challenges for the disapproval of a merger. indispensible input for OVD delivery of You caved. service, can be used to dramatically In our view the proposed final judgment You are fodder for the lobbyists. undermine competition through restriction accomplishes the immediate goals of the You completely gave away the store, on the availability of capacity, management merger review and then some. Consumers burned down the barn, and salted the earth of traffic flows, and/or pricing. and competition will be better off as a result that is the landscape of the American Media The Proposed Final Judgment addresses of the judgment than if the merger had been System. the vertical leverage problem that this merger denied. That does not mean there is not more Shame. poses. work to be done. Monitoring and In my ultimate disgust and revulsion you enforcement will have to be vigilant and have capitulated to Corporacracy. Consumer Access to Broadband Internet aggressive. The conditions in the Proposed Already they (COMCAST) have trotted out Access Service Final Judgment are not static by any stretch 2 new cable channels to broadcast reruns, Consumers, particularly low income of the imagination. They seek to ensure that [which they are running on another channel consumers, will have better access to Comcast-NBC affords the same treatment to I MONETISE their new channels by running broadband Internet access service. OVD competitors that MVPD and OVPD commercials on the reruns, have failed to fix • The program to increase broadband participants secure in the marketplace. Thus, their ISP so that they can handle Expose’ and adoption among low income households will the DOI will have to closely monitor the Spaces on Safari. Their abuse, exploitation, not only add millions of subscribers to the development of competition in this space to anticompetitive behaviour, and predation Broadband network in Comcast’s service enforce. will undoubtedly continue unabated, thanks territory, it will serve as a model for the Moreover, the complaint lays the basis for to a Government which is apparently of the nation as we move into the implementation broader Section I or Section II action against PERSONS, by the PERSONS and FOR THE other operators in the PVDI/MVPD sector. PERSONS. of the national broadband plan. The Department has now established the Too bad PEOPLE couldn’t flood you with • Standalone broadband will be available product and geographic market definitions, Lobbyists the way COMCAST obviously did, at a price that cannot increase for three years. the structural sources of horizontal market or maybe you would have followed the Law • The DOJ ensures that service available to power and vertical leverage, and the and repudiated the merger. Oh Well, another consumers will be required to be of sufficient behaviors that would constitute victory for EVIL. quality to support OVD competition. anticompetitive conduct that seeks to defend I hate to engage in hyperbole, and ad Distributor Access to the Broadband Internet or extend the market power of the cable/ hominem, but in this case, I’m afraid the comments are warranted, Distributors of video content over the broadband access companies. YOU ARE A DISGRACE TO THE SPECIES, Internet will have better access to broadband Mark Cooper Consumer Federation of consumers. America 1620 I St., NW., Suite 200 SINCERELY • The network neutrality conditions Washington, DC 20006 Chris Muse, ESQ recently implemented are secured for the Parul Desai Consumers Union 1101 17th From: Sent: Thu 2/3/2011 6:58 PM largest broadband Internet access provider, Street, NW., Suite 500 Washington, D.C. To: ASKDO3 regardless of the outcome of legislation or 20026 Cc: litigation. From: NoeIle Levesque Subject: USDO1 Comments • A minimum capacity adequate to To: AIR–Antitrust—Internet Attachments: support video distribution will be available Subject: Comcast takeover of NBC Universal I believe that the recent FCC Ruling to for competing video is guaranteed. Date: Tuesday, January 18, 2011 6:42:45 PM allow Comcast and NBC to Merge is

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extremely Anti-Consumer in nature and Monopolies that now own all the American people and animals in the area. Again you should be looked at Very Closely!!! In that Corporations that are Foreign owned. attorneys did nothing. Ruling the FCC requires that Comcast: The reason that you can not enforce the It is amazing all the damage the global ‘‘Offers stand alone broadband Internet Anti Trust laws, Wall St Laws and Banking monopolies, lobbyist, Wall St. and the banks access services at reasonable prices and of Laws is because the left over attorneys from have done to this country and because of the sufficient bandwidth so that customers can the Bush Administration are still in the crooked paid off attorneys in the justice access online video services without the need Justice Department. A Justice Department department that are leftovers from the Bush to purchase a cable television subscription that let wall street sell off all of Corporate Administration, the ones he put in to the from Comcast’’ Who is going to Oversee this America to foreign ownership so that we justice department as Federal Prosecutors requirement? As far as I have seen through don’t build anything here anymore because when he first became president, you personal experience; Comcast makes it very we don’t own any of our companies. Your department has done nothing to go after the difficult to order Internet Service as a ‘‘Stand justice department let Exxon Mobil merge monopolies lobbyist Wall Street and the Alone’’ Service and charges a ‘‘Premium under the Bush administration owned by the Banks. Rate’’ to do so!! same Rockefeller Family that Teddy We don’t own anything here. We don’t As a private Citizen and Consumer; I am Roosevelt broke up as standard oil in 1911. build anything here. All because you don’t Very Much Against this merger being Now it is time to take back ownership of enforce the Anti Trust laws to break up allowed to go forward! I have expressed this American Companies and break up EXXON monopolies, Banking laws that separate to the FCC during their Hearing Period as Mobil and all these monopolies. savings from commercial from investment well as to my Congressmen. Please Stop this Wall St sold off US Steel to Japan who and prevent Wall St from breaking up Merger from taking place. disassembled the factory and reassembled it American Companies and selling them off to Thank You. in Japan and shut down Pittsburgh. Wall St foreign ownership. No foreign company has liquidated the United States and sold us should own more than 49% of an American David Neckolaishen out to foreign ownership and the justice company and since Wall St committed all From: denna department did nothing about it. You need to this fraud, we have the right to take back To: ATP–Antitrust—Internet go after all the criminals on Wall St. You these companies. All American Companies Subject: Comcast need to break up all the Monopolies. You can should be building our products here not Date: Tuesday, January 18, 2011 3:39:28 PM not do that with the corrupt attorneys left overseas as Wall St has caused. I don’t understand a lot about antitrust over from the Bush Administration as they The time has come that all the Federal laws, but I don’t understand how giving are funded and paid for by the global Attorneys that Bush put into the Justice Comcast the power to take over one of the 3 monopolies and their lobbyist. department leave because they are all paid major networks in the US can possibly be The real estate people dropped the values for and funded by global monopolies. It is good for anyone but Comcast and those of the house down to 25% of original value, obvious that they don’t understand what a whose hands are in their pockets. This move while the banks kept the inflated mortgages monopoly is when they allowed NBC and definitely does not inspire trust that our at their original value. The values of all Comcast to merge. Today 6 monopolies run government is looking out for the little guy/ mortgages should be cut to 25% of the the broadcast media and the Justice gal. It is hard to believe that this event could original loan. If the property is only worth department has done nothing about that. We occur with out bribery and promises of 25% of its original value then the mortgage have judges on the supreme court who think special favors being a factor. It seems so is only worth 25% of its original value. a corporation is a person and should buy obvious to the average American that this Cutting the value of the mortgage makes more political adds. That means that while kind of monopoly can only limit our choices sense than foreclosing on homeowners. Haliburton is polluting the water supply they and empty our pockets. So many Americans When these properties go to foreclosing then can buy an add and tell you that is good for fear Socialism because they think it would to a short sale, why are you using tax payer you health. Again, Republican Scum Denis give the government more control over our dollars to pay off the rest of the mortgage Scalia on the supreme court has no idea what lives. How much more control could that be, when the value of the house dropped. Since a monopoly is. if our lawyers and judges allow such an the Homeowner lost the value of the house, It is bad enough the Republicans messed obvious takeover of our what we are allowed so should the bank. If you put a $100,000 in this country up with Deregulation. However, to see on out televisions and computer stock and it value drops to $20,000 and you these laws are still on the books and you screens and how much it will cost. This is sell you loose $80,000. It should work the need to go after the monopolies, the banks way too much power for one company to same way for the banks. Using tax payer and Wall St. have and frankly it scares me and eats away dollars in short sales is a ponzi scheme for The first thing you need to do is get rid of at my trust in my government. It makes me the banks. all that corrupt Republican Garbage of want to cry in despair when more profit and The scum on Wall St keeps using Federal Attorneys funded by the global power are given to companies by a speculators to drive up the price of oil. When monopolies that Bush put into the Justice government that claims it is for the people the per barrel price drops, the price of gas Department. and by the people’ keeps going up. Reagan Screwed this country with Denna Teece You have done nothing to investigate the Deregulation. Bush Cheney and Rumsfeld set From: speculators on Wall Street or the corrupt oil up 9–11 and committed treason. They let the To: ATR–OPS Citizen Complaint Center lobbyist. oil companies run this country for 8 years. Cc: ATR–Antitrust—Internet Global Oil Monopolies own all American Let Mobil merge and have Haliburton owning Subject: THE LEFT OVER BUSH FEDERAL Oil Companies thanks to Wall St. The first a pipe line from Saudi Arabia through Iraq ATTORNEYS NEED TO GO thing they do is stop drilling in this country. into Kuwait and out into Aphghanistan that Date: Monday, April 04, 2011 3:00:18 PM Then deliberately cause spills to get us to only gives us 2% of its oil while our kids stop drilling. The reason for these accidents protect Dick Cheney’s company pipe line. From: Ira Warren Patasnik is that the Bush Administration took away While all of Alaska’s oil is sold to Japan. To: Eric H. Holder, JR the EPA from all safety regulation on oil rigs Perhaps you forgot that George Bushes Dear Attorney General Eric H Holder: and BP has had violations since 2002 on their Grandfather was Prescott Bush an American It seems to me that after all the six big rigs. Industrialist who helped fund Adolph Hitler monopolies running radio, the justice Now the Food and Drug Administration no to power and was arrested with 14 other department did not understand the size of longer checks on the safety of food imported Americans for trying to over through the US the NBC Comcast merger. from other countries. Now our food supply Government. What kind of Justice Evidently you and the Attorneys in the is getting polluted. Department does not go after all these Justice Department do not comprehend what Haliburton is doing fracking in Northern criminals and prosecute an administration defines a Monopoly. The only logical reason Penn and Southern Upstate NY. They put who committed treason to make a rich oil is that when George W Bush was president, 1,000 toxic chemicals in the ground to get the industry richer. he fired all the attorneys and hired these natural gas out of the ground and in turn It is pretty sickening when the Justice corporate thug attorneys from the Global pollute the water supply causing cancer in Department lets us get taken over by foreign

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monopolies and lets criminals in the banking call-in directions provided below but MARINE MAMMAL COMMISSION industry and Wall St get away with are asked to keep their telephones liquidating the United States and selling us muted to eliminate background noises. Classified National Security off to foreign ownership and does not do a From time to time, the presiding Chair Information thing about it because we still have the may solicit comments from members of federal attorneys left over from the Bush [Directive 11–01] Administration who allowed these foreign the public present for the meeting. AGENCY: Marine Mammal Commission. monopolies rob this country blind. It is time CALL-IN DIRECTIONS: for these federal attorneys to be fired and for • Call toll-free number: 1–866–451– ACTION: Notice. the Justice Department to address all these 4981; SUMMARY: This notice sets out the issues. • When prompted, enter the establishment of the Marine Mammal It would be nice if you send me some kind following numeric pass code: Commission’s (MMC) policy on of response as to when you will fire these 5907707348; corrupt left over federal attorneys form the • When connected to the call, please classified information, as directed by Bush Cheney Administration. Just remember ‘‘MUTE’’ your telephone immediately. Information Security Oversight Office if Jeb Bush, N Sanders Saul and Katherine regulations. Harris never rigged the election, Bush and * * * * * Cheney never would have been in the white STATUS OF MEETING: Open. FOR FURTHER INFORMATION CONTACT: Catherine Jones, Administrative Officer, house and 9–11 and the Pentagon hit by a MATTERS TO BE CONSIDERED: missile never would have happened. You Marine Mammals Commission, (301) OPEN SESSION: know it and I know it. Now how about firing 504–0087. these corrupt bastards who have no clue as 1. Approval of agenda 2. Approval of the minutes of the SUPPLEMENTARY INFORMATION: The to what defines a monopoly following is the text of MMC’s Directive Sincerely, Committee’s meeting of April 15, 2011 11–01 of October 25, 2010: Ira 3. Public Comment regarding LSC’s Directive 11–01 October 25, 2010 Ira Warren Patasnik fiscal year 2013 ‘‘budget mark.’’ From: Bill Dunn • Presentation by Robert Stein on 1. PURPOSE. This directive Sent: Sunday, March 20, 2011 7:12 PM behalf of the American Bar implements the requirements of To: Bhat, Shobitha Association’s Standing Committee Executive Order 13526, ‘‘Classified Subject: Re: Media Conglomerates, Giant on Legal Aid and Indigent Defense National Security Information,’’ and 32 Banks, rapid business consolidation. (SCLAID) CFR part 2001, ‘‘Classified National I read most of the rules applicable to the • Presentation by Don Saunders on Security Information,’’ by establishing ComCast DOS and DONTS—It reminds me behalf of National Legal Aid and Marine Mammal Commission policy on that one should let the fox into the hen house Defender Association classified information. and tell him not to touch the chickens. The • Comments by other interested 2. REFERENCES. restrictions will be challenged and parties a. Executive Order 13526, ‘‘Classified challenged, much will change and the only National Security Information,’’ people that will really know what is going on 4. Consider and act on other business is the lawyers, the company and you. By the 5. Consider and act on adjournment of December 29, 2009 time the consumer realizes what has meeting b. 32 CFR part 2001, ‘‘Classified happened it will be too late for them. SO MY CONTACT PERSON FOR INFORMATION: National Security Information,’’ June 25, QUESTION—WHY LET THE FOX IN THE Katherine Ward, Executive Assistant to 2010 HEN HOUSE IN THE FIRST PLACE? the Vice President & General Counsel, at 3. SCOPE. This directive applies to all HOPEFULLY THE SAME THING WILL NOT (202) 295–1500. Questions may be sent Marine Mammal Commission BE REPEATED WITH THE AT&T AND T– by electronic mail to employees. MOBILE DEAL!!!!!!!!!! [email protected]. 4. BACKGROUND. The Marine [FR Doc. 2011–14629 Filed 6–13–11; 8:45 am] ACCESSIBILITY: LSC complies with the Mammal Commission is a micro agency BILLING CODE 4410–11–M American’s with Disabilities Act and of 14 full time permanent employees. Section 504 of the 1973 Rehabilitation Three employees have current Secret Act. Upon request, meeting notices and clearances and one staff has a Top LEGAL SERVICES CORPORATION materials will be made available in Secret clearance. These employees alternative formats to accommodate require clearances because they attend Sunshine Act Meeting of the Finance individuals with disabilities. meetings where classified information Committee of the Board of Directors; Individuals who need other may be discussed. None of the Notice accommodations due to disability in Commission staff have approved Information Security Oversight Office DATE AND TIME: The Finance Committee order to attend the meeting in person or telephonically should contact Katherine (ISOO) original classification authority. of the Legal Services Corporation will The Commission does not originate, meet telephonically on June 16, 2011. Ward, at (202) 295–1500 or [email protected], at receive, or store classified documents. The meeting will begin at 11 a.m., 5. POLICY. It is Commission policy to Eastern Standard Time, and will least 2 business days in advance of the meeting. If a request is made without ensure the safeguarding of national continue until the conclusion of the security information in accordance with Committee’s agenda. advance notice, LSC will make every effort to accommodate the request but established rules and regulations. The LOCATION: F. William McCalpin Commission will: Conference Center, Legal Services cannot guarantee that all requests can be fulfilled. a. Designate a senior official to direct Corporation Headquarters Building, and administer the Commission’s 3333 K Street, NW., Washington, DC Dated: June 9, 2011. security program 20007. Victor M. Fortuno, (1) The senior official will oversee the PUBLIC OBSERVATION: Members of the Vice President, General Counsel & Corporate Commission’s program established public who are unable to attend but Secretary. under this directive and institute wish to listen to the public proceedings [FR Doc. 2011–14746 Filed 6–10–11; 11:15 am] procedures consistent with directives may do so by following the telephone BILLING CODE 7050–01–P issued pursuant to this order to prevent

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unnecessary access to classified NATIONAL CREDIT UNION request to the Office of Management and information, including procedures that ADMINISTRATION Budget (OMB) and solicitation of public require a need for access to classified comment. information and the insurance that the Sunshine Act; Notice of Agency number of persons granted access to Meeting SUMMARY: The NRC invites public classified information meets the mission comment about our intention to request needs of the Commission while also TIME AND DATE: 10 a.m., Friday, June 17, the OMB’s approval for renewal of an satisfying operational and security 2011. existing information collection that is requirements and needs PLACE: Board Room, 7th Floor, Room summarized below. We are required to (2) The senior agency official or the 7047, 1775 Duke Street (All visitors publish this notice in the Federal Executive Director shall take must use Diagonal Road Entrance), Register under the provisions of the appropriate and prompt corrective Alexandria, VA 22314–3428. Paperwork Reduction Act of 1995 (44 action when a violation or infraction STATUS: Open. U.S.C. Chapter 35). occurs and notify the Director of the MATTERS TO BE CONSIDERED: Information pertaining to the Information Security Oversight Office 1. Final Rule—Section 701.34 of requirement to be submitted: b. Ensure that the Commission’s GSA NCUA’s Rules and Regulations, Member 1. The title of the information approved security container is available Survey Sample Data to Meet Low- collection: NRC Form 445, Request for to store classified documents should the Income Designation. Approval of Official Foreign Travel. Commission receive such documents 2. Interim Final Rule—Part 750 of 2. Current OMB approval number: c. Instruct Commission staff on the NCUA’s Rules and Regulations, 3150–0193. proper procedures for handling Technical Correction, Golden 3. How often the collection is classified information Parachutes and Indemnification required: On occasion. 6. RESPONSIBILITIES. Payments. 4. Who is required or asked to report: a. The Executive Director will appoint 3. Advance Notice of Proposed Non-Federal consultants, contractors in writing a Security Manager Rulemaking—Part 703 of NCUA’s Rules and NRC invited travelers (i.e., non-NRC b. The Security Manager will ensure and Regulations, Derivatives. employees). that authorized persons who have 4. Insurance Fund Report. 5. The number of annual respondents: 50. access to classified information are RECESS: 11:15 a.m. 6. The number of hours needed responsible for: TIME AND DATE: 11:30 a.m., Friday, June (1) Protecting it from persons without annually to complete the requirement or 17, 2011. request: 50. authorized access to include securing it PLACE: Board Room, 7th Floor, Room in an approved container 7. Abstract: Form 445, ‘‘Request for 7047, 1775 Duke Street, Alexandria, VA Approval of Foreign Travel,’’ is (2) Meeting the safeguarding 22314–3428. requirements supplied by consultants, contractors, STATUS: (3) Ensuring that classified Closed. and NRC invited travelers who must information is not communicated over MATTERS TO BE CONSIDERED: travel to foreign countries in the course unsecured voice or data circuits, in 1. Waiver Request pursuant to Section of conducting business for the NRC. In public conveyances or places, or in any 704.1(b) of NCUA’s Rules and accordance with 48 CFR 20, ‘‘NRC other manner that permits interception Regulations. Closed pursuant to some or Acquisition Regulation,’’ contractors by unauthorized persons all of the following exemptions (4) and traveling to foreign countries are (4) Establish an information security (6). required to complete this form. The training program 2. Consideration of Supervisory information requested includes the c. Employees whose duties involve Activity. Closed pursuant to some or all name of the Office Director/Regional the handling of classified information of the following: exemptions (8), Administrator or Chairman, as will be rated on (9)(A)(ii) and 9(B). appropriate, the traveler’s identifying their performance on the management 3. Personnel (2). Closed pursuant to information, purpose of travel, listing of of classified information exemption (2). the trip coordinators, other NRC 7. DISCIPLINARY AND CORRECTIVE FOR FURTHER INFORMATION CONTACT: travelers and contractors attending the ACTION. Failure to safeguard classified Mary Rupp, Secretary of the Board, same meeting, and a proposed itinerary. national security information may result Telephone: 703–518–6304. Submit, by August 15, 2011, in disciplinary action. Applicable comments that address the following Mary Rupp, questions: consequences may include the Board Secretary. following: Reprimand, suspension 1. Is the proposed collection of [FR Doc. 2011–14891 Filed 6–10–11; 4:15 pm] without pay, removal from federal information necessary for the NRC to service, loss or denial of access to BILLING CODE P properly perform its functions? Does the classified information, or other information have practical utility? sanctions in accordance with applicable 2. Is the burden estimate accurate? laws and regulations. NUCLEAR REGULATORY 3. Is there a way to enhance the 8. EFFECTIVE DATE. This directive COMMISSION quality, utility, and clarity of the shall take effect on October 25, 2010. [Docket No. NRC–2011–0123] information to be collected? 4. How can the burden of the October 25, 2010. Agency Information Collection information collection be minimized, Timothy J. Ragen, Activities: Proposed Collection; including the use of automated Executive Director. Comment Request collection techniques or other forms of Editor’s note: This document was received information technology? by the Office of the Federal Register on June AGENCY: Nuclear Regulatory The public may examine and have 6, 2011. Commission. copied for a fee publicly available [FR Doc. 2011–14593 Filed 6–13–11; 8:45 am] ACTION: Notice of pending NRC action to documents, including the draft BILLING CODE P submit an information collection supporting statement, at the NRC’s

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Public Document Room, Room O–1F21, determination by the Commission that can gain entry into ADAMS, which One White Flint North, 11555 Rockville such amendment involves no significant provides text and image files of the Pike, Rockville, Maryland 20852. OMB hazards consideration, notwithstanding NRC’s public documents. If you do not clearance requests are available at the the pendency before the Commission of have access to ADAMS or if there are NRC Web site: http://www.nrc.gov/ a request for a hearing from any person. problems in accessing the documents public-involve/doc-comment/omb/ This biweekly notice includes all located in ADAMS, contact the NRC’s index.html. The document will be notices of amendments issued, or PDR reference staff at 1–800–397–4209, available on the NRC home page site for proposed to be issued from May 19, 301–415–4737, or by e-mail to 60 days after the signature date of this 2011, to June 1, 2011. The last biweekly [email protected]. notice. Comments submitted in writing notice was published on May 31, 2011 • Federal Rulemaking Web Site: or in electronic form will be made (76 FR 31369). Public comments and supporting available for public inspection. Because ADDRESSES: Please include Docket ID materials related to this notice can be your comments will not be edited to NRC–2011–0133 in the subject line of found at http://www.regulations.gov by remove any identifying or contact your comments. Comments submitted in searching on Docket ID NRC–2011– information, the NRC cautions you writing or in electronic form will be 0133. against including any information in posted on the NRC Web site and on the Notice of Consideration of Issuance of your submission that you do not want Federal rulemaking Web site, http:// Amendments to Facility Operating to be publicly disclosed. Comments www.regulations.gov. Because your Licenses, Proposed No Significant submitted should reference Docket No. comments will not be edited to remove Hazards Consideration Determination, NRC–2011–0123. You may submit your any identifying or contact information, and Opportunity for a Hearing comments by any of the following the NRC cautions you against including methods. Electronic comments: Go to The Commission has made a any information in your submission that proposed determination that the http://www.regulations.gov and search you do not want to be publicly for Docket No. NRC–2011–0123. Mail following amendment requests involve disclosed. no significant hazards consideration. comments to NRC Clearance Officer, The NRC requests that any party Tremaine Donnell (T–5 F53), U.S. Under the Commission’s regulations in soliciting or aggregating comments Title 10 of the Code of Federal Nuclear Regulatory Commission, received from other persons for Washington, DC 20555–0001. Questions Regulations (10 CFR), Section 50.92, submission to the NRC inform those this means that operation of the facility about the information collection persons that the NRC will not edit their requirements may be directed to the in accordance with the proposed comments to remove any identifying or amendment would not (1) involve a NRC Clearance Officer, Tremaine contact information, and therefore, they Donnell (T–5 F53), U.S. Nuclear significant increase in the probability or should not include any information in consequences of an accident previously Regulatory Commission, Washington, their comments that they do not want DC 20555–0001, by telephone at 301– evaluated; or (2) create the possibility of publicly disclosed. You may submit a new or different kind of accident from 415–6258, or by e-mail to: comments by any one of the following [email protected]. any accident previously evaluated; or methods: (3) involve a significant reduction in a Dated at Rockville, Maryland, this 8th day • Federal Rulemaking Web Site: Go to margin of safety. The basis for this of June 2011. http://www.regulations.gov and search proposed determination for each For the Nuclear Regulatory Commission. for documents filed under Docket ID amendment request is shown below. Tremaine Donnell, NRC–2011–0133. Address questions The Commission is seeking public NRC Clearance Officer, Office of Information about NRC dockets to Carol Gallagher, comments on this proposed Services. telephone: 301–492–3668; e-mail: determination. Any comments received [FR Doc. 2011–14589 Filed 6–13–11; 8:45 am] [email protected]. within 30 days after the date of BILLING CODE 7590–01–P • Mail comments to: Cindy Bladey, publication of this notice will be Chief, Rules, Announcements, and considered in making any final Directives Branch (RADB), Office of determination. NUCLEAR REGULATORY Administration, Mail Stop: TWB–05– Normally, the Commission will not COMMISSION B01M, U.S. Nuclear Regulatory issue the amendment until the [NRC–2011–0133] Commission, Washington, DC 20555– expiration of 60 days after the date of 0001. publication of this notice. The Biweekly Notice; Applications and • Fax comments to: RADB at 301– Commission may issue the license Amendments to Facility Operating 492–3446. amendment before expiration of the 60- Licenses Involving No Significant You can access publicly available day period provided that its final Hazards Considerations documents related to this notice using determination is that the amendment the following methods: involves no significant hazards I. Background • NRC’s Public Document Room consideration. In addition, the Pursuant to section 189a. (2) of the (PDR): The public may examine and Commission may issue the amendment Atomic Energy Act of 1954, as amended have copied, for a fee, publicly available prior to the expiration of the 30-day (the Act), the U.S. Nuclear Regulatory documents at the NRC’s PDR, O1–F21, comment period should circumstances Commission (the Commission or NRC) One White Flint North, 11555 Rockville change during the 30-day comment is publishing this regular biweekly Pike, Rockville, Maryland 20852. period such that failure to act in a notice. The Act requires the • NRC’s Agencywide Documents timely way would result, for example in Commission to publish notice of any Access and Management System derating or shutdown of the facility. amendments issued, or proposed to be (ADAMS): Publicly available documents Should the Commission take action issued and grants the Commission the created or received at the NRC are prior to the expiration of either the authority to issue and make available online in the NRC Library at comment period or the notice period, it immediately effective any amendment http://www.nrc.gov/reading-rm/ will publish in the Federal Register a to an operating license upon a adams.html. From this page, the public notice of issuance. Should the

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

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submittals.html. A filing is considered service. A presiding officer, having change to TSTF–425, Revision 3, which complete at the time the documents are granted an exemption request from would allow it to retain the definition submitted through the NRC’s E-Filing using E-Filing, may require a participant of ‘‘Staggered Test Basis’’ that also system. To be timely, an electronic or party to use E-Filing if the presiding appears in a portion of the plants’ filing must be submitted to the E-Filing officer subsequently determines that the technical specifications (TSs) that are system no later than 11:59 p.m. Eastern reason for granting the exemption from not subject to TSTF–425. The licensee Time on the due date. Upon receipt of use of E-Filing no longer exists. also proposes to deviate from TSTF–425 a transmission, the E-Filing system Documents submitted in adjudicatory by making the changes recommended to time-stamps the document and sends proceedings will appear in NRC’s the TSTF in the NRC letter dated April the submitter an e-mail notice electronic hearing docket which is 14, 2010 (ADAMS Accession No. confirming receipt of the document. The available to the public at http:// ML100990099), regarding the TS Bases. E-Filing system also distributes an e- ehd1.nrc.gov/EHD/, unless excluded The NRC staff issued a Notice of mail notice that provides access to the pursuant to an order of the Commission, Availability for TSTF–425 in the document to the NRC Office of the or the presiding officer. Participants are Federal Register on July 6, 2009 (74 FR General Counsel and any others who requested not to include personal 31996). The notice included a model have advised the Office of the Secretary privacy information, such as social safety evaluation and a model no that they wish to participate in the security numbers, home addresses, or significant hazards consideration proceeding, so that the filer need not home phone numbers in their filings, (NSHC) determination. In its application serve the documents on those unless an NRC regulation or other law dated March 31, 2011, the licensee participants separately. Therefore, requires submission of such affirmed the applicability of the model applicants and other participants (or information. With respect to NSHC determination which is presented their counsel or representative) must copyrighted works, except for limited below. apply for and receive a digital ID excerpts that serve the purpose of the Basis for proposed no significant certificate before a hearing request/ adjudicatory filings and would hazards consideration determination: petition to intervene is filed so that they constitute a Fair Use application, As required by 10 CFR 50.91(a), the can obtain access to the document via participants are requested not to include licensee has provided its analysis of the the E-Filing system. copyrighted materials in their issue of NSHC, which is presented A person filing electronically using submission. below: the agency’s adjudicatory E-Filing Petitions for leave to intervene must be filed no later than 60 days from the 1. Does the proposed change involve a system may seek assistance by significant increase in the probability or contacting the NRC Meta System Help date of publication of this notice. Non- consequences of any accident previously Desk through the ‘‘Contact Us’’ link timely filings will not be entertained evaluated? located on the NRC Web site at http:// absent a determination by the presiding Response: No. www.nrc.gov/site-help/e- officer that the petition or request The proposed change relocates the submittals.html, by e-mail at should be granted or the contentions specified frequencies for periodic [email protected], or by a toll- should be admitted, based on a surveillance requirements to licensee control free call at 866–672–7640. The NRC balancing of the factors specified in 10 under a new Surveillance Frequency Control Program. Surveillance frequencies are not an Meta System Help Desk is available CFR 2.309(c)(1)(i)–(viii). initiator to any accident previously between 8 a.m. and 8 p.m., Eastern For further details with respect to this evaluated. As a result, the probability of any Time, Monday through Friday, license amendment application, see the accident previously evaluated is not excluding government holidays. application for amendment, which is significantly increased. The systems and Participants who believe that they available for public inspection at the components required by the technical have a good cause for not submitting Commission’s PDR. (For more specifications for which the surveillance documents electronically must file an information, see the ADDRESSES section.) frequencies are relocated are still required to exemption request, in accordance with be operable, meet the acceptance criteria for Arizona Public Service Company, et al., 10 CFR 2.302(g), with their initial paper the surveillance requirements, and be filing requesting authorization to Docket Nos. STN 50–528, STN 50–529, capable of performing any mitigation and STN 50–530, Palo Verde Nuclear function assumed in the accident analysis. continue to submit documents in paper As a result, the consequences of any accident format. Such filings must be submitted Generating Station, Units 1, 2, and 3, Maricopa County, Arizona previously evaluated are not significantly by: (1) First class mail addressed to the increased. Office of the Secretary of the Date of amendment request: March Therefore, the proposed change does not Commission, U.S. Nuclear Regulatory 31, 2011. involve a significant increase in the Commission, Washington, DC 20555– Description of amendment request: probability or consequences of an accident 0001, Attention: Rulemaking and The amendments would relocate certain previously evaluated. Adjudications Staff; or (2) courier, surveillance frequencies to a licensee- 2. Does the proposed change create the controlled program (the Surveillance possibility of a new or different kind of express mail, or expedited delivery accident from any previously evaluated? service to the Office of the Secretary, Frequency Control Program, SFCP) in Response: No. Sixteenth Floor, One White Flint North, accordance with Technical No new or different accidents result from 11555 Rockville Pike, Rockville, Specification Task Force (TSTF) utilizing the proposed change. The changes Maryland 20852, Attention: Rulemaking Improved Standard Technical do not involve a physical alteration of the and Adjudications Staff. Participants Specifications Change Traveler TSTF– plant (i.e., no new or different type of filing a document in this manner are 425, ‘‘Relocate Surveillance Frequencies equipment will be installed) or a change in responsible for serving the document on to Licensee Control—RITSTF [Risk the methods governing normal plant all other participants. Filing is Informed Technical Specification Task operation. In addition, the changes do not Force] Initiative 5b,’’ Revision 3 impose any new or different requirements. considered complete by first-class mail The changes do not alter assumptions made as of the time of deposit in the mail, or (Agencywide Documents Access and in the safety analysis. The proposed changes by courier, express mail, or expedited Management System (ADAMS) are consistent with the safety analysis delivery service upon depositing the Accession No. ML090850642). The assumptions and current plant operating document with the provider of the licensee proposes an administrative practice.

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Therefore, the proposed changes do not issue of no significant hazards Description of amendment request: create the possibility of a new or different consideration, which is presented The proposed amendment would revise kind of accident from any accident below: Appendix A, Technical Specifications previously evaluated. (TS), to allow extension of the ten-year 3. Does the proposed change involve a 1. Does the proposed amendment involve significant reduction in the margin of safety? a significant increase in the probability or plus 15-month frequency of the Response: No. consequences of an accident previously Palisades Nuclear Plant Type A, or The design, operation, testing methods, evaluated? Integrated Leak Rate Test (ILRT) that is and acceptance criteria for systems, Response: No. required by TS 5.5.14, to 15 years on a structures, and components (SSCs), specified The proposed administrative change to permanent basis. in applicable codes and standards (or correct the unit of measure listed in note (c) Basis for proposed no significant alternatives approved for use by the NRC) of Technical Specification 3.3.1 to read psia hazards consideration determination: will continue to be met as described in the vice psig does not affect any analyzed accident initiators, nor does it affect the As required by 10 CFR 50.91(a), the plant licensing basis (including the Final licensee has provided its analysis of the Safety Analysis Report and Bases to TS), unit’s ability to successfully respond to any since these are not affected by changes to the previously evaluated accident. In addition issue of no significant hazards surveillance frequencies. Similarly, there is the proposed does not change the operation consideration, which is presented no impact to safety analysis acceptance or maintenance that it performed on plant below: equipment. criteria as described in the plant licensing 1. Does the proposed change involve a basis. To evaluate a change in the relocated Therefore, the proposed change does not involve a significant increase in the significant increase in the probability or surveillance frequency, [Arizona Public consequences of an accident previously Service Company] will perform a probability or consequences of an accident previously evaluated. evaluated? probabilistic risk evaluation using the Response: No. guidance contained in NRC approved 2. Does the proposed amendment create the possibility of a new or different kind of The proposed amendment involves [Nuclear Energy Institute (NEI)] 04–10, Rev. accident from any accident previously changes to the PLP [Palisades Nuclear Plant] 1 in accordance with the TS SFCP. NEI 04– evaluated? containment leakage rate testing program. 10, Rev. 1, methodology provides reasonable Response: No. The proposed amendment does not involve acceptance guidelines and methods for The proposed administrative change a physical change to the plant or a change in evaluating the risk increase of proposed corrects the unit of measure listed in note (c) the manner in which the plant is operated or changes to surveillance frequencies of Technical Specification 3.3.1 to read psia controlled. The primary containment consistent with Regulatory Guide 1.177. vice psig. The proposed change does not function is to provide an essentially leak Therefore, the proposed changes do not involve a physical alteration to the plant (no tight barrier against the uncontrolled release involve a significant reduction in a margin of new or different type of equipment will be of radioactivity to the environment for safety. installed) or a change in the methods postulated accidents. As such, the The NRC staff has reviewed the governing normal plant operation. containment itself and the testing Therefore it is concluded that the proposed requirements to periodically demonstrate the licensee’s analysis and, based on that integrity of the containment exist to ensure review, it appears that the three change does not create the possibility of a new or different kind of accident from any the plant’s ability to mitigate the standards of 10 CFR 50.92(c) are previously evaluated. consequences of an accident, do not involve satisfied. Therefore, the NRC staff 3. Does the proposed amendment involve any accident precursors or initiators. proposes to determine that the request a significant reduction in a margin of safety? Therefore, the probability of occurrence of for amendments involves no significant Response: No. an accident previously evaluated is not hazards consideration. The proposed administrative change significantly increased by the proposed Attorney for licensee: Michael G. corrects the unit of measure listed in note (c) amendment. of Technical Specification 3.3.1 to read psia The proposed amendment adopts the NRC- Green, Senior Regulatory Counsel, accepted guidelines of NEI [Nuclear Energy Pinnacle West Capital Corporation, P.O. vice psig. Since this is an administrative change the safety functions of plant Institute] 94–01, Revision 2–A, for Box 52034, Mail Station 8695, Phoenix, equipment and their response to any development of the PLP performance-based Arizona 85072–2034. analyzed accident scenario are unaffected by testing program. Implementation of these NRC Branch Chief: Michael T. this proposed change and thus there is no guidelines continues to provide adequate Markley. reduction in any margin of safety. assurance that during design basis accidents, Therefore the proposed change does not the primary containment and its components Calvert Cliffs Nuclear Power Plant, LLC, involve a significant reduction in the margin would limit leakage rates to less than the Docket Nos. 50–317 and 50–318, Calvert of safety for the operation of each unit. values assumed in the plant safety analyses. Cliffs Nuclear Power Plant, Unit Nos. 1 The potential consequences of extending the The NRC staff has reviewed the and 2, Calvert County, Maryland ILRT interval to 15 years have been evaluated licensee’s analysis and, based on this by analyzing the resulting changes in risk. Date of amendment requests: May 11, review, it appears that the three The increase in risk in terms of person-rem 2011. standards of 10 CFR 50.92(c) are per year within 50 miles resulting from Description of amendment requests: satisfied. Therefore, the NRC staff design basis accidents was estimated to be The amendment would modify a note proposes to determine that the acceptably small and determined to be within the guidelines published in RG within Technical Specification 3.3.1, amendment requests involve no ‘‘Reactor Protective System (RPS) [Regulatory Guide] 1.174. Additionally, the significant hazards consideration. proposed change maintains defense-in-depth Instrumentation—Operating,’’ to change Attorney for licensee: Carey Fleming, by preserving a reasonable balance among the value at which the RPS trip Sr. Counsel—Nuclear Generation, prevention of core damage, prevention of function, Steam Generator Pressure- Constellation Generation Group, LLC, containment failure, and consequence Low, is bypassed from 785 psig to 785 750 East Pratt Street, 17th floor, mitigation. ENO has determined that the psia. The revision corrects an Baltimore, MD 21202. increase in conditional containment failure administrative error that occurred NRC Branch Chief: Nancy L. Salgado. probability due to the proposed change during Calvert Cliffs’ conversion to the would be very small. Entergy Nuclear Operations, Inc., (ENO) Therefore, it is concluded that the Standard Technical Specifications. proposed amendment does not significantly Basis for proposed no significant Docket No. 50–255, Palisades Nuclear Plant, Van Buren County, Michigan increase the consequences of an accident hazards consideration determination: previously evaluated. As required by 10 CFR 50.91(a), the Date of amendment request: April 6, Therefore, the proposed change does not licensee has provided its analysis of the 2011. involve a significant increase in the

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probability or consequences of an accident Attorney for licensee: Mr. William Therefore, the proposed amendment will previously evaluated. Dennis, Assistant General Counsel, not involve a significant increase in the 2. Does the proposed change create the Entergy Nuclear Operations, Inc., 440 probability or consequences of an accident possibility of a new or different kind of Hamilton Ave., White Plains, NY 10601. previously evaluated. accident from any accident previously NRC Branch Chief: Robert J. 2. Does not create the possibility of a new evaluated? or different kind of accident from any Response: No. Pascarelli. accident previously evaluated. The proposed amendment adopts the NRC- Florida Power Corporation, et al., The proposed Improved Technical accepted guidelines of NEI 94–01, Revision Docket No. 50–302, Crystal River Unit 3 2–A, for the development of the PLP Specifications (ITS) Condition will ensure performance-based leakage testing program, Nuclear Generating Plant, Citrus equipment is restored to an operable status and establishes a 15-year interval for the County, Florida in accordance with previously approved performance of the containment ILRT. The Date of amendment request: February timeframes and functional levels. The containment and the testing requirements, to 25, 2011. proposed Surveillance Requirement (SR) will periodically demonstrate the integrity of the Description of amendments request: ensure the same functional requirement as containment, exist to ensure the plant’s The proposed licensing amendment the previously approved SR. The more ability to mitigate the consequences of an conservative DFT–4 tank levels will provide accident do not involve any accident request would revise the Crystal River Unit 3 (CR–3) Improved Technical additional assurance that the EFP–3 can precursors or initiators. The proposed change provide the seven day operation that is does not involve a physical change to the Specifications (ITS) 3.7.19, ‘‘Diesel required. plant (i.e., no new or different type of Driven EFW [Emergency Feedwater] equipment will be installed) or a change to (DD–EFW) Pump Fuel Oil, Lube Oil, No new plant configurations or conditions are created by the proposed ITS Condition or the manner in which the plant is operated or Starting Air,’’ Condition A and ITS SR. Therefore, the proposed amendment controlled. Surveillance Requirement 3.7.19.1, in cannot create the possibility of a new or Therefore, the proposed change does not order to increase the ITS minimum create the possibility of a new or different different kind of accident from any accident kind of accident from any previously required stored diesel fuel for the DD– previously evaluated. evaluated. EFW pump in the fuel oil supply tank. 3. Does not involve a significant reduction 3. Does the proposed change involve a Basis for proposed no significant in a margin of safety. significant reduction in a margin of safety? hazards consideration determination: The proposed ITS Condition and SR ensure Response: No. As required by 10 CFR 50.91(a), the adequate fuel oil inventory is available to The proposed amendment adopts the NRC- licensee has provided its analysis of the operate EFP–3 for seven days. The proposed accepted guidelines of NEI 94–01, Revision issue of no significant hazards changes replace the calculated fuel oil 2–A, for the development of the PLP consideration, which is presented inventory values with a more conservative performance-based leakage testing program, below: and establishes a 15-year interval for the value. The proposed SR ensures the same performance of the containment ILRT. This 1. Does not involve a significant increase functional requirement for a seven day amendment does not alter the manner in in the probability or consequences of an supply of fuel oil for EFP–3 as was which safety limits, limiting safety system accident previously evaluated. previously approved. Similarly, the proposed setpoints, or limiting conditions for operation The LAR [license amendment request] ITS Condition ensures the same functional are determined. The specific requirements proposes to revises the Diesel Driven level as currently approved by requiring that and conditions of the containment leakage Emergency Feedwater (DD–EFW) pump a reduced fuel oil inventory of less than rate testing program, as defined in the TS, (EFP–3) fuel oil supply tank (DFT–4) action seven days, but more than six days, is ensure that the degree of primary condition and surveillance values to ensure restored to the seven day level within 48 that the EFW pump will remain capable of containment structural integrity and leak- hours. Based on the above, the proposed LAR tightness that is considered in the plant’s performing the design function of operating continuously for up to seven days. The meets the same intent as the currently safety analysis is maintained. The overall approved specifications. containment leakage rate limit specified by proposed amendment provides the same The proposed CR–3 ITS and SR, revising the TS is maintained, and the Type A, Type functional requirement as previously the values for DFT–4 fuel storage, will ensure B, and Type C containment leakage tests approved. would be performed at the frequencies The consequences of an accident refer to that the EFW System will be able to perform established in accordance with the NRC- the impact on both plant personnel and the all design functions assumed in the accident accepted guidelines of NEI 94–01, Revision public from any radiological release analyses. Administrative limits are in place 2–A. associated with the accident. The Emergency to ensure these parameters remain within Containment inspections performed in Feedwater (EFW) System removes decay heat analyzed limits. to prevent a radiological release. A more accordance with other plant programs serve As such, the proposed change does not conservative action condition and to provide a high degree of assurance that the involve a significant reduction in a margin of surveillance value restores design margin and containment would not degrade in a manner provides assurance that the equipment safety. that is not detectable by an ILRT. A risk supplied by the EFW System will operate assessment using the current PLP PSA correctly and within the assumed timeframe The NRC staff has reviewed the [probabilistic safety assessment] model to perform their mitigating functions. The licensee’s analysis and, based on this concluded that extending the ILRT test administrative controls that have been review, it appears that the three interval from 10 years to 15 years results in established are an acceptable short term standards of 10 CFR 50.92(c) are a very small change to the PLP risk profile. correction along with this LAR. The EFW satisfied. Therefore, the NRC staff Therefore, the proposed change does not System is used for accident mitigation and is proposes to determine that the involve a significant reduction in a margin of not an initiator of design basis accidents. safety. amendment request involves no Therefore, the probability of previously significant hazards consideration. The NRC staff has reviewed the analyzed events is not affected by this licensee’s analysis and, based on this change. No capability or design functions of Attorney for licensee: David T. review, it appears that the three EFP–3 or the EFW System will change. The Conley, Associate General Counsel II— standards of 10 CFR 50.92(c) are initial conditions for accidents that require Legal Department, Progress Energy EFW and accident mitigation capability of satisfied. Therefore, the NRC staff Service Company, LLC, Post Office Box the EFW System will remain unchanged. 1551, Raleigh, NC 27602. proposes to determine that the EFP–3 and DFT–4 are mitigating amendment request involves no components and are not initiators for any NRC Branch Chief: Douglas A. significant hazards consideration. analyzed accident. Broaddus.

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Indiana Michigan Power Company (the governing normal plant operation. The improvement initiative was published licensee), Docket Nos. 50–315 and 50– proposed change maintains sufficient in the Federal Register on January 3, 316, Donald C. Cook Nuclear Plant, continuity and diversity of leak detection 2011 (76 FR 189), as part of the Units 1 and 2, Berrien County, Michigan capability that the probability of piping consolidated line item improvement evaluated and approved for [leak-before- Date of amendment request: May 3, break] progressing to pipe rupture remains process. 2011. extremely low. Basis for proposed no significant Description of amendment request: Therefore, it is concluded that the hazards consideration determination: The proposed amendment would revise proposed change does not create the As required by 10 CFR 50.91(a), the the Technical Specifications (TS) to possibility of a new or different kind of licensee has provided its analysis of the define a new time limit for restoring accident from any previously evaluated. issue of no significant hazards inoperable Reactor Coolant System 3. Does the proposed change involve a consideration, which is presented significant reduction in a margin of safety? below: (RCS) leakage detection instrumentation Response: No. to operable status; and establish The proposed change clarifies the 1. Does the proposed change involve a alternate methods of monitoring RCS operability requirements for the RCS leakage significant increase in the probability or leakage when one or more required detection instrumentation and reduces the consequences of an accident previously monitors are inoperable. These changes time allowed for the plant to operate when evaluated? are consistent with NRC-approved the only TS-required operable RCS leakage Response: No. Revision 3 to Technical Specification detection instrumentation monitor is the The proposed change clarifies the containment atmosphere gaseous radiation operability requirements for the RCS leakage Task Force (TSTF) Improved Standard detection instrumentation and reduces the Technical Specification Change Traveler monitor. Reducing the amount of time the plant is allowed to operate with only the time allowed for the plant to operate when TSTF–513, ‘‘Revise PWR [pressurized containment atmosphere gaseous radiation the only TS-required operable RCS leakage water reactor] Operability Requirements monitor operable increases the margin of detection instrumentation monitor is the and Actions for RCS Leakage safety by increasing the likelihood that an containment atmosphere gaseous radiation Instrumentation.’’ The availability of increase in RCS leakage will be detected monitor. The monitoring of RCS leakage is this TS improvement was announced in before it potentially results in gross failure. not a precursor to any accident previously evaluated. The monitoring of RCS leakage is the Federal Register on January 3, 2011 The NRC staff has reviewed the (76 FR 189), as part of the consolidated not used to mitigate the consequences of any licensee’s analysis and, based on this accident previously evaluated. line item improvement process (CLIIP). review, it appears that the three Therefore, it is concluded that the Basis for proposed no significant standards of 10 CFR 50.92(c) are proposed change does not involve a hazards consideration determination: satisfied. Therefore, the NRC staff significant increase in the probability or As required by 10 CFR 50.91(a), the proposes to determine that the consequences of an accident previously licensee provided an analysis of no amendment request involves NSHC. evaluated. significant hazards consideration Attorney for licensee: James M. Petro, 2. Does the proposed change create the (NSHC), which is reproduced below: possibility of a new or different kind of Jr., Senior Nuclear Counsel, Indiana accident from any accident previously 1. Does the proposed change involve a Michigan Power Company, One Cook evaluated? significant increase in the probability or Place, Bridgman, MI 49106. Response: No. consequences of an accident previously NRC Branch Chief: Robert J. The proposed change clarifies the evaluated? Pascarelli. operability requirements for the RCS leakage Response: No. detection instrumentation and reduces the The proposed change clarifies the Southern Nuclear Operating Company, time allowed for the plant to operate when operability requirements for the RCS leakage Inc., Docket Nos. 50–424 and 50–425, detection instrumentation and reduces the the only TS-required operable RCS leakage Vogtle Electric Generating Plant, Units 1 detection instrumentation monitor is the time allowed for the plant to operate when and 2, Burke County, Georgia and the only TS-required operable RCS leakage containment atmosphere gaseous radiation detection instrumentation monitor is the Docket Nos. 50–348 and 50–364, Joseph monitor. The proposed change does not containment atmosphere gaseous radiation M. Farley Nuclear Plant, Units 1 and 2, involve a physical alteration of the plant (no monitor. The monitoring of RCS leakage is Houston County, Alabama new or different type of equipment will be installed) or a change in the methods not a precursor to any accident previously Date of amendment request: April 29, evaluated. The monitoring of RCS leakage is governing normal plant operation. The not used to mitigate the consequences of any 2011. proposed change maintains sufficient accident previously evaluated. Description of amendment request: continuity and diversity of leak detection Therefore, it is concluded that the The proposed amendments would capability that the probability of piping proposed change does not involve a revise the Technical Specification (TS) evaluated and approved for Leak-Before- significant increase in the probability or section 3.4.15 RCS [Reactor Coolant Break progressing to pipe rupture remains consequences of an accident previously System] Leakage Detection extremely low. evaluated. Instrumentation, in accordance with the Therefore, it is concluded that the 2. Does the proposed change create the proposed change does not create the Technical Specification Task Force possibility of a new or different kind of possibility of a new or different kind of Traveler TSTF–513–A, Revision 3, titled accident from any accident previously accident from any previously evaluated. evaluated? ‘‘Revise PWR [Pressurized-Water 3. Does the proposed change involve a Response: No. Reactor] Operability Requirements and significant reduction in a margin of safety? The proposed change clarifies the Actions for RCS Leakage [detection] Response: No. operability requirements for the RCS leakage Instrumentation.’’ Specifically, the The proposed change clarifies the detection instrumentation and reduces the proposed amendment would revise the operability requirements for the RCS leakage time allowed for the plant to operate when TS to define a new time limit for detection instrumentation and reduces the the only TS-required operable RCS leakage restoring inoperable RCS leakage time allowed for the plant to operate when the only TS-required operable RCS leakage detection instrumentation monitor is the detection instrumentation to operable containment atmosphere gaseous radiation detection instrumentation monitor is the monitor. The proposed change does not status and establish alternate methods of containment atmosphere gaseous radiation involve a physical alteration of the plant (no monitoring RCS leakage when one or monitor. Reducing the amount of time the new or different type of equipment will be more required monitors are inoperable. plant is allowed to operate with only the installed) or a change in the methods The notice of availability for this TS containment atmosphere gaseous radiation

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monitor operable increases the margin of Evaluation and/or Environmental Facility. The PBAPS LLRW Storage safety by increasing the likelihood that an Assessment as indicated. All of these Facility currently provides storage for increase in RCS leakage will be detected items are available for public inspection LLRW generated at PBAPS. before it potentially results in gross failure. at the Commission’s Public Document Date of issuance: May 31, 2011. Therefore, it is concluded that the proposed change does not involve a Room (PDR), located at One White Flint Effective date: As of the date of significant reduction in a margin of safety. North, Public File Area 01 F21, 11555 issuance and shall be implemented Based upon the above analysis, SNC Rockville Pike (first floor), Rockville, within 30 days from the date of concludes that the requested change does not Maryland. Publicly available documents issuance. involve a significant hazards consideration, created or received at the NRC are Amendment Nos.: Unit 2–280, Unit as set forth in 10 CFR 50.92(c), ‘‘Issuance of accessible electronically through the 3–282. Amendment.’’ Agencywide Documents Access and Renewed Facility Operating License The NRC staff has reviewed the Management System (ADAMS) in the Nos. DPR–44 and DPR–56: Amendments licensee’s analysis and, based on this NRC Library at http://www.nrc.gov/ revised the Facility Operating License. review, it appears that the three reading-rm/adams.html. If you do not Date of initial notice in Federal standards of 10 CFR 50.92(c) are have access to ADAMS or if there are Register: November 30, 2010 (75 FR satisfied. Therefore, the NRC staff problems in accessing the documents 74094). The supplements dated August proposes to determine that the located in ADAMS, contact the PDR 20, 2010, October 14, 2010, December 6, amendment request involves no Reference staff at 1–800–397–4209, 301– 2010, and February 7, 2011, clarified the significant hazards consideration. 415–4737 or by e-mail to application, did not expand the scope of Attorney for licensee: Mr. Arthur H. [email protected]. the application as originally noticed, Domby, Troutman Sanders, and did not change the initial proposed NationsBank Plaza, Suite 5200, 600 Exelon Generation Company, LLC, no significant hazards consideration Peachtree Street, NE., Atlanta, Georgia Docket No. 50–461, Clinton Power determination. 30308–2216. Station, Unit No. 1, DeWitt County, The Commission’s related evaluation NRC Branch Chief: Gloria Kulesa. Illinois of the amendments is contained in a Notice of Issuance of Amendments to Date of application for amendment: Safety Evaluation dated May 31, 2011. Facility Operating Licenses June 4, 2010. No significant hazards consideration Brief description of amendment: The comments received: No. During the period since publication of amendment removes an expired time- the last biweekly notice, the FirstEnergy Nuclear Operating related item and several typographical Company, et al., Docket No. 50–440, Commission has issued the following errors for the Clinton Power Station amendments. The Commission has Perry Nuclear Power Plant, Unit No. 1, Technical Specifications. Lake County, Ohio determined for each of these Date of issuance: May 26, 2011. amendments that the application Effective date: As of the date of Date of application for amendment: complies with the standards and issuance and shall be implemented December 15, 2010. requirements of the Atomic Energy Act within 30 days. Brief description of amendment: This of 1954, as amended (the Act), and the Amendment No.: 193. license amendment modifies the Commission’s rules and regulations. Facility Operating License No. NPF– required testing frequency of The Commission has made appropriate 62: The amendment revised the Surveillance Requirement 3.1.4.2 from findings as required by the Act and the Technical Specifications and License. ‘‘120 days cumulative operation in Commission’s rules and regulations in Date of initial notice in Federal MODE 1’’ to ‘‘200 days cumulative 10 CFR chapter I, which are set forth in Register: September 7, 2010 (75 FR operation in MODE 1,’’ by incorporating the license amendment. 54395). U.S. Nuclear Regulatory Commission- Notice of Consideration of Issuance of The Commission’s related evaluation approved Technical Specification Task Amendment to Facility Operating of the amendment is contained in a Force (TSTF) change traveler TSTF–460, License, Proposed No Significant Safety Evaluation dated May 26, 2011. Revision 0. Hazards Consideration Determination, No significant hazards consideration Date of issuance: May 19, 2011. and Opportunity for A Hearing in comments received: No. Effective date: As of the date of connection with these actions was Exelon Generation Company, LLC, and issuance and shall be implemented published in the Federal Register as PSEG Nuclear, LLC, Docket Nos. 50–277 within 90 days. indicated. Amendment No.: 156. and 50–278, Peach Bottom Atomic Unless otherwise indicated, the Facility Operating License No. NPF– Power Station (PBAPS), Units 2 and 3, Commission has determined that these 58: This amendment revised the York and Lancaster Counties, amendments satisfy the criteria for technical specifications and license. Pennsylvania categorical exclusion in accordance Date of initial notice in Federal with 10 CFR 51.22. Therefore, pursuant Date of application for amendments: Register: February 22, 2011 (76 FR to 10 CFR 51.22(b), no environmental January 6, 2010, as supplemented on 9825). impact statement or environmental August 20, 2010, October 14, 2010, The Commission’s related evaluation assessment need be prepared for these December 6, 2010, and February 7, of the amendment is contained in a amendments. If the Commission has 2011. Safety Evaluation dated May 19, 2011. prepared an environmental assessment Brief description of amendments: The No significant hazards consideration under the special circumstances amendment enables PBAPS, Units 2 and comments received: No. provision in 10 CFR 51.22(b) and has 3, to possess byproduct and special FirstEnergy Nuclear Operating made a determination based on that nuclear material from Limerick Company, et al., Docket No. 50–440, assessment, it is so indicated. Generating Station (LGS), Units 1 and 2. For further details with respect to the Specifically, the revised license Perry Nuclear Power Plant, Unit No. 1, action see (1) the applications for paragraph would permit storage of low- Lake County, Ohio amendment, (2) the amendment, and (3) level radioactive waste (LLRW) from Date of application for amendment: the Commission’s related letter, Safety LGS in the PBAPS LLRW Storage December 15, 2010.

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Brief description of amendment: This revised the Facility Operating Licenses Virginia Electric and Power Company, et license amendment modifies the and Technical Specifications. al., Docket Nos. 50–280 and 50–281, requirements for testing control rod Date of initial notice in Federal Surry Power Station, Units 1 and 2 scram times following fuel movement Register: September 21, 2010 (75 FR (Surry 1 and 2), Surry County, Virginia within the reactor pressure vessel by 57529). The supplemental letter dated Date of application for amendments: incorporating Nuclear Regulatory March 1, 2011, provided additional May 6, 2010. Commission approved Technical information that clarified the Brief Description of amendments: Specification Task Force (TSTF) change application, did not expand the scope of These amendments revised the licenses traveler TSTF–222–A, Revision 1. the application as originally noticed, but and the Technical Specifications (TSs) Date of issuance: May 19, 2011. did change the staff’s original proposed to provide new limits that are valid to Effective date: As of the date of no significant hazards consideration 48 effective full-power years for Surry 1 issuance and shall be implemented determination as published in the and 2. within 90 days. Federal Register on September 21, 2010 Date of issuance: May 31, 2011. Amendment No.: 157. (75 FR 57529). The revised proposed no Facility Operating License No. NPF– Effective date: As of the date of significant hazards consideration issuance and shall be implemented 58: This amendment revised the determination was published in the Technical Specifications and License. within 30 days. Federal Register on March 22, 2011 (76 Amendment Nos.: Unit 1–274 and Date of initial notice in Federal FR 16012). Register: February 22, 2011 (76 FR Unit 2–274. The supplemental letter dated May 2, 9824). Renewed Facility Operating License 2011, provided additional information The Commission’s related evaluation Nos. DPR–32 and DPR–37: Amendments that clarified the application, did not of the amendment is contained in a change the licenses and the TSs. expand the scope of the application as Safety Evaluation dated May 19, 2011. Date of initial notice in Federal No significant hazards consideration noticed on March 22, 2011, and did not Register: September 7, 2010 (75 FR comments received: No. change the staff’s revised proposed no 54396). significant hazards consideration The Commission’s related evaluation STP Nuclear Operating Company, determination as published in the of the amendments is contained in a Docket Nos. 50–498 and 50–499, South Federal Register on March 22, 2011 (76 Safety Evaluation dated May 31, 2011. Texas Project, Units 1 and 2, Matagorda FR 16012). No significant hazards consideration County, Texas The Commission’s related evaluation comments received: No. of the amendments is contained in a Date of amendment request: May 18, Dated at Rockville, Maryland, this 2nd day 2010, as supplemented by letters dated Safety Evaluation dated May 27, 2011. of June 2011. March 1 and May 2, 2011. No significant hazards consideration For the Nuclear Regulatory Commission. Brief description of amendments: The comments received: No. Joseph G. Giitter, amendments revised Technical Virginia Electric and Power Company, et Specification (TS) 6.8.3.I, ‘‘Containment Director, Division of Operating Reactor al., Docket No. 50–281, Surry Power Licensing, Office of Nuclear Reactor Post-Tensioning System Surveillance Station, Unit 2, Surry County, Virginia Regulation. Program,’’ and the related TS [FR Doc. 2011–14680 Filed 6–13–11; 8:45 am] Surveillance Requirement 4.6.1.6, Date of application for amendments: ‘‘Containment Prestressing System,’’ for December 16, 2010. BILLING CODE 7590–01–P consistency with the requirements of Brief Description of amendments: the containment inservice inspection These amendments revised the NUCLEAR REGULATORY program mandated by paragraph inspection scope and repair COMMISSION 50.55a(g)(4) of Title 10 of the Code of requirements of Technical Specification Federal Regulations (10 CFR), for (TS) Section 6.4.Q, ‘‘Steam Generator Rensselaer Polytechnic Institute components classified as Code Class CC. Program,’’ and to the reporting Specifically, the amendments deleted requirements of TS Section 6.6.A.3, [Docket No. 50–225; NRC–2008–0277] the reference to the specific American ‘‘Steam Generator Tube Inspection Society of Mechanical Engineers Boiler Report.’’ The proposed changes would Rensselaer Polytechnic Institute and Pressure Vessel Code (ASME Code) be applicable to Surry Unit 2 during Critical Experiments Facility; edition in TS 6.8.3.l and replaced it Refueling Outage 23 and the subsequent Environmental Assessment and with the requirement to use the operating cycle. Finding of No Significant Impact applicable ASME Code, Section XI Date of issuance: May 20, 2011. The U.S. Nuclear Regulatory edition and addenda for successive 10- Effective date: As of the date of Commission (NRC, the Commission) is year inservice inspection intervals in issuance and shall be implemented considering issuance of a renewed accordance with 10 CFR 50.55a, ‘‘Codes within 30 days. Facility Operating License No. CX–22, and standards.’’ The changes have no Amendment Nos.: 273. impact on the implementation of the to be held by the Rensselaer Polytechnic Renewed Facility Operating License Containment Post-Tensioning System Institute (RPI, the licensee), which No. DPR–37: Amendment changes the Surveillance Program or the design basis would authorize continued operation of licenses and the technical of STP, Units 1 and 2. the Rensselaer Polytechnic Institute specifications. Date of issuance: May 27, 2011. Critical Experiments Facility (RCF), Effective date: As of the date of Date of initial notice in Federal located in Schenectady, Schenectady issuance and shall be implemented Register: April 19, 2011 (76 FR 21923). County, New York. Therefore, as within 30 days of issuance. The Commission’s related evaluation required by Title 10 of the Code of Amendment Nos.: Unit 1–196; Unit of the amendments is contained in a Federal Regulations (10 CFR) Section 2–184. Safety Evaluation dated May 20, 2011. 51.21, the NRC is issuing this Facility Operating License Nos. NPF– No significant hazards consideration Environmental Assessment (EA) and 76 and NPF–80: The amendments comments received: No. Finding of No Significant Impact.

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Environmental Assessment reactor is fueled with low enriched during the reporting period from Identification of the Proposed Action uranium SPERT fuel pins. Reactivity January 1, 2005, to December 31, 2009. control is provided by four Boron-10 Accordingly, the licensee has The proposed action would renew control rods. A detailed description of demonstrated compliance with the Facility Operating License No. CX–22 the reactor can be found in the RCF limits specified in 10 CFR part 20, for a period of twenty years from the Safety Analysis Report (SAR). There Appendix B for air effluent releases. The date of issuance of the renewed license. have been no major modifications to the maximum dose rate to a member of the The proposed action is in accordance facility operating license since general public due to gaseous effluents with the licensee’s application dated Amendment No. 7, dated July 7, 1987, is expected to be less than 0.01 November 19, 2002, as supplemented by which ordered the licensee to convert milliSievert per year (mSv/yr) (1 letters dated July 21, July 28, and the reactor to use low-enriched uranium millirem per year (mrem/yr)). This September 3, 2008; June 28, August 31, fuel. demonstrates compliance with the October 14, and October 28, 2010; and The licensee has not requested any annual dose limit of 1 mSv (100 mrem) February 14 and May 9, 2011. In changes to the facility design or set by 10 CFR 20.1301. Additionally, accordance with 10 CFR 2.109, the operating conditions as part of the this potential radiation dose existing license remains in effect until application for license renewal. No demonstrates compliance with the the NRC takes final action on the changes are being made in the types or annual air emissions dose constraint of renewal application. quantities of effluents that may be 0.1 mSv (10 mrem) specified in 10 CFR Need for the Proposed Action released off site. The licensee 20.1101(d). implements a radiation protection Liquid effluents are discharged to the The proposed action is needed to program to monitor personnel exposures Mohawk River or an external holding allow the continued operation of the and radiation dose at the site boundary. container. Due to low neutron flux and RCF to routinely provide teaching, As discussed in the NRC staff’s safety limited operations, the RCF pool water research, and services to numerous evaluation, the radiation protection does not accumulate significant institutions for a period of 20 years. program is appropriate for the types and amounts of activation products. Liquid Environmental Impact of the Proposed quantities of effluents expected to be effluents are sampled for nuclide Action generated by continued operation of the activity prior to discharge. Liquid waste The NRC staff has completed its safety reactor. Accordingly, there would be no that does not meet the discharge evaluation of the proposed action to increase in routine occupational or requirements of 10 CFR 20.2003 for issue a renewed Facility Operating public radiation exposure as a result of disposal by release into sanitary License No. CX–22 to allow continued license renewal. As discussed in the sewerage, is retained onsite in an operation of the RCF for a period of NRC staff’s safety evaluation, the appropriate container until proper twenty years and concludes there is proposed action will not significantly disposal can be arranged. Liquid reasonable assurance that the RCF will increase the probability or consequences radioactive releases reported to the NRC continue to operate safely for the of accidents. Therefore, license renewal were within the limits specified in 10 additional period of time specified in would not change the environmental CFR part 20, Appendix B for liquid the renewed license. The details of the impact of facility operation. The NRC effluents. During the reporting period NRC staff’s safety evaluation will be staff evaluated information contained in from January 1, 2005, to December 31, provided with the renewed license that the licensee’s application and data 2009, two discharges of liquid effluent will be issued as part of the letter to the reported to the NRC by the licensee for with no detectable activity were made to licensee approving the license renewal the last five years of operation to the Mohawk River for the purpose of application. This document contains the determine the projected radiological flushing the storage tank. environmental assessment of the impact of the facility on the The licensee did not package or ship proposed action. environment during the period of the any solid low-level radioactive waste The RCF is located on the south bank renewed license. The NRC staff finds during the reporting period from of the Mohawk River, approximately 24 that releases of radioactive material and January 1, 2005, to December 31, 2009, kilometers (km) (15 miles (mi)) personnel exposures were all well nor does the licensee anticipate northwest of the main RPI campus. The within applicable regulatory limits, and shipping any during the period of the building housing the RCF is a stand- often below detection limits. Based on renewed license. To comply with the alone concrete structure previously this evaluation, the NRC staff concludes Nuclear Waste Policy Act of 1982, RPI owned by the American Locomotive that continued operation of the reactor has entered into a contract with the U.S. Company. An exhaust stack discharges should not have a significant Department of Energy (DOE) that RCF ventilation 15 meters (m) (50 feet environmental impact. provides that DOE retains title to the (ft)) above ground level. A chain-link I. Radiological Impact fuel utilized at the RCF and that DOE is fence and controlled access gates obligated to take the fuel from the site enclose the exclusion area surrounding Environmental Effects of Reactor for final disposition. The licensee does the building. The exclusion area Operations not anticipate the need to ship any high- measures approximately 30 m (100 ft) Gaseous effluents are discharged from level radioactive waste during the 20- by 30 m (100 ft). The nearest permanent the reactor room via the exhaust stack. year period of license renewal. residence is located 350 m (1150 ft) to A continuous air monitor samples the The RPI radiation safety officer tracks the southeast. air above the reactor tank for particulate personnel exposures, which are usually The RCF is a light-water-moderated beta-gamma activity. There are no less than 0.1 mSv (10 mrem) per year. critical facility licensed to operate at a nuclides of detectable concentration in Personnel exposures reported to the maximum steady-state power level of the RCF gaseous effluent stream. This is NRC were within the limits set by 10 100 watts thermal power (W(t)). The consistent with the low power and CFR 20.1201, and ALARA (As Low As core is located in a 7600 liter (l) (2000 infrequent operation of the RCF. No is Reasonably Achievable). No changes gallon (gal)) stainless steel tank with an radioactivity associated with gaseous in reactor operation that would lead to inner diameter of 2.1 m (7 ft). The effluents was reported to the NRC an increase in occupational dose are

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expected as a result of the proposed replaced with city water when NRC staff consulted the State Historic action. necessary. The RCF core does not Preservation Officer (SHPO), and the The licensee conducts an produce sufficient power to SHPO determined that license renewal environmental monitoring program to significantly heat the moderator. As a would have no adverse effect on historic measure the dose rates at locations result, there are no significant thermal properties in the vicinity of the RCF. around the RCF. Dose measurements are effluents associated with operation of Based on this information, the NRC staff made quarterly using the RCF. finds that the potential impacts of thermoluminescent dosimeters. The license renewal would have no adverse monitoring program comprises four National Environmental Policy Act effect on historic properties. measurements at the exclusion area (NEPA) Considerations boundary and two measurements at the NRC has responsibilities that are IV. Fish and Wildlife Coordination Act site boundary. An additional derived from NEPA and from other The licensee is not planning any measurement for control purposes is environmental laws, which include the water resource development projects, taken at the General Electric Guard Endangered Species Act (ESA), Coastal including any of the modifications Station more than 1.6 km (1 mi) away. Zone Management Act (CZMA), relating to impounding a body of water, During the reporting period from National Historic Preservation Act damming, diverting a stream or river, January 1, 2005, to December 31, 2009, (NHPA), Fish and Wildlife Coordination deepening a channel, irrigation, or measured doses at the site boundary Act (FWCA), and Executive Order 12898 altering a body of water for navigation were within 0.1 mSv/yr (10 mrem/yr) Environmental Justice. The following or drainage. (the detectable limit) of the control presents a brief discussion of impacts V. Executive Order 12898— measurement. This demonstrates associated with these laws and other Environmental Justice compliance with the limits set by 10 requirements. CFR 20.1301. Based on the NRC staff’s The environmental justice impact review of the past five years of data, the I. Endangered Species Act (ESA) analysis evaluates the potential for NRC staff concludes that operation of The RCF site does not contain any disproportionately high and adverse the RCF does not have any significant Federally- or state-protected fauna or human health and environmental effects radiological impact on the surrounding flora, nor do the RCF effluents impact on minority and low-income environment. No changes in reactor the habitats of any such fauna or flora, populations that could result from the operation that would affect off-site with one possible exception. The Karner relicensing and the continued operation radiation levels are expected as a result blue butterfly is listed as endangered in of the RCF. Such effects may include of license renewal. Schenectady County, New York, as well human health, biological, cultural, as in numerous other counties in varied economic, or social impacts. Environmental Effects of Accidents states along the Great Lakes Region, by Minority Populations in the Vicinity Accident scenarios are discussed in the U.S. Fish and Wildlife Service. The of the RCF—According to 2000 census chapter 13 of the RCF SAR. The primary threats to this species are data, 10.2 percent of the total maximum hypothetical accident (MHA) habitat destruction and wildfire population (approximately 1,307,000 is the failure of an experiment leading suppression. Continued operation of the individuals) residing within a 50-mile to a release of airborne radioactive RCF does not pose any unique or radius of RCF identified themselves as material into the reactor room and into serious threats to this species as the RCF minority individuals. The largest the environment. The licensee site is well established, has a small minority groups were Black or African conservatively calculated doses to footprint, and is surrounded by American (approximately 73,000 facility personnel and the maximum developed land unsuitable for persons or 5.6 percent), followed by potential dose to a member of the supporting a large population of Karner Hispanic or Latino (33,000 or 2.5 public. The NRC staff performed blue butterflies. percent). According to the U.S. Census independent calculations to verify that Bureau, about 13.7 percent of the the doses represent conservative II. Costal Zone Management Act Schenectady County population estimates for the MHA. As discussed in (CZMA) identified themselves as minorities, the NRC staff’s safety evaluation, the The site occupied by the RCF is not with persons of Black or African MHA will not result in occupational located within any managed coastal American origin comprising the largest doses or doses to members of the zones, nor do the RCF effluents impact minority group (6.8 percent). According general public in excess of the limits any managed costal zones. to the census data 3-year average specified in 10 CFR part 20. The estimates for 2006–2008, the minority III. National Historical Preservation Act proposed action will not increase the population of Schenectady County, as a (NHPA) probability or consequences of percent of the total population, had accidents. The NHPA requires Federal agencies increased to 20 percent. to consider the effects of their Low-income Populations in the II. Non-Radiological Impact undertakings on historic properties. The Vicinity of the RCF—According to 2000 The RFC uses standard city water as National Register of Historic Places Census data, approximately 23,000 a neutron moderator and core shielding. (NRHP) lists several historical sites families and 123,000 individuals Water usage is minimized by draining located near the RCF. According to the (approximately 6.9 and 9.4 percent, the reactor tank into a storage tank upon NRHP, the locations of these sites are at respectively) residing within a 50-mile shutdown for reuse during the following least 0.5 km (0.3 mi) from the RCF. radius of the RCF were identified as operating period. All surfaces that come Given the distance to these sites and living below the Federal poverty into contact with the moderator are that the proposed action does not threshold in 1999. The 1999 Federal stainless steel, thus eliminating the need involve any demolition, rehabilitation, poverty threshold was $17,029 for a for routine filtration and construction, changes in land use, or family of four. demineralization of the moderator to significant changes in effluents from the According to Census data in the prevent corrosion. Evaporative losses of facility, continued operation of the RCF 2006–2008 American Community the moderator are minimal, and are will not impact any historic sites. The Survey 3-Year Estimates, the median

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household income for New York was Alternative Use of Resources 1–800–397–4209, or 301–415–4737, or $55,401, while 10.5 percent of families The proposed action does not involve send an e-mail to [email protected]. and 13.8 percent of the state population the use of any different resources or Dated at Rockville, Maryland, this 3rd day were determined to be living below the significant quantities of resources of June, 2011. Federal poverty threshold. Schenectady beyond those previously considered in For the Nuclear Regulatory Commission. County had the same median household the issuance of Amendment No. 5 to Jessie Quichocho, income average ($55,421) and a lower Facility Operating License No. CX–22, percent of families (6.7 percent) and a Chief, Research and Test Reactors Licensing dated December, 1983, which renewed Branch, Division of Policy and Rulemaking, similar percentage of individuals (10.8 the license for a period of twenty years, Office of Nuclear Reactor Regulation. percent) living below the poverty level, or the issuance of Amendment No. 7 [FR Doc. 2011–14665 Filed 6–13–11; 8:45 am] respectively. Impact Analysis—Potential impacts to dated July 7, 1987, which ordered RPI BILLING CODE 7590–01–P minority and low-income populations to convert the reactor to use low- would mostly consist of radiological enriched uranium fuel. NUCLEAR REGULATORY effects, however radiation doses from Agencies and Persons Consulted COMMISSION continued operations associated with In accordance with the agency’s stated the license renewal are expected to [NRC–2010–0282] policy, on September 4, 2008, the NRC continue at current levels, and would be staff consulted with the State Liaison well below regulatory limits. Minority Final Safety Culture Policy Statement and low-income populations are subsets Officer regarding the environmental impact of the proposed action. The State AGENCY: Nuclear Regulatory of the general public residing around Commission. the RCF, and all are exposed to the same official had no comments regarding the ACTION: health and environmental effects proposed action. The NRC staff also Issuance of final safety culture generated from activities at the RCF. consulted with the SHPO regarding the policy statement. Based on this information and the potential impact of the proposed action on historic resources. As previously SUMMARY: The U.S. Nuclear Regulatory analysis of human health and Commission (NRC or the Commission) environmental impacts presented in this mentioned, the SHPO determined that license renewal would have no adverse is issuing this Statement of Policy to set environmental assessment, the license forth its expectation that individuals renewal would not have effect on historic properties in the vicinity of the RCF. and organizations performing or disproportionately high and adverse overseeing regulated activities establish human health and environmental effects Finding of No Significant Impact and maintain a positive safety culture on minority and low-income On the basis of the environmental commensurate with the safety and populations residing in the vicinity of security significance of their activities the RCF. assessment, the NRC concludes that the proposed action will not have a and the nature and complexity of their Environmental Impacts of the significant effect on the quality of the organizations and functions. The Alternatives to the Proposed Action human environment. Accordingly, the Commission defines Nuclear Safety As an alternative to license renewal, NRC has determined not to prepare an Culture as the core values and behaviors the NRC staff considered denial of the environmental impact statement for the resulting from a collective commitment proposed action. If the Commission proposed action. by leaders and individuals to emphasize denied the application for license For further details with respect to the safety over competing goals to ensure renewal, facility operations would end proposed action, see the licensee’s letter protection of people and the and decommissioning would be dated November 19, 2002 environment. This policy statement required. The NRC staff notes that, even (ML023380455 and ML072210835), as applies to all licensees, certificate with a renewed license, the RCF will supplemented on July 21 holders, permit holders, authorization eventually be decommissioned, at (ML082060048), July 28 holders, holders of quality assurance which time the environmental effects of (ML082190523), and September 3, 2008 program approvals, vendors and decommissioning will occur. (ML101260200); June 28 suppliers of safety-related components, Decommissioning would be conducted (ML101820298), August 31 and applicants for a license, certificate, in accordance with an NRC-approved (ML102790045 and ML102720039), permit, authorization, or quality decommissioning plan, which would October 14 (ML103070074), and October assurance program approval, subject to require a separate environmental review 28, 2010 (ML103080207); and February NRC authority. under 10 CFR 51.21. Cessation of reactor 14 (ML110490531) and May 9, 2011 DATES: This policy statement becomes operations would reduce or eliminate (ML11131A180). Documents may be effective upon publication in the radioactive effluents and emissions. examined, and/or copied for a fee, at the Federal Register. However, as previously discussed in NRC’s Public Document Room (PDR), ADDRESSES: You can access publicly this environmental assessment, located at One White Flint North, 11555 available documents related to this radioactive effluents and emissions from Rockville Pike (first floor), Rockville, document using the following methods: reactor operations constitute a small Maryland. Publicly available records • NRC’s Public Document Room fraction of the applicable regulatory will be accessible electronically from (PDR): The public may examine and limits, and are often below detectable the Agencywide Documents Access and have copied, for a fee, publicly available levels. Therefore, the environmental Management System (ADAMS) Public documents at the NRC’s PDR, Room O1– impacts of license renewal and the Electronic Reading Room on the NRC F21, One White Flint North, 11555 denial of the request for license renewal Web site http://www.nrc.gov/reading- Rockville Pike, Rockville, Maryland would be similar. In addition, denying rm/adams.html. Persons who do not 20852. the request for license renewal would have access to ADAMS or who • NRC’s Agencywide Documents eliminate the benefits of teaching, encounter problems in accessing the Access and Management System research, and services provided by the documents located in ADAMS should (ADAMS): Publicly available documents RCF. contact the NRC PDR Reference staff at created or received at the NRC are

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available online in the NRC Library at positive safety culture for all regulated Memorandum (SRM), SRM–COMGBJ– http://www.nrc.gov/reading-rm/ activities. 08–0001 (ADAMS Accession No. adams.html. From this page, the public The accident at the Chernobyl nuclear ML080560476), directing the NRC staff can gain entry into ADAMS, which power plant in 1986, brought attention to expand the Commission’s policy on provides text and image files of the to the importance of safety culture and safety culture to address the unique NRC’s public documents. If you do not the impact that weaknesses in safety aspects of security and to ensure the have access to ADAMS or if there are culture can have on safety performance. resulting policy is applicable to all problems in accessing the documents Since then, the importance of a positive licensees and certificate holders. The located in ADAMS, contact the NRC’s safety culture has been demonstrated by Commission directed the staff to answer PDR reference staff at 1–800–397–4209, a number of significant, high-visibility several additional questions, including: 301–415–4737, or by e-mail to events worldwide. In the United States, (1) Whether safety culture as applied to [email protected]. incidents involving the civilian uses of reactors needed to be strengthened; (2) • Federal rulemaking Web site: Public radioactive materials have not been how to increase attention to safety comments and supporting materials confined to a particular type of licensee culture in the materials area; (3) how related to this document can be found or certificate holder, as they have stakeholder involvement can most at http://www.regulations.gov by occurred at nuclear power plants and effectively be used to address safety searching on Docket ID NRC–2010– fuel cycle facilities and during medical culture for all NRC and Agreement State 0282. Address questions about NRC and industrial activities involving licensees and certificate holders, dockets to Carol Gallagher, telephone: regulated materials. Assessments of including any unique aspects of 301–492–3668; e-mail: these incidents revealed that security; and (4) whether publishing the [email protected]. weaknesses in the regulated entities’ NRC’s expectations for safety culture safety cultures were an underlying and for security culture would be best FOR FURTHER INFORMATION CONTACT: Roy cause of the incidents or increased the accomplished in one safety/security P. Zimmerman, Director, Office of severity of the incidents. The causes of culture statement or in two separate Enforcement, U.S. Nuclear Regulatory these incidents included, for example, statements while still considering the Commission, Washington, DC 20555– inadequate management oversight of safety and security interfaces. 0001; telephone: 301–415–2741; e-mail: process changes, perceived production In response to Commission direction, [email protected]. pressures, lack of a questioning attitude, the NRC staff reviewed domestic and SUPPLEMENTARY INFORMATION: and poor communications. One such international safety-culture-related incident indicated the need for documents and considered NRC lessons I. Background additional NRC efforts to evaluate learned. Additionally, the staff sought A. Previous Policy Statements and whether the agency should increase its insights and feedback from external Events Involving Safety Culture attention to reactor licensees’ safety stakeholders. This was accomplished by cultures. This resulted in important providing information in a variety of The NRC has long recognized the changes to the NRC’s Reactor Oversight forums, such as stakeholder importance of a safety-first focus in Process (ROP). Commission paper organization meetings, newsletters, and nuclear work environments for public SECY–06–0122, dated May 24, 2006, teleconferences, and by publishing health and safety. The Commission’s (ADAMS Accession No. ML061320282) questions developed to address emphasis on a safety-first focus is describes the NRC’s safety culture Commission direction in the February 9, reflected in two previously published activities at that time and the outcomes 2009, Federal Register notice (FRN) (74 NRC policy statements. The 1989, of those activities. FR 6433) entitled ‘‘Safety Culture Policy ‘‘Policy Statement on the Conduct of Following the terrorist attacks of Statement Development: Public Meeting Nuclear Power Plant Operations’’ (54 FR September 11, 2001, the Commission and Request for Public Comments’’ 3424; January 24, 1989), applies to all issued orders enhancing security at (ADAMS Accession No. ML090260709). individuals engaged in activities that facilities whose operations, if attacked, In February 2009, the NRC held a affect the safety of nuclear power plants, could have an impact on public health public workshop on the ‘‘Development and provides the Commission’s and safety. During the early years of of a Policy Statement on Safety Culture expectations of utility management and implementation of these security and Security Culture’’ in which a broad licensed operators with respect to the enhancements, several violations of the range of stakeholders participated, conduct of operations. The 1996, Commission’s security requirements including representatives from the ‘‘Freedom of Employees in the Nuclear were identified in which the licensee’s Agreement States (Meeting Summary: Industry to Raise Safety Concerns failure to cultivate a positive safety ADAMS Accession No. ML090930572). Without Fear of Retaliation’’ (61 FR culture impacted the effectiveness of the The staff developed draft characteristics 24336; May 14, 1996), applies to the licensee’s security program. The most (subsequently referred to as ‘‘traits’’) of regulated activities of all NRC licensees visible of these involved security a positive safety culture and presented and their contractors and officers sleeping in a ‘‘ready room’’ them at the workshop. Mindful of the subcontractors, and provides the while on shift at a nuclear power plant. increased attention to the important role Commission’s expectations that Most of the weaknesses involved of security, the staff also sought input licensees and other employers subject to inadequate management oversight of from the workshop participants on NRC authority establish and maintain security, lack of a questioning attitude whether there should be a single safety safety-conscious work environments in within the security organization, culture policy statement or two policy which employees feel free to raise safety complacency, barriers to raising statements addressing safety and concerns, both to their management and concerns about security issues, and security independently while to the NRC, without fear of retaliation. inadequate training of security considering the interface of both. Before This Safety Culture Statement of Policy, personnel. providing its recommendations to the in conjunction with the previous policy Commission, the staff developed a draft statements, is intended to emphasize the B. Commission Direction definition of safety culture in which it importance the NRC places on the In February 2008, the Commission modified a definition from the development and maintenance of a issued Staff Requirements International Atomic Energy Agency’s

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advisory group, the International traits that describe areas important to a validation study conducted by INPO, Nuclear Safety Group, to make it positive safety culture. The workshop which was conducted, in part, to see applicable to all NRC-regulated panelists represented a wide range of whether and to what extent the factors activities and to address security. stakeholders regulated by the NRC and/ that came out of INPO’s safety culture Based on its review and stakeholder or the Agreement States, including survey support the February 2010, feedback, in SECY–09–0075, ‘‘Safety medical, industrial, and fuel cycle workshop traits. The factors support the Culture Policy Statement,’’ dated May materials users, and nuclear power traits developed at the workshop. 16, 2009 (ADAMS Accession No. reactor licensees, as well as the Nuclear Based on its review and stakeholder ML091130068), the NRC staff provided Energy Institute, the Institute of Nuclear feedback, the staff published the revised a single draft safety culture policy Power Operations (INPO), and members draft safety culture policy statement statement for Commission approval. The of the public. The workshop panelists (ADAMS Accession No. ML102500563) draft policy statement acknowledged the reached alignment with input from the on September 17, 2010 (75 FR 57081), importance of safety and security, and other meeting attendees on a definition for a 30-day public comment period. the interface of both, within an of safety culture and a high-level set of Because public comments reflected overarching culture of safety. traits describing areas important to a some misunderstanding regarding the Additionally, in response to the positive safety culture. Commission’s use of a policy statement Commission’s questions, the staff: (1) Following the February 2010, rather than a regulation or rule, the Concluded that the NRC’s oversight of workshop, the NRC staff evaluated the September 2010, FRN provided safety culture as applied to reactors has public comments that were submitted in clarification, pointing out that the been strengthened, is effective, and response to the November 6, 2009, FRN Commission may use a policy statement continues to be refined in accordance (74 FR 57525). Additionally, the staff to address matters relating to activities with the existing ROP self-assessment participated on panels and made that are within NRC jurisdiction and are process; (2) described actions taken and presentations at various industry forums of particular interest and importance to planned for increasing attention to in order to provide information to the Commission. Policy statements help safety culture in the materials area; and stakeholders about the development of to guide the activities of the NRC staff (3) described actions taken and planned the safety culture policy statement and/ and can express the Commission’s for most effectively obtaining or to obtain additional input and to expectations of others; however, they stakeholder involvement to address ascertain whether the definition and are not regulations or rules and are not safety culture, including any unique traits developed at the workshop accorded the status of a regulation or aspects of security, for all NRC and accurately reflect a broad range of rule within the meaning of the Agreement State licensees and stakeholders’ views. These outreach Administrative Procedure Act. The certificate holders. activities included, for example, Agreement States, which are responsible In SRM–SECY–09–0075 (ADAMS participation in a Special Joint Session for overseeing their materials licensees, Accession No. ML092920099), the on Safety Culture at the Health Physics cannot be required to implement the Commission directed the staff to: (1) Society Annual Meeting, and elements of a policy statement because Publish the draft safety culture policy presentations on the development of the such statements, unlike NRC statement for no fewer than 90 days; (2) safety culture policy statement at the regulations, are not a matter of continue to engage a broad range of Annual Fuel Cycle Information compatibility. Additionally, policy stakeholders, including the Agreement Exchange, the Conference of Radiation statements cannot be considered States and other organizations with an Control Program Directors’ Annual binding upon, or enforceable against, interest in nuclear safety, to ensure the National Conference on Radiation NRC or Agreement State licensees and final policy statement presented to the Control, the Institute of Nuclear certificate holders. Commission reflects a broad spectrum Materials Management’s Annual This Statement of Policy has been of views and provides the necessary Meeting, the Second NRC Workshop on developed to engage individuals and foundation for safety culture applicable Vendor Oversight for New Reactors, and organizations performing regulated to the entire nuclear industry; (3) make the Organization of Agreement States activities involving nuclear materials the necessary adjustments to encompass Annual Meeting. In response to and share the Commission’s security within the statement; (4) seek Commission direction in SRM–SECY– expectations regarding the development opportunities to comport NRC 09–00075, the staff focused attention on and maintenance of a positive safety terminology, where possible, with that attending meetings involving the culture. of existing standards and references Organization of Agreement States and The NRC held a public meeting in maintained by those that the NRC other materials licensees. September 2010, in the Las Vegas regulates; and (5) consider incorporating In July 2010, the NRC held a public Hearing Facility, Las Vegas, Nevada, suppliers and vendors of safety-related teleconference with the panelists who which was simultaneously broadcast in components in the safety culture policy participated in the February 2010, the Commission Hearing Room, statement. workshop to discuss the status of Rockville, Maryland, and over the outreach activities associated with the internet via Web streaming in order to C. Development of the Final Policy development of the policy statement. At allow remote participation. The goals of Statement the July 2010, meeting, the panelists the September 2010, FRN and meeting On February 2–4, 2010, the NRC held reiterated their support for the were to provide additional a second safety culture workshop to definition and traits developed at the opportunities for stakeholders to provide a venue for interested parties to February 2010, workshop as a result of comment on the revised draft policy comment on the draft safety culture their outreach with their industry statement, including the definition and policy statement. The additional goal of colleagues. This position aligns with the traits developed at the February 2010, the workshop was for panelists comments the staff received during the workshop, and to discuss the representing a broad range of various outreach activities. In information gathered from the outreach stakeholders to reach alignment, using September 2010, the staff held an activities that had occurred since the common terminology, on a definition of additional teleconference to provide February 2010, workshop. Additionally, safety culture and a high-level set of information on the initial results of a a representative from INPO presented

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information on the validation study 5. How does the NRC plan to traits of a positive safety culture. The INPO conducted as part of INPO’s ‘‘enforce’’ adherence to the policy term ‘‘security’’ is not included in either efforts to help establish a technical basis statement? the definition or the traits. The for the identification and definition of 6. Comments on the draft policy Commission agrees that an overarching areas important to safety culture. A statement were generally supportive of safety culture addresses both safety and member of the Office of Nuclear including vendors and suppliers of security and does not need to single out Regulatory Research also presented safety-related components in the ‘‘security’’ in the definition. However, to findings related to the oversight of the Statement of Policy, but reflected ensure that security is appropriately INPO study. concern about jurisdictional issues, as encompassed within the Statement of well as the impact that including Policy, a preamble to the traits has been II. Public Comments vendors and suppliers in the Statement added and the robust discussion of The November 2009, FRN and the of Policy might have on licensees’ security, including the importance of September 2010, FRN generated 76 ability to work with these entities. considering the interface of safety and comments from affected stakeholders 7. During its evaluation of the public security that was included in the draft and members of the public. The staff’s comments on the draft safety culture Statement of Policy, has been retained evaluation concluded that many of the policy statement, the staff felt that a trait in the Statement of Policy. addressing complacency should be comments were statements of agreement 2. The Commission agrees that added to the February 2010, workshop on the information included in the draft including the traits in the Statement of traits. Several months later, the results and revised safety culture policy Policy will serve to clarify the intent of of an INPO study indicated that the trait statements and did not require further the policy. The draft policy statement ‘‘Questioning Attitude’’ had strong action. A few of the commenters raised published in the November 2009, FRN support with operating nuclear plant issues that the staff considered during did not include the characteristics (now the development of the policy personnel. This trait resonated with the staff as an approach for addressing described as ‘‘traits’) in the actual statement, but ultimately concluded that Statement of Policy. The staff developed the issues were either not applicable to complacency for all regulated activities. At the September 2010, public meeting, the draft characteristics based on a the policy statement, for example, that variety of sources, including the 13 ‘‘by virtue of its all encompassing as part of a larger presentation providing the results of the INPO validation study, safety culture components used in the applicability, the policy must be taken ROP. The characteristics included as a strategic utterance;’’ or either the staff added a question about whether to include this trait. Additionally, the significantly more detail than the traits misunderstood or disregarded the included in the Statement of Policy. The concept of a policy statement in this September 2010, FRN specifically asked whether complacency should be staff’s basis for the original decision to application, for example, that a policy include the characteristics in another statement is ‘‘largely inadequate for addressed in the Statement of Policy. Although the responses to this question section of the draft policy statement but purposes of establishing broad-reaching not in the actual draft Statement of performance standards.’’ The remaining varied, the staff concluded it should be considered in a positive safety culture Policy was three-fold: first, it would comments informed the NRC staff’s and included the concept of keep the Statement of Policy brief and development of the final policy complacency in the Statement of Policy concise; second, it would maintain the statement. These were grouped into the under the trait, ‘‘Questioning Attitude.’’ Statement of Policy at a high level; and following themes: ‘‘Questioning Attitude’’ is described in third, it would not invalidate the 1. The NRC should adopt the the final Statement of Policy as a culture characteristics’ standing as part of the definition and traits developed during ‘‘in which individuals avoid draft policy statement to place them in the February 2010, workshop. This complacency and continuously another section of the draft policy theme encompassed additional challenge existing conditions and statement. The November 6, 2009, FRN comments indicating that retaining the activities in order to identify that contained the draft policy statement term ‘‘security’’ in the definition and discrepancies that might result in error specifically requested comments on traits of a positive safety culture may be or inappropriate action.’’ whether the characteristics should be confusing to many licensees, This policy statement is being issued included in the Statement of Policy. particularly materials licensees. after careful consideration of the staff’s Some commenters indicated that they 2. The traits from the February 2010, evaluation of the public comments would prefer not to include the traits in workshop should be included in the received on the November 2009, and the actual Statement of Policy or that Statement of Policy in order to provide September 2010, FRNs; the public they agree with the original decision to additional clarity as to its intent. meetings held in February 2009, and include the traits in their own section of 3. More guidance is needed on the February, July, and September 2010; the the policy statement. However, several NRC’s expectations as to how the policy views expressed by stakeholders during commenters indicated that adding the statement will be implemented. This the Commission briefing in March 2010; traits to the Statement of Policy itself encompassed the additional theme that and the informal dialogue with the would help to clarify the Commission’s stakeholders would like to be actively various stakeholders during the staff’s expectations. Because the traits in involved in the process of developing additional outreach efforts from the question were developed by the this guidance and that the continued February 2010, workshop until the stakeholders at the February 2010, use of workshops with the various second public comment period ended workshop to provide a high-level licensees would be helpful. on October 18, 2010. description of the areas important to a 4. A discussion should be included in The following paragraphs provide the positive safety culture, the level of the policy statement that addresses the specific information that was used in detail that was included in the draft diversity of the regulated community. the development of the final policy characteristics is not present in the Additionally, the Commission should statement, including the changes that traits. Thus, even with inclusion of the acknowledge the efforts already were made to the November 2009, FRN: traits, the Statement of Policy remains underway as the regulated community 1. The Statement of Policy adopts the brief and concise; in addition, this addresses the Statement of Policy. February 2010, workshop definition and approach provides high-level detail that

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was not in the draft Statement of Policy. the fact that some organizations have positive safety culture, as articulated in Including the traits in the Statement of already spent significant time and this Statement of Policy. Policy rather than as part of the policy resources in the development of Nuclear Safety Culture is defined as statement visually supports their programs and policies to support a the core values and behaviors resulting standing as part of the Commission’s positive safety culture. The Commission from a collective commitment by leaders expectation that these are areas that will take these efforts into consideration and individuals to emphasize safety members of the regulated community as the regulated community addresses over competing goals to ensure should consider as they develop a the Statement of Policy. protection of people and the positive safety culture. Finally, as the 5. Because there seemed to be some environment. Individuals and Statement of Policy points out, the list questions about the Commission’s use of organizations performing regulated of traits was not developed for a policy statement rather than a activities bear the primary responsibility inspection purposes nor does it regulation, the staff provided a brief for safety and security. The performance represent an all-inclusive list of areas discussion of the differences in the of individuals and organizations can be important to a positive safety culture. September 17, 2010, FRN, pointing out monitored and trended and, therefore, 3. Implementation is not directly that policy statements, while not may be used to determine compliance addressed in this policy statement, enforceable, guide the activities of the with requirements and commitments which sets forth the overarching NRC staff and express the Commission’s and may serve as an indicator of principles of a positive safety culture. expectations. The Commission reiterates possible problem areas in an This discussion is not included because the conclusion of the discussion organization’s safety culture. The NRC the Commission is aware of the provided in the September 2010, FRN will not monitor or trend values. These diversity of its regulated community that while the option to consider will be the organization’s responsibility (which includes, for example, industrial rulemaking exists, the Commission as part of its safety culture program. radiography services; hospitals, clinics believes at this time, that developing a Organizations should ensure that personnel in the safety and security and individual practitioners involved in policy statement is a more effective way sectors have an appreciation for the medical uses of radioactive materials; to engage stakeholders. research and test reactors; large-scale importance of each, emphasizing the 6. Vendors and suppliers of safety- fuel fabrication facilities; as well as need for integration and balance to related components have been included operating nuclear power plants and the achieve both safety and security in their in this Statement of Policy. A few construction of new facilities where activities. Safety and security activities stakeholders have raised concerns about operations will involve radioactive are closely intertwined. While many how implementation would be carried materials with the potential to affect safety and security activities out, particularly in cases where vendors public health and safety and the complement each other, there may be and suppliers are located outside of common defense and security) and instances in which safety and security recognizes that implementation will be NRC jurisdiction. However, the interests create competing goals. It is more complex in some settings than Commission believes that vendors and important that consideration of these others. The NRC program offices suppliers of safety-related components activities be integrated so as not to responsible for licensing and oversight should develop and maintain a positive diminish or adversely affect either; thus, of the affected entities intend to work safety culture in their organizations for mechanisms should be established to with their constituents, who bear the the same reasons that other NRC- identify and resolve these differences. A primary responsibility for safely regulated entities should do so. safety culture that accomplishes this handling and securing regulated 7. The final Statement of Policy adds would include all nuclear safety and materials, to address the next steps and the trait ‘‘Questioning Attitude’’ to the security issues associated with NRC- specific implementation issues. traits developed at the February 2010, regulated activities. Nevertheless, before implementation workshop as an appropriate vehicle for Experience has shown that certain issues are addressed, the regulated addressing complacency. personal and organizational traits are community can begin assessing their III. Statement of Policy present in a positive safety culture. A activities to identify areas for trait, in this case, is a pattern of enhancement. For example, industry The purpose of this Statement of thinking, feeling, and behaving that representatives could begin to identify Policy is to set forth the Commission’s emphasizes safety, particularly in goal tacit organizational and personal goals expectation that individuals and conflict situations, e.g., production, that, at times, may compete with a organizations establish and maintain a schedule, and the cost of the effort safety-first focus and develop strategies positive safety culture commensurate versus safety. It should be noted that for adjusting those goals. Some with the safety and security significance although the term ‘‘security’’ is not monetary incentive or other rewards of their activities and the nature and expressly included in the following programs could work against making a complexity of their organizations and traits, safety and security are the safe decision. Current training programs functions. This includes all licensees, primary pillars of the NRC’s regulatory may not address safety culture and its certificate holders, permit holders, mission. Consequently, consideration of traits or how those traits apply to day- authorization holders, holders of quality both safety and security issues, to-day work activities. Identification of assurance program approvals, vendors commensurate with their significance, is both strengths and weaknesses related and suppliers of safety-related an underlying principle of this to safety culture in the regulated components, and applicants for a Statement of Policy. community will be helpful in license, certificate, permit, The following are traits of a positive understanding implementation authorization, or quality assurance safety culture: strategies. program approval, subject to NRC (1) Leadership Safety Values and 4. The final Statement of Policy authority. The Commission encourages Actions—Leaders demonstrate a includes a statement that the the Agreement States, Agreement State commitment to safety in their decisions Commission recognizes the diversity of licensees and other organizations and behaviors; the various organizations that are interested in nuclear safety to support (2) Problem Identification and included in the Statement of Policy and the development and maintenance of a Resolution—Issues potentially

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impacting safety are promptly NUCLEAR REGULATORY the schedule for ACRS meetings may be identified, fully evaluated, and COMMISSION adjusted by the Chairman as necessary promptly addressed and corrected to facilitate the conduct of the meeting, commensurate with their significance; Advisory Committee on Reactor persons planning to attend should check Safeguards (ACRS) Meeting of the (3) Personal Accountability—All with these references if such ACRS Subcommittee on Fukushima; individuals take personal responsibility rescheduling would result in a major Notice of Meeting for safety; inconvenience. If attending this meeting, please The ACRS Subcommittee on (4) Work Processes—The process of contact Ms. Jessie Delgado (Telephone Fukushima will hold a meeting on June planning and controlling work activities 301–415–7360) to be escorted to the 23, 2011, Room T–2B1, 11545 Rockville is implemented so that safety is meeting room. maintained; Pike, Rockville, Maryland. The entire meeting will be open to Dated: June 6, 2011. (5) Continuous Learning— public attendance. Yoira Diaz-Sanabria, Opportunities to learn about ways to The agenda for the subject meeting Acting Chief, Reactor Safety Branch A, ensure safety are sought out and shall be as follows: Advisory Committee on Reactor Safeguards. implemented; [FR Doc. 2011–14655 Filed 6–13–11; 8:45 am] Thursday, June 23, 2011—1 p.m. until (6) Environment for Raising BILLING CODE 7590–01–P 5 p.m. Concerns—A safety conscious work environment is maintained where The Subcommittee will review recent personnel feel free to raise safety events at the Fukushima site in Japan. NUCLEAR REGULATORY concerns without fear of retaliation, The Subcommittee will hear COMMISSION intimidation, harassment, or presentations by and hold discussions discrimination; with the NRC staff and other interested Advisory Committee on Reactor persons regarding this matter. The Safeguards (ACRS), Meeting of the (7) Effective Safety Communication— Subcommittee will gather information, ACRS Subcommittee on Materials, Communications maintain a focus on analyze relevant issues and facts, and Metallurgy & Reactor Fuels; Notice of safety; formulate proposed positions and Meeting (8) Respectful Work Environment— actions, as appropriate, for deliberation The ACRS Subcommittee on Trust and respect permeate the by the Full Committee. Materials, Metallurgy & Reactor Fuels organization; and Members of the public desiring to will hold a meeting on June 23, 2011, (9) Questioning Attitude—Individuals provide oral statements and/or written Room T–2B3, 11545 Rockville Pike, avoid complacency and continuously comments should notify the Designated Rockville, Maryland. challenge existing conditions and Federal Official (DFO), Mr. Edwin M. The entire meeting will be open to activities in order to identify Hackett (Telephone 301–415–7360 or E- public attendance. discrepancies that might result in error mail: [email protected]) five days The agenda for the subject meeting or inappropriate action. prior to the meeting, if possible, so that shall be as follows: appropriate arrangements can be made. There may be traits not included in Thursday, June 23, 2011–8:30 a.m. Thirty-five hard copies of each this Statement of Policy that are also until 12 p.m. presentation or handout should be important in a positive safety culture. It The Subcommittee will review the provided to the DFO thirty minutes should be noted that these traits were expanded technical basis for 50.46(c) before the meeting. In addition, one not developed to be used for inspection and the research results of the electronic copy of each presentation purposes. mechanical behavior of ballooned and should be e-mailed to the DFO one day ruptured cladding. A draft document It is the Commission’s expectation before the meeting. If an electronic copy entitled, ‘‘Mechanical Behavior of that all individuals and organizations, cannot be provided within this Ballooned and Ruptured Cladding,’’ has performing or overseeing regulated timeframe, presenters should provide been made publicly available to provide activities involving nuclear materials, the DFO with a CD containing each awareness to the public regarding the should take the necessary steps to presentation at least thirty minutes staff’s position, so they can effectively promote a positive safety culture by before the meeting. Electronic participate in the ACRS meeting. The fostering these traits as they apply to recordings will be permitted only NRC is not soliciting comments at this their organizational environments. The during those portions of the meeting time. This draft document may be Commission recognizes the diversity of that are open to the public. Detailed incomplete or in error in one or more these organizations and acknowledges procedures for the conduct of and respects and may be subject to further that some organizations have already participation in ACRS meetings were revision during the review process. The spent significant time and resources in published in the Federal Register on Adams accession number is the development of a positive safety October 21, 2010, (75 FR 65038–65039). ML111370032. The Subcommittee will culture. The Commission will take this Detailed meeting agendas and meeting hear presentations by and hold into consideration as the regulated transcripts are available on the NRC discussions with the NRC staff and community addresses the Statement of Web site at http://www.nrc.gov/reading- other interested persons regarding this Policy. rm/doc-collections/acrs. Information matter. The Subcommittee will gather Dated at Rockville, Maryland, this 8th day regarding topics to be discussed, information, analyze relevant issues and of June 2011. changes to the agenda, whether the facts, and formulate proposed positions For the Nuclear Regulatory Commission. meeting has been canceled or and actions, as appropriate, for rescheduled, and the time allotted to deliberation by the Full Committee. Annette L. Vietti-Cook, present oral statements can be obtained Members of the public desiring to Secretary of the Commission. from the Web site cited above or by provide oral statements and/or written [FR Doc. 2011–14656 Filed 6–13–11; 8:45 am] contacting the identified DFO. comments should notify the Designated BILLING CODE 7590–01–P Moreover, in view of the possibility that Federal Official (DFO), Christopher

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Brown (Telephone 301–415–7111 or e- The entire meeting will be open to Dated: June 6, 2011. mail: [email protected]) five public attendance. Yoira Diaz-Sanabria, Acting Chief, days prior to the meeting, if possible, so The agenda for the subject meeting Reactor Safety Branch B, Advisory Committee that appropriate arrangements can be shall be as follows: on Reactor Safeguards. made. Thirty-five hard copies of each Thursday, June 23, 2011—8:30 a.m. [FR Doc. 2011–14658 Filed 6–13–11; 8:45 am] presentation or handout should be until 12 p.m. BILLING CODE 7590–01–P provided to the DFO thirty minutes The Subcommittee will review the before the meeting. In addition, one Low-Level Waste Disposal Site-Specific electronic copy of each presentation Performance Analysis Rulemaking NUCLEAR REGULATORY should be emailed to the DFO one day language and technical basis. The COMMISSION before the meeting. If an electronic copy Subcommittee will hear presentations [NRC–2011–0006] cannot be provided within this by and hold discussions with the NRC staff and other interested persons timeframe, presenters should provide Sunshine Act Meeting Notice the DFO with a CD containing each regarding this matter. The presentation at least thirty minutes Subcommittee will gather information, AGENCY HOLDING THE MEETINGS: Nuclear before the meeting. Electronic analyze relevant issues and facts, and Regulatory Commission. recordings will be permitted only formulate proposed positions and actions, as appropriate, for deliberation DATE: Weeks of June 13, 20, 27, July 4, during those portions of the meeting 11, 18, 2011. that are open to the public. Detailed by the Full Committee. Members of the public desiring to PLACE: Commissioners’ Conference procedures for the conduct of and provide oral statements and/or written Room, 11555 Rockville Pike, Rockville, participation in ACRS meetings were comments should notify the Designated Maryland. published in the Federal Register on Federal Official (DFO), Derek Widmayer October 21, 2010, (75 FR 65038–65039). STATUS: Public and Closed. (Telephone 301–415–7366 or E-mail: Detailed meeting agendas and meeting [email protected]) five days Week of June 13, 2011 transcripts are available on the NRC prior to the meeting, if possible, so that Wednesday, June 15, 2011 Web site at http://www.nrc.gov/reading- appropriate arrangements can be made. rm/doc-collections/acrs. Information Thirty-five hard copies of each 9:30 a.m. regarding topics to be discussed, presentation or handout should be Briefing on the Progress of the Task changes to the agenda, whether the provided to the DFO thirty minutes Force Review of NRC Processes and meeting has been canceled or before the meeting. In addition, one Regulations Following Events in rescheduled, and the time allotted to electronic copy of each presentation Japan (Public Meeting) (Contact: present oral statements can be obtained should be e-mailed to the DFO one day Nathan Sanfilippo, 301–415–3951) from the Web site cited above or by before the meeting. If an electronic copy This meeting will be webcast live at contacting the identified DFO. cannot be provided within this the Web address—http://www.nrc.gov Moreover, in view of the possibility that timeframe, presenters should provide Week of June 20, 2011—Tentative the schedule for ACRS meetings may be the DFO with a CD containing each adjusted by the Chairman as necessary presentation at least thirty minutes There are no meetings scheduled for to facilitate the conduct of the meeting, before the meeting. Electronic the week of June 20, 2011. persons planning to attend should check recordings will be permitted only Week of June 27, 2011—Tentative with these references if such during those portions of the meeting rescheduling would result in a major that are open to the public. Detailed There are no meetings scheduled for inconvenience. procedures for the conduct of and the week of June 27, 2011. If attending this meeting, please participation in ACRS meetings were Week of July 4, 2011—Tentative contact Ms. Jessie Delgado (Telephone published in the Federal Register on There are no meetings scheduled for 301–415–7360) to be escorted to the October 21, 2010, (75 FR 65038–65039). meeting room. Detailed meeting agendas and meeting the week of July 4, 2011. Dated: June 7, 2011 transcripts are available on the NRC Week of July 11, 2011—Tentative Cayetano Santos, Web site at http://www.nrc.gov/reading- rm/doc-collections/acrs. Information Tuesday, July 12, 2011 Chief, Reactor Safety Branch A, Advisory Committee on Reactor Safeguards. regarding topics to be discussed, 9:30 a.m. changes to the agenda, whether the Briefing on the NRC Actions for [FR Doc. 2011–14657 Filed 6–13–11; 8:45 am] meeting has been canceled or Addressing the Integrated BILLING CODE 7590–01–P rescheduled, and the time allotted to Regulatory Review Service (IRRS) present oral statements can be obtained Report (Public Meeting) (Contact: NUCLEAR REGULATORY from the website cited above or by Jon Hopkins, 301–415–3027) COMMISSION contacting the identified DFO. This meeting will be webcast live at Moreover, in view of the possibility that the Web address—http://www.nrc.gov Advisory Committee On Reactor the schedule for ACRS meetings may be Week of July 18, 2011—Tentative Safeguards (ACRS), Meeting of the adjusted by the Chairman as necessary ACRS Subcommittee on Radiation to facilitate the conduct of the meeting, Tuesday, July 19, 2011 persons planning to attend should check Protection and Nuclear Materials; 9:30 a.m. with these references if such Notice of Meeting Briefing on the Task Force Review of rescheduling would result in a major NRC Processes and Regulations The ACRS Subcommittee on inconvenience. Radiation Protection and Nuclear If attending this meeting, please Following Events in Japan (Public Materials will hold a meeting on June contact Ms. Jessie Delgado (Telephone Meeting) (Contact: Nathan 23, 2011, Room T–2B1, 11545 Rockville 301–415–7360) to be escorted to the Sanfilippo, 301–415–3951) Pike, Rockville, Maryland. meeting room. * * * * *

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This meeting will be webcast live at CONTACT PERSON FOR INFORMATION: Paragraph (b) of Rule 17a–10 provides the Web address—http://www.nrc.gov Information on the hearing cancellation that the provisions of paragraph (a) do * * * * * may be obtained from Connie M. Downs not apply to members of national *The schedule for Commission at (202) 336–8438, or via e-mail at securities exchanges or registered meetings is subject to change on short [email protected]. national securities associations that notice. To verify the status of meetings, Dated: June 10, 2011. maintain records containing the call (recording)—(301) 415–1292. Connie M. Downs, information required by Form X–17A–5 Contact person for more information: OPIC Corporate Secretary. and which transmit to the Commission Rochelle Bavol, (301) 415–1651. [FR Doc. 2011–14808 Filed 6–10–11; 4:15 pm] copies of the records pursuant to a plan * * * * * BILLING CODE 3210–01–P which has been declared effective by the The NRC Commission Meeting Commission. Schedule can be found on the Internet The primary purpose of Rule 17a–10 at: http://www.nrc.gov/public-involve/ SECURITIES AND EXCHANGE is to obtain the economic and statistical public-meetings/schedule.html. COMMISSION data necessary for an ongoing analysis * * * * * of the securities industry. As originally The NRC provides reasonable Proposed Collection; Comment adopted in 1968, Rule 17a–10 required accommodation to individuals with Request broker-dealers to provide their revenue disabilities where appropriate. If you Upon Written Request, Copies Available and expense data on a special form. The need a reasonable accommodation to From: Securities and Exchange Rule was amended in 1977 to eliminate participate in these public meetings, or Commission, Office of Investor the form. The data previously reported need this meeting notice or the Education and Advocacy, on the form is now reported using Form transcript or other information from the Washington, DC 20549–0213. X–17A–5 and its supplementary public meetings in another format (e.g. schedules. braille, large print), please notify Bill Extension: Rule 17a–10; SEC File No. 270–154; Dosch, Chief, Work Life and Benefits The Commission estimates that OMB Control No. 3235–0122. Branch, at 301–415–6200, TDD: 301– approximately 168 broker-dealers will 415–2100, or by e-mail at Notice is hereby given that pursuant spend an average of approximately 12 [email protected]. Determinations to the Paperwork Reduction Act of 1995 hours per year complying with Rule on requests for reasonable (44 U.S.C. 3501 et seq.) (‘‘PRA’’), the 17a–10. Thus, the total compliance accommodation will be made on a case- Securities and Exchange Commission burden is estimated to be approximately by-case basis. (‘‘Commission’’) is soliciting comments 2,016 hours per year. on the existing collection of information * * * * * provided for in Rule 17a–10, Report on Written comments are invited on: (a) This notice is distributed revenue and expenses (17 CFR 240.17a– Whether the proposed collection of electronically to subscribers. If you no 10), under the Securities Exchange Act information is necessary for the proper longer wish to receive it, or would like of 1934 (15 U.S.C. 78a et seq.) performance of the functions of the to be added to the distribution, please (‘‘Exchange Act’’). The Commission Commission, including whether the contact the Office of the Secretary, plans to submit this existing collection information shall have practical utility; Washington, DC 20555 (301–415–1969), of information to the Office of (b) the accuracy of the Commission’s or send an e-mail to Management and Budget (‘‘OMB’’) for estimates of the burden of the proposed [email protected]. extension and approval. collection of information; (c) ways to Dated: June 9, 2011. Paragraph (a)(1) of Rule 17a–10 enhance the quality, utility, and clarity Richard J. Laufer, generally requires broker-dealers that of the information on respondents; and Technical Coordinator, Office of the are exempted from the requirement to (d) ways to minimize the burden of the Secretary. file monthly and quarterly reports collection of information on [FR Doc. 2011–14800 Filed 6–10–11; 11:15 am] pursuant to paragraph (a) of Exchange respondents, including through the use BILLING CODE 7590–01–P Act Rule 17a–5 (17 CFR 240.17a–5) to of automated collection techniques or file with the Commission the Facing other forms of information technology. Page, a Statement of Income (Loss), and Consideration will be given to balance sheet from Part IIA of Form X– comments and suggestions submitted in OVERSEAS PRIVATE INVESTMENT 17A–5 1 (17 CFR 249.617), and Schedule writing within 60 days of this CORPORATION I of Form X–17A–5 not later than 17 publication. business days after the end of each Sunshine Act Meeting Cancellation The Commission may not conduct or Notice; June 16, 2011 Public Hearing calendar year. Paragraph (a)(2) of Rule 17a–10 sponsor a collection of information unless it displays a currently valid OMB OPIC’s Sunshine Act notice of its requires a broker-dealer subject to Rule control number. No person shall be Public Hearing in Conjunction with 17a–5(a) to submit Schedule I of Form subject to any penalty for failing to each Board meeting was published in X–17A–5 with its Form X–17A–5 for the comply with a collection of information the Federal Register (Volume 76, calendar quarter ending December 31 of subject to the PRA that does not display Number 104, Pages 31382 and 31383) on each year. The burden associated with a valid OMB control number. May 31, 2011. No requests were filing Schedule I of Form X–17A–5 is received to provide testimony or submit accounted for in the PRA filing Please direct your written comments written statements for the record; associated with Rule 17a–5. to Thomas Bayer, Director/Chief therefore, OPIC’s public hearing Information Officer, Securities and scheduled for 2 p.m., June 16, 2011 in 1 Form X–17A–5 is the Financial and Operational Exchange Commission, c/o Remi Pavlik- Combined Uniform Single Report (‘‘FOCUS Simon, 6432 General Green Way, conjunction with OPIC’s June 23, 2011 Report’’), which is used by broker-dealers to Board of Directors meeting has been provide certain required information to the Alexandria, VA 22312 or send an e-mail cancelled. Commission. to: [email protected].

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June 8, 2011. (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Company’s expenses are reasonably related Cathy H. Ahn, notice is hereby given that on May 26, to the revenues being generated; how many employees support the Company’s revenue- Deputy Secretary. 2011, The NASDAQ Stock Market LLC (‘‘Nasdaq’’) filed with the Securities and generating business operations; how long the [FR Doc. 2011–14669 Filed 6–13–11; 8:45 am] Company has been without material business BILLING CODE 8011–01–P Exchange Commission (‘‘Commission’’) operations; and whether the Company has the proposed rule change as described publicly announced a plan to begin operating in Items I and II below, which Items activities or generate revenues, including SECURITIES AND EXCHANGE have been prepared by Nasdaq. The through a near-term acquisition or COMMISSION Commission is publishing this notice to transaction. solicit comments on the proposed rule (36) ’’Round Lot’’ or ‘‘Normal Unit of Sunshine Act Meeting change from interested persons. Trading’’ means 100 shares of a security unless, with respect to a particular security, Notice is hereby given, pursuant to I. Self-Regulatory Organization’s Nasdaq determines that a normal unit of the provisions of the Government in the Statement of the Terms of the Substance trading shall constitute other than 100 shares. Sunshine Act, Public Law 94–409, that of the Proposed Rule Change If a normal unit of trading is other than 100 the Securities and Exchange shares, a special identifier shall be appended Nasdaq proposes to adopt additional to the Company’s Nasdaq symbol. Commission (‘‘SEC’’) and the listing requirements for a company that [(36)] (37) ‘‘Round Lot Holder’’ means a Commodity Futures Trading has become public through a holder of a Normal Unit of Trading. The Commission (‘‘CFTC’’) will hold public combination with a public shell, number of beneficial holders will be roundtable discussions on Thursday, whether through a reverse merger, considered in addition to holders of record. June 16, 2011 at the CFTC’s exchange offer, or otherwise (a ‘‘Reverse [(37)] (38) ‘‘Shareholder’’ means a record or headquarters at Three Lafayette Centre, Merger’’).3 Nasdaq will implement the beneficial owner of a security listed or 1155 21st Street, NW., Washington, DC applying to list. For purposes of the Rule proposed rule for applications received 5000 Series, the term ‘‘Shareholder’’ 20581. after approval. The meeting will begin at 9 a.m. and includes, for example, a limited partner, the The text of the proposed rule change owner of a depository receipt, or unit. will be open to the public, with seating is below. Proposed new language is in [(38)] (39) ‘‘Substantial Shareholder’’ is on a first-come, first-served basis. italics; proposed deletions are in defined in Rule 5635(e)(3). Visitors will be subject to security [brackets].4 [(39)] (40) ‘‘Substitution Listing Event’’ checks. This Sunshine Act notice is means: a reverse stock split, re-incorporation being issued because a majority of the 5005. Definitions or a change in the Company’s place of Commission may attend the meeting. (a) The following is a list of definitions organization, the formation of a holding The agenda for the meeting includes used throughout the Nasdaq Listing Rules. company that replaces a listed Company, panel discussions concerning the This section also lists various terms together reclassification or exchange of a Company’s with references to other rules where they are listed shares for another security, the listing definitions of ‘‘swap dealer,’’ ‘‘security- specifically defined. Unless otherwise of a new class of securities in substitution for based swap dealer,’’ ‘‘major swap specified by the Rules, these terms shall have a previously-listed class of securities, or any participant,’’ and ‘‘major security-based the meanings set forth below. Defined terms technical change whereby the Shareholders swap participant’’ in the context of are capitalized throughout the Listing Rules. of the original Company receive a share-for- certain authority that Section 712(d)(1) (1)—(34) No change. share interest in the new Company without of the Dodd-Frank Wall Street Reform (35) ‘‘Reverse Merger’’ means any any change in their equity position or rights. and Consumer Protection Act granted transaction whereby an operating company [(40)] (41) ‘‘Total Holders’’ means holders the Agencies. becomes public by combining with a public of a security that includes both beneficial For further information, please shell, whether through a reverse merger, holders and holders of record. exchange offer, or otherwise. However, a 5110. Change of Control, Bankruptcy and contact the CFTC’s Office of Public Reverse Merger does not include the Liquidation, and Reverse Mergers Affairs at (202) 418–5080 or the SEC’s acquisition of an operating company by a Office of Public Affairs at (202) 551– listed company satisfying the requirements of (a)–(b) No change 4120. IM–5101–2 or a business combination (c) Reverse Mergers A Company that is formed by a Reverse Dated: June 9, 2011. described in Rule 5110(a). In determining whether a Company is a shell, Nasdaq will Merger shall be eligible to submit an Elizabeth M. Murphy, look to a number of factors, including but not application for initial listing only if the Secretary. limited to: whether the Company is combined entity has, immediately preceding [FR Doc. 2011–14783 Filed 6–10–11; 11:15 am] considered a ‘‘shell company’’ as defined in the filing of the initial listing application: (i) BILLING CODE 8011–01–P Rule 12b–2 under the Act; what percentage traded for at least six months in the U.S. of the Company’s assets are active versus over-the-counter market, on another national passive; whether the Company generates securities exchange, or on a foreign SECURITIES AND EXCHANGE revenues, and if so, whether the revenues are exchange, following the filing with the passively or actively generated; whether the Commission or Other Regulatory Authority of COMMISSION all required information about the 1 15 U.S.C. 78s(b)(1). transaction, including audited financial [Release No. 34–64633; File No. SR– 2 17 CFR 240.19b–4. statements for the combined entity; and (ii) NASDAQ–2011–073] 3 This proposed rule change replaces a previous maintained a Bid Price of $4 per share or filing by Nasdaq in order to eliminate the higher on at least 30 of the most recent 60 Self-Regulatory Organizations; The previously proposed exception for a Reverse Merger trading days. NASDAQ Stock Market LLC; Notice of that was also conducting a firm commitment, In addition, such a Company may only be underwritten public offering and to clarify other approved for listing if, at the time of Filing of Proposed Rule Change To portions of the original proposal. See Securities Adopt Additional Listing Requirements approval, it has timely filed: (i) in the case Exchange Act Release No. 64371 (April 29, 2011), of a domestic issuer, its most recent two for Reverse Mergers 76 FR 25730 (May 5, 2011) (SR–NASDAQ–2011– 056). The Commission notes that SR–NASDAQ– required periodic financial reports with the June 8, 2011. 2011–056 was withdrawn on May 26, 2011. Commission or Other Regulatory Authority 4 Changes are marked to the rule text that appears (Forms 10–Q or 10–K) containing at least six Pursuant to Section 19(b)(1) of the in the electronic manual of Nasdaq found at months of information about the combined Securities Exchange Act of 1934 http://nasdaqomx.cchwallstreet.com. entity; or (ii) in the case of a Foreign Private

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Issuer, comparable information as described issues with the audits of these applying to list until six months after in (i) above on Forms 6–K, 20–F or 40–F. In companies and, in response, has issued the combined entity submits all the case of a Foreign Private Issuer, a Form Staff Audit Practice Alert No. 6/July 12, required information about the 6–K would be considered timely if, consistent 2010 and Staff Research Note #2011–P1/ transaction, including audited financial with Rule 5250(c)(2), it includes an interim March 2011, cautioning registered statements, to the SEC.9 Further, Nasdaq balance sheet and income statement, which must be presented in English, and is filed no accounting firms to follow certain proposes to require that the company later than six months following the end of the specified auditing practices. The SEC maintain a $4 bid price on at least 30 applicable quarter. recently took an enforcement action of the 60 trading days immediately prior * * * * * based on a firm’s audit of a Reverse to submitting the application. Finally, Merger company.6 In addition, Nasdaq under the proposed rule, Nasdaq would 5210. Prerequisites for Applying to List on is aware of situations where it appeared not approve any Reverse Merger for The Nasdaq Stock Market that promoters and others intended to listing unless the company has timely (a)–(h) No change manipulate prices higher to satisfy filed its two most recent financial (i) Reverse Mergers Nasdaq’s initial listing bid price reports with the SEC if it is a domestic A security issued by a Company formed requirement and where companies have, issuer (this could be two quarterly through a Reverse Merger shall be eligible for for example, gifted stock to artificially filings or a quarterly and an annual initial listing only if the conditions set forth satisfy the 300 round lot public holder filing) or comparable information if it is in Rule 5110(c) are satisfied. requirement. Nasdaq does not list a foreign private issuer.10 While most * * * * * companies in instances such as these, companies will satisfy this requirement II. Self-Regulatory Organization’s where it appears the company has due to the six month delay before they Statement of the Purpose of, and achieved compliance with a can apply, Nasdaq believes that it is Statutory Basis for, the Proposed Rule requirement in an inappropriate important to assure that this Change manner. requirement be satisfied in all cases. In response to these concerns, Nasdaq Nasdaq believes that this proposal In its filing with the Commission, staff has, over the past year, adopted will result in significant investor Nasdaq included statements concerning heightened review procedures for protection benefits. Specifically, a six the purpose of and basis for the Reverse Merger applicants. However, month seasoning requirement will allow proposed rule change and discussed any Nasdaq also believes that additional the Financial Industry Regulatory comments it received on the proposed requirements for listing Reverse Merger Authority, Inc. (‘‘FINRA’’) and other rule change. The text of these statements companies are appropriate to discourage regulators more time to view trading may be examined at the places specified inappropriate behavior on the part of patterns and uncover potentially in Item IV below. Nasdaq has prepared companies, promoters and others. manipulative trading.11 It will also summaries, set forth in Sections A, B, Accordingly, Nasdaq proposes to adopt result in a more bona fide shareholder and C below, of the most significant certain ‘‘seasoning’’ requirements for base and assure that the $4 bid price aspects of such statements. Reverse Mergers.7 was not satisfied through a quick A. Self-Regulatory Organization’s Specifically, Nasdaq proposes to manipulative scheme. Requiring Statement of the Purpose of, and prohibit a company going public by additional SEC filings will tend to 8 Statutory Basis for, the Proposed Rule combining with a public shell from improve the reliability of the reported Change 6 In re Moore Stephens Wurth Frazer and Torbet, Substitution Listing Event, as defined in Rule 1. Purpose Order Instituting Public Administrative and Cease- 5005(a)(39) (proposed to be renumbered as Rule and-Desist Proceedings, Securities Act Release No. 5005(a)(40), such as the formation of a holding In recent months there has been an 9166 (December 20, 2010). company to replace the listed company or a merger extraordinary level of public attention to 7 Even if a company meets these proposed new to facilitate a re-incorporation, because in these listed companies that went public via a requirements, Nasdaq could still deny listing based cases the operating company is already a listed Reverse Merger, where an unlisted on the authority described in Rule 5101 to apply entity. additional or more stringent criteria in order to 9 A company must file a Form 8–K within four operating company becomes a public maintain the quality of and public confidence in the days of completing a reverse merger. The Form 8– company by merging with a public market, to prevent fraudulent and manipulative acts K must contain audited financial statements and shell.5 The financial press, short sellers and practices, to promote just and equitable information comparable to the information principles of trade, and to protect investors and the provided in a Form 10 for the registration of and others have raised allegations of public interest. securities. See Form 8–K Items 2.01, 5.06, and widespread fraudulent behavior by 8 For purposes of this rule, Nasdaq will treat as 9.01(c). This six month period would not begin to these companies, leading to concerns a combination any transaction whereby an run until the complete Form 8–K, meeting the that their financial statements cannot be operating company becomes public by combining Commission’s requirements, is filed. relied upon. Concerns have also been with a public shell, whether through a reverse 10 Nasdaq’s experience has been that Reverse merger, exchange offer, or otherwise. However, a Merger’s typically involve domestic shells. raised that certain individuals who Reverse Merger does not include the acquisition of However, in the event that the Reverse Merger aggressively promote these transactions an operating company by a listed company involves a shell that is a foreign private issuer, the have significant regulatory histories or satisfying the requirements of IM–5101–2 (relating combined entity would have to timely file financial to companies whose business plan is to complete reports for the most recent annual period, or a more have engaged in transactions that are one or more acquisitions) or a business combination recent six-month period. These reports would have disproportionately beneficial to them at described in Rule 5110(a) (relating to a listed to reflect at least six months of information about the expense of public shareholders. The company that combines with a non-Nasdaq entity, the post-merger entity and could be an interim Public Company Accounting Oversight resulting in a change of control of the Company and report on Form 6–K or an annual report on Forms potentially allowing the non-Nasdaq entity to 20–F or 40–F. A Form 6–K would be considered Board (‘‘PCAOB’’) has also identified obtain a Nasdaq Listing, sometimes called a ‘‘back- timely if, consistent with Rule 5250(c)(2), it door listing’’). In these cases, FINRA is already includes an interim balance sheet and income 5 See, e.g., Beware This Chinese Export, Barron’s reviewing the trading of the listed security and statement, which must be presented in English, no (August 28, 2010), available at http:// Nasdaq is already reviewing the company and the later than six months following the end of the online.barrons.com/article/SB500014240529702 individuals associated with it. Additionally, Nasdaq applicable quarter. 04304404575449812943183940.html. See also rules require that the company re-apply for initial 11 FINRA reviews trading of companies trading in Speech by SEC Commissioner by Commissioner listing and during that process Nasdaq would the over-the-counter market in the United States. Luis A. Aguilar: Facilitating Real Capital Formation review any newly associated individuals as well as Foreign regulators and other exchanges would (April 4, 2011), available at http://www.sec.gov/ the financial information of the combined company. similarly have more time to review trading for other news/speech/2011/spch040411laa.htm. A Reverse Merger would also not include a companies.

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financial results, since the auditors will B. Institute proceedings to determine For the Commission, by the Division of have reviewed several quarters, at least, whether the proposed rule change Trading and Markets, pursuant to delegated of the public company’s operating should be disapproved. authority.14 results, as will the company’s audit Cathy H. Ahn, committee. To the extent the company IV. Solicitation of Comments Deputy Secretary. had adopted new internal controls at the Interested persons are invited to [FR Doc. 2011–14648 Filed 6–13–11; 8:45 am] time of the merger, those too will have submit written data, views, and BILLING CODE 8011–01–P been in place and able to exert a arguments concerning the foregoing, corrective influence over any previous including whether the proposed rule flaws in the company’s financial change, as amended, is consistent with SECURITIES AND EXCHANGE reporting process. the Act. Comments may be submitted by COMMISSION 2. Statutory Basis any of the following methods: [Release No. 34–64630; File No. SR– NASDAQ–2011–074] Nasdaq believes that the proposed Electronic Comments rule change is consistent with the Self-Regulatory Organizations; The 12 • Use the Commission’s Internet provisions of Section 6 of the Act, in NASDAQ Stock Market LLC; Notice of comment form (http://www.sec.gov/ general and with Section 6(b)(5) of the Filing and Immediate Effectiveness of 13 rules/sro.shtml); or Act, in particular in that it is designed Proposed Rule Change To Amend Rule to prevent fraudulent and manipulative • Send an e-mail to rule- 7034 Regarding Certain Co-Location acts and practices, to promote just and [email protected]. Please include File Installation Fees equitable principles of trade, to foster Number SR–NASDAQ–2011–073 on the cooperation and coordination with subject line. June 8, 2011. persons engaged in regulating, clearing, Pursuant to Section 19(b)(1) of the settling, processing information with Paper Comments Securities Exchange Act of 1934 1 2 respect to, and facilitating transactions • Send paper comments in triplicate (‘‘Act’’), and Rule 19b–4 thereunder, in securities, to remove impediments to to Elizabeth M. Murphy, Secretary, notice is hereby given that on May 26, and perfect the mechanism of a free and Securities and Exchange Commission, 2011, The NASDAQ Stock Market LLC open market and a national market 100 F Street, NE., Washington, DC (‘‘NASDAQ’’ or ‘‘Exchange’’) filed with system, and, in general, to protect 20549–1090. the Securities and Exchange investors and the public interest. The Commission (‘‘Commission’’) the proposed rule change is designed to All submissions should refer to File proposed rule change as described in enhance investor protection by Number SR–NASDAQ–2011–073. This Items I, II, and III below, which Items imposing additional requirements on a file number should be included on the have been prepared by the Exchange. category of companies that have raised subject line if e-mail is used. The Commission is publishing this regulatory concerns. To help the Commission process and notice to solicit comments on the review your comments more efficiently, proposed rule change from interested B. Self-Regulatory Organization’s persons. Statement on Burden on Competition please use only one method. The Commission will post all comments on I. Self-Regulatory Organization’s Nasdaq does not believe that the the Commission’s Internet Web site Statement of the Terms of the Substance proposed rule change will result in any (http://www.sec.gov/rules/sro.shtml). of the Proposed Rule Change burden on competition that is not Copies of the submission, all subsequent necessary or appropriate in furtherance amendments, all written statements The Exchange proposes to amend of the purposes of the Act, as amended. with respect to the proposed rule Rule 7034 regarding fees assessed for change that are filed with the the installation of certain co-location C. Self-Regulatory Organization’s services. The Exchange will implement Statement on Comments on the Commission, and all written communications relating to the the proposed change on June 1, 2011. Proposed Rule Change Received From The text of the proposed rule change is Members, Participants, or Others proposed rule change between the Commission and any person, other than available at http:// Written comments were neither those that may be withheld from the nasdaq.cchwallstreet.com/, at the solicited nor received. public in accordance with the Exchange’s principal office, and at the Commission’s Public Reference Room. III. Date of Effectiveness of the provisions of 5 U.S.C. 552, will be Proposed Rule Change and Timing for available for Web site viewing and II. Self-Regulatory Organization’s Commission Action printing in the Commission’s Public Statement of the Purpose of, and Within 45 days of the date of Reference Room on official business Statutory Basis for, the Proposed Rule publication of this notice in the Federal days between the hours of 10 a.m. and Change 3 p.m. Copies of such filing also will be Register or within such longer period (i) In its filing with the Commission, the available for inspection and copying at as the Commission may designate up to Exchange included statements the principal office of Nasdaq. All 90 days of such date if it finds such concerning the purpose of and basis for comments received will be posted longer period to be appropriate and the proposed rule change and discussed without change; the Commission does publishes its reasons for so finding or any comments it received on the not edit personal identifying (ii) as to which the self-regulatory proposed rule change. The text of these information from submissions. You organization consents, the Commission statements may be examined at the should submit only information that will: places specified in Item IV below. The you wish to make available publicly. All A. By order approve or disapprove Exchange has prepared summaries, set such proposed rule change, or submissions should refer to File Number SR–NASDAQ–2011–073, and 14 17 CFR 200.30–3(a)(12). 12 15 U.S.C. 78f. should be submitted on or before July 5, 1 15 U.S.C. 78s(b)(1). 13 15 U.S.C. 78f(b)(5). 2011. 2 17 CFR 240.19b–4.

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forth in Sections A, B, and C below, of 2. Statutory Basis institute proceedings to determine the most significant aspects of such The Exchange believes that the whether the proposed rule should be statements. proposed rule change is consistent with approved or disapproved. A. Self-Regulatory Organization’s the provisions of Section 6 of the Act,6 IV. Solicitation of Comments Statement of the Purpose of, and in general, and with Section 6(b)(4) of the Act,7 in particular, in that it Interested persons are invited to Statutory Basis for, the Proposed Rule submit written data, views, and Change provides for the equitable allocation of reasonable dues, fees and other charges arguments concerning the foregoing, 1. Purpose among members and issuers and other including whether the proposed rule change is consistent with the Act. The Exchange proposes to amend persons using any facility or system Comments may be submitted by any of Rule 7034 regarding fees assessed for which the Exchange operates or the following methods: the installation of certain co-location controls. The proposed installation fees services to further incentivize the use of in [sic] which the Exchange seeks a Electronic Comments the co-location services. The installation temporary waiver will be assessed • Use the Commission’s Internet fees for the following co-location equally to customers that place an order comment form (http://www.sec.gov/ services will be waived commencing for a new cabinet during the designated rules/sro.shtml); or June 1, 2011 and ending June 30, period. The proposed amendments will • Send an e-mail to rule- 2011(the ‘‘designated period’’). provide an incentive for customers to [email protected]. Please include File Beginning July 1, 2011, the above- avail themselves of the designated co- Number SR–NASDAQ–2011–074 on the referenced waived fees will resume in location services. The proposal is subject line. full at the amount prior to [sic] similar to the waiver of fees during an designated period. The Exchange introductory period for a product, and is Paper Comments equitable because all persons may avail proposes to waive the following • Send paper comments in triplicate installation fees during the designated themselves of the waiver during the period of its availability. to Elizabeth M. Murphy, Secretary, period: Securities and Exchange Commission, 1. Rule 7034(a): Installation fees for B. Self-Regulatory Organization’s 100 F Street, NE., Washington, DC new cabinets with power. Statement on Burden on Competition 20549–1090. 2. Rule 7034(b): Installation fees for The Exchange does not believe that external telecommunication, inter- All submissions should refer to File the proposed rule change will result in cabinet connectivity, connectivity to Number SR–NASDAQ–2011–074. This any burden on competition that is not NASDAQ and market data connectivity file number should be included on the necessary or appropriate in furtherance related to an order for a new cabinet. subject line if e-mail is used. of the purposes of the Act, as amended. However, the one-time To help the Commission process and The Exchange believes that the waiver telecommunication connectivity review your comments more efficiently, of fees for certain co-location services is expedite fee 3 will not be waived during please use only one method. The equitable because all persons may avail the designated period. Commission will post all comments on themselves of the waiver during the 3. Rule 7034(c): Installation fees for the Commission’s Internet Web site period of its availability. cabinet power related to an order for a (http://www.sec.gov/rules/sro.shtml). new cabinet. C. Self-Regulatory Organization’s Copies of the submission, all subsequent 4. Rule 7034(d): Installation fees for Statement on Comments on the amendments, all written statements cooling fans, perforated floor tiles and Proposed Rule Change Received From with respect to the proposed rule fiber downspouts, which are necessary Members, Participants, or Others change that are filed with the items to support a higher density Commission, and all written Written comments were neither communications relating to the cabinet and fiber cross connects, solicited nor received. relating to an order for a new cabinet proposed rule change between the placed during the designated period. III. Date of Effectiveness of the Commission and any person, other than Installation fees for other items that are Proposed Rule Change and Timing for those that may be withheld from the customized or options are not waived Commission Action public in accordance with the during the time period. The foregoing rule change has become provisions of 5 U.S.C. 552, will be The following requirements must be effective pursuant to Section available for Web site viewing and met to receive the waiver of the 19(b)(3)(A)(ii) of the Act.8 At any time printing in the Commission’s Public installation fee: within 60 days of the filing of the Reference Room, 100 F Street, NE., 1. the new cabinet order must be proposed rule change, the Commission Washington, DC 20549, on official placed in the CoLo Console 4 during the summarily may temporarily suspend business days between the hours of 10 designated period; and such rule change if it appears to the a.m. and 3 p.m. Copies of such filing 2. the new cabinet must be live within Commission that such action is also will be available for inspection and 90 days of the date of the order 5. necessary or appropriate in the public copying at the principal offices of the interest, for the protection of investors, Exchange. All comments received will 3 The one-time telecommunication connectivity or otherwise in furtherance of the be posted without change; the expedite fee is a fee for an optional request to purposes of the Act. If the Commission Commission does not edit personal complete the installation in a shorter time period takes such action, the Commission shall identifying information from than the install timeframes. submissions. You should submit only 4 The ‘‘CoLo Console’’ is Web-based ordering tool that is utilized by NASDAQ to place co-location customer desires the live date to be later than the information that you wish to make orders. estimated live date provided by Exchange staff. In available publicly. 5 Exchange staff generally installs and makes such instances, the live date cannot extend beyond All submissions should refer to File operational a new cabinet within 90 days of the 90 days of the date of the order. Number SR–NASDAQ–2011–074, and date of the order (the ‘‘live date’’). The estimated 6 15 U.S.C. 78f. live date is communicated to the customer. 7 15 U.S.C. 78f(b)(4). should be submitted on or before July 5, However, there may be instances where the 8 15 U.S.C. 78s(b)(3)(a)(ii) [sic]. 2011.

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For the Commission, by the Division of forth in Sections A, B, and C below, of 2. Statutory Basis Trading and Markets, pursuant to delegated the most significant aspects of such authority.9 statements. The Exchange believes that the Cathy H. Ahn, proposed rule change is consistent with Deputy Secretary. A. Self-Regulatory Organization’s the provisions of Section 6 of the Act,6 Statement of the Purpose of, and [FR Doc. 2011–14591 Filed 6–13–11; 8:45 am] in general, and with Section 6(b)(4) of Statutory Basis for, the Proposed Rule 7 BILLING CODE 8011–01–P the Act, in particular, in that it Change provides for the equitable allocation of 1. Purpose reasonable dues, fees and other charges SECURITIES AND EXCHANGE among members and issuers and other COMMISSION The Exchange proposes to amend persons using any facility or system Rule 7034 regarding fees assessed for which the Exchange operates or [Release No. 34–64631; File No. SR–BX– the installation of certain co-location controls. The proposed installation fees 2011–032] services to further incentivize the use of in [sic] which the Exchange seeks a Self-Regulatory Organizations; the co-location services. The installation temporary waiver will be assessed NASDAQ OMX BX, Inc.; Notice of Filing fees for the following co-location equally to customers that place an order and Immediate Effectiveness of services will be waived commencing for a new cabinet during the designated Proposed Rule Change To Amend Rule June 1, 2011 and ending June 30, 2011 period. The proposed amendments will 7034 Regarding Certain Co-Location (the ‘‘designated period’’). Beginning provide an incentive for customers to Installation Fees July 1, 2011, the above-referenced avail themselves of the designated co- waived fees will resume in full at the location services. The proposal is June 8, 2011. amount prior to [sic] designated period. similar to the waiver of fees during an Pursuant to Section 19(b)(1) of the The Exchange proposes to waive the introductory period for a product, and is Securities Exchange Act of 1934 following installation fees during the equitable because all persons may avail (‘‘Act’’),1 and Rule 19b–4 thereunder,2 designated period: themselves of the waiver during the notice is hereby given that on May 26, 1. Rule 7034(a): installation fees for new period of its availability. 2011, NASDAQ OMX BX, Inc. (‘‘BX’’ or cabinets with power. B. Self-Regulatory Organization’s ‘‘Exchange’’) filed with the Securities 2. Rule 7034(b): installation fees for Statement on Burden on Competition and Exchange Commission external telecommunication, inter-cabinet (‘‘Commission’’) the proposed rule connectivity, connectivity to The Nasdaq The Exchange does not believe that change as described in Items I, II, and Stock Market LLC and market data the proposed rule change will result in III below, which Items have been connectivity related to an order for a new any burden on competition that is not prepared by the Exchange. The cabinet. However, the one-time necessary or appropriate in furtherance Commission is publishing this notice to telecommunication connectivity expedite 3 of the purposes of the Act, as amended. solicit comments on the proposed rule fee will not be waived during the designated period. The Exchange believes that the waiver change from interested persons. 3. Rule 7034(c): installation fees for cabinet of fees for certain co-location services is I. Self-Regulatory Organization’s power related to an order for a new cabinet. equitable because all persons may avail Statement of the Terms of the Substance 4. Rule 7034(d): installation fees for themselves of the waiver during the of the Proposed Rule Change cooling fans, perforated floor tiles and fiber period of its availability. downspouts, which are necessary items to The Exchange proposes to modify fees support a higher density cabinet and fiber C. Self-Regulatory Organization’s for non co-location services. While cross connects, relating to an order for a new Statement on Comments on the changes to the Fee Schedule pursuant to cabinet placed during the designated period. Proposed Rule Change Received From this proposal are effective upon filing, Installation fees for other items that are Members, Participants, or Others the Exchange has designated these customized or options are not waived during Written comments were neither changes to be operative on June 1, 2011. the time period. solicited nor received. The text of the proposed rule change is The following requirements must be met available at http:// to receive the waiver of the installation III. Date of Effectiveness of the nasdaqomxbx.cchwallstreet.com/, at the fee: Proposed Rule Change and Timing for Exchange’s principal office, and at the Commission Action Commission’s Public Reference Room. 1. The new cabinet order must be placed in the CoLo Console 4 during the designated The foregoing rule change has become II. Self-Regulatory Organization’s period; and effective pursuant to Section Statement of the Purpose of, and 2. The new cabinet must be live within 90 19(b)(3)(A)(ii) of the Act.8 At any time 5 Statutory Basis for, the Proposed Rule days of the date of the order. within 60 days of the filing of the Change proposed rule change, the Commission 3 The one-time telecommunication connectivity summarily may temporarily suspend In its filing with the Commission, the expedite fee is a fee for an optional request to Exchange included statements complete the installation in a shorter time period such rule change if it appears to the concerning the purpose of and basis for than the install timeframes. Commission that such action is the proposed rule change and discussed 4 The ‘‘CoLo Console’’ is a Web-based ordering necessary or appropriate in the public any comments it received on the tool that is utilized by BX to place co-location interest, for the protection of investors, orders. or otherwise in furtherance of the proposed rule change. The text of these 5 Exchange staff generally installs and makes statements may be examined at the operational a new cabinet within 90 days of the purposes of the Act. If the Commission places specified in Item IV below. The date of the order (the ‘‘live date’’). The estimated takes such action, the Commission shall Exchange has prepared summaries, set live date is communicated to the customer. institute proceedings to determine However, there may be instances where the customer desires the live date to be later than the 9 17 CFR 200.30–3(a)(12). estimated live date provided by Exchange staff. In 6 15 U.S.C. 78f. 1 15 U.S.C. 78s(b)(1). such instances, the live date cannot extend beyond 7 15 U.S.C. 78f(b)(4). 2 17 CFR 240.19b–4. 90 days of the date of the order. 8 15 U.S.C. 78s(b)(3)(a)(ii) [sic].

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whether the proposed rule should be For the Commission, by the Division of the most significant aspects of such approved or disapproved. Trading and Markets, pursuant to delegated statements. authority.9 IV. Solicitation of Comments Cathy H. Ahn, A. Self-Regulatory Organization’s Deputy Secretary. Statement of the Purpose of, and the Interested persons are invited to Statutory Basis for, the Proposed Rule submit written data, views, and [FR Doc. 2011–14598 Filed 6–13–11; 8:45 am] Change arguments concerning the foregoing, BILLING CODE 8011–01–P including whether the proposed rule 1. Purpose change is consistent with the Act. NASDAQ is amending Rule 7018 to Comments may be submitted by any of SECURITIES AND EXCHANGE make modifications to its pricing the following methods: COMMISSION schedule for execution of quotes/orders Electronic Comments through the NASDAQ Market Center of [Release No. 34–64635; File No. SR– securities priced at $1 or more. • Use the Commission’s Internet NASDAQ–2011–072] Specifically, NASDAQ is proposing to comment form (http://www.sec.gov/ Self-Regulatory Organizations; The introduce, on a three-month pilot basis, rules/sro.shtml); or NASDAQ Stock Market LLC; Notice of an Attributable Market Provider • Send an e-mail to rule- Filing and Immediate Effectiveness of program to encourage more extensive [email protected]. Please include File Proposed Rule Change To Modify Fees market making activity on NASDAQ. Number SR–BX–2011–032 on the for Members Using the NASDAQ During a pilot period ending August 31, subject line. Market Center 2011, a market maker with an MPID through which it has registered as a Paper Comments June 8, 2011. market maker in a daily average of more than 5,000 securities during the month • Send paper comments in triplicate Pursuant to Section 19(b)(1) of the will receive an additional credit of to Elizabeth M. Murphy, Secretary, Securities Exchange Act of 1934 1 2 $0.0004 per share executed with respect Securities and Exchange Commission, (‘‘Act’’) and Rule 19b–4 thereunder, to attributable quotes/orders that 100 F Street, NE., Washington, DC notice is hereby given that, on May 25, provide liquidity through such MPID, in 20549–1090. 2011, The NASDAQ Stock Market LLC (the ‘‘Exchange’’ or ‘‘NASDAQ’’) filed addition to the credit that it is otherwise All submissions should refer to File with the Securities and Exchange entitled to receive under Rule 7018. The Number SR–BX–2011–032. This file Commission (the ‘‘Commission’’) the maximum additional rebate that a number should be included on the proposed rule change as described in member can receive under this pilot subject line if e-mail is used. Items I, II, and III below, which Items program is $250,000 per month. The cap To help the Commission process and have been prepared by NASDAQ. The applies on a per member basis, review your comments more efficiently, Commission is publishing this notice to regardless of the number of MPIDs please use only one method. The solicit comments on the proposed rule through which the member qualifies for Commission will post all comments on change from interested persons. the program. Through the program, NASDAQ hopes to encourage market the Commission’s Internet Web site I. Self-Regulatory Organization’s (http://www.sec.gov/rules/sro.shtml). makers to register in a greater number of Statement of the Terms of Substance of securities and to offer displayed, Copies of the submission, all subsequent the Proposed Rule Change amendments, all written statements attributable liquidity in order to with respect to the proposed rule NASDAQ proposes to modify pricing enhance price discovery. Throughout change that are filed with the for NASDAQ members using the the pilot period, NASDAQ will evaluate Commission, and all written NASDAQ Market Center. NASDAQ will the costs and benefits of the program, communications relating to the implement the proposed change on June and will then either allow the pilot to proposed rule change between the 1, 2011. The text of the proposed rule lapse or file to extend, modify, or make Commission and any person, other than change is available at http:// the program permanent. NASDAQ is also amending other those that may be withheld from the nasdaq.cchwallstreet.com/, at provisions of Rule 7018 to reflect a public in accordance with the NASDAQ’s principal office, and at the recent filing by NASDAQ OMX BX, Inc. provisions of 5 U.S.C. 552, will be Commission’s Public Reference Room. (‘‘BX’’) 3 in which BX introduced available for Web site viewing and II. Self-Regulatory Organization’s pricing tiers for the credit it pays to printing in the Commission’s Public Statement of the Purpose of, and persons accessing liquidity on BX. Reference Room, 100 F Street, NE., Statutory Basis for, the Proposed Rule Currently, NASDAQ passes through the Washington, DC 20549, on official Change $0.0014 per share credit it receives from business days between the hours of BX when it routes TFTY, SOLV, CART, 10:00 a.m. and 3:00 p.m. Copies of such In its filing with the Commission, or SAVE orders to BX that execute at filing also will be available for NASDAQ included statements that venue. Although NASDAQ expects inspection and copying at the principal concerning the purpose of and basis for that the volume of orders its members offices of the Exchange. All comments the proposed rule change and discussed route to BX using the NASDAQ router received will be posted without change; any comments it received on the will allow NASDAQ to continue to the Commission does not edit personal proposed rule change. The text of these qualify for this same rate with respect to identifying information from statements may be examined at the the orders that it routes to BX, it is at submissions. You should submit only places specified in Item IV below. least theoretically possible that an information that you wish to make NASDAQ has prepared summaries, set unexpected decrease in demand for available publicly. forth in Sections A, B, and C below, of NASDAQ’s routing services during a All submissions should refer to File 9 17 CFR 200.30–3(a)(12). particular month could cause NASDAQ Number SR–BX–2011–032, and should 1 15 U.S.C. 78s(b)(1). be submitted on or before July 5, 2011. 2 17 CFR 240.19b–4. 3 SR–BX–2011–030 (May 25, 2011).

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to receive a lower credit with respect to With regard to the change in language C. Self-Regulatory Organization’s the orders it routes to BX. In that case, describing rebates provided for routing Statement on Comments on the NASDAQ believes that it would be to BX, NASDAQ believes that the Proposed Rule Change Received From unfair to members that opted to use the change is reasonable and equitable Members, Participants, or Others NASDAQ router to receive a lower rate because it is designed to ensure that Written comments were neither than the $0.0014 rate they had expected. members using NASDAQ to route to BX solicited nor received. Accordingly, NASDAQ is amending its continue to receive the same credit that routing fee provisions to replace the they currently receive when routing to III. Date of Effectiveness of the current pass-through language with a BX. This credit, in turn, is designed to Proposed Rule Change and Timing for stated credit of $0.0014 per share reflect the credit that NASDAQ receives Commission Action executed, which is the exact amount from BX. Moreover, the change is The foregoing rule change has become that NASDAQ expects to receive when equitable because it is designed to effective pursuant to Section routing to BX. Similarly, the NASDAQ ensure that members receive the credit 19(b)(3)(A)(ii) of the Act.6 At any time fee schedule specifies the applicable fee that they expect to receive when using within 60 days of the filing of the for routing to venues such as the New NASDAQ to route to BX. Because the proposed rule change, the Commission York Stock Exchange. Such fees are, in credit received by NASDAQ would summarily may temporarily suspend some case, lower than the cost incurred decrease only in the event of a such rule change if it appears to the by NASDAQ to route to such venues. In significant decrease in the usage of Commission that such action is the case of orders routed to BX, NASDAQ’s router, NASDAQ believes necessary or appropriate in the public however, NASDAQ expects the rebate it that it would be unfair to members that interest, for the protection of investors, pays to match the rebate that it receives. continue to use the router if their credit or otherwise in furtherance of the 2. Statutory Basis was affected by the usage of other purposes of the Act. If the Commission takes such action, the Commission shall NASDAQ believes that the proposed members. Accordingly, establishing a specified credit in the fee rule will institute proceedings to determine rule change is consistent with the whether the proposed rule should be 4 ensure that members are unaffected in provisions of Section 6 of the Act, in approved or disapproved. general, and with Section 6(b)(4) of the the unlikely event that the rebate Act,5 in particular, in that it provides for received by NASDAQ decreases. IV. Solicitation of Comments the equitable allocation of reasonable Finally, NASDAQ notes that it Interested persons are invited to dues, fees and other charges among operates in a highly competitive market submit written data, views, and members and issuers and other persons in which market participants can arguments concerning the foregoing, using any facility or system which readily favor competing venues if they including whether the proposed rule NASDAQ operates or controls. All deem fee levels at a particular venue to change is consistent with the Act. similarly situated members are subject be excessive. In such an environment, Comments may be submitted by any of to the same fee structure, and access to NASDAQ must continually adjust its the following methods: NASDAQ is offered on fair and non- fees to remain competitive with other Electronic Comments discriminatory terms. exchanges and with alternative trading The proposed Attributable Market systems that have been exempted from • Use the Commission’s Internet Provider program is reasonable because compliance with the statutory standards comment form (http://www.sec.gov/ it will result in a fee reduction for rules/sro.shtml); or applicable to exchanges. NASDAQ • members that qualify for the program, believes that the proposed rule change Send an e-mail to rule- without increasing the costs borne by reflects this competitive environment [email protected]. Please include File other members. Moreover, the proposed because it will increase the rebate paid Number SR–NASDAQ–2011–072 on the program is consistent with an equitable to certain active market makers, while subject line. allocation of fees because it allocates a maintaining current rebates with respect Paper Comments higher rebate to members that make to routing to BX. significant contributions to NASDAQ • Send paper comments in triplicate market quality by making markets in a B. Self-Regulatory Organization’s to Elizabeth M. Murphy, Secretary, large number of stocks and that Statement on Burden on Competition Securities and Exchange Commission, contribute to price discovery by posting 100 F Street, NE., Washington, DC attributable quotes/orders. Although NASDAQ does not believe that the 20549–1090. members qualifying for the program proposed rule change will result in any All submissions should refer to File may use non-attributed and non- burden on competition that is not Number SR–NASDAQ–2011–072. This displayed orders, the enhanced rebate necessary or appropriate in furtherance file number should be included on the will be paid only with respect to of the purposes of the Act, as amended. subject line if e-mail is used. To help the attributable, displayed liquidity. Because the market for order execution Commission process and review your Moreover, NASDAQ believes that the and routing is extremely competitive, comments more efficiently, please use program may encourage market makers members may readily opt to disfavor only one method. The Commission will to become active in more stocks and NASDAQ’s execution services if they post all comments on the Commission’s display more shares of liquidity, thereby believe that alternatives offer them Internet Web site (http://www.sec.gov/ benefitting other market participants better value. For this reason and the rules/sro.shtml). Copies of the that will receive a more complete reasons discussed in connection with submission, all subsequent understanding of the supply and the statutory basis for the proposed rule amendments, all written statements demand for particular stocks and that change, NASDAQ does not believe that with respect to the proposed rule will be able to access the liquidity the proposed changes will impair the change that are filed with the displayed by such market makers. ability of members or competing order Commission, and all written execution venues to maintain their communications relating to the 4 15 U.S.C. 78f. competitive standing in the financial 5 15 U.S.C. 78f(b)(4). markets. 6 15 U.S.C. 78s(b)(3)(A)(ii).

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proposed rule change between the organization. NYSE Arca filed the pricing levels will adjust each calendar Commission and any person, other than proposal pursuant to Section month based on U.S. average daily those that may be withheld from the 19(b)(3)(A) 4 of the Act and Rule 19b– consolidated share volume in Tape A, public in accordance with the 4(f)(2) 5 thereunder. The Commission is Tape B, Tape C securities (‘‘U.S. ADV’’) provisions of 5 U.S.C. 552, will be publishing this notice to solicit for that given month. U.S. ADV is equal available for Web site viewing and comments on the proposed rule change to the volume reported by all exchanges printing in the Commission’s Public from interested persons. and trade reporting facilities to the Reference Room, 100 F Street, NE., Consolidated Tape Association (‘‘CTA’’) I. Self-Regulatory Organization’s Washington, DC 20549, on official Plan for Tapes A, B and C securities, Statement of the Terms of Substance of business days between the hours of 10 however, U.S. ADV does not include the Proposed Rule Change a.m. and 3 p.m. Copies of the filing also trades on days when the market closes will be available for inspection and The Exchange proposes to amend the early. The percentage approach is in copying at the principal office of the NYSE Arca Equities Schedule of Fees line with those adopted by NASDAQ Exchange. All comments received will and Charges for Exchange Services (the Stock Market LLC and EDGX for be posted without change; the ‘‘Schedule’’) to: (i) Replace numerical liquidity providers.6 Commission does not edit personal thresholds with percentage thresholds Transactions that are not reported to identifying information from for tier volume requirements (ii) add a the Consolidated Tape, such as odd-lots submissions. You should submit only new volume tier and (iii) increase the and Crossing Session 2 transactions, are information that you wish to make credit that Lead Market Makers not included in U.S. ADV. The available publicly. All submissions (‘‘LMMs’’) receive for execution of Exchange currently makes this data should refer to File Number SR– orders that provide undisplayed publicly available on a T + 1 basis from NASDAQ–2011–072 and should be liquidity using Post No Preference Blind a link at http://www.nyxdata.com/US- submitted on or before July 5, 2011. (PNP B) orders. The text of the proposed and-European-Volumes. rule change is available at the Exchange, Currently, a customer’s eligibility for For the Commission, by the Division of Trading and Markets, pursuant to delegated the Commission’s Public Reference Tier 1 and Tier 2 is based on its authority.7 Room, http://www.nyse.com, and the achieving certain levels of liquidity Cathy H. Ahn, Commission’s Web site at http:// provision that vary depending on Deputy Secretary. www.sec.gov. overall trading volumes during the month. Thus, a customer qualifies for [FR Doc. 2011–14671 Filed 6–13–11; 8:45 am] II. Self-Regulatory Organization’s the Tier 1 or Tier 2 pricing based on the Statement of the Purpose of, and BILLING CODE 8011–01–P U.S. ADV for that given month as Statutory Basis for, the Proposed Rule Change follows: (i) When U.S. ADV is 8 billion shares SECURITIES AND EXCHANGE In its filing with the Commission, the COMMISSION or less, the requirement for adding self-regulatory organization included liquidity is 50 million shares (for Tier 1) [Release No. 34–64627; File No. SR– statements concerning the purpose of, and 20 million shares (for Tier 2) NYSEArca–2011–35] and basis for, the proposed rule change average daily volume in Tape A, Tape and discussed any comments it received B, and Tape C combined; Self-Regulatory Organizations; NYSE on the proposed rule change. The text (ii) when U.S. ADV is greater than 8 Arca, Inc.; Notice of Filing and of those statements may be examined at billion up to 10 billion shares, the Immediate Effectiveness of Proposed the places specified in Item IV below. requirement for adding liquidity is 55 Rule Change Amending the NYSE Arca The Exchange has prepared summaries, million shares (for Tier 1) and 25 Equities Schedule of Fees and set forth in sections A, B, and C below, million shares (for Tier 2) average daily Charges for Exchange Services To of the most significant parts of such volume in Tape A, Tape B, and Tape C Replace Numerical Thresholds With statements. combined; Percentage Thresholds for Tier Volume (iii) when U.S. ADV is greater than 10 Requirements, Add a New Volume Tier A. Self-Regulatory Organization’s Statement of the Purpose of, and the billion up to 11 billion shares, the and Increase the Credit That Lead requirement for adding liquidity is 65 Market Makers Receive for Execution Statutory Basis for, the Proposed Rule Change million shares (for Tier 1) and 30 of Orders That Provide Undisplayed million shares (for Tier 2) average daily Liquidity Using Post No Preference 1. Purpose volume in Tape A, Tape B, and Tape C Blind Orders Effective June 1, 2011, NYSE Arca combined; June 8, 2011. proposes to make several changes to the (iv) when U.S. ADV is greater than 11 Pursuant to Section 19(b)(1) 1 of the Schedule, which are discussed in billion up to 12 billion shares, the Securities Exchange Act of 1934 (the greater detail below. requirement for adding liquidity is 75 ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 million shares (for Tier 1) and 35 Tier Volume Requirements: Replacing notice is hereby given that, on June 1, million shares (for Tier 2) average daily Numerical Thresholds With Percentage 2011, NYSE Arca, Inc. (‘‘NYSE Arca’’ or volume in Tape A, Tape B, and Tape C Thresholds the ‘‘Exchange’’) filed with the combined; Securities and Exchange Commission The Exchange proposes to change the (the ‘‘Commission’’) the proposed rule Tier 1 and Tier 2 volume requirements 6 See Securities Exchange Act Release No. 64453 from numerical thresholds (e.g., 50 (May 10, 2011), 76 FR 28252 (May 16, 2011); and change as described in Items I, II, and Securities Exchange Act Release No. 64452 (May III below, which Items have been Million shares) to percentage thresholds 10, 2011), 76 FR 28252 (May 16, 2011). See Nasdaq prepared by the self-regulatory of average U.S. consolidated daily Stock Market LLC Price List—Trading & volumes (e.g., 0.70% of the volumes). Connectivity, ‘‘Add and Remove Rates’’ at http:// www.nasdaqtrader.com/ 7 Volume requirements to reach the tiered 17 CFR 200.30–3(a)(12). Trader.aspx?id=PriceListTrading2#rebates and 1 15 U.S.C. 78s(b)(1). EDGX Exchange Fee Schedule, n. 1 at http:// 2 15 U.S.C. 78a. 4 15 U.S.C. 78s(b)(3)(A). www.directedge.com/Membership/FeeSchedule/ 3 17 CFR 240.19b–4. 5 17 CFR 240.19b–4(f)(2). EDGXFeeSchedule.asp.

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(v) when U.S. ADV is greater than 12 volume in Tape A, Tape B, and Tape C 2) average daily volume in Tape A, Tape billion up to 13 billion shares, the combined; B, and Tape C combined. requirement for adding liquidity is 85 (vi) when U.S. ADV is greater than 13 NYSE Arca’s current rate per share million shares (for Tier 1) and 40 billion shares, the requirement for structure for customers (excluding Lead million shares (for Tier 2) average daily adding liquidity is 95 million shares (for Market Makers) is provided in the table Tier 1) and 45 million shares (for Tier below.

Current tier requirements and pricing Tape A Tier Arca daily adding requirement (1) in shares in Rebate for Fee for Routing to Routing to excess of: adding removing NYSE (2) other venues

Tier 1 ...... 50–95 Million shares ...... $(0.0030) $0.0030 $0.21/ $0.0030 $0.23 Tier 2 ...... 20–45 Million shares ...... (0.0029) 0.0030 0.21/ 0.0030 0.23 All Others ...... Below 20 Million shares ...... (0.0021) 0.0030 0.21/ 0.0030 0.25

Current tier requirements and pricing Tape C Tier Rebate for Fee for Routing to Arca daily adding requirement (1) in shares in excess of: adding removing other venues

Tier 1 ...... Arca daily adding requirement (1) in shares in excess of:. Tier 1 ...... 50–95 Million shares ...... $(0.0030) $0.0030 $0.0030 Tier 2 ...... 20–45 Million shares ...... (0.0029) 0.0030 0.0030 All Others ...... Below 20 Million shares ...... (0.0021) 0.0030 0.0035

Current tier requirements and pricing Tape B Tier Rebate for Fee for Routing to Arca daily adding requirement (1) in shares in excess of: adding removing other venues

Tier 1 ...... 50–95 Million shares ...... $(0.0023) $0.0028 $0.0029 Tier 2 ...... 20–45 Million shares ...... (0.0022) 0.0028 0.0029 All Others ...... Below 20 Million shares ...... (0.0022) 0.0030 0.0035 1. Depending on U.S. Consolidated ADV as described in the previous text. 2. In Tape A securities, the routing fee to the NYSE using NYSE Arca’s Primary Sweep Order is $0.21 per 100 shares, otherwise the standard routing fee applies as noted in the table. The Primary Sweep Order (PSO) is a market or limit order that sweeps the NYSE Arca Book and routes any remaining balance to the primary listing market. All orders with a PSO designation should be marketable. Non-marketable orders will function as regular limit orders.

In order to adopt a requirement that has distinct break points and is set at requirement is much greater than that of is consistent from month to month, varying percentages of consolidated the market volumes. Moreover, under NYSE Arca is modifying the volume. For example, under the current the percentage approach, to qualify for requirement so that it is directly tied to approach the Tier 1 level is set at 50 Tier 1, for example, the customer would a customer’s percentage of total U.S. million shares of U.S. ADV when the be required to provide 0.70% of the total ADV, with any customer providing consolidated volume level is below 8 U.S. ADV, regardless of the volume liquidity that represents 0.70% or more billion U.S. ADV, whereas the proposed during that month. The proposed of the total U.S. ADV becoming eligible percentage approach will allow the Tier change will ensure that a customer for Tier 1 and 0.30% or more, but less 1 level to move below 50 million shares providing that level of liquidity will than 0.70% of the total U.S. ADV of U.S. ADV to better accommodate consistently receive the Tier 1 credits, becoming eligible for Tier 2. NYSE Arca customers in a lower volume whereas a customer providing that level is also introducing a new Tier 3 based environment, such as the industry has of liquidity under the current schedule on a customer providing liquidity that been recently experiencing. The might receive the Tier 1 credits in some represents 0.20% or more, but less than Exchange also believes that the months but not in others as overall 0.30% of total consolidated volume percentage approach will make the market volumes fluctuated. (which is discussed in greater detail amount of liquidity provision required New Volume Tier below). to achieve a given tier more manageable NYSE Arca is moving to the for customers and less prone to month- As noted previously, the Exchange is percentage approach for several reasons. to-month changes than under the proposing a new pricing tier, Tier 3, The Exchange believes that it is a more current approach. For example, under with respect to volumes representing straightforward way to communicate the current approach, if U.S. ADV 0.20% or more, but less than 0.30% of floating volume tiers and, as noted increased from 7.95 billion to 8.05 the total U.S. ADV, in order to create a above, other exchanges have adopted a billion, an increase of 1.25%, the Tier 1 tier for customers that provide a similar approach. The Exchange notes provider requirement increases from 50 specified minimum level of liquidity that the percentage approach allows million ADV to 55 million ADV, an less than currently contemplated by Tier tiers to move in sync with consolidated increase of 10%. In this case, the 1 and Tier 2. Customers who qualify for volume, whereas the current approach percentage change in customer tier Tier 3 will receive a credit of $0.0025

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per share for orders that provide Securities. Finally, such customers also customers whose order flow provides liquidity to the Book for Tape A and will be charged a fee of $0.0030 per added levels of liquidity, but are Tape C Securities and $0.0022 per share share for orders routed outside the Book currently not eligible for Tier 1 and Tier for orders that provide liquidity to the to any away market centers other than 2, thereby contributing to the depth and Book for Tape B Securities. the NYSE for Tape A and Tape C market quality of the Book. Additionally, such customers will be Securities and $0.0029 per share for The new NYSE Arca rates per share charged a fee of $0.0030 per share for orders routed outside the Book to any orders that take liquidity from the Book away market centers other than the for each Tier for customers (excluding for Tape A and Tape C Securities and NYSE for Tape B Securities. For all Lead Market Makers) are provided in $0.0028 per share for orders that take other fees and credits, basic rates apply. the table below. liquidity from the Book for Tape B Tier 3 would be expected to benefit

Current tier Tape A Tape C requirements and pricing Tier Arca daily adding re- Rebate for Fee for Routing to Routing to Rebate for Fee for Routing to quirement as adding removing NYSE (1) other venues adding removing other venues % of U.S. ADV of:

Tier 1 .. 0.70% or $(0.0030) $0.0030 $0.21/$0.23 $0.0030 $(0.0030) $0.0030 $0.0030 more. Tier 2 .. 0.30% or (0.0029) 0.0030 0.21/0.23 0.0030 (0.0029) 0.0030 0.0030 more, but less than 0.70%. Tier 3 .. 0.20% or (0.0025) 0.0030 0.21/0.23 0.0030 (0.0025) 0.0030 0.0030 more, but less than 0.30%. All Oth- Below 0.20%. (0.0021) 0.0030 0.21/0.25 0.0030 (0.0021) 0.0030 0.0035 ers.

Current tier requirements and pricing Tape B Tier Rebate for Fee for Routing to Arca daily adding requirement as % of U.S. ADV of: adding removing other venues

Tier 1 ...... 0.70% or more ...... $ (0.0023) $0.0028 $0.0029 Tier 2 ...... 0.30% or more, but less than 0.70% ...... (0.0022) 0.0028 0.0029 Tier 3 ...... 0.20% or more, but less than 0.30% ...... (0.0022) 0.0028 0.0029 All Others ...... Below 0.20% ...... (0.0022) 0.0030 0.0035 1. In Tape A securities, the routing fee to the NYSE using NYSE Arca’s Primary Sweep Order is $0.21 per 100 shares, otherwise the standard routing fee applies as noted in the table. The Primary Sweep Order (PSO) is a market or limit order that sweeps the NYSE Arca Book and routes any remaining balance to the primary listing market. All orders with a PSO designation should be marketable. Non-marketable orders will function as regular limit orders.

Lead Market Maker Rebates Best Bid and Offer (PBBO), with a of the Act,8 in particular, in that it is The Exchange also proposes to amend tradable price set at the contra side of designed to provide for the equitable the Schedule to modify the structure of the PBBO. When the PBBO moves away allocation of reasonable dues, fees, and the transaction credits that it provides from the price of the PNP B and the other charges among its members and Lead Market Makers (‘‘LMMs’’) for prices continue to overlap, the limit other persons using its facilities. The supplying undisplayed liquidity in the price of the PNP B will remain Exchange believes that the proposal NYSE Arca marketplace primary listed undisplayed and its tradable price will does not constitute an inequitable securities in which they are registered be adjusted to the contra side of the allocation of fees, as all similarly as a LMM. PBBO. When the PBBO moves away situated member organizations and Currently, a LMM receives a rebate of from the price of the PNP B and the other market participants will be subject $0.0023 per share for executions made prices no longer overlap, the PNP B to the same fee structure, and access to using the Post No Preference Blind (PNP shall convert to a displayed PNP limit the Exchange’s market is offered on fair B) order type when its interest is order. and non-discriminatory terms. undisplayed. In return for LMMs 2. Statutory Basis With respect to the replacement of meeting unique quoting obligations, share thresholds with percentage NYSE Arca is proposing that LMMs The Exchange believes that the thresholds for certain of NYSE Arca’s receive a rebate of $0.0030 per share for proposed rule change is consistent with existing pricing tiers, NYSE Arca execution of orders that provide the provisions of Section 6 of the believes that the change is reasonable, undisplayed liquidity using PNP B Securities Exchange Act of 1934 (the because it will result in more orders types in such a security. ‘‘Act’’),7 in general, and Section 6(b)(4) predictability from month to month PNP B Orders are undisplayed limit orders priced at or through the Protected 7 15 U.S.C. 78f(b). 8 15 U.S.C. 78f(b)(4).

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with respect to the levels of liquidity readily favor competing venues if they Number SR–NYSEArca–2011–35 on the provision required to receive the deem fee levels at a particular venue to subject line. applicable pricing levels. Although the be excessive. In such an environment, changes will make it easier to achieve the Exchange must continually adjust its Paper Comments applicable pricing tiers in some months fees to remain competitive with other • Send paper comments in triplicate and more difficult in other months, exchanges and with alternative trading to Elizabeth M. Murphy, Secretary, depending on overall market volumes, systems that have been exempted from Securities and Exchange Commission, NYSE Arca believes the levels of compliance with the statutory standards 100 F Street, NE., Washington, DC activity required to achieve higher tiers applicable to exchanges. The Exchange 20549–1090. are generally consistent with existing believes that the proposed rule change requirements for these tiers. Moreover, reflects this competitive environment All submissions should refer to File like existing pricing tiers tied to volume because it will broaden the conditions Number SR–NYSEArca–2011–35. This levels, as in effect at NYSE Arca and under which customers may qualify for file number should be included on the other markets, the proposed pricing tiers higher liquidity provider credits. subject line if e-mail is used. To help the are equitable and non-discriminatory Commission process and review your because they are open to all customers B. Self-Regulatory Organization’s Statement on Burden on Competition comments more efficiently, please use on an equal basis and provide discounts only one method. The Commission will that are reasonably related to the value The Exchange does not believe that post all comments on the Commission’s to an exchange’s market quality the proposed rule change will impose Internet Web site (http://www.sec.gov/ associated with higher volumes. NYSE any burden on competition that is not rules/sro.shtml). Copies of the Arca believes that the overall effect of necessary or appropriate in furtherance the changes may make it easier for of the purposes of the Act. submission, all subsequent customers to receive higher rebates in amendments, all written statements months with lower trading volumes, C. Self-Regulatory Organization’s with respect to the proposed rule thereby reducing prices for those Statement on Comments on the change that are filed with the customers that were previously unable Proposed Rule Change Received From Commission, and all written to qualify for an enhanced credit, but Members, Participants, or Others communications relating to the that are able to do so under the revised No written comments were solicited proposed rule change between the pricing schedule. or received with respect to the proposed Commission and any person, other than Similarly, Tier 3, the proposed new rule change. those that may be withheld from the pricing tier for customers providing public in accordance with the III. Date of Effectiveness of the liquidity that represents 0.20% or more, provisions of 5 U.S.C. 552, will be but less than 0.30% of the total U.S. Proposed Rule Change and Timing for Commission Action available for Web site viewing and ADV will provide customers with printing in the Commission’s Public greater opportunities to receive a higher The foregoing rule change is effective Reference Room, 100 F Street, NE., rebate. Accordingly, the proposed Tier 3 upon filing pursuant to Section Washington, DC 20549, on official is equitable and non-discriminatory 9 19(b)(3)(A) of the Act and business days between the hours of 10 because it is open to all customers on an 10 subparagraph (f)(2) of Rule 19b–4 a.m. and 3 p.m. Copies of the filing also equal basis and provides discounts that thereunder, because it establishes a due, will be available for inspection and are reasonably related to the value to an fee, or other charge imposed by the copying at the principal office of the exchange’s market quality associated NYSE Arca. with higher volumes. At any time within 60 days of the Exchange. All comments received will With respect to the increase of the filing of such proposed rule change, the be posted without change; the LMM rebate for undisplayed PNP B Commission summarily may Commission does not edit personal liquidity, NYSE Arca believes that the temporarily suspend such rule change if identifying information from change is reasonable, because it will it appears to the Commission that such submissions. You should submit only provide the LMM with incentives to action is necessary or appropriate in the information that you wish to make increase liquidity in a security. public interest, for the protection of available publicly. All submissions Moreover, LMMs have unique quoting investors, or otherwise in furtherance of should refer to File Number SR– obligations including maintaining the purposes of the Act. NYSEArca–2011–35 and should be continuous two-sided quotes, NBBO submitted on or before July 5, 2011. requirements, minimum displayed size IV. Solicitation of Comments For the Commission, by the Division of requirements, minimum quoted spread Interested persons are invited to requirements and participation Trading and Markets, pursuant to delegated submit written data, views, and authority.11 requirements for opening and closing arguments concerning the foregoing, auctions. The undisplayed PNP B orders including whether the proposed rule Cathy H. Ahn, add liquidity to the Book and enhance change is consistent with the Act. Deputy Secretary. the possibility of price improvement; Comments may be submitted by any of [FR Doc. 2011–14660 Filed 6–13–11; 8:45 am] however, their undisplayed status does the following methods: BILLING CODE 8011–01–P not contribute to the BBO. To the contrary, the rebate LMMs receive for Electronic Comments displayed liquidity executions is much • Use the Commission’s Internet larger, which is consistent with the comment form (http://www.sec.gov/ added transparency created through rules/sro.shtml); or decreased quoted spreads and increased • Send an e-mail to rule- quoted sizes of the BBO. [email protected]. Please include File Finally, the Exchange notes that it operates in a highly competitive market 9 15 U.S.C. 78s(b)(3)(A). in which market participants can 10 17 CFR 240.19b–4(f)(2). 11 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s taker spread. The applicable rate for COMMISSION Statement of the Purpose of, and customer internalization thus allows the Statutory Basis for, the Proposed Rule Exchange to discourage potential wash [Release No. 34–64632; File No. SR–EDGX– Change sales. The Exchange also proposes to add 2011–17] Purpose footnote 1 to the ‘‘MM’’ flag to clarify Self-Regulatory Organizations; EDGX For customer internalization, which that Flag MM executions (adding occurs when two orders presented to the Exchange, Inc.; Notice of Filing and liquidity to MidPoint Match) count Exchange from the same Member (i.e., Immediate Effectiveness of Proposed towards the tiered rates listed in MPID) are presented separately and not footnote 1 (Super Tier, Ultra Tier, Mega Rule Change Relating to Amendments in a paired manner, but nonetheless Tier). to the EDGX Exchange, Inc. Fee inadvertently match with one another,4 The Exchange proposes to amend Schedule the Exchange charges $0.0001 per share footnote 3 to reflect NYSE’s increase in June 8, 2011. per side of an execution (for adding charge from $0.0021 per share to liquidity and for removing liquidity) for $0.0023 per share for removing liquidity Pursuant to Section 19(b)(1) of the Flags E and 5. This charge occurs in lieu in stocks priced below $1.00. Securities Exchange Act of 1934 (the of the standard or tiered rebate/removal Currently, Members can qualify for ‘‘Act’’),1 and Rule 19b–4 thereunder,2 rates. Therefore, Members incur a total the Mega Tier and be provided a rebate notice is hereby given that on June 1, transaction cost of $0.0002 per share for of $0.0032 per share for liquidity added 2011, the EDGX Exchange, Inc. (the both sides of an execution for customer on EDGX in either of two ways: (i) If the ‘‘Exchange’’ or the ‘‘EDGX’’) filed with internalization. Member on a daily basis, measured the Securities and Exchange In SR–EDGX–2011–13 (April 29, monthly, posts 0.75% of the Total Commission (‘‘Commission’’) the 2011), the Exchange represented that ‘‘it Consolidated Volume (‘‘TCV’’) 6 in proposed rule change as described in will work promptly to ensure that the average daily volume; or (ii) if the Items I and II below, which items have internalization fee is no more favorable Member, on a daily basis, measured been prepared by the self-regulatory than each prevailing maker/taker monthly, posts 15,000,000 shares more spread.’’ In order to ensure that the than their February 2011 average daily organization. The Commission is internalization fee is no more favorable volume, provided that their February publishing this notice to solicit than the prevailing maker/taker spread 2011 average daily volume equals or comments on the proposed rule change of $0.0007 for the standard add (rebate exceeds 1,000,000 shares added to from interested persons. of $0.0023)—standard removal rate EDGX. The Exchange proposes to I. Self-Regulatory Organization’s ($0.0030 charge per share), the amend the Mega Tier criteria in (ii), Statement of the Terms of Substance of Exchange is proposing to charge above, for achieving a $0.0032 rebate to the Proposed Rule Change $0.00035 per side for customer indicate that Members will qualify for internalization (Flags E and 5). such rebate if, on a daily basis, The Exchange proposes to amend its However, if a Member posts 10,000,000 measured monthly, they post 10,000,000 fees and rebates applicable to Members 3 shares or more of average daily volume shares more than their February 2011 of the Exchange pursuant to EDGX Rule (‘‘ADV’’) to EDGX, then the Member average daily volume added to EDGX. In 15.1(a) and (c). All of the changes would get the current rate of $0.0001 an effort to make it easier for Members described herein are applicable to EDGX per share per side for customer to achieve the Mega Tier rebate during 5 Members. The text of the proposed rule internalization. If this occurs, then the lower transaction volume days, the change is available on the Exchange’s Member’s rate for inadvertently Exchange would like to lower the Internet Web site at http:// matching with itself decreases to current daily share posting requirement $0.0001 per share per side, as the www.directedge.com. to 10,000,000 shares from 15,000,000 Member has met the least restrictive shares. Additionally, in order to allow II. Self-Regulatory Organization’s criteria to satisfy a tier (i.e., Super Tier, more constituents to reach the Mega Statement of the Purpose of, and Ultra Tier, Mega Tier). The Exchange is Tier in general, the Exchange would Statutory Basis for, the Proposed Rule proposing to add language clarifying also like to remove, in its entirety, the Change this point to footnote 11 and append the baseline requirement that a Member’s reference to footnote 11 to Flags E and February 2011 average daily volume In its filing with the Commission, the 5. equals or exceeds 1,000,000 shares. self-regulatory organization included In each case (both tiered and standard Finally, the Exchange proposes to statements concerning the purpose of, rates), the charge for Members decrease the rebate on Flag C (routed to and basis for, the proposed rule change inadvertently matching with themselves Nasdaq BX, removes liquidity) from and discussed any comments it received is no more favorable than each maker/ $0.0014 per share to $0.0005 per share. on the proposed rule change. The text EDGX Exchange proposes to of these statements may be examined at 4 Members are advised to consult Rule 12.2 implement these amendments to the respecting fictitious trading. Exchange fee schedule on June 1, 2011. the places specified in Item IV below. 5 As noted in SR–EDGX–2011–13 (April 29, The self-regulatory organization has 2011), EDGX has a variety of tiered rebates ranging Basis prepared summaries, set forth in from $0.0030–$0.0034 per share, which makes its maker/taker spreads range from $0 (standard The Exchange believes that the sections A, B and C below, of the most removal rate—Super Tier rebate), –$0.0001, proposed rule change is consistent with significant aspects of such statements. (standard removal rate—Ultra Tier rebate) –$0.0002 the objectives of Section 6 of the (standard removal rate—Mega Tier rebate of Exchange Act,7 in general, and furthers $0.0032), and –$.0004 (standard removal rate— 1 15 U.S.C. 78s(b)(1). Mega Tier rebate of $0.0034 per share). As a result 2 17 CFR 240.19b–4. of the customer internalization charge, Members 6 TCV is defined as volume reported by all 3 A Member is any registered broker or dealer, or who internalized would be charged $0.0001 per exchanges and trade reporting facilities to the any person associated with a registered broker or share per side of an execution (total of $0.0002 per consolidated transaction reporting plans for Tapes dealer, that has been admitted to membership in the share) instead of capturing the maker/taker spreads A, B and C securities. Exchange. resulting from achieving the tiered rebates. 7 15 U.S.C. 78f.

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the objectives of Section 6(b)(4),8 in rate is non-discriminatory in that it 10,000,000 shares more than the particular, as it is designed to provide applies uniformly to all Members. Member’s February 2011 average daily for the equitable allocation of reasonable The increase in fee from $0.0021 per volume added to EDGX. The Exchange dues, fees and other charges among its share to $0.0023 per share, as reflected believes that requiring Members to post members and other persons using its in footnote 3, is assessed by NYSE for 10,000,000 shares more than a February facilities. stocks priced below $1.00. This increase 2011 baseline average daily volume The Exchange believes that the in fee is a pass through of NYSE’s encourages Members to add increasing increased fee for customer increased fee, effective January 3, 2011. amounts of liquidity to EDGX each internalization of $0.00035 per share per The same rate change was made for month. Such increased volume side of an execution for both Flags E orders in securities priced $1 and over increases potential revenue to the (regular trading session) and 5 (pre and for securities that are routed or re-routed Exchange, and would allow the post market) represents an equitable to NYSE (Flag D) in the Exchange’s fee Exchange to spread its administrative allocation of reasonable dues, fees, and filing effective January 1, 2011.11 EDGX and infrastructure costs over a greater other charges as it is designed to believes that it is reasonable and number of shares, leading to lower per introduce a fee for Members who equitable to pass on these fees to its share costs. These lower per share costs inadvertently match with one another, members. would allow the Exchange to pass on thereby discouraging potential wash The Exchange believes that amending the savings to Members in the form of sales. The increased fee also allows the the criteria to qualify for the Mega Tier a higher rebate. The increased liquidity Exchange to offset its administrative, represents an equitable allocation of also benefits all investors by deepening clearing, and other operating costs reasonable dues, fees, and other charges EDGX’s liquidity pool, offering incurred in executing such trades. since higher rebates are directly additional flexibility for all investors to Finally, the fee is equitable in that it is correlated with more stringent criteria. enjoy cost savings, supporting the The Mega Tier rebate of $0.0034/ in line 9 with the EDGX fee structure quality of price discovery, promoting $0.0032 per share has some of the most which currently has a maker/taker market transparency and improving stringent criteria associated with it, and spread of $0.0007 per share (the investor protection. Volume-based is $0.0003/$0.0001 greater than the standard rebate to add liquidity on rebates such as the one proposed herein Ultra Tier rebate ($0.0031 per share) and EDGX is $0.0023 per share, while the have been widely adopted in the cash $0.0004/$0.0002 greater than the Super standard fee to remove liquidity is equities markets, and are equitable Tier rebate ($0.0030 per share). $0.0030 per share). because they are open to all members on For example, based on average TCV an equal basis and provide discounts With respect to Members that satisfy for April 2011 (7.0 billion), in order for the criteria for various tiered rebates, that are reasonably related to the value a Member to qualify for the Mega Tier to an exchange’s market quality EDGX notes that its maker/taker spreads rebate of $0.0034, the Member would range from $.0007 (standard add ¥ associated with higher levels of market have to add or route at least 4,000,000 activity, such as higher levels of standard removal rate), $0 (standard shares of average daily volume during ¥ liquidity provision and introduction of removal rate Super Tier rebate), pre and post-trading hours and add a ¥ ¥ higher volumes of orders into the price $0.0001, (standard removal rate minimum of 38,000,000 shares of Ultra Tier rebate) ¥$0.0002 (standard and volume discovery processes. average daily volume on EDGX in total, In order to qualify for the Ultra Tier, removal rate ¥ Mega Tier rebate of including during both market hours and which has less stringent criteria than the $0.0032), and ¥$.0004 (standard pre and post-trading hours. The criteria Mega Tier, the Member would have to removal rate ¥ Mega Tier rebate of for this tier is the most stringent as post 0.50% of TCV. Based on average $0.0034 per share). As a result of the fewer Members generally trade during TCV for April 2011 (7.0 billion shares), proposed charge for Members pre and post-trading hours because of this would be 35 million shares on inadvertently matching with the limited time parameters associated EDGX. themselves, such Members would be with these trading sessions. The Finally, the Super Tier has the least charged $0.00035 per share per side of Exchange believes that this higher stringent criteria of the tiers mentioned an execution (total of $0.0007 per share) rebate awarded to Members would above. In order for a Member to qualify for those not meeting the criteria for the incent liquidity during these trading for this rebate, the Member would have Super Tier (posting 10,000,000 shares or sessions. Such increased volume to post at least 10 million shares on more of ADV to EDGX). For those increases potential revenue to the EDGX. As stated above, these rebates meeting the criteria for any tier, Exchange, and would allow the also result, in part, from lower Members would charged $0.0002 per Exchange to spread its administrative administrative and other costs share instead of capturing the maker/ and infrastructure costs over a greater associated with higher volume. The taker spreads resulting from achieving number of shares, leading to lower per Exchange believes that the decreased the tiered rebates, as described above. share costs. These lower per share costs rebate on Flag C when EDGX routes to This increased fee per side of an would allow the Exchange to pass on Nasdaq BX is designed to provide for execution ($.00035 per side instead of the savings to Members in the form of the equitable allocation of reasonable $0.0001 per side per share), yielding a a higher rebate. dues, fees and other charges as it total cost of $0.0007, thus brings the Another way a Member can qualify represents a straight pass through of internalization fee in line with the for the Mega Tier (with a rebate of Nasdaq BX’s decreased rebate from current maker/taker spreads.10 The $0.0032 per share) would be to post $0.0014 per share to $0.0005 per share, Exchange believes that the proposed 0.75% of TCV. Based on average TCV which is effective June 1, 2011. EDGX for April 2011 (7.0 billion), this would believes that it is reasonable and 8 15 U.S.C. 78f(b)(4). be 52.5 million shares on EDGX. A equitable to pass on these fees to its 9 In each case, the internalization fee is no more second method, as proposed in this members. favorable to the Member than each prevailing filing, to qualify for the rebate of The Exchange notes that it operates in maker/taker spread. 10 The Exchange will continue to ensure that the $0.0032 per share would be to post a highly competitive market in which internalization fee is no more favorable than each market participants can readily direct prevailing maker/taker spread. 11 See SR–EDGA–2010–26 (December 28, 2010). order flow to competing venues if they

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deem fee levels at a particular venue to Electronic Comments SECURITIES AND EXCHANGE be excessive. The proposed rule changes • COMMISSION reflect a competitive pricing structure Use the Commission’s Internet designed to incent market participants comment form (http://www.sec.gov/ rules/sro.shtml); or [Release No. 34–64634; File No. SR–EDGA– to direct their order flow to the 2011–17] Exchange. The Exchange believes that • Send an e-mail to rule- the proposed rates are non- [email protected]. Please include File Self-Regulatory Organizations; EDGA discriminatory in that they apply Number SR–EDGX–2011–17 on the Exchange, Inc.; Notice of Filing and uniformly to all Members. The subject line. Immediate Effectiveness of Proposed Exchange believes the fees and credits Rule Change Relating to Amendments Paper Comments remain competitive with those charged to the EDGA Exchange, Inc. Fee by other venues and therefore continue • Send paper comments in triplicate Schedule to be reasonable and equitably allocated to Elizabeth M. Murphy, Secretary, June 8, 2011. to Members. Securities and Exchange Commission, Pursuant to Section 19(b)(1) of the B. Self-Regulatory Organization’s 100 F Street, NE., Washington, DC Securities Exchange Act of 1934 (the Statement on Burden on Competition 20549–1090. ‘‘Act’’),1 and Rule 19b–4 thereunder,2 All submissions should refer to File notice is hereby given that on May 31, The proposed rule change does not Number SR–EDGX–2011–17. This file impose any burden on competition that 2011, the EDGA Exchange, Inc. (the number should be included on the ‘‘Exchange’’ or the ‘‘EDGA’’) filed with is not necessary or appropriate in subject line if e-mail is used. To help the furtherance of the purposes of the Act. the Securities and Exchange Commission process and review your Commission (‘‘Commission’’) the C. Self-Regulatory Organization’s comments more efficiently, please use proposed rule change as described in Statement on Comments on the only one method. The Commission will Items I and II below, which items have Proposed Rule Change Received From post all comments on the Commission’s been prepared by the self-regulatory Members, Participants, or Others Internet Web site (http://www.sec.gov/ organization. The Commission is rules/sro.shtml). Copies of the publishing this notice to solicit The Exchange has not solicited, and submission, all subsequent does not intend to solicit, comments on comments on the proposed rule change amendments, all written statements from interested persons. this proposed rule change. The with respect to the proposed rule Exchange has not received any change that are filed with the I. Self-Regulatory Organization’s unsolicited written comments from Commission, and all written Statement of the Terms of Substance of members or other interested parties. communications relating to the the Proposed Rule Change III. Date of Effectiveness of the proposed rule change between the Commission and any person, other than The Exchange proposes to amend its Proposed Rule Change and Timing for fees and rebates applicable to Members 3 Commission Action those that may be withheld from the public in accordance with the of the Exchange pursuant to EDGA Rule The foregoing rule change has become provisions of 5 U.S.C. 552, will be 15.1(a) and (c). All of the changes effective pursuant to Section available for Web site viewing and described herein are applicable to EDGA 19(b)(3)(A)(ii) of the Act 12 and Rule printing in the Commission’s Public Members. The text of the proposed rule 19b–4(f)(2) 13 thereunder. At any time Reference Room on official business change is available on the Exchange’s within 60 days of the filing of the days between the hours of 10 a.m. and Internet Web site at http:// proposed rule change, the Commission 3 p.m. Copies of such filing also will be www.directedge.com. summarily may temporarily suspend available for inspection and copying at II. Self-Regulatory Organization’s such rule change if it appears to the the principal office of the Exchange. All Statement of the Purpose of, and Commission that such action is comments received will be posted Statutory Basis for, the Proposed Rule necessary or appropriate in the public without change; the Commission does Change interest, for the protection of investors, not edit personal identifying or otherwise in furtherance of the information from submissions. You In its filing with the Commission, the purposes of the Act. If the Commission should submit only information that self-regulatory organization included takes such action, the Commission shall you wish to make available publicly. All statements concerning the purpose of, institute proceedings to determine submissions should refer to File and basis for, the proposed rule change whether the proposed rule should be Number SR–EDGX–2011–17 and should and discussed any comments it received approved or disapproved. be submitted on or before July 5, 2011. on the proposed rule change. The text of these statements may be examined at IV. Solicitation of Comments For the Commission, by the Division of the places specified in Item IV below. Trading and Markets, pursuant to delegated The self-regulatory organization has Interested persons are invited to authority.14 submit written data, views, and prepared summaries, set forth in Cathy H. Ahn, sections A, B and C below, of the most arguments concerning the foregoing, Deputy Secretary. including whether the proposed rule significant aspects of such statements. [FR Doc. 2011–14662 Filed 6–13–11; 8:45 am] change is consistent with the Act. Comments may be submitted by any of BILLING CODE 8011–01–P 1 15 U.S.C. 78s(b)(1). 2 the following methods: 17 CFR 240.19b–4. 3 A Member is any registered broker or dealer, or any person associated with a registered broker or 12 15 U.S.C. 78s(b)(3)(A)(ii). dealer, that has been admitted to membership in the 13 17 CFR 19b–4(f)(2). 14 17 CFR 200.30–3(a)(12). Exchange.

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A. Self-Regulatory Organization’s venues if they deem fee levels at a • Send an e-mail to rule- Statement of the Purpose of, and particular venue to be excessive. The [email protected]. Please include File Statutory Basis for, the Proposed Rule proposed rule change reflects a Number SR–EDGA–2011–17 on the Change competitive pricing structure designed subject line. to incent market participants to direct Purpose their order flow to the Exchange. The Paper Comments The Exchange proposes to amend Exchange believes that the proposed • Send paper comments in triplicate footnote 3 to reflect NYSE’s increase in rates are equitable in that they apply to Elizabeth M. Murphy, Secretary, charge from $0.0021 per share to uniformly to all Members. The Securities and Exchange Commission, $0.0023 per share for removing liquidity Exchange believes the fees and credits 100 F Street, NE., Washington, DC in stocks priced below $1.00. The remain competitive with those charged Exchange also proposes to decrease the by other venues and therefore continue 20549–1090. rebate on Flag C (routed to Nasdaq BX, to be reasonable and equitably allocated All submissions should refer to File removes liquidity) from $0.0014 per to Members. Number SR–EDGA–2011–17. This file share to $0.0005 per share. B. Self-Regulatory Organization’s number should be included on the The Exchange proposes to implement subject line if e-mail is used. To help the these amendments to its fee schedule on Statement on Burden on Competition Commission process and review your June 1, 2011. The proposed rule change does not comments more efficiently, please use impose any burden on competition that Basis only one method. The Commission will is not necessary or appropriate in post all comments on the Commission’s The Exchange believes that the furtherance of the purposes of the Act. proposed rule change is consistent with Internet Web site (http://www.sec.gov/ the objectives of Section 6 of the Act,4 C. Self-Regulatory Organization’s rules/sro.shtml). Copies of the in general, and furthers the objectives of Statement on Comments on the submission, all subsequent Section 6(b)(4),5 in particular, as it is Proposed Rule Change Received From amendments, all written statements designed to provide for the equitable Members, Participants, or Others with respect to the proposed rule allocation of reasonable dues, fees and The Exchange has not solicited, and change that are filed with the other charges among its members and does not intend to solicit, comments on Commission, and all written other persons using its facilities. this proposed rule change. The communications relating to the The Exchange believes that the Exchange has not received any proposed rule change between the decreased rebate on Flag C when EDGA unsolicited written comments from Commission and any person, other than routes to Nasdaq BX is designed to members or other interested parties. those that may be withheld from the provide for the equitable allocation of III. Date of Effectiveness of the public in accordance with the reasonable dues, fees and other charges provisions of 5 U.S.C. 552, will be as it represents a straight pass through Proposed Rule Change and Timing for Commission Action available for Web site viewing and of Nasdaq BX’s decreased rebate from printing in the Commission’s Public $0.0014 per share to $0.0005 per share, The foregoing rule change has become Reference Room on official business which is effective June 1, 2011. EDGA effective pursuant to Section days between the hours of 10 a.m. and believes that it is reasonable and 19(b)(3)(A)(ii) of the Act 7 and Rule 19b– 3 p.m. Copies of such filing also will be equitable to pass on these fees to its 4(f)(2) 8 thereunder. At any time within available for inspection and copying at members. The Exchange believes that 60 days of the filing of the proposed rule the proposed rate is non-discriminatory change, the Commission summarily may the principal office of the Exchange. All in that it applies uniformly to all temporarily suspend such rule change if comments received will be posted Members. it appears to the Commission that such without change; the Commission does The increase in fee from $0.0021 per action is necessary or appropriate in the not edit personal identifying share to $0.0023 per share, as reflected public interest, for the protection of information from submissions. You in footnote 3, is assessed by NYSE for investors, or otherwise in furtherance of should submit only information that stocks priced below $1.00. This increase the purposes of the Act. If the you wish to make available publicly. All in fee is a pass through of NYSE’s Commission takes such action, the submissions should refer to File increased fee, effective January 3, 2011. Commission shall institute proceedings Number SR–EDGA–2011–17 and should The same rate change was made for to determine whether the proposed rule be submitted on or before July 5, 2011. orders in securities priced $1 and over should be approved or disapproved. For the Commission, by the Division of for securities that are routed or re-routed IV. Solicitation of Comments Trading and Markets, pursuant to delegated to NYSE (Flag D) in the Exchange’s fee authority.9 filing effective January 1, 2011.6 EDGA Interested persons are invited to believes that it is reasonable and submit written data, views, and Cathy H. Ahn, equitable to pass on these fees to its arguments concerning the foregoing, Deputy Secretary. members. The Exchange believes that including whether the proposed rule [FR Doc. 2011–14663 Filed 6–13–11; 8:45 am] the proposed rate is non-discriminatory change is consistent with the Act. BILLING CODE 8011–01–P in that it applies uniformly to all Comments may be submitted by any of Members. the following methods: The Exchange also notes that it Electronic Comments operates in a highly competitive market in which market participants can • Use the Commission’s Internet readily direct order flow to competing comment form (http://www.sec.gov/ rules/sro.shtml); or 4 15 U.S.C. 78f. 5 15 U.S.C. 78f(b)(4). 7 15 U.S.C. 78s(b)(3)(A)(ii). 6 See SR–EDGA–2010–26 (December 28, 2010). 8 17 CFR 19b–4(f)(2). 9 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s that a member quotes at the NBBO for COMMISSION Statement of the Purpose of, and each security will be calculated by Statutory Basis for, the Proposed Rule determining the percentage of time [Release No. 34–64636; File No. SR–BX– Change quoting at the best bid and the 2011–030] percentage of time quoting at the best 1. Purpose offer, and determining the average of the Self-Regulatory Organizations; BX is proposing to modify its fees for two percentages. Thus, for a given NASDAQ OMX BX, Inc.; Notice of Filing trades that execute at prices at or above security, if a member quotes at the best 3 and Immediate Effectiveness of $1. BX has a pricing model under bid 10% of the day, and at the best offer Proposed Rule Change To Modify Fees which members are charged for the 55% of the day, its average at the NBBO execution of quotes/orders posted on will be 32.5% ((10 + 55)/2). The for Members Using the NASDAQ OMX the BX book (i.e., quotes/orders that percentage for each day will then be BX Equities System provide liquidity), while members added and divided by the number of June 8, 2011. receive a rebate for orders that access trading days in the month to determine liquidity. Since BX introduced this the overall percentage in each stock.4 Pursuant to Section 19(b)(1) of the pricing model in 2009, several other With respect to the rebate paid to Securities Exchange Act of 1934 exchanges have emulated it, including members accessing liquidity, BX is (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 the EDGA Exchange, the BATS–Y modifying the fee schedule to provide notice is hereby given that, on May 25, Exchange, and the CBOE Stock that the current credit of $0.0014 will be 2011, NASDAQ OMX BX, Inc. (the Exchange (‘‘CBSX’’). Currently, BX paid only with respect to orders entered ‘‘Exchange’’) filed with the Securities charges a fee to add liquidity of $0.0018 by a member through an MPID through and Exchange Commission per share executed, while providing a which the member accesses an average (‘‘Commission’’) the proposed rule rebate for accessing liquidity of $0.0014 daily volume of 3.5 million or more change as described in Items I, II and III per share executed. shares of liquidity during the month, or below, which Items have been prepared Effective June 1, 2011, BX will provides an average daily volume of by the Exchange. The Commission is introduce a tiered pricing structure for 25,000 or more shares of liquidity publishing this notice to solicit both the fee and rebate portion of the during the month. Because these comments on the proposed rule change pricing schedule. First, although they requirements are not especially high, BX from interested persons. are not paid a credit for liquidity expects that most members seeking the provision, certain BX members higher rebate will be able to achieve at I. Self-Regulatory Organization’s nevertheless find it advantageous to least one of the criteria. However, for Statement of the Terms of Substance of post liquidity because the rebate paid to members that do not achieve these the Proposed Rule Change liquidity takers encourages more rapid requirements, the credit will be $0.0005 5 execution of posted orders. To provide per share executed. The change is The Exchange proposes to modify further incentives to members to post designed to ensure that the most pricing for member using the NASDAQ liquidity through BX, the Exchange is favorable rebate is provided to members OMX BX Equities System. The introducing a ‘‘Qualified Liquidity that consistently support the BX market Exchange will implement the proposed Provider’’ program. A Qualified through liquidity provision or order change on June 1, 2011. The text of the Liquidity Provider is a BX member with routing at the levels required by the new proposed rule change is available at (i) Shares of liquidity provided and (ii) tier. To the extent that the change http://nasdaqomxbx.cchwallstreet.com/, total shares of liquidity accessed and results in a fee increase for some at the Exchange’s principal office, on provided in all securities through one or members, it will also help to offset the the Commission’s Web site at http:// more of its NASDAQ OMX BX Equities cost of implementing the Qualified www.sec.gov, and at the Commission’s System Market Participant Identifiers Liquidity Provider program. Public Reference Room. (‘‘MPIDs’’) that represent more than 2. Statutory Basis 0.40% and 0.50%, respectively, of the II. Self-Regulatory Organization’s BX believes that the proposed rule total consolidated volume reported to change is consistent with the provisions Statement of the Purpose of, and all consolidated transaction reporting Statutory Basis for, the Proposed Rule of Section 6 of the Act,6 in general, and plans by all exchanges and trade with Section 6(b)(4) of the Act,7 in Change reporting facilities during the month. In its filing with the Commission, the With respect to displayed orders entered 4 The program is similar to the Supplemental Exchange included statements through any MPID of a Qualified Liquidity Provider program of the New York Stock Liquidity Provider that is a Qualified Exchange, under which members may earn concerning the purpose of and basis for MPID, the member will be charged progressively higher liquidity provider credits if the proposed rule change and discussed they satisfy a requirement of quoting at the NBBO $0.0015 per share executed, rather than any comments it received on the 10% or more of the time and add specified levels the current rate of $0.0018 per share of liquidity to the book, with the credit rising as the proposed rule change. The text of these executed. A ‘‘Qualified MPID’’ is an amount of liquidity provided increases. See http:// _ _ statements may be examined at the MPID through which the member quotes www.nyse.com/pdfs/nyse equities pricelist.pdf. 5 places specified in Item IV below. The at the national best bid or offer By comparison, under the fee schedule of the Exchange has prepared summaries, set EDGA Exchange, a member accessing liquidity can (‘‘NBBO’’) an average of at least 25% of earn a rebate of $0.00015 per share executed if it forth in Sections A, B, and C below, of the time during regular market hours adds or routes an average daily volume of 50,000 the most significant aspects of such (9:30 a.m. through 4 p.m.) during the shares on the EDGA Exchange, but is charged statements. $0.0030 per share executed if it does not. See http:// month, in at least 150 securities. For www.directedge.com/Membership/FeeSchedule/ each trading day, the percentage of time EDGAFeeSchedule.aspx. Thus, both aspects of BX’s proposed credit tiers are more favorable to its 3 Although BX is not modifying its fees for members than the corresponding credit/fee of the securities priced below $1, it is moving the EDGA Exchange. 1 15 U.S.C. 78s(b)(1). language describing such fees into Rule 7018(b) and 6 15 U.S.C. 78f. 2 17 CFR 240.19b–4. redesignating existing Rule 7018(b) as Rule 7018(c). 7 15 U.S.C. 78f(b)(4).

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particular, in that it provides for the remain competitive with other Electronic Comments equitable allocation of reasonable dues, exchanges and with alternative trading • fees and other charges among members systems that have been exempted from Use the Commission’s Internet and issuers and other persons using any compliance with the statutory standards comment form (http://www.sec.gov/ facility or system which BX operates or applicable to exchanges. BX believes rules/sro.shtml); or controls. All similarly situated members that the proposed rule change reflects • Send an e-mail to rule- are subject to the same fee structure, and this competitive environment because it [email protected]. Please include File access to BX is offered on fair and non- will use pricing incentives to encourage Number SR–BX–2011–030 on the discriminatory terms. greater use of BX’s order execution subject line. The new program for Qualified facilities. Liquidity Providers is reasonable and Paper Comments equitable because it will reduce fees for B. Self-Regulatory Organization’s • members that contribute to BX’s market Statement on Burden on Competition Send paper comments in triplicate quality by directing a relatively large BX does not believe that the proposed to Elizabeth M. Murphy, Secretary, quantity of orders to BX and quoting at rule change will result in any burden on Securities and Exchange Commission, the NBBO with regularity in a large competition that is not necessary or 100 F Street, NE., Washington, DC number of stocks. Volume-based appropriate in furtherance of the 20549–1090. discounts such as the proposed purposes of the Act, as amended. All submissions should refer to File Qualified Liquidity Provider program Because the market for order execution Number SR–BX–2011–030. This file have been widely adopted in the cash is extremely competitive, members may number should be included on the equities markets, and are equitable readily opt to disfavor BX’s execution subject line if e-mail is used. To help the because they are open to all members on services if they believe that alternatives an equal basis and provide discounts offer them better value. For this reason Commission process and review your that are reasonably related to the value and the reasons discussed in connection comments more efficiently, please use to an exchange’s market quality with the statutory basis for the proposed only one method. The Commission will associated the requirements for the rule change, BX does not believe that post all comments on the Commission’s favorable pricing tier. By adding not the proposed changes will impair the Internet Web site (http://www.sec.gov/ only volume requirements but also ability of members or competing order rules/sro.shtml). Copies of the requirements for Qualified Liquidity execution venues to maintain their submission, all subsequent Providers to quote at the NBBO with competitive standing in the financial amendments, all written statements some degree of consistency, BX believes markets. with respect to the proposed rule that it can use pricing incentives to change that are filed with the C. Self-Regulatory Organization’s increase quoted depth at the NBBO, Commission, and all written Statement on Comments on the thereby also benefiting market communications relating to the participants that direct orders to the Proposed Rule Change Received From Members, Participants, or Others proposed rule change between the quotes/orders of Qualified Liquidity Commission and any person, other than Providers. Written comments were neither those that may be withheld from the Similarly, the proposed pricing tier solicited nor received. public in accordance with the with respect to BX’s credit for members provisions of 5 U.S.C. 552, will be accessing liquidity is designed to III. Date of Effectiveness of the provide incentives for members to Proposed Rule Change and Timing for available for Web site viewing and contribute to BX’s market quality by Commission Action printing in the Commission’s Public accessing and/or providing liquidity. The foregoing rule change has become Reference Room, 100 F Street, NE., Orders that provide liquidity increase effective pursuant to Section Washington, DC 20549, on official the likelihood that members seeking to 19(b)(3)(A)(ii) of the Act.8 At any time business days between the hours of 10 access liquidity will have their orders within 60 days of the filing of the a.m. and 3 p.m. Copies of the filing also filled, while orders that access liquidity proposed rule change, the Commission will be available for inspection and encourage liquidity providers to post in summarily may temporarily suspend copying at the principal office of the the expectation of having their own such rule change if it appears to the Exchange. All comments received will orders filled. Accordingly, BX believes Commission that such action is be posted without change; the that it is reasonable and equitable to use necessary or appropriate in the public Commission does not edit personal pricing incentives, such as a higher interest, for the protection of investors, identifying information from rebate for accessing liquidity, to or otherwise in furtherance of the submissions. You should submit only encourage members to increase their purposes of the Act. If the Commission information that you wish to make participation in the market either takes such action, the Commission shall available publicly. All submissions through liquidity provision or routing of institute proceedings to determine should refer to File Number SR–BX– liquidity accessing orders. BX also notes whether the proposed rule should be 2011–030 and should be submitted on that the credits it offers, both to approved or disapproved. or before July 5, 2011. members achieving the tier and those that do not, are more favorable than the IV. Solicitation of Comments For the Commission, by the Division of credit/fee charged by the EDGA Interested persons are invited to Trading and Markets, pursuant to delegated Exchange in comparable circumstances. submit written data, views, and authority.9 Finally, BX notes that it operates in a arguments concerning the foregoing, Cathy H. Ahn, highly competitive market in which including whether the proposed rule Deputy Secretary. market participants can readily favor change is consistent with the Act. [FR Doc. 2011–14664 Filed 6–13–11; 8:45 am] competing venues if they deem fee Comments may be submitted by any of BILLING CODE 8011–01–P levels at a particular venue to be the following methods: excessive. In such an environment, BX must continually adjust its fees to 8 15 U.S.C. 78s(b)(3)(A)(ii). 9 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s 2. Statutory Basis COMMISSION Statement of the Purpose of, and The Exchange believes that the Statutory Basis for, the Proposed Rule proposed rule change is consistent with [Release No. 64629; File No. SR–Phlx–2011– Change the provisions of Section 6 of the Act,6 77] 1. Purpose in general, and with Section 6(b)(4) of the Act,7 in particular, in that it Self-Regulatory Organizations; Notice The Exchange proposes to amend the provides for the equitable allocation of of Filing and Immediate Effectiveness Fee Schedule regarding fees assessed for reasonable dues, fees and other charges of Proposed Rule Change by NASDAQ the installation of certain co-location among members and issuers and other OMX PHLX LLC To Amend the Fee services to further incentivize the use of persons using any facility or system Schedule Regarding Fees Assessed the co-location services. The installation which the Exchange operates or for the Installation of Certain Co- fees for the following co-location controls. The proposed installation fees Location Services services will be waived commencing in [sic] which the Exchange seeks a June 1, 2011 and ending June 30, 2011 June 8, 2011. temporary waiver will be assessed (the ‘‘designated period’’). Beginning equally to customers that place an order Pursuant to Section 19(b)(1) of the July 1, 2011, the above-referenced for a new cabinet during the designated Securities Exchange Act of 1934 waived fees will resume in full at the period. The proposed amendments will 1 2 (‘‘Act’’), and Rule 19b–4 thereunder, amount prior to [sic] designated period. provide an incentive for customers to notice is hereby given that on May 27, The Exchange proposes to waive the avail themselves of the designated co- 2011, NASDAQ OMX PHLX LLC following installation fees during the location services. The proposal is (‘‘Phlx’’ or ‘‘Exchange’’) filed with the designated period: similar to the waiver of fees during an Securities and Exchange Commission 1. Section X(a): Installation fees for introductory period for a product, and is (‘‘SEC’’ or ‘‘Commission’’) the proposed new cabinets with power. equitable because all persons may avail rule change as described in Items I, II, 2. Section X(b): Installation fees for themselves of the waiver during the and III, below, which Items have been external telecommunication, inter- period of its availability. prepared by the Exchange. The cabinet connectivity, connectivity to Commission is publishing this notice to B. Self-Regulatory Organization’s The Nasdaq Stock Market LLC and Statement on Burden on Competition solicit comments on the proposed rule market data connectivity related to an change from interested persons. order for a new cabinet. However, the The Exchange does not believe that I. Self-Regulatory Organization’s one-time telecommunication the proposed rule change will impose Statement of the Terms of Substance of connectivity expedite fee 3 will not be any burden on competition not the Proposed Rule Change waived during the designated period. necessary or appropriate in furtherance 3. Section X(c): Installation fees for of the purposes of the Act. The Exchange proposes to amend the cabinet power related to an order for a C. Self-Regulatory Organization’s Fee Schedule regarding fees assessed for new cabinet. Statement on Comments on the the installation of certain co-location Proposed Rule Change Received From services. While changes to the Fee 4. Section X(d): Installation fees for Members, Participants, or Others Schedule pursuant to this proposal are cooling fans, perforated floor tiles and effective upon filing, the Exchange has fiber downspouts, which are necessary No written comments were either designated these changes to be operative items to support a higher density solicited or received. on June 1, 2011. cabinet and fiber cross connects, relating to an order for a new cabinet III. Date of Effectiveness of the The text of the proposed rule change placed during the designated period. Proposed Rule Change and Timing for is available on the Exchange’s Web site Installation fees for other items that are Commission Action at http:// customized or options are not waived The foregoing rule change has become nasdaqomxphlx.cchwallstreet.com/, at during the time period. effective pursuant to Section the principal office of the Exchange, and The following requirements must be 19(b)(3)(A)(ii) of the Act.8 At any time at the Commission’s Public Reference met to receive the waiver of the within 60 days of the filing of the Room. installation fee: proposed rule change, the Commission II. Self-Regulatory Organization’s 1. The new cabinet order must be summarily may temporarily suspend Statement of the Purpose of, and placed in the CoLo Console 4 during the such rule change if it appears to the Statutory Basis for, the Proposed Rule designated period; and Commission that such action is Change 2. the new cabinet must be live within necessary or appropriate in the public 5 interest, for the protection of investors, In its filing with the Commission, the 90 days of the date of the order. or otherwise in furtherance of the Exchange included statements purposes of the Act. If the Commission concerning the purpose of and basis for 3 The one-time telecommunication connectivity takes such action, the Commission shall the proposed rule change and discussed expedite fee is a fee for an optional request to complete the installation in a shorter time period institute proceedings to determine any comments it received on the than the install timeframes. whether the proposed rule should be proposed rule change. The text of these 4 The ‘‘CoLo Console’’ is a Web-based ordering approved or disapproved. statements may be examined at the tool that is utilized by Phlx to place co-location places specified in Item IV below. The orders. IV. Solicitation of Comments 5 Exchange staff generally installs and makes Exchange has prepared summaries, set operational a new cabinet within 90 days of the Interested persons are invited to forth in sections A, B, and C below, of date of the order (the ‘‘live date’’). The estimated submit written data, views, and the most significant aspects of such live date is communicated to the customer. arguments concerning the foregoing, statements. However, there may be instances where the customer desires the live date to be later than the estimated live date provided by Exchange staff. In 6 15 U.S.C. 78f. 1 15 U.S.C. 78s(b)(1). such instances, the live date cannot extend beyond 7 15 U.S.C. 78f(b)(4). 2 17 CFR 240.19b–4. 90 days of the date of the order. 8 15 U.S.C. 78s(b)(3)(A)(ii).

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including whether the proposed rule SMALL BUSINESS ADMINISTRATION Percent change is consistent with the Act. [Disaster Declaration #12615 and #12616] Comments may be submitted by any of Non-Profit Organizations With the following methods: Credit Available Elsewhere ... 3.250 Oklahoma Disaster #OK–00050 Non-Profit Organizations With- Electronic Comments AGENCY: U.S. Small Business out Credit Available Else- • Use the Commission’s Internet Administration. where ...... 3.000 comment form (http://www.sec.gov/ For Economic Injury: ACTION: Notice. Businesses & Small Agricultural rules/sro.shtml); or • Cooperatives Without Credit Send an e-mail to rule- SUMMARY: This is a Notice of the Available Elsewhere ...... 4.000 [email protected]. Please include File Presidential declaration of a major Non-Profit Organizations With- Number SR–Phlx–2011–77 on the disaster for the State of Oklahoma out Credit Available Else- subject line. (FEMA–1989–DR), dated 06/06/2011. where ...... 3.000 Incident: Severe Storms, Tornadoes, Paper Comments Straight-line Winds, and Flooding. The number assigned to this disaster • Send paper comments in triplicate Incident Period: 05/22/2011 through for physical damage is 12615B and for to Elizabeth M. Murphy, Secretary, 05/25/2011. economic injury is 126160. Securities and Exchange Commission, Effective Date: 06/06/2011. (Catalog of Federal Domestic Assistance 100 F Street, NE., Washington, DC Physical Loan Application Deadline Numbers 59002 and 59008) 20549–1090. Date: 08/05/2011. All submissions should refer to File Economic Injury (EIDL) Loan Jane M. D. Pease, Number SR–Phlx–2011–77. This file Application Deadline Date: 03/06/2012. Acting Associate Administrator for Disaster number should be included on the ADDRESSES: Submit completed loan Assistance. subject line if e-mail is used. To help the applications to: U.S. Small Business [FR Doc. 2011–14595 Filed 6–13–11; 8:45 am] Commission process and review your Administration, Processing And BILLING CODE 8025–01–P comments more efficiently, please use Disbursement Center, 14925 Kingsport only one method. The Commission will Road, Fort Worth, TX 76155. post all comments on the Commission’s FOR FURTHER INFORMATION CONTACT: A. Internet Web site (http://www.sec.gov/ Escobar, Office of Disaster Assistance, TENNESSEE VALLEY AUTHORITY rules/sro.shtml). Copies of the U.S. Small Business Administration, Permanent Dam Safety Modification at submission, all subsequent 409 3rd Street, SW., Suite 6050, amendments, all written statements Cherokee, Fort Loudoun, Tellico, and Washington, DC 20416. Watts Bar Dams, TN with respect to the proposed rule SUPPLEMENTARY INFORMATION: Notice is change that are filed with the hereby given that as a result of the AGENCY: Tennessee Valley Authority. Commission, and all written President’s major disaster declaration on ACTION: Notice of intent. communications relating to the 06/06/2011, applications for disaster proposed rule change between the loans may be filed at the address listed SUMMARY: This notice is provided in Commission and any person, other than above or other locally announced accordance with the Council on those that may be withheld from the locations. Environmental Quality’s regulations (40 public in accordance with the The following areas have been CFR parts 1500 to 1508) and Tennessee provisions of 5 U.S.C. 552, will be determined to be adversely affected by Valley Authority’s (TVA) procedures for available for Web site viewing and the disaster: implementing the National printing in the Commission’s Public Primary Counties (Physical Damage and Environmental Policy Act (NEPA). TVA Reference Room, 100 F Street, NE., Economic Injury Loans): will prepare an environmental review Washington, DC 20549, on official Canadian, Delaware, Grady, (in the form of an environmental business days between the hours of 10 Kingfisher, Logan, Mcclain, assessment [EA] or an environmental a.m. and 3 p.m. Copies of the filing also Contiguous Counties (Economic Injury impact statement [EIS]) to address the will be available for inspection and Loans Only): potential impacts to the natural, copying at the principal office of the Oklahoma: Adair, Blaine, Caddo, physical, and human environment Exchange. All comments received will Cherokee, Cleveland, Comanche, resulting from various alternatives for be posted without change; the Craig, Garfield, Garvin, Lincoln, permanent modifications to the existing Commission does not edit personal Major, Mayes, Noble, Oklahoma, dam facilities at Cherokee, Fort identifying information from Ottawa, Payne, Pontotoc, Loudoun, Tellico, and Watts Bar dams submissions. You should submit only Pottawatomie, Stephens. in Tennessee. The level of review will information that you wish to make Arkansas: Benton. be determined after the public scoping available publicly. Missouri: McDonald. process has been completed. TVA is All submissions should refer to File The Interest Rates are: evaluating long-term permanent Number SR–Phlx–2011–77 and should solutions for dam safety modifications be submitted on or before July 5, 2011. Percent to replace interim modifications that For the Commission, by the Division of were implemented at the dams. Trading and Markets, pursuant to delegated For Physical Damage: DATES: To ensure consideration, authority.9 Homeowners With Credit Avail- comments on the scope of the Cathy H. Ahn, able Elsewhere ...... 5.375 environmental issues must be Homeowners Without Credit Deputy Secretary. Available Elsewhere ...... 2.688 postmarked or e-mailed no later than [FR Doc. 2011–14661 Filed 6–13–11; 8:45 am] Businesses With Credit Avail- August 5, 2011. When a draft BILLING CODE 8011–01–P able Elsewhere ...... 6.000 environmental review (either an EA or Businesses Without Credit EIS) is prepared, it will be made 9 17 CFR 200.30–3(a)(12). Available Elsewhere ...... 4.000 available for public review.

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ADDRESSES: Written comments should TVA must now develop permanent embankment of Watts Bar Dam would be sent to Kenneth P. Parr, NEPA solutions for the precautionary remain. This alternative is similar to the Specialist, NEPA Compliance, measures that were put in place to situation at the dams prior to placing Environmental Permits and Compliance, correct safety deficiencies identified at the HESCO baskets on the dams as an Tennessee Valley Authority, 1101 Cherokee, Fort Loudoun, Tellico and interim solution for management of the Market Street (LP 5U), Chattanooga, Watts Bar dams. The need for the potential maximum flood events. Under Tennessee 37402–2801. Comments may proposed action is to prevent the this alternative, overtopping of the dams be e-mailed to [email protected], impacts associated with dam failure. would be possible during a very low- submitted by fax to 423–751–3230, or TVA has developed alternatives that risk probable maximum flood event. entered online at http//www.tva.com/ consider the level of risk reduction to The downstream integrity of the dam environment/reports/index.htm. the public, constructability, potential embankments could be compromised, FOR FURTHER INFORMATION CONTACT: environmental impacts, and cost. thus jeopardizing the public safety of downstream residents and the safety of David Lane, Environmental Engineer, Proposed Alternatives Tennessee Valley Authority, 400 West TVA’s critical facilities. The analysis of Summit Hill Drive (GRN 2E), Knoxville, TVA has performed preliminary this alternative would contain a Tennessee, 37902–1499; e-mail: internal scoping and identified a No discussion/justification regarding the Action Alternative and two Action [email protected]. reasons for placing the baskets on top of Alternatives: permanent modifications the dams to address this low-risk event. SUPPLEMENTARY INFORMATION: to dam structures and removal of the Proposed Issues To Be Addressed Background temporary HESCO baskets before the end of their useful life. The environmental review will TVA evaluates its dam safety program The No Action Alternative is the contain descriptions of the existing regularly (especially as technology and current existing condition at the environmental and socioeconomic standards evolve and when more or Cherokee, Fort Loudoun, Tellico, and resources within the area that would be better data become available) and Watts Bar dam sites. A permanent affected by construction, operation, and modifies its dams as needed to ensure concrete mat structure has been maintenance of the proposed permanent the structural integrity of TVA dams and installed in the downstream dam modifications. Evaluation of the safety of the public. Periodic embankment of Watts Bar Dam, and potential environmental impacts to updates regarding maximum flood HESCO baskets have been installed at these resources will include, but will conditions are conducted when Cherokee, Fort Loudoun, Tellico, and not necessarily be limited to, the parameters used in flood modeling Watts Bar dams. These items would potential impacts on water quality, change, e.g., probable maximum remain in place and would be aquatic and terrestrial ecology, precipitation or river operation maintained as needed. These temporary endangered and threatened species, guidelines. TVA assumes the most measures were installed to prevent wetlands, aesthetics and visual extreme weather event reasonably floodwaters from potentially resources, recreation, land use, historic possible when determining maximum overtopping the dams and to ensure the and archaeological resources, and flood conditions of the river system. integrity of the downstream socioeconomic resources. The need and TVA’s most recent probable maximum embankments, thus increasing the purpose of the project will be described. flood calculations indicate that a worst- public safety of downstream residents The final range of issues to be addressed case winter storm could cause water to and the safety of TVA’s critical nuclear in the environmental review will be go over the top of some dams even with facility operations. determined, in part, from scoping the floodgates wide open, possibly Under the first Action Alternative, the comments. The preliminary causing dam failure. Failure of any dam HESCO baskets would be replaced, and identification of reasonable alternatives would result in loss of stored water for permanent dam modifications would be and environmental issues in this notice navigation, impacts to fish and wildlife made to each of the four dam structures. is not meant to be exhaustive or final. resources, loss of recreational The potential modifications could opportunities, and possible property include construction of concrete Public and Agency Participation damage, personal injury, and loss of life. floodwalls, raising of earth The environmental review is being Failure also could result in failures to embankments, or a combination of prepared to inform decision makers and downstream dams. floodwalls and raised earth the public about the potential To minimize the potential effects of a embankments. The permanent concrete environmental effects of TVA’s options severe flooding event predicted by mat structure in the downstream for minimizing the potential effects of a revised probable maximum flood embankment of Watts Bar Dam would severe flooding event predicted by modeling, precautionary measures have remain in place. Under this alternative, revised probable maximum flood been implemented on top of the earth the potential for overtopping of the modeling. The draft EA or EIS is embankments at four (Cherokee, Fort dams during a probable maximum flood anticipated to be available in late Loudoun, Tellico, and Watts Bar) dams. event would be prevented. This would summer 2011. Any changes to this These measures included raising dam ensure that the integrity of the schedule will be posted on the TVA elevations about 3 to 4 feet by placing downstream embankments would be Web site: http://www.tva.com/ interconnected, fabric-lined, sand-filled maintained and thereby increase the environment/reports/index.htm. The HESCO containers in order to safely public safety of downstream residents environmental review process will also pass predicted worst-case floodwaters, and the safety of TVA’s critical nuclear serve to inform the public and the to avoid dam overtopping and possible facilities. decision makers of the reasonable impacts to the downstream Under the second Action Alternative, measures that would be implemented to embankment, and to provide additional TVA would consider removal of the minimize adverse impacts. Other floodwater storage capacity. The temporary HESCO baskets from the dam Federal, state, and local agencies and downstream embankment of Watts Bar structures before the end of their useful governmental entities are invited to Dam has also been strengthened with life. The permanent concrete mat provide scoping comments. These concrete matting. structure installed in the downstream agencies include, but are not limited to,

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the U.S. Army Corps of Engineers, U.S. submitting written views, data, or Administration (FRA) grant a Fish and Wildlife Service, Tennessee comments. FRA does not anticipate modification of the single car air brake Department of Environment and scheduling a public hearing in test procedures as prescribed in 49 CFR Conservation, and the Tennessee State connection with these proceedings since 232.305(a). FRA assigned the request Historic Preservation Officer. the facts do not appear to warrant a Docket Number FRA–2010–0174. The public is invited to submit hearing. If any interested party desires PATH operates a fleet of 25 flat cars comments on the scope of the an opportunity for oral comment, they in consist with revenue cars utilized as environmental review no later than the should notify FRA, in writing, before locomotives in ‘‘work’’ trains, where the date given under the DATES section of the end of the comment period and friction brakes operate in conjunction this notice. TVA will conduct an specify the basis for their request. with the RT2 system of straight air brake additional public review after the draft All communications concerning these employed on PATH cars. The single car EA or EIS is prepared. proceedings should identify the air brake test described in Association of American Railroads (AAR) S–486 Dated: June 8, 2011. appropriate docket number and may be (incorporated by reference in 49 CFR Anda A. Ray, submitted by any of the following methods: 232.305) is intended for freight cars Senior Vice President, Environment and • with automatic brake systems that are Technology. Web site: http:// www.regulations.gov. Follow the online significantly different than the RT2 [FR Doc. 2011–14637 Filed 6–13–11; 8:45 am] instructions for submitting comments. system utilized by PATH. As such, BILLING CODE 8120–08–P • Fax: 202–493–2251. PATH believes that a brake system • Mail: Docket Operations Facility, inspection and testing procedure similar U.S. Department of Transportation, 1200 to that performed on PATH MU DEPARTMENT OF TRANSPORTATION New Jersey Avenue, SE., W12–140, locomotives is required since a conventional AAR S–486 single car air Federal Railroad Administration Washington, DC 20590. • Hand Delivery: 1200 New Jersey brake test cannot be performed on these [Docket Number FRA–2011–0041] Avenue, SE., Room W12–140, flat cars. Washington, DC 20590, between 9 a.m. PATH requests a modification to the Notice of Application for Approval of and 5 p.m., Monday through Friday, single car air brake test procedure Discontinuance or Modification of a except Federal Holidays. required in 49 CFR 232.305 by the Railroad Signal System Communications received by July 29, adoption of ‘‘Procedure for the Inspection/Testing of PATH Flat Cars’’ In accordance with Part 235 of Title 2011 will be considered by FRA before final action is taken. Comments received (05/04/11 revision), Docket Number 49 of the Code of Federal Regulations FRA–2010–0174–0004.1; and (CFR) and 49 U.S.C. 20502(a), this after that date will be considered as far as practicable. ‘‘Procedure for the Inspection/Testing of document provides the public notice PATH Flat Cars Addendum Brake that by a document dated April 22, Anyone is able to search the electronic form of any written Rigging Inspection and Slack 2011, the National Railroad Passenger Adjustment’’ (05/04/11), Docket Corporation (Amtrak) has petitioned the communications and comments received into any of our dockets by the Number FRA–2010–0174–0005.1. Federal Railroad Administration (FRA) Copies of these documents and the seeking approval for the discontinuance name of the individual submitting the comment (or signing the comment, if petition, as well as any written or modification of a signal system. FRA communications concerning the assigned the petition Docket Number submitted on behalf of an association, business, labor union, etc.). You may petition, is available for review online at FRA–2011–0041. http://www.regulations.gov and in Amtrak seeks approval of the review DOT’s complete Privacy Act Statement in the Federal Register person at the Department of proposed decrease of the limits of Hart Transportation’s Docket Operations Interlocking, milepost 32.7 on Amtrak’s published on April 11, 2000 (Volume 65, Number 70; Pages 19477–78). Facility, 1200 New Jersey Avenue, SE., Springfield Line, Northeast Division W12–140, Washington, DC 20590. The East in Hartford, Connecticut. The Issued in Washington, DC on June 9, 2011. Docket Operations Facility is open from proposed decrease of limits consists of Robert C. Lauby, 9 a.m. to 5 p.m., Monday through moving the 2S signal on the siding Deputy Associate Administrator for Friday, except Federal Holidays. south to the clearance point of the No. Regulatory & Legislative Operations. Interested parties are invited to 12 switch adjacent to the 1S signal that [FR Doc. 2011–14733 Filed 6–13–11; 8:45 am] participate in these proceedings by is on track number 1; eliminating the 3S BILLING CODE 4910–06–P submitting written views, data, or signal and making the No. 32 power- comments. All communications operated switch a hand-operated switch, concerning these proceedings should which will be outside of the decreased DEPARTMENT OF TRANSPORTATION identify the appropriate docket number interlocking limits (e.g., Docket Number FRA–2010–0174) A copy of the petition, as well as any Federal Railroad Administration and may be submitted by any of the written communications concerning the [ Docket Number FRA–2010–0174] following methods: petition, is available for review online at • Web site: http:// http://www.regulations.gov and in Petition for Modification of Single Car www.regulations.gov. Follow the online person at the Department of Air Brake Test Procedures instructions for submitting comments. Transportation’s Docket Operations • Fax: 202–493–2251. Facility, 1200 New Jersey Ave., SE., In accordance with Part 232 of Title • Mail: Docket Operations Facility, W12–140, Washington, DC 20590. The 49 of the Code of Federal Regulations U.S. Department of Transportation, 1200 Docket Operations Facility is open from (CFR), this document provides the New Jersey Avenue, SE., W12–140, 9 a.m. to 5 p.m., Monday through public notice that by a document dated Washington, DC 20590. Friday, except Federal Holidays. November 19, 2010, the Port Authority • Hand Delivery: 1200 New Jersey Interested parties are invited to Trans-Hudson Corporation (PATH) has Avenue, SE., Room W12–140, participate in these proceedings by requested the Federal Railroad Washington, DC 20590, between 9 a.m.

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and 5 p.m., Monday through Friday, Amended Exhibit A has not yet met the name of the individual submitting the except Federal Holidays. joint filing requirement of the [hours of comment (or signing the comment, if Communications received by August service law] as outlined in FRA’s March submitted on behalf of an association, 15, 2011 will be considered by FRA 5, 2010, letter, that railroad is not a business, labor union, etc.). You may before final action is taken. Pursuant to party to this waiver.’’ Recognizing that review DOT’s complete Privacy Act 232.307(d), if no comment objecting to as a practical matter, the posting of Statement in the Federal Register the requested modification is received FRA’s final decision letter in Docket published on April 11, 2000 (Volume during the 60-day comment period, or if Number FRA–2009–0078 may have 65, Number 70; Pages 19477–78) or FRA does not issue a written objection crossed with the submission of the York online at http://www.dot.gov/ to the requested modification, the Railway’s request to be included in the privacy.html. modification will become effective waiver. FRA is addressing that request Issued in Washington, DC on June 9, 2011. in this docket (FRA–2011–0035). August 29, 2011. Robert C. Lauby, Anyone is able to search the Accordingly, a copy of York Railway’s submission has been placed in Docket Deputy Associate Administrator for electronic form of any written Regulatory & Legislative Operations. communications and comments Number FRA–2011–0035, and FRA will received into any of our dockets by the address that request for relief from the [FR Doc. 2011–14732 Filed 6–13–11; 8:45 am] name of the individual submitting the hours of service law requirements in BILLING CODE 4910–06–P comment (or signing the comment, if conjunction with ASLRRA’s April 15, 2011, petition. submitted on behalf of an association, DEPARTMENT OF TRANSPORTATION business, labor union, etc.). You may A copy of the petition, as well as any review DOT’s complete Privacy Act written communications concerning the Federal Railroad Administration Statement in the Federal Register petition, is available for review online at published on April 11, 2000 (Volume http://www.regulations.gov and in [Docket Number FRA–2005–21613] 65, Number 70; Pages 19477–78) or person at the Department of online at http://www.dot.gov/ Transportation’s Docket Operations Petition for Waiver of Compliance privacy.html. Facility, 1200 New Jersey Ave., SE., W12–140, Washington, DC 20590. The Issued in Washington, DC on June 9, 2011. In accordance with Part 211 of Title Docket Operations Facility is open from Robert C. Lauby, 49 of the Code of Federal Regulations 9 a.m. to 5 p.m., Monday through (CFR), this document provides the Deputy Associate Administrator for Friday, except Federal Holidays. Regulatory & Legislative Operations. public notice that by a document dated Interested parties are invited to April 26, 2011, and an amending [FR Doc. 2011–14730 Filed 6–13–11; 8:45 am] participate in these proceedings by document dated May 3, 2011, the BILLING CODE 4910–06–P submitting written views, data, or Association of American Railroads comments. FRA does not anticipate (AAR) has petitioned the Federal scheduling a public hearing in DEPARTMENT OF TRANSPORTATION Railroad Administration (FRA) for a connection with these proceedings since waiver of compliance from certain Federal Railroad Administration the facts do not appear to warrant a provisions of the Federal railroad safety hearing. If any interested party desires regulations contained at 49 CFR Part [Docket Number FRA–2011–0035] an opportunity for oral comment, they 229. FRA assigned the petition Docket should notify FRA, in writing, before Number FRA–2005–21613. Petition for Waiver of Compliance the end of the comment period and FRA granted an extension of waiver In accordance with Part 211 of Title specify the basis for their request. Docket Number FRA–2005–21613 to All communications concerning these 49 of the Code of Federal Regulations AAR on May 3, 2011, continuing an proceedings should identify the (CFR), this document provides the extensive testing and inspection appropriate docket number and may be public notice that by a document dated program to determine extended clean, submitted by any of the following April 15, 2011, the American Short Line repair and test intervals for air brake methods: and Regional Railroad Association • Web site: http:// valves and related components as (ASLRRA), on behalf of seven of its www.regulations.gov. Follow the online required by the Railroad Locomotive member railroads, has petitioned the instructions for submitting comments. Safety Standards at 49 CFR 229.27 Federal Railroad Administration (FRA) • Fax: 202–493–2251. Annual tests and 229.29 Biannual tests. for a waiver of compliance from certain • Mail: Docket Operations Facility, Fourteen (14) separate groups of provisions of the Federal hours of U.S. Department of Transportation, 1200 locomotives were identified for service laws contained at 49 U.S.C. New Jersey Avenue, SE., W12–140, investigation in the waiver approval 21103(a)(4). FRA assigned the petition Washington, DC 20590. letter. Among the variables between Docket Number FRA–2011–0035. • Hand Delivery: 1200 New Jersey groups are the model of electronic In their petition, ASLRRA seeks the Avenue, SE., Room W12–140, airbrake system used on the locomotives identical relief granted in FRA’s March Washington, DC 20590, between 9 a.m. and whether the group of locomotives 5, 2010, decision in FRA Docket and 5 p.m., Monday through Friday, was manufactured by General Electric Number 2009–0078, related to 49 U.S.C. except Federal Holidays. (GE) or ElectroMotive Diesel (EMD). 21103(a)(4), for these additional seven Communications received by July 29, AAR has now submitted additional railroads. In addition, subsequent to 2011 will be considered by FRA before requests for modification of this waiver. FRA’s issuance of a final decision in final action is taken. Comments received The first request is to add locomotives Docket Number FRA–2009–0078, the after that date will be considered as far equipped with New York Air Brake York Railway submitted a comment in as practicable. (NYAB) CCB–26 model brake systems in that docket seeking to become a party to Anyone is able to search the the same group as locomotives equipped the waiver. In its March 15, 2011, letter, electronic form of any written with CCB–II brake systems. Also, AAR FRA specifically indicated that ‘‘[i]f a communications and comments has requested that the distinction railroad listed on ASLRRA’s Second received into any of our dockets by the between locomotive manufacturers be

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dropped, thus reducing the number of published on April 11, 2000 (Volume (i) Whether the proposed collection of groups to be tested. 65, Number 70; Pages 19477–78) or information is necessary for the proper In support of this petition, AAR online at http://www.dot.gov/ performance of the functions of the submitted supporting documentation privacy.html. agency, including whether the from NYAB attesting to the essential Issued in Washington, DC on June 9, 2011. information will have practical utility; similarity of the CCB–26 brake system to (ii) The accuracy of the agency’s Robert C. Lauby, the CCB–II brake system already estimate of the burden of the proposed covered under the waiver. In addition, Deputy Associate Administrator for collection of information, including the Regulatory & Legislative Operations. AAR states that testing performed to validity of the methodology and date under this waiver has allayed [FR Doc. 2011–14731 Filed 6–13–11; 8:45 am] assumptions used; concerns that air brake system BILLING CODE 4910–06–P (iii) How to enhance the quality, performance would vary between EMD utility, and clarity of the information to and GE locomotives. be collected; and A copy of the petition, as well as any DEPARTMENT OF TRANSPORTATION (iv) How to minimize the burden of written communications concerning the National Highway Traffic Safety the collection of information on those petition, is available for review online at Administration who are to respond, including the use http://www.regulations.gov and in of appropriate automated, electronic, person at the Department of [U.S. DOT Docket Number NHTSA–2011– mechanical, or other technological Transportation’s Docket Operations 0039] collection techniques or other forms of Facility, 1200 New Jersey Ave., SE., information technology, e.g. permitting Reports, Forms, and Recordkeeping W12–140, Washington, DC 20590. The electronic submission of responses. Requirements Docket Operations Facility is open from In compliance with these 9 a.m. to 5 p.m., Monday through AGENCY: National Highway Traffic requirements, NHTSA asks for public Friday, except Federal Holidays. Safety Administration (NHTSA), U.S. comments on the following collection of Interested parties are invited to Department of Transportation. information: Title: Defect and Noncompliance participate in these proceedings by ACTION: Notice. submitting written views, data, or Reporting and Notification. comments. FRA does not anticipate SUMMARY: In compliance with the Type of Request: Extension of a scheduling a public hearing in Paperwork Reduction Act of 1995 (44 currently approved information connection with these proceedings since U.S.C. 3501 et seq.), this notice collection. the facts do not appear to warrant a announces that the Information OMB Control Number: 2127–0004. hearing. If any interested party desires Collection Request (ICR) abstracted Affected Public: Businesses or an opportunity for oral comment, they below has been forwarded to the Office individuals. Abstract: This notice requests should notify FRA, in writing, before of Management and Budget (OMB) for comment on NHTSA’s proposed the end of the comment period and review and comment. The ICR describes extension to approved collection of specify the basis for their request. the nature of the information collections All communications concerning these and their expected burden. The Federal information OMB No. 2127–0004. This proceedings should identify the Register Notice with a 60-day comment collection covers the information appropriate docket number and may be period was published on March 28, collection requirements found within submitted by any of the following 2011 (76 FR 17186). various statutory sections in the Motor Vehicle Safety Act of 1966 (Act), 49 methods: DATES: Comments must be submitted to U.S.C. 30101, et seq., that address and • Web site: http:// OMB on or before July 14, 2011. require manufacturer notifications to www.regulations.gov. Follow the online ADDRESSES: Send comments to the instructions for submitting comments. NHTSA of safety-related defects and • Office of Information and Regulatory failures to comply with Federal Motor Fax: 202–493–2251. Affairs, OMB, 725 17th Street, NW., • Mail: Docket Operations Facility, Vehicle Safety Standards (FMVSS) in Washington, DC 20503, Attention: Desk U.S. Department of Transportation, 1200 motor vehicles and motor vehicle Officer. New Jersey Avenue, SE., W12–140, equipment, as well as the provision of Washington, DC 20590. FOR FURTHER INFORMATION CONTACT: Alex particular information related to the • Hand Delivery: 1200 New Jersey Ansley, Recall Management Division ensuing owner and dealers notifications Avenue, SE., Room W12–140, (NVS–215), Room W46–412, NHTSA, and free remedy campaigns that follow Washington, DC 20590, between 9 a.m. 1200 New Jersey Ave., Washington, DC those notifications. The sections of the and 5 p.m., Monday through Friday, 20590. Telephone: (202) 493–0481. Act imposing these requirements except Federal Holidays. SUPPLEMENTARY INFORMATION: Under the include 49 U.S.C. 30118, 30119, 30120, Communications received by July 29, Paperwork Reduction Act of 1995, and 30166. Many of these requirements 2011will be considered by FRA before before an agency submits a proposed are implemented through, and final action is taken. Comments received collection of information to OMB for addressed with more specificity in, 49 after that date will be considered as far approval, it must first publish a CFR Part 573, Defect and as practicable. document in the Federal Register Noncompliance Responsibility and Anyone is able to search the providing a 60-day comment period and Reports (Part 573) and 49 CFR 577, electronic form of any written otherwise consult with members of the Defect and Noncompliance Notification. communications and comments public and affected agencies concerning Pursuant to the Act, motor vehicle received into any of our dockets by the each proposed collection of information. and motor vehicle equipment name of the individual submitting the The OMB has promulgated regulations manufacturers are obligated to notify, comment (or signing the comment, if describing what must be included in and then provide various information submitted on behalf of an association, such a document. Under OMB’s and documents, to NHTSA in the event business, labor union, etc.). You may regulation, see 5 CFR 1320.8(d), an a safety defect or noncompliance with review DOT’s complete Privacy Act agency must ask for public comment on Federal Motor Vehicle Safety Standards Statement in the Federal Register the following: (FMVSS) is identified in products they

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manufactured. See 49 U.S.C. 30118(b) person to whom the tire was sold or working days. See 49 CFR and 49 CFR 573.6 (requiring leased takes possession of it. 577.8(c)(2)(iv). As a practical matter, manufacturers to notify NHTSA, and Estimated Burden: This collection has this requirement would only apply to provide certain information, when they an approved burden of 21,370 hours per equipment manufacturers since vehicle learn of a safety defect or year.1 Our review of recall information manufacturers generally sell and lease noncompliance). Manufacturers are since we last requested approval of this vehicles through a dealer network, and further required to notify owners, collection does not demonstrate that not through independent distributors. purchasers, dealers and distributors this figure requires adjustment. A We continue to believe previous about the safety defect or summary explanation of how this total estimates of roughly 90 equipment noncompliance. See 49 U.S.C. 30118(b), annual figure was calculated follows. recalls per year are sound. Although the 30120(a), and 49 CFR 577.7, 577.13. There continue to be an average of distributors are not technically under They are required to provide to NHTSA 650 noncompliance or safety defect any regulatory requirement to follow copies of communications pertaining to notifications to NHTSA filed each year that instruction, we expect that they recall campaigns that they issue to by approximately 175 distinct will, and have estimated the burden owners, purchasers, dealers, and manufacturers, with an estimated 750 associated with these notifications distributors. See 49 U.S.C. 30166(f) and quarterly reports filed per quarter (or (identifying retail outlets, making copies 49 CFR 573.6(c)(10). 3,000 reports per year). Although the of the manufacturer’s notice, and Manufacturers are also required to file average number of recalls filed per year mailing) to be 5 hours per recall with NHTSA a plan explaining how and the average number of campaign. Assuming an average of 3 they intend to reimburse owners and manufacturers filing fluctuates each distributors per equipment item, (which purchasers who paid to have their year, we have not seen, nor expect to is a liberal estimate given that many products remedied before being notified see, consistent dramatic changes in equipment manufacturers do not use of the safety defect or noncompliance, these averages. independent distributors) the total and explain that plan in the We continue to estimate that it takes number of burden hours associated with notifications they issue to owners and a manufacturer an average of 4 hours to this third party notification burden is complete each notification report to approximately 1,350 hours per year (90 purchasers about the safety defect or × × noncompliance. See 49 U.S.C. 30120(d) NHTSA, that it takes another 4 hours to recalls 3 distributors 5 hours). and 49 CFR 573.13. They are further complete each quarterly report, and that As for the burden linked with a required to keep lists of the respective maintenance of the required owner, manufacturer’s preparation of and owners, purchasers, dealers, purchaser, dealer and distributors lists notification concerning its distributors, lessors, and lessees of the requires 8 hours. Accordingly, the reimbursement for pre-notification remedies, consistent with previous products determined to be defective or subtotal estimate of annual burden estimates (see 69 FR 11477 (March 10, noncompliant and involved in a recall hours related to the reporting to NHTSA 2004)), we continue to estimate that campaign, and are required to provide of a safety defect or noncompliance, preparing a plan for reimbursement NHTSA with a minimum of six completion of quarterly reports on the takes approximately 8 hours annually, quarterly reports reporting on the progress of recall campaigns, and and that an additional 2 hours per year progress of their recall campaigns. See maintenance of owner and purchaser is spent tailoring the plan to particular 49 CFR 573.8 and 573.7, respectively. lists is 16,000 hours annually ((650 × defect and noncompliance notifications The Act and Part 573 also contain notices 4 hours/report) + (3,000 × to NHTSA and adding tailored language numerous information collection quarterly reports 4 hours/report) + × about the plan to a particular safety requirements specific to tire recall and (175 manufacturers 8 hours)). In addition, we continue to estimate recall’s owner notification letters. In remedy campaigns. These requirements sum, these required activities add an relate to the proper disposal of recalled an additional 2 hours will be needed to add to a manufacturer’s information additional 2,700 annual burden hours tires, including a requirement that the ((175 manufacturers × 8 hours) + (650 manufacturer conducting the tire recall report details relating to the × manufacturer’s intended schedule for recalls 2 hours)). submit a plan and provide specific In summary, the total burden notifying its dealers and distributors, instructions to certain persons (such as associated with the defect and and tailoring its notifications to dealers dealers and distributors) addressing that noncompliant information collection and distributors in accordance with the disposal, and a requirement that those and reporting requirements we continue requirements of 49 CFR 577.13. This persons report back to the manufacturer to estimate at 21,350 hours per year. certain deviations from the plan. See 49 would total to an estimated 1,300 hours × As explained earlier, the Act and Part U.S.C. 30120(d) and 49 CFR 573.6(c)(9). annually (650 notices 2 hours/report). 573 also contain numerous information They also require the reporting to In the event a manufacturer supplied collection requirements specific to tire NHTSA of intentional and knowing the defect or noncompliant product to recall and remedy campaigns, as well as sales or leases of defective or independent dealers through a statutory and regulatory reporting noncompliant tires. independent distributors, that requirement that anyone that knowingly 49 U.S.C. 30166(n), and its manufacturer is required to include in and intentionally sells or leases a implementing regulation found at 49 its notifications to those distributors an defective or noncompliant tire notify CFR 573.10, mandates that anyone who instruction that the distributors are to NHTSA of that activity. knowingly and willfully sells or leases then provide copies of the Manufacturers are required to include for use on a motor vehicle a defective manufacturer’s notification of the defect specific information relative to tire tire or a tire that is not compliant with or noncompliance to all known disposal in the notifications they FMVSS, and with actual knowledge that distributors or retail outlets further provide NHTSA concerning the tire manufacturer has notified its down the distribution chain within five identification of a safety defect or dealers of the defect or noncompliance noncompliance with FMVSS in their 1 See Federal Register notices of March 28, 2008 as required under the Act, is required to (73 FR 16740) and June 5, 2008 (73 FR 32073) for tires, as well as in the notifications report that sale or lease to NHTSA no the analysis and discussion associated with this which they issue to their dealers or more than five working days after the burden hour estimate. other tire outlets participating in the

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recall campaign. See 49 CFR 573.6(c)(9). In summary, we estimate that there The purpose of the transaction is to We continue to estimate that there will will be a total of 175 respondents per allow AKMD to continue to provide rail be about 10 tire recall campaigns per year associated with OMB No. 2127– service on the Gurdon Segment pending year, and that inclusion of this 0004. transfer of the line to AKMD. additional information will require an Comments are invited on: whether the Under 49 U.S.C. 10502(g), the Board additional two hours of effort beyond proposed collection of information is may not use its exemption authority to the subtotal above associated with non- necessary for the proper performance of relieve a rail carrier of its statutory tire recall campaigns. This additional the functions of the Department, obligation to protect the interests of its effort consists of one hour for the including whether the information will employees. Section 11326(c), however, NHTSA notification and one hour for have practical utility; the accuracy of does not provide for labor protection for the dealer notification for a total of 20 the Department’s estimate of the burden transactions under §§ 11324 and 11325 burden hours (10 tire recalls a year × 2 of the proposed information collection; that involve only Class III rail carriers. hours per recall). ways to enhance the quality, utility and Accordingly, the Board may not impose Manufacturer owned or controlled clarity of the information to be labor protective conditions here, dealers are required to notify the collected; and ways to minimize the because all of the carriers involved are manufacturer and provide certain burden of the collection of information Class III carriers. information should they deviate from on respondents, including the use of This notice is filed under 49 CFR the manufacturer’s disposal plan. automated collection techniques or 1180.2(d)(7). If the notice contains false Consistent with previous analysis, we other forms of information technology. or misleading information, the continue to ascribe zero burden hours to A comment to OMB is most effective exemption is void ab initio. Petitions to this requirement since to date no such if OMB receives it within 30 days of revoke the exemption under 49 U.S.C. reports have been provided and our publication. 10502(d) may be filed at any time. The original expectation that dealers would Issued on: June 2, 2011. filing of a petition to revoke will not comply with manufacturers’ plans has Frank Borris, automatically stay the transaction. An original and 10 copies of all proven true. Director, Office of Defects Investigation. Accordingly, we estimate 20 burden pleadings, referring to Docket No. FD [FR Doc. 2011–14745 Filed 6–13–11; 8:45 am] 35530, must be filed with the Surface hours a year will be spent complying BILLING CODE 4910–59–P with the tire recall campaign Transportation Board, 395 E Street, SW., requirements found in 49 CFR Washington, DC 20423–0001. In 573.6(c)(9). DEPARTMENT OF TRANSPORTATION addition, a copy of each pleading must be served on Thomas J. Litwiler, And, as we have yet to receive a Fletcher & Sippel LLC, 29 North Wacker single report of a defective or Surface Transportation Board Drive, Suite 920, Chicago, IL 60606. noncompliant tire being intentionally [Docket No. FD 35530] Board decisions and notices are sold or leased in the fourteen years available on our Web site at ‘‘http:// since this rule was proposed, our Arkansas Midland Railroad Company, www.stb.dot.gov.’’ previous estimate of zero burden hours Inc., Trackage Rights Exemption; remains unchanged with this notice. Caddo Valley Railroad Company Decided: June 8, 2011. In summary, our previous estimate of By the Board, Rachel D. Campbell, Pursuant to a written trackage rights Director, Office of Proceedings. 21,370 total burden hours associated agreement, Caddo Valley Railroad with this approved information Jeffrey Herzig, Company (CVR) has agreed to grant Clearance Clerk. collection stands. local trackage rights to Arkansas Estimated Number of Respondents: Midland Railroad Company, Inc. [FR Doc. 2011–14558 Filed 6–13–11; 8:45 am] NHTSA receives reports of defect or (AKMD) over approximately 2.57 miles BILLING CODE 4915–01–P noncompliance from roughly 175 of CVR’s rail line, known as the Gurdon manufacturers per year. Again, this Segment, extending between a figure fluctuates from year to year, but connection with Union Pacific Railroad DEPARTMENT OF THE TREASURY we do not have a basis at this juncture Company (UP) at milepost 426.88 in Office of Foreign Assets Control to suspect this annual figure will change Gurdon, Ark. and milepost 429.5 north significantly. Accordingly, we estimate 1 of Gurdon. Designation of Three Entities and One that there will continue to be The earliest this transaction may be approximately 175 manufacturers per Individual Pursuant to Executive Order consummated is July 7, 2011, the 13553 year filing defect or noncompliance effective date of the exemption (30 days reports and completing the other after the exemption was filed), unless AGENCY: Office of Foreign Assets information collection responsibilities otherwise ordered by the Board.2 Control, Treasury. associated with those filings. ACTION: Notice. We discussed above that we have yet 1 AKMD states that the mileposts of the Gurdon to receive a single report filed pursuant Segment are slightly changed in this transaction SUMMARY: The Treasury Department’s to 49 CFR 573.10. This information from those listed in the emergency service Office of Foreign Assets Control proceeding involving the same line. See Ark. collection requirement, to reiterate, Midland R.R.—Alternative Rail Service—Caddo (‘‘OFAC’’) is publishing the names of requires anyone who sells or leases a Valley R.R., FD 35416 (STB served Sept. 17, 2010, one individual and three entities newly- defective or noncompliant tire, with Oct. 15, 2010, and Feb. 11, 2011). Specifically, the designated as persons whose property connection with UP at Gurdon is a technical and interests in property are blocked knowledge of that tire’s defectiveness or correction of one-hundredth of a mile based on noncompliance, to report that sale or AKMD’s physical observation, and at the other end pursuant to Executive Order 13553 of lease to NHTSA. Given the lack of filing of the segment, the milepost has been shortened to history over many years, we estimate exclude trackage and an attendant grade crossing trackage rights transaction to become effective on that was not needed or used for any rail service June 15, 2011, the day after AKMD’s current that there will continue to be zero purpose. emergency service authority expires on the Gurdon reports filed and therefore zero 2 On June 7, 2011, AKMD concurrently filed a Segment, rather than on July 7. That request will respondents as to this requirement. petition requesting that the Board allow this be addressed in a separate Board decision.

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September 28, 2010, ‘‘Blocking Property more of the criteria set forth in DEPARTMENT OF THE TREASURY of Certain Persons With Respect to subparagraphs (a)(ii)(A) through Serious Human Rights Abuses by the (a)(ii)(C) of Section 1 of the Order, one Internal Revenue Service Government of Iran and Taking Certain individual and three entities as being Other Actions.’’ The property and blocked pursuant to the Order. As noted Proposed Collection; Comment interests in property of one of the above and in the listing below, the Request for Regulation Project entities are already blocked pursuant to property and interests in property of one AGENCY: Internal Revenue Service (IRS), another OFAC sanctions program. these entities are already blocked Treasury. DATES: pursuant to another OFAC sanctions The designation by the Director ACTION: Notice and request for program. The listing for these persons is of OFAC of the one individual and three comments. entities identified in this notice, as follows: pursuant to Executive Order 13553 of Individual SUMMARY: The Department of the September 28, 2010, is effective June 9, Treasury, as part of its continuing effort 2011. MOGHADAM, Ismail Ahmadi (a.k.a. to reduce paperwork and respondent FOR FURTHER INFORMATION CONTACT: AHMADI–MOGHADDAM, Esma’il; burden, invites the general public and Assistant Director, Compliance a.k.a. AHMADI–MOQADDAM, Esma’il; other Federal agencies to take this Outreach & Implementation, Office of a.k.a. MOGHADDAM, Esmaeel Ahmadi; opportunity to comment on proposed Foreign Assets Control, Department of a.k.a. MOGHADDAM, Ismail Ahmadi); and/or continuing information the Treasury, Washington, DC 20220, DOB 1961; POB Tehran, Iran; Head of collections, as required by the Tel.: 202/622–2490. Iranian Police; Chief, Iran’s Law Paperwork Reduction Act of 1995, SUPPLEMENTARY INFORMATION: Enforcement (individual) [IRAN–HR] Public Law 104–13 (44 U.S.C. 3506(c)(2)(A)). Currently, the IRS is Electronic and Facsimile Availability Entities soliciting comments concerning low- This document and additional ISLAMIC REVOLUTIONARY GUARD income housing credit for Federally- information concerning OFAC are CORPS (a.k.a. AGIR; a.k.a. IRANIAN assisted buildings (sec. 1.42–2(d)). available from OFAC’s Web site (http:// REVOLUTIONARY GUARD CORPS; DATES: Written comments should be www.treas.gov/ofac) or via facsimile a.k.a. IRG; a.k.a. IRGC; a.k.a. ISLAMIC received on or before August 15, 2011 through a 24-hour fax-on-demand REVOLUTIONARY CORPS; a.k.a. to be assured of consideration. service, Tel.: 202/622–0077. PASDARAN; a.k.a. PASDARAN–E ADDRESSES: Direct all written comments Background ENGHELAB–E ISLAMI; a.k.a. to Yvette B. Lawrence, Internal Revenue PASDARAN–E INQILAB; a.k.a. Service, Room 6129, 1111 Constitution On September 28, 2010, the President REVOLUTIONARY GUARD; a.k.a. Avenue, NW., Washington, DC 20224. issued Executive Order 13553, REVOLUTIONARY GUARDS; a.k.a. ‘‘Blocking Property of Certain Persons FOR FURTHER INFORMATION CONTACT: SEPAH; a.k.a. SEPAH PASDARAN; Requests for additional information or With Respect to Serious Human Rights a.k.a. SEPAH–E PASDARAN–E Abuses by the Government of Iran and copies of this regulation should be ENQELAB–E ESLAMI; a.k.a. THE directed to Evelyn J. Mack, (202) 622– Taking Certain Other Actions’’ (the ARMY OF THE GUARDIANS OF THE ‘‘Order’’) pursuant to, inter alia, the 7381, Internal Revenue Service, Room ISLAMIC REVOLUTION; a.k.a. THE 6231, 1111 Constitution Avenue, NW., International Emergency Economic IRANIAN REVOLUTIONARY Powers Act (50 U.S.C. 1701–06) and the Washington, DC 20224, or through the GUARDS), Tehran, Iran [NPWMD] Internet at [email protected]. Comprehensive Iran Sanctions, [IRGC] [IRAN–HR] Accountability, and Divestment Act of SUPPLEMENTARY INFORMATION: 2010 (Pub. L. 111–195). In the Order, BASIJ RESISTANCE FORCE (a.k.a. Title: Low-Income Housing Credit for the President took additional steps with BASEEJ; a.k.a. BASIJ–E MELLI; a.k.a. Federally-assisted Buildings. respect to the national emergency MOBILIZATION OF THE OPPRESSED OMB Number: 1545–1005. declared in Executive Order 12957 of ORGANIZATION; f.k.a. NATIONAL Regulation Project Number: TD 8302. March 15, 1995. MOBILIZATION ORGANIZATION; Abstract: The regulation provides Section 1 of the Order blocks, with f.k.a. SAZMAN BASIJ MELLI; a.k.a. state and local housing credit agencies certain exceptions, all property and SAZMAN–E MOGHAVEMAT–E BASIJ; and owners of qualified low-income interests in property that are in the f.k.a. VAHED–E BASIJ–E buildings with guidance regarding United States, that come within the MOSTAZAFEEN; a.k.a. ‘‘NATIONAL compliance with the waiver United States, or that are or come within RESISTANCE MOBILIZATION’’; a.k.a. requirement of section 42(d)(6) of the the possession or control of any United ‘‘RESISTANCE MOBILIZATION Internal Revenue Code. The regulation States person, of persons listed in the FORCE’’) [IRGC] [IRAN–HR] requires documentary evidence of Annex to the Order and of persons LAW ENFORCEMENT FORCES OF financial distress leading to a potential determined by the Secretary of the THE ISLAMIC REPUBLIC OF IRAN claim against a Federal mortgage Treasury, in consultation with or at the (a.k.a. IRANIAN LAW ENFORCEMENT insurance fund in order to get a written recommendation of the Secretary of FORCES; a.k.a. IRANIAN POLICE; a.k.a. waiver from the IRS for the acquirer of State, to meet any of the criteria set forth NAJA; a.k.a. NIRUYIH INTIZAMIYEH the qualified low-income building to in the Order. JUMHURIYIH ISLAMIYIH IRAN) properly claim the low-income housing The Annex to the Order listed eight [IRAN–HR] credit. individuals whose property and Current Actions: There is no change to Dated: June 9, 2011. interests in property are blocked this existing regulation. pursuant to the Order. Barbara C. Hammerle, Type of Review: Extension of a On June 9, 2011, the Director of Acting Director, Office of Foreign Assets currently approved collection. OFAC, in consultation with or at the Control. Affected Public: Business or other for- recommendation of the Secretary of [FR Doc. 2011–14713 Filed 6–13–11; 8:45 am] profit organizations, individuals or State, designated, pursuant to one or BILLING CODE 4810–AL–P households, not-for-profit institutions,

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and Federal, state, local or Tribal burden, invites the general public and in the administration of any internal governments. other Federal agencies to take this revenue law. Generally, tax returns and Estimated Number of Respondents: opportunity to comment on proposed tax return information are confidential, 1,000. and/or continuing information as required by 26 U.S.C. 6103. Estimated Time per Respondent: 3 collections, as required by the Request for Comments: Comments hrs. Paperwork Reduction Act of 1995, submitted in response to this notice will Estimated Total Annual Burden Public Law 104–13(44 U.S.C. be summarized and/or included in the Hours: 3,000. 3506(c)(2)(A)). Currently, the IRS is request for OMB approval. All The following paragraph applies to all soliciting comments concerning electing comments will become a matter of of the collections of information covered small business trusts. public record. Comments are invited on: by this notice. DATES: Written comments should be (a) Whether the collection of An agency may not conduct or received on or before August 15, 2011to information is necessary for the proper sponsor, and a person is not required to be assured of consideration. performance of the functions of the respond to, a collection of information ADDRESSES: Direct all written comments agency, including whether the unless the collection of information information shall have practical utility; displays a valid OMB control number. to Yvette Lawrence, Internal Revenue Service, room 6129, 1111 Constitution (b) the accuracy of the agency’s estimate Books or records relating to a collection of the burden of the collection of of information must be retained as long Avenue, NW., Washington, DC 20224. FOR FURTHER INFORMATION CONTACT: information; (c) ways to enhance the as their contents may become material quality, utility, and clarity of the in the administration of any internal Requests for additional information or copies of the regulations should be information to be collected; (d) ways to revenue law. Generally, tax returns and minimize the burden of the collection of tax return information are confidential, directed to R. Joseph Durbala at Internal Revenue Service, room 6129, 1111 information on respondents, including as required by 26 U.S.C. 6103. through the use of automated collection Request for Comments: Comments Constitution Avenue, NW., Washington, DC 20224, or at (202)622–3634, or techniques or other forms of information submitted in response to this notice will technology; and (e) estimates of capital be summarized and/or included in the through the Internet at [email protected]. or start-up costs and costs of operation, request for OMB approval. All maintenance, and purchase of services comments will become a matter of SUPPLEMENTARY INFORMATION: to provide information. public record. Comments are invited on: Title: Electing Small Business Trusts. (a) Whether the collection of OMB Number: 1545–1591. Approved: June 3, 2011. information is necessary for the proper Regulation Project Number: REG– Yvette Lawrence, performance of the functions of the 251701–96 (TD 8894). IRS Reports Clearance Officer. agency, including whether the Abstract: This regulation provide the [FR Doc. 2011–14610 Filed 6–13–11; 8:45 am] information shall have practical utility; rules for an electing small business trust BILLING CODE 4830–01–P (b) the accuracy of the agency’s estimate (ESBT), which is a permitted of the burden of the collection of shareholder of an S corporation. With information; (c) ways to enhance the respect to the collections of information, DEPARTMENT OF THE TREASURY quality, utility, and clarity of the the regulations provide the rules for information to be collected; (d) ways to making an ESBT election, and the rules Internal Revenue Service for converting from a qualified minimize the burden of the collection of Proposed Collection; Comment subchapter S trust (QSST) to an ESBT information on respondents, including Request for Regulation Project through the use of automated collection and the conversion of an ESBT to a techniques or other forms of information QSST. The regulations allow certain S AGENCY: Internal Revenue Service (IRS), technology; and (e) estimates of capital corporations to reinstate their previous Treasury. taxable year that was terminated under or start-up costs and costs of operation, ACTION: Notice and request for maintenance, and purchase of services Sec. 1.444–2T by filing Form 8716. comments. to provide information. Current Actions: There is no change to this existing regulation. Approved: June 6, 2011. SUMMARY: The Department of the Type of Review: Extension of a Yvette B. Lawrence, Treasury, as part of its continuing effort currently approved collection. to reduce paperwork and respondent IRS Reports Clearance Officer. Affected Public: Business or other for- burden, invites the general public and [FR Doc. 2011–14609 Filed 6–13–11; 8:45 am] profit organizations. other Federal agencies to take this BILLING CODE 4830–01–P Estimated Number of Respondents: opportunity to comment on proposed 7,500. and/or continuing information Estimated Time per Respondent: 1 DEPARTMENT OF THE TREASURY collections, as required by the hour. Paperwork Reduction Act of 1995, Estimated Total Annual Burden Public Law 104–13 (44 U.S.C. Internal Revenue Service Hours: 7,500. 3506(c)(2)(A)). Currently, the IRS is The following paragraph applies to all Proposed Collection; Comment soliciting comments concerning of the collections of information covered Request for Regulation Project limitations on net operating loss carry- by this notice: forwards and certain built-in losses and AGENCY: Internal Revenue Service (IRS), An agency may not conduct or sponsor, and a person is not required to credit following an ownership change of Treasury. a consolidated group. ACTION: Notice and request for respond to, a collection of information DATES: Written comments should be comments. unless the collection of information displays a valid OMB control number. received on or before August 15, 2011 SUMMARY: The Department of the Books or records relating to a collection to be assured of consideration. Treasury, as part of its continuing effort of information must be retained as long ADDRESSES: Direct all written comments to reduce paperwork and respondent as their contents may become material to Yvette B. Lawrence, Internal Revenue

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Service, Room 6129, 1111 Constitution of the burden of the collection of Abstract: Form 8924, Excise Tax on Avenue, NW., Washington, DC 20224. information; (c) ways to enhance the Certain Transfers of Qualifying FOR FURTHER INFORMATION CONTACT: quality, utility, and clarity of the Geothermal or Mineral Interests, is Requests for additional information or information to be collected; (d) ways to required by Section 403 of the Tax copies of the regulation should be minimize the burden of the collection of Relief and Health Care Act of 2006 directed to Evelyn J. Mack, at (202) 622– information on respondents, including which imposes an excise tax on certain 7381, or at Internal Revenue Service, through the use of automated collection transfers of qualifying mineral or Room 6231, 1111 Constitution Avenue, techniques or other forms of information geothermal interests. NW., Washington, DC 20224, or through technology; and (e) estimates of capital Current Actions: There are no changes the Internet, at [email protected]. or start-up costs and costs of operation, to the form previously approved by SUPPLEMENTARY INFORMATION: maintenance, and purchase of services OMB. However, we have adjusted the Title: Limitations on Net Operating to provide information. number of estimated annual responses Loss Carryforwards and Certain Built-in Approved: June 6, 2011. per year, based on more up-to-date Losses and Credits Following an Yvette B. Lawrence, figures. This will result in a total burden Ownership Change of a Consolidated IRS Reports Clearance Officer. decrease of 444 hours. This form is Group. [FR Doc. 2011–14611 Filed 6–13–11; 8:45 am] being submitted for renewal purposes only. OMB Number: 1545–1218. BILLING CODE 4830–01–P Regulation Project Number: TD 8824. Type of Review: Extension of a Abstract: Section 1502 provides for currently approved collection. the promulgation of regulations with DEPARTMENT OF THE TREASURY Affected Public: Businesses and other respect to corporations that file for-profit organizations. consolidated income tax returns. Internal Revenue Service Section 382 limits the amount of income Estimated Number of Respondents: that can be offset by loss carryovers and Proposed Collection; Comment 20. credits after an ownership change. Request for Form 8924 Estimated Time per Respondent: 5 hours 33 minutes. These final regulations provide rules for AGENCY: Internal Revenue Service (IRS), applying section 382 to groups of Treasury. Estimated Total Annual Burden corporations that file a consolidated ACTION: Notice and request for Hours: 111. return. comments. The following paragraph applies to all Current Actions: There is no change to of the collections of information covered this existing regulation. SUMMARY: The Department of the by this notice: Type of Review: Extension of Treasury, as part of its continuing effort An agency may not conduct or currently approved collection. to reduce paperwork and respondent sponsor, and a person is not required to Affected Public: Business or other for- burden, invites the general public and respond to, a collection of information profit. other Federal agencies to take this unless the collection of information Estimated Number of Respondents: opportunity to comment on proposed displays a valid OMB control number. 12,054. and/or continuing information Books or records relating to a collection Estimated Time per Respondent: 20 collections, as required by the of information must be retained as long minutes. Paperwork Reduction Act of 1995, as their contents may become material Estimated Total Annual Burden Public Law 104–13 (44 U.S.C. in the administration of any internal Hours: 662. 3506(c)(2)(A)). Currently, the IRS is revenue law. Generally, tax returns and The following paragraph applies to all soliciting comments concerning Form tax return information are confidential, of the collections of information covered 8924, Excise Tax on Certain Transfers of as required by 26 U.S.C. 6103. by this notice: Qualifying Geothermal or Mineral An agency may not conduct or Interests. Request for Comments: Comments sponsor, and a person is not required to submitted in response to this notice will DATES: respond to, a collection of information Written comments should be be summarized and/or included in the unless the collection of information received on or before August 15, 2011 request for OMB approval. All displays a valid OMB control number. to be assured of consideration. comments will become a matter of Books or records relating to a collection ADDRESSES: Direct all written comments public record. Comments are invited on: of information must be retained as long to Yvette Lawrence, Internal Revenue (a) Whether the collection of as their contents may become material Service, room 6129, 1111 Constitution information is necessary for the proper in the administration of any internal Avenue, NW., Washington, DC 20224. performance of the functions of the revenue law. Generally, tax returns and FOR FURTHER INFORMATION CONTACT: agency, including whether the tax return information are confidential, Requests for additional information or information shall have practical utility; as required by 26 U.S.C. 6103. copies of the form and instructions (b) the accuracy of the agency’s estimate Request for Comments: Comments should be directed to R. Joseph Durbala, of the burden of the collection of submitted in response to this notice will (202) 622–3634, at Internal Revenue information; (c) ways to enhance the be summarized and/or included in the Service, room 6129, 1111 Constitution quality, utility, and clarity of the request for OMB approval. All Avenue, NW., Washington, DC 20224, information to be collected; (d) ways to comments will become a matter of or through the Internet at minimize the burden of the collection of public record. Comments are invited on: [email protected]. information on respondents, including (a) Whether the collection of SUPPLEMENTARY INFORMATION: through the use of automated collection information is necessary for the proper Title: Excise Tax on Certain Transfers techniques or other forms of information performance of the functions of the of Qualifying Geothermal or Mineral technology; and (e) estimates of capital agency, including whether the Interests. or start-up costs and costs of operation, information shall have practical utility; OMB Number: 1545–2099. maintenance, and purchase of services (b) the accuracy of the agency’s estimate Form Number: Form 8924. to provide information.

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Approved: June 6, 2008. Type of Review: Extension of a SUMMARY: The Department of the Yvette Lawrence, currently approved collection. Treasury, as part of its continuing effort IRS Reports Clearance Officer. Affected Public: Individuals or to reduce paperwork and respondent [FR Doc. 2011–14612 Filed 6–13–11; 8:45 am] households and Business or other for- burden, invites the general public and BILLING CODE 4830–01–P profit institutions. other Federal agencies to take this Estimated Number of Respondents: opportunity to comment on proposed 859. and/or continuing information DEPARTMENT OF THE TREASURY Estimated Time per Respondent: 5 collections, as required by the hours. Paperwork Reduction Act of 1995, Internal Revenue Service Estimated Total Annual Burden Public Law 104–13 (44 U.S.C. Hours: 430. 3506(c)(2)(A)). Currently, the IRS is The following paragraph applies to all Proposed Collection; Comment soliciting comments concerning the collections of information covered Request for Revenue Procedure Revenue Procedures 2003–79, 2007–64, 2005–26 by this notice: An agency may not conduct or 2006–46, Changes in Periods of AGENCY: Internal Revenue Service (IRS), sponsor, and a person is not required to Accounting. Treasury. respond to, a collection of information DATES: Written comments should be ACTION: Notice and request for unless the collection of information received on or before August 15, 2011 comments. displays a valid OMB control number. to be assured of consideration. Books or records relating to a collection SUMMARY: The Department of the ADDRESSES: Direct all written comments of information must be retained as long Treasury, as part of its continuing effort to Yvette Lawrence, Internal Revenue as their contents may become material to reduce paperwork and respondent Service, Room 6129, 1111 Constitution in the administration of any internal burden, invites the general public and Avenue, NW., Washington, DC 20224. revenue law. Generally, tax returns and other Federal agencies to take this FOR FURTHER INFORMATION CONTACT: tax return information are confidential, opportunity to comment on proposed Requests for additional information or as required by 26 U.S.C. 6103. and/or continuing information copies of revenue procedures should be Request for Comments: Comments collections, as required by the directed to R. Joseph Durbala, (202) submitted in response to this notice will Paperwork Reduction Act of 1995, 622–3634, Internal Revenue Service, be summarized and/or included in the Public Law 104–13 (44 U.S.C. Room 6129, 1111 Constitution Avenue, request for OMB approval. All 3506(c)(2)(A)). Currently, the IRS is NW., Washington, DC 20224, or through comments will become a matter of soliciting comments concerning the Internet at [email protected]. public record. Comments are invited on: Revenue Procedure 2005–26, Revenue SUPPLEMENTARY INFORMATION: (a) Whether the collection of Procedure Regarding Extended Period of Title: Changes in Periods of information is necessary for the proper Accounting. Limitation for Listed Transaction performance of the functions of the Situations. OMB Number: 1545–1786. agency, including whether the Revenue Procedure Numbers: DATES: Written comments should be information shall have practical utility; Revenue Procedures 2003–79, 2007–64, received on or before August 15, 2011 (b) the accuracy of the agency’s estimate and 2006–46. to be assured of consideration. of the burden of the collection of Abstract: Revenue Procedures 2003– ADDRESSES: Direct all written comments information; (c) ways to enhance the 79, 2007–64, and 2006–46, provide the to Yvette Lawrence, Internal Revenue quality, utility, and clarity of the comprehensive administrative rules and Service, room 6129, 1111 Constitution information to be collected; (d) ways to guidance, for affected taxpayers Avenue NW., Washington, DC 20224. minimize the burden of the collection of adopting, changing, or retaining annual FOR FURTHER INFORMATION CONTACT: information on respondents, including accounting periods, for Federal income through the use of automated collection Requests for additional information or tax purposes. In order to determine techniques or other forms of information copies of the regulations should be whether a taxpayer has properly technology; and (e) estimates of capital directed to R. Joseph Durbala at Internal adopted, changed to, or retained an or start-up costs and costs of operation, Revenue Service, room 6129, 1111 annual accounting period, certain maintenance, and purchase of services Constitution Avenue NW., Washington, information regarding the taxpayer’s to provide information. DC 20224, or at (202) 622–3634, or qualification for and use of the through the Internet at Approved: June 3, 2011. requested annual accounting period is [email protected]. Yvette Lawrence, required. The revenue procedures SUPPLEMENTARY INFORMATION: IRS Reports Clearance Officer. request the information necessary to Title: Revenue Procedure Regarding [FR Doc. 2011–14613 Filed 6–13–11; 8:45 am] make that determination when the Extended Period of Limitations for BILLING CODE 4830–01–P information is not otherwise available. Listed Transaction Situations. Current Actions: There are no changes OMB Number: 1545–1940. being made to these revenue procedures Revenue Procedure Number: Revenue DEPARTMENT OF THE TREASURY at this time. Procedure 2005–26. Type of Review: Extension of a Abstract: The purpose of this revenue Internal Revenue Service currently approved collection. procedure is to alert taxpayers to the Affected Public: Business or other for- enactment of section 6501(c)(10) of the Proposed Collection; Comment profit organization, individuals, not-for- Internal Revenue Code, and to provide Request for Revenue Procedures profit institutions and farms. guidance for taxpayers subject to the 2003–79, 2007–64, and 2006–46 Estimated Number of Respondents: extended period of limitations on AGENCY: Internal Revenue Service (IRS), 800. assessment under section 6501(c)(10). Treasury. Estimated Average Time per Current Actions: There are no changes Respondent: 53 minutes. ACTION: Notice and request for being made to the revenue procedure at Estimated Total Annual Burden comments. this time. Hours: 700.

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Also, the burden is reflected in the Paperwork Reduction Act of 1995, public record. Comments are invited on: burdens of Forms 1128 and 2553. Public Law 104–13 (44 U.S.C. (a) Whether the collection of The following paragraph applies to all 3506(c)(2)(A)). Currently, the IRS is information is necessary for the proper of the collections of information covered soliciting comments concerning Form performance of the functions of the by this notice: 8717, User Fee for Employee Plan agency, including whether the An agency may not conduct or Determination Letter Request. information shall have practical utility; sponsor, and a person is not required to DATES: Written comments should be (b) the accuracy of the agency’s estimate respond to, a collection of information received on or before August 15, 2011 of the burden of the collection of unless the collection of information to be assured of consideration. information; (c) ways to enhance the displays a valid OMB control number. ADDRESSES: Direct all written comments quality, utility, and clarity of the Books or records relating to a to Yvette B. Lawrence, Internal Revenue information to be collected; (d) ways to collection of information must be Service, room 6129, 1111 Constitution minimize the burden of the collection of retained as long as their contents may Avenue, NW., Washington, DC 20224. information on respondents, including become material in the administration through the use of automated collection FOR FURTHER INFORMATION CONTACT: of any internal revenue law. Generally, techniques or other forms of information Requests for additional information or tax returns and tax return information technology; and (e) estimates of capital copies of the form and instructions are confidential, as required by 26 or start-up costs and costs of operation, should be directed to Evelyn J. Mack, U.S.C. 6103. maintenance, and purchase of services (202) 622–7381, Internal Revenue Request for Comments: Comments to provide information. submitted in response to this notice will Service, room 6231, 1111 Constitution be summarized and/or included in the Avenue, NW., Washington, DC 20224 or Approved: June 2, 2011. request for OMB approval. All through the Internet at Yvette B. Lawrence, comments will become a matter of [email protected]. IRS Reports Clearance Officer. public record. Comments are invited on: SUPPLEMENTARY INFORMATION: [FR Doc. 2011–14616 Filed 6–13–11; 8:45 am] (a) Whether the collection of Title: User Fee for Employee Plan BILLING CODE 4830–01–P information is necessary for the proper Determination Letter Request. performance of the functions of the OMB Number: 1545–1772. agency, including whether the Form Number: 8717. DEPARTMENT OF THE TREASURY information shall have practical utility; Abstract: The Omnibus Reconciliation (b) the accuracy of the agency’s estimate Act of 1990 requires payment of a ‘‘user Internal Revenue Service fee’’ with each application for a of the burden of the collection of Proposed Collection; Comment determination letter. Because of this information; (c) ways to enhance the Request for Form 8810 quality, utility, and clarity of the requirement, the Form 8717 was created information to be collected; (d) ways to to provide filers the means to make AGENCY: Internal Revenue Service (IRS), minimize the burden of the collection of payment and indicate the type of Treasury. information on respondents, including request. ACTION: Notice and request for through the use of automated collection Current Actions: There are no changes comments. techniques or other forms of information being made to the forms at this time. technology; and (e) estimates of capital Type of Review: Extension of a SUMMARY: The Department of the or start-up costs and costs of operation, currently approved collection. Treasury, as part of its continuing effort maintenance, and purchase of services Affected Public: Business or other for- to reduce paperwork and respondent to provide information. profit organization, and not-for-profit burden, invites the general public and institutions. Approved: June 3, 2011. other Federal agencies to take this Estimated Number of Responses: opportunity to comment on proposed Yvette Lawrence, 100,000. and/or continuing information IRS Reports Clearance Officer. Estimated Time per Response: 4 collections, as required by the [FR Doc. 2011–14615 Filed 6–13–11; 8:45 am] Hours 21 minutes. Paperwork Reduction Act of 1995, BILLING CODE 4830–01–P Estimated Total Annual Burden Public Law 104–13 (44 U.S.C. Hours: 438,000. 3506(c)(2)(A)). Currently, the IRS is The following paragraph applies to all soliciting comments concerning Form DEPARTMENT OF THE TREASURY of the collections of information covered 8810, Corporate Passive Activity Loss by this notice: and Credit Limitations. Internal Revenue Service An agency may not conduct or DATES: sponsor, and a person is not required to Written comments should be Proposed Collection; Comment respond to, a collection of information received on or before August 15, 2011 Request for Form 8717 unless the collection of information to be assured of consideration. ADDRESSES: AGENCY: Internal Revenue Service (IRS), displays a valid OMB control number. Direct all written comments Treasury. Books or records relating to a collection to Yvette B. Lawrence, Internal Revenue Service, Room 6129, 1111 Constitution ACTION: Notice and request for of information must be retained as long Avenue, NW., Washington, DC 20224. comments. as their contents may become material in the administration of any internal FOR FURTHER INFORMATION CONTACT: SUMMARY: The Department of the revenue law. Generally, tax returns and Requests for additional information or Treasury, as part of its continuing effort tax return information are confidential, copies of the form and instructions to reduce paperwork and respondent as required by 26 U.S.C. 6103. should be directed to Evelyn J. Mack, at burden, invites the general public and Request for Comments: Comments (202) 622–7381, or at Internal Revenue other Federal agencies to take this submitted in response to this notice will Service, Room 6231, 1111 Constitution opportunity to comment on proposed be summarized and/or included in the Avenue, NW., Washington, DC 20224, and/or continuing information request for OMB approval. All or through the Internet, at collections, as required by the comments will become a matter of [email protected].

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SUPPLEMENTARY INFORMATION: Approved: June 2, 2011. DEPARTMENT OF THE TREASURY Title: Corporate Passive Activity Loss Yvette B. Lawrence, and Credit Limitations. IRS Reports Clearance Officer. United States Mint OMB Number: 1545–1091. [FR Doc. 2011–14617 Filed 6–13–11; 8:45 am] Form Number: 8810. Citizens Coinage Advisory Committee BILLING CODE 4830–01–P Abstract: Under Internal Revenue Meeting Code section 469, losses and credits ACTION: Notification of Citizens Coinage from passive activities, to the extent DEPARTMENT OF THE TREASURY Advisory Committee June 27, 2011 they exceed passive income (or, in the Public Meeting. case of credits, the tax attributable to net Internal Revenue Service passive income), are not allowed. Form SUMMARY: Pursuant to United States 8810 is used by personal service Notice of Renewal Charter and Filing Code, Title 31, section 5135(b)(8)(C), the corporations and closely held Letters United States Mint announces the corporations to figure the passive Citizens Coinage Advisory Committee activity loss and credits allowed and the AGENCY: Internal Revenue Service (IRS); (CCAC) public meeting scheduled for amount of loss and credit to be reported Tax Exempt and Government Entities June 27, 2011. on their tax return. Division. Date: June 27, 2011. Current Actions: There are no changes Time: 6:30 p.m. to 9 p.m. being made to Form 8810 at this time. ACTION: Notice of renewal charter and filing letters. Location: Slocum Commons, Campus Type of Review: Extension of a of Colorado College, 30 East Cache La currently approved collection. Poudre, Colorado Springs, CO 80903. Affected Public: Business or other for- SUMMARY: In accordance with the Subject: Review and discussion of the profit organizations. Federal Advisory Committee Act, Public Law 92–462, a renewal charter has been candidate designs for the reverse of the Estimated Number of Responses: 2012 Native American $1 Coin; filed for the IRS Advisory Committee on 100,000. discussion of the 2010 Annual Report, Tax Exempt and Government Entities Estimated Time per Response: 37 hr., including commemorative coin program 29 min. (ACT). The renewal charter was filed on recommendations for the next five Estimated Total Annual Burden une 3, 2011, with the Committee on calendar years; and discussion on coin Hours: 3,749,000. Finance of the United States Senate, the design quality. The following paragraph applies to all ommittee on Ways and Means of the Interested persons should call 202– of the collections of information covered U.S. House of Representatives, and the 354–7502 for the latest update on by this notice: Library of Congress. The renewal charter meeting time and room location. An agency may not conduct or and copies of these filing letters are In accordance with 31 U.S.C. 5135, sponsor, and a person is not required to attached. the CCAC: respond to, a collection of information • unless the collection of information SUPPLEMENTARY INFORMATION: The Advises the Secretary of the displays a valid OMB control number. Advisory Committee on Tax Exempt Treasury on any theme or design proposals relating to circulating coinage, Books or records relating to a collection and Government Entities (ACT), bullion coinage, Congressional Gold of information must be retained as long governed by the Federal Advisory Medals, and national and other medals. as their contents may become material Committee Act, Public Law 92–463, is • Advises the Secretary of the in the administration of any internal an organized public forum for revenue law. Generally, tax returns and Treasury with regard to the events, discussion of relevant employee plans, persons, or places to be commemorated tax return information are confidential, exempt organizations, tax-exempt as required by 26 U.S.C. 6103. by the issuance of commemorative coins bonds, and federal, state, local and in each of the five calendar years Request for Comments: Comments Indian tribal government issues between submitted in response to this notice will succeeding the year in which a officials of the IRS and representatives commemorative coin designation is be summarized and/or included in the of the above communities. The ACT also request for OMB approval. All made. enables the IRS to receive regular input • comments will become a matter of Makes recommendations with with respect to the development and public record. Comments are invited on: respect to the mintage level for any implementation of IRS policy (a) Whether the collection of commemorative coin recommended. concerning these communities. ACT information is necessary for the proper FOR FURTHER INFORMATION CONTACT: Greg performance of the functions of the members present the interested public’s Weinman, Acting United States Mint agency, including whether the observations about current or proposed Liaison to the CCAC; 801 9th Street, information shall have practical utility; IRS policies, programs and procedures, NW.; Washington, DC 20220; or call (b) the accuracy of the agency’s estimate as well as suggest improvements. 202–354–7200. of the burden of the collection of Dated: June 6, 2011. Any member of the public interested information; (c) ways to enhance the Roberta B. Zarin, in submitting matters for the CCAC’s quality, utility, and clarity of the consideration is invited to submit them Designated Federal Official, Tax Exempt and information to be collected; (d) ways to Government Entities Division, Internal by fax to the following number: 202– minimize the burden of the collection of Revenue Service. 756–6525. information on respondents, including [FR Doc. 2011–14618 Filed 6–13–11; 8:45 am] Authority: 31 U.S.C. 5135(b)(8)(C). through the use of automated collection techniques or other forms of information BILLING CODE 4830–01–P Dated: June 8, 2011. technology; and (e) estimates of capital Richard A. Peterson, or start-up costs and costs of operation, Acting Director, United States Mint. maintenance, and purchase of services [FR Doc. 2011–14651 Filed 6–13–11; 8:45 am] to provide information. BILLING CODE P

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DEPARTMENT OF VETERANS information will have practical utility; information by the agency. Under the AFFAIRS (2) the accuracy of VBA’s estimate of the Paperwork Reduction Act (PRA) of burden of the proposed collection of 1995, Federal agencies are required to [OMB Control No. 2900–0545] information; (3) ways to enhance the publish notice in the Federal Register Proposed Information Collection quality, utility, and clarity of the concerning each proposed collection of (Report of Medical, Legal, and Other information to be collected; and (4) information, including each proposed Expenses Incident to Recovery for ways to minimize the burden of the extension of a currently approved Injury or Death) Activity; Comment collection of information on collection, and allow 60 days for public Request respondents, including through the use comment in response to the notice. This of automated collection techniques or notice solicits comments on information AGENCY: Department of Veterans Affairs, the use of other forms of information needed to determine Veterans and their Veterans Benefits Administration. technology. caregivers’ eligibility to participate in ACTION: Notice. Title: Report of Medical, Legal, and the Family Caregivers Program. Other Expenses Incident to Recovery for SUMMARY: The Veterans Benefits DATES: Written comments and Injury or Death, VA Form 21–8416b. recommendations on the proposed Administration (VBA), Department of OMB Control Number: 2900–0545. Veterans Affairs (VA), is announcing an collection of information should be Type of Review: Extension of a received on or before August 15, 2011. opportunity for public comment on the currently approved collection. ADDRESSES: proposed collection of certain Abstract: Claimants complete VA Submit written comments information by the agency. Under the Form 21–8416b to report compensation on the collection of information through Paperwork Reduction Act (PRA) of awarded by another entity or the Federal Docket Management System 1995, Federal agencies are required to government agency for personal injury (FDMS) at http://www.regulations.gov; publish notice in the Federal Register or death. Such award is considered as or to Cynthia Harvey-Pryor, Veterans concerning each proposed collection of countable income; however, medical, Health Administration (193E1), information, including each proposed legal or other expenses incident to the Department of Veterans Affairs, 810 extension of a currently approved injury or death, or incident to the Vermont Avenue, NW., Washington, DC collection and allow 60 days for public collection or recovery of the 20420 or e-mail: cynthia.harvey- comment in response to this notice. compensation may be deducted from [email protected]. Please refer to ‘‘OMB This notice solicits comments for the amount awarded or settled. The Control No. 2900–0768’’ in any information needed to determine a information collected is used to correspondence. During the comment claimant’s entitlement to income based determine the claimant’s eligibility for period, comments may be viewed online benefits and the amount payable. income based benefits and the rate through FDMS. DATES: Written comments and payable. FOR FURTHER INFORMATION CONTACT: recommendations on the proposed Affected Public: Individuals or Cynthia Harvey-Pryor (202) 461–5870 or collection of information should be households. Fax (202) 273–9387. received on or before August 15, 2011. Estimated Annual Burden: 1,125 SUPPLEMENTARY INFORMATION: Under the ADDRESSES: Submit written comments hours. PRA of 1995 (Pub. L. 104–13; 44 U.S.C. on the collection of information through Estimated Average Burden per 3501–3521), Federal agencies must http://www.regulations.gov or to Nancy Respondent: 45 minutes. obtain approval from OMB for each J. Kessinger, Veterans Benefits Frequency of Response: One time. collection of information they conduct Administration (20M35), Department of Estimated Number of Respondents: or sponsor. This request for comment is Veterans Affairs, 810 Vermont Avenue, 1,500. being made pursuant to Section NW., Washington, DC 20420 or e-mail to Dated: June 9, 2011. 3506(c)(2)(A) of the PRA. [email protected]. Please refer to By direction of the Secretary. With respect to the following ‘‘OMB Control No. 2900–0545’’ in any Denise McLamb, collection of information, VHA invites correspondence. During the comment Program Analyst, Enterprise Records Service. comments on: (1) Whether the proposed period, comments may be viewed online collection of information is necessary [FR Doc. 2011–14676 Filed 6–13–11; 8:45 am] through the Federal Docket Management for the proper performance of VHA’s System (FDMS) at http:// BILLING CODE 8320–01–P functions, including whether the www.regulations.gov. information will have practical utility; FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF VETERANS (2) the accuracy of VHA’s estimate of Nancy J. Kessinger at (202) 461–9769 or AFFAIRS the burden of the proposed collection of Fax (202) 275–5947. information; (3) ways to enhance the [OMB Control No. 2900–0768] SUPPLEMENTARY INFORMATION: Under the quality, utility, and clarity of the PRA of 1995 (Pub. L. 104–13; 44 U.S.C. information to be collected; and (4) Proposed Information Collection (Joint ways to minimize the burden of the 3501–3521), Federal agencies must Application for Comprehensive obtain approval from the Office of collection of information on Assistance and Support Services for respondents, including through the use Management and Budget (OMB) for each Family Caregivers); Comment Request collection of information they conduct of automated collection techniques or or sponsor. This request for comment is AGENCY: Veterans Health the use of other forms of information being made pursuant to Section Administration, Department of Veterans technology. 3506(c)(2)(A) of the PRA. Affairs. Title: Joint Application for With respect to the following ACTION: Notice. Comprehensive Assistance and Support collection of information, VBA invites Services for Family Caregivers, VA comments on: (1) Whether the proposed SUMMARY: The Veterans Health Form 10–10–10CG. collection of information is necessary Administration (VHA) is announcing an OMB Control Number: 2900–0768. for the proper performance of VBA’s opportunity for public comment on the Type of Review: Extension of a functions, including whether the proposed collection of certain currently approved collection.

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Abstract: VA Form 10–10CG is complete VA Form 10–10CG to Frequency of Response: On occasion. completed by Veterans who served in determine whether they meet the Estimated Number of Respondents: Operation Enduring Freedom/Operation criteria to serve as caregiver and their 5,000. Iraqi Freedom/Operation New Dawn or eligibility receive stipend and certain active duty service member undergoing benefits under the Caregiver Program. Dated: June 9, 2011. medical discharge to determine their Affected Public: Individuals or By direction of the Secretary. eligibility to receive certain medical, households. Denise McLamb, travel, training, and financial benefits Estimated Total Annual Burden: Program Analyst, Enterprise Records Service. under the Caregiver Program. 1,250 hours. [FR Doc. 2011–14677 Filed 6–13–11; 8:45 am] Individuals designated as primary or Estimated Average Burden per secondary family caregiver also Respondent: 15 minutes. BILLING CODE 8320–01–P

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Part II

Department of the Interior

Office of Surface Mining Reclamation and Enforcement

30 CFR Part 950 Wyoming Regulatory Program; Final Rule

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DEPARTMENT OF THE INTERIOR I. Background on the Wyoming reclamation operations’’ at Chapter 1, Program Section 2 (ct) and the term ‘‘surface’’ in Office of Surface Mining Reclamation Section 503(a) of the Act permits a Chapters 1, 2, 4 and 5; its proposed and Enforcement State to assume primacy for the deletion of the U.S. Geological Survey regulation of surface coal mining and topographic map scale requirement at 30 CFR Part 950 reclamation operations on non-Federal Chapter 2, Section 1 (c); its response to and non-Indian lands within its borders a required program amendment at 30 [SATS No WY–038–FOR; Docket ID OSM– by demonstrating that its State program CFR 950.16(p) concerning fish and 2009–0012] includes, among other things, ‘‘a State wildlife enhancement measures at law which provides for the regulation of Chapter 2, Section 5(a) (viii) (A); design Wyoming Regulatory Program surface coal mining and reclamation precipitation event requirements for operations in accordance with the siltation structures and impoundments AGENCY: Office of Surface Mining requirements of this Act * * *; and at Chapter 4, Section 2(c) (xii) (D) (II); Reclamation and Enforcement, Interior. rules and regulations consistent with and, incorrect rule cross-references ACTION: Final rule; approval of regulations issued by the Secretary regarding normal husbandry practices at amendment with certain exceptions. pursuant to this Act.’’ See 30 U.S.C. Chapter 4 Section 2(d) (i) (M) (II). We 1253(a)(1) and (7). On the basis of these notified Wyoming of these concerns by letter dated May 21, 2010 SUMMARY: We are issuing a final criteria, the Secretary of the Interior (Administrative Record Document ID decision on an amendment to the conditionally approved the Wyoming No. OSM–2009–0012–0006). Wyoming regulatory program (the program on November 26, 1980. You ‘‘Wyoming program’’) under the Surface can find background information on the We delayed final rulemaking to afford Mining Control and Reclamation Act of Wyoming program, including the Wyoming the opportunity to submit 1977 (‘‘SMCRA’’ or ‘‘the Act’’). Our Secretary’s findings, the disposition of new material to address the decision approves in part, disapproves comments, and the conditions of deficiencies. Wyoming responded in a in part and defers in part the approval of the Wyoming program in letter dated June 21, 2010, that it could amendment. Wyoming proposed to the November 26, 1980, Federal not currently submit formal revisions to amend Chapters 1, 2, 4, 5, and Register (45 FR 78637). You can also the amendment due to the Appendix A of the Land Quality find later actions concerning Wyoming’s administrative rulemaking requirements Division (LQD) Coal Rules and program and program amendments at 30 for promulgation of revised substantive Regulations to address required program CFR 950.12, 950.15, 950.16, and 950.20. rules (Administrative Record Document amendments and other deficiencies ID No. OSM–2009–0012–0007). II. Submission of the Proposed Specifically, Wyoming explained that identified by OSMRE, and to improve Amendment and clarify rules relating to the required changes would be requirements for vegetation By letter dated October 15, 2009, considered substantive in nature and measurements and performance Wyoming sent OSMRE a proposed therefore the LQD is required to present standards. Specifically, the proposed amendment to its approved regulatory the proposed rules to the LQD Advisory changes clarify baseline vegetation program (SATS number: WY–038–FOR, Board and then the Wyoming requirements and revegetation Administrative Record Docket ID No. Environmental Quality Council for reclamation plan requirements, clarify OSM–2009–0012). Wyoming sent the vetting. Following approval by the revegetation success standards and amendment in response to: Portions of Governor, the rules may be submitted to codify normal husbandry practices, a February 21, 1990, letter that we sent OSMRE for final review. While it could reorganize and clarify species diversity to Wyoming in accordance with 30 CFR not submit formal changes, Wyoming and shrub density requirements, and 732.17(c); previous OSMRE did submit informal responses to the revise and add definitions supporting disapprovals at 30 CFR 950.12(a) (6) and noted concerns. Therefore, we are those proposed changes. Wyoming also (7); and required program amendments proceeding with the final rule Federal proposed changes to its rules in at 30 CFR 950.16(f), (l), (m), (p), and (u). Register document. Our concerns and Chapters 2, 4, and 5 regarding cultural The amendment also includes changes Wyoming’s responses thereto are and historic resources, prime farmland, made at Wyoming’s own initiative. explained in detail below. siltation structures and impoundments, We announced receipt of the III. OSMRE’s Findings and operator information. Wyoming proposed amendment in the February 9, revised its program to be consistent with 2010, Federal Register (75 FR 6332). In 30 CFR 732.17(h)(10) requires that the corresponding Federal regulations the same document, we opened the State program amendments meet the and SMCRA, clarify ambiguities, and public comment period and provided an criteria for approval of State programs improve operational efficiency. opportunity for a public hearing or set forth in 30 CFR 732.15, including meeting on the amendment’s adequacy that the State’s laws and regulations are DATES: Effective Date: June 14, 2011. (Administrative Record Document ID in accordance with the provisions of the FOR FURTHER INFORMATION CONTACT: No. OSM–2009–0012–0001). We did not Act and consistent with the Jeffrey W. Fleischman, Telephone: hold a public hearing or meeting requirements of 30 CFR Part 700. In 30 307.261.6550, E-mail address: because no one requested one. The CFR 730.5, OSMRE defines ‘‘consistent [email protected]. public comment period ended on March with’’ and ‘‘in accordance with’’ to 11, 2010. We received comments from mean (a) with regard to SMCRA, the SUPPLEMENTARY INFORMATION: three Federal agencies and one State State laws and regulations are no less I. Background on the Wyoming Program agency discussed under ‘‘IV. Summary stringent than, meet the minimum II. Submission of the Proposed Amendment and Disposition of Comments.’’ requirements of, and include all III. OSMRE’s Findings During our review of the amendment, applicable provisions of the Act and (b) IV. Summary and Disposition of Comments we identified concerns regarding with regard to the Federal regulations, V. OSMRE’s Decision Wyoming’s proposed deletion of its the State laws and regulations are no VI. Procedural Determinations definition for ‘‘surface coal mining and less effective than the Federal

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regulations in meeting the requirements for Adoption’’ (SOPR) that rules for and relocation of rule language of SMCRA. sampling and statistical methods that throughout reorganized Chapter 2 where Following are the findings we made had previously been developed for appropriate. concerning the amendment under inclusion into Chapter 4 will now be Chapter 2, Section 2(b)(vii); deletion SMCRA and the Federal regulations at incorporated into the Administrator’s of existing rule language as being 30 CFR 732.15 and 732.17. We are Approved Sampling and Statistical duplicative due to reorganization and is approving the amendment with certain Methods document. covered in new Section 6(b)(iii). exceptions as described below. Chapter 2, Section 3(l); minor B. Minor Wording, Editorial, grammatical change; A. Purpose and History of Wyoming’s Punctuation, Grammatical, and Chapter 2, Section 4; new section Amendment Regarding Appendix A Recodification Changes to Previously entitled ‘‘Other Baseline Requirements’’ Appendix A of the LQD Coal Rules Approved Regulations to reflect reorganization of the Chapter; and Regulations contains rules on Wyoming proposed minor wording, Chapter 2, Section 4(a)(i); reference to vegetation sampling methods and editorial, punctuation, grammatical, and land uses and vegetation communities reclamation success standards for recodification changes to previously that comprise them as defined in shrubs on reclaimed lands. Appendix A approved rules. The proposed changes Chapter 1; was previously incorporated by are intended to simplify references to Chapter 2, Section 4(a)(v)(A); change reference in Chapters 2 and 4 of the applicable rules and reduce ‘‘Soil Conservation Service’’ to ‘‘Natural LQD Coal Rules and Regulations and unnecessary, outdated, and duplicative Resource Conservation Service;’’ was approved by OSMRE in a November language. No substantive changes to the Chapter 2, Section 4(a)(xiv); 24, 1986, Federal Register notice (51 FR text of these regulations were proposed. recodification of cross-reference; 42212). However, on August 30, 2006, Because the proposed revisions to these Chapter 2, Section 5(a)(ii); deletion of OSMRE published new revegetation previously approved rules are minor in existing rule language as being success standards that no longer nature and do not change any duplicative as it is covered in greater required sampling and statistical fundamental requirements or weaken detail elsewhere in the section. Chapter 2, Section 5(a)(ix)(E); methods to be included in the rules of Wyoming’s authority to enforce them, recodification of cross-reference; the regulatory authority (See 71 FR we are approving the changes and find 51684). Consequently, much of Chapter 2, Section 6(a), (b), and that they are no less effective than the (b)(iii)(A); minor grammatical changes; Appendix A was no longer required to Federal regulations at Title 30 (Mineral be in the rule and Wyoming proposed Chapter 4, Section 2; recodification of Resources), Chapter VII (Office of existing Section 2(d) to reflect to delete Appendix A entirely and Surface Mining Reclamation and relocate portions thereof into Chapters reorganization and expansion to new Enforcement, Department of the subsections (i) and (ii); 1, 2, and 4. Specifically, Wyoming’s Interior), Parts 700 through 887. proposed changes to Chapter 1 contain Chapter 4, Section 2(d)(i)(C); minor Chapter 1, Section 2(f); deletion of grammatical change; definitions that were relocated from ‘‘Animal unit’’ definition because it is deleted Appendix A, plus new and Chapter 4, Section 2(d)(i)(E); minor no longer used in the rules; grammatical change; revised definitions intended to clarify Chapter 1, Section 2(j) through (q); current or proposed rules and/or Chapter 4, Section 2(d)(i)(J); minor recodification of definitions; grammatical change and recodification sampling methods in support of Chapter 1, Section 2(s); deletion of proposed changes in Chapters 2 and 4. of cross-reference; ‘‘Complete application’’ definition as it Chapter 4, Section 2(d)(i)(K); minor Wyoming also proposed to substantially is already defined in Wyoming’s grammatical change; reorganize the structure of Chapter 2 to statutes; Chapter 4, Section 2(g)(vi); minor revise Section 1 (General Requirements) Chapter 1, Section 2(by)(i), (iii)–(xi); grammatical change; and divide Section 2 (Application minor punctuation and grammatical Chapter 4, Section 2(g)(v); minor Content Requirements) into five new changes; grammatical change; sections including Adjudication Chapter 1, Section 2(eb)(i)–(iv); minor Chapter 4, Section 2(i); recodification Requirements; Vegetation Baseline formatting and grammatical changes; of cross-reference; Requirements; General Baseline Chapter 1, Section 2(ed); minor Chapter 4, Section 2(j)(vii)(B); Requirements; Mine Plan; and, grammatical changes; recodification of cross-reference; Reclamation Plan. Similarly, Wyoming Chapter 2, Section 1(c)(iii) and (iv); Chapter 4, Appendix 4A Introduction; proposed to substantially reorganize the minor grammatical changes; minor change referencing the recodified structure of Chapter 4 Section 2(d) into Chapter 2, Section 1(c)(v); reference to and revised definition of ‘‘eligible two new subsections with subsection (i) new rule documenting time frames and lands.’’ containing General Revegetation bond release standards defined in Performance Standards and most of the Chapter 1(dm); C. Revisions to Wyoming’s Rules That current Section 2(d) rules, and adding Chapter 2, Section 2; title change to Have the Same Meaning as the rules dealing with normal husbandry ‘‘Adjudication Requirements’’ to reflect Corresponding Provisions of the Federal practices. Subsection (ii) contains reorganization of the chapter; Regulations Revegetation Success Standards listed Chapter 2, Sections 3–6; Wyoming proposes revisions to the by post-mine land use categories. recodification of existing Section 2 to following rules containing language that Wyoming also proposed to combine the reflect reorganization and expansion to is the same as or similar to the standards for grazingland and new sections 3 through 6; corresponding sections of the Federal pastureland into a single section and Chapter 2, Section 2(a)(i)(C), (D), (E), regulations and/or SMCRA. Therefore proposes new Chapter 4 Appendix 4A, and (iv); minor grammatical and we are approving them. Evaluation of Shrub Density, which punctuation changes; Chapter 1, Section 2(cm); definition of describes the different shrub standard Chapter 2, Section 2(a)(v)(A)(I)(2.) and ‘‘Noxious weed’’ [30 CFR 701.5]; options and is relocated from deleted (III); minor grammatical changes; Chapter 4, Section 2(d)(i)(I); Tree Appendix A. Lastly, Wyoming indicates Chapter 2, Section 2(a)(vi)(C) and density and replacement [30 CFR 816/ in its ‘‘Statement of Principal Reasons (C)(I); deletion of current subsections 817.116(b)(3)(ii)];

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Chapter 4, Section 2(g)(iv)(L); relocated Appendix A rules has been (relocated from Appendix A, Section Impoundment spillways [30 CFR 816/ revised to be technically current. In VII.C.); 817.49(a)(9)(i)]; addition, Wyoming explains that a few Chapter 2, Section 6(b)(iii)(H); Chapter 4, Section 2(g)(iv)(M); of the rules currently in Chapter 4 Irrigation plans (relocated from Chapter Temporary impoundments [30 CFR 816/ Section 2(d) were moved to Chapter 2 so 4, Section 2(d)(xii)); 817.49(c)(2)]; that all of the rules regarding the Chapter 2, Section 6(b)(iii)(I); Pest and Chapter 4, Section 2(g)(v)(A); Design reclamation plan are located together. disease control measures (revision of precipitation event criteria [30 CFR 816/ Wyoming further indicates in its SOPR current Chapter 2, Section 2(b)(vii)(A) to 817.49(a)(9)(ii)(B)]; that in most cases, the relocated rules maintain organizational consistency); Chapter 4, Section 2(g)(v)(B); Design have been reworded and/or restructured Chapter 2, Section 6(b)(iii)(J); precipitation event criteria [30 CFR 816/ to clarify their intent and better fit the Monitoring plan for permanent 817.84(b)(2)]; rules format. The revised rules in revegetation (relocated from current Chapter 2, Section 2(b)(vii)(C)); D. Reorganization/Relocation of Existing newly-created Section 6 are intended to provide clarity and consistency Chapter 2, Section 6(b)(iv); Plan to Provisions and Previously Approved measure revegetation success (revision Language in Wyoming’s Rules regarding reclamation plan requirements, as well as maintain of current Chapter 2, Section 2(b)(vii)(B) 1. Wyoming proposes to relocate both organizational continuity. Wyoming’s to maintain organizational consistency); existing definitions in Chapter 1 as well relocation and inclusion of already Chapter 2, Section 6(b)(iv)(A), (B), (D), as previously approved definitions in existing and approved language to a (E), and (F); Reclamation plan Appendix A to Chapter 1. The changes more appropriate place within the requirements for measuring revegetation are intended to reorganize and/or regulations, along with its proposed success (relocated with revision from relocate already existing and approved revisions to these previously approved Appendix A, Section VIII.F.); Chapter 2, Section 6(b)(iv)(C); language to a more appropriate place rules, do not change any fundamental Reclamation plan requirements for within the regulations and clarify requirements or weaken Wyoming’s measuring revegetation success language contained in the current rules. authority to enforce them. Accordingly, (inclusion of previously approved shrub Because the relocation of previously we are approving the proposed changes goal standard); approved definitions within the and find that they are consistent with regulations does not change any Chapter 2, Section 6(b)(iv)(G); and no less effective than the basic Reforestation for commercial harvest fundamental requirements or weaken Federal requirements of 30 CFR Wyoming’s authority to enforce them, success standards (relocated from 780.18(b)(5). Chapter 4, Section 2(d)(x)(G)). we are approving the following Chapter 2, Section 6(b)(iii)(B) and (C); proposed changes. 3. Wyoming proposes to substantially (existing rule language of Chapter 2, reorganize the structure of Chapter 4 Chapter 1, Section 2(r); deletion of Section 2(b)(iv)(C) has been divided into ‘‘Comparison area’’ definition and Section 2(d) into two new subsections. two new subsections and revised to New subsection (i) contains General relocated as a subcategory under new clarify language in the current rules and definition for ‘‘Reference area;’’ Revegetation Performance Standards fit the new format); and most of the current Section 2(d) Chapter 1, Section 2(t); deletion of Chapter 2, Section 6(b)(iii)(D); rules, and adds rules dealing with ‘‘Control area’’ definition and relocated Requirements for tree species in normal husbandry practices. Wyoming as a subcategory under new definition reclamation plan (relocated from explains that a few of the rules currently for ‘‘Reference area;’’ Chapter 4, Section 2(d)(x)(F)); Chapter 1, Section 2(af); relocation of Chapter 2, Section 6(b)(iii)(E); in Chapter 4 Section 2(d) were moved existing definition of ‘‘Density’’ from Requirements for seed mixtures to Chapter 2 so that all of the rules Appendix A Glossary; (relocated with revision from Appendix regarding the reclamation plan are Chapter 1, Section 2(ba); relocation of A, Section VII.B.); located together. Other rules with existing definition of ‘‘Full Shrub’’ from Chapter 2, Section 6(b)(iii)(E)(I)–(IV); performance standards for Revegetation Appendix A Glossary; Species of vegetation described in the Success listed by post-mine land use Chapter 1, Section 2(ct); relocation of reclamation plan and seeding rates categories were moved to new existing definition of ‘‘Plotless (relocated with revision from Chapter 4, subsection (ii) and are addressed in sampling’’ from Appendix A Glossary. Section 2(d)(v)); Finding No. III.E.15. below. 2. Wyoming proposes to substantially Chapter 2, Section 6(b)(iii)(E)(V)(1.)– Wyoming also indicates in its SOPR reorganize the structure of Chapter 2 by (5.); Requirements for introduced that in several instances, the relocated revising Section 1 (General species seed mixtures (relocated with rules have been reworded for purposes Requirements) and dividing current revision from Appendix A, Section of consistent terminology usage and Section 2 (Application Content VII.B. and Chapter 4, Section 2(d)(vi)); restructured to clarify their intent and Requirements) into the five new Chapter 2, Section 6(b)(iii)(E)(VI); better fit the rules format. The revised sections. Wyoming proposed minor Requirement to document suitability of rules in newly-created subsection (i) are revisions to Sections 1, 2, 4, and 5 all introduced species (relocated with intended to provide clarity and which are approved in Section B. above. revision from Chapter 4, Section consistency regarding revegetation Wyoming also proposes to create new 2(d)(vi)); performance standards, and maintain Section 6 entitled ‘‘Reclamation Plan’’ Chapter 2, Section 6(b)(iii)(E)(VII); organizational continuity. Wyoming’s by reorganizing rules currently found in Seed mix requirements for grazingland relocation of already existing and Chapter 2 and consolidating both (relocated with revision from Appendix approved language to a more existing revegetation requirements and A, Section VII.B.5.); appropriate place within the revised text from Chapter 4 and Chapter 2, Section 6(b)(iii)(E)(IX); regulations, along with its proposed Appendix A. The reorganized Postmining locations of seed mixes revisions to these previously approved provisions contain concepts and rule (relocated with revision from Appendix rules, do not change any fundamental language that was previously approved A, Section VII.B.); requirements or weaken Wyoming’s by OSMRE. Wyoming notes in its SOPR Chapter 2, Section 6(b)(iii)(F); authority to enforce them. Accordingly, that some of the language in the Operator requests to not use mulch we are approving the proposed changes

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and find that they are consistent with relocation of already existing and included in a new permit or permit and no less effective than the basic previously approved language to a more amendment application which is submitted Federal requirements of 30 CFR 816/ appropriate place within the regulations to the Administrator after approval of this 817.111. does not change any fundamental rule by the Office of Surface Mining. Chapter 4, Section 2(d)(i)(F); Rills and requirements or weaken Wyoming’s Wyoming states in its SOPR that gullies (relocated from Chapter 4, authority to enforce them. Accordingly, grazingland, including land with pre- Section 2(d)(v)); we are approving the proposed change. mining shrub densities of less than one Chapter 4, Section 2(d)(i)(L); existing shrub per square meter, functions as E. Revisions to Wyoming’s Rules That rule language has been revised to clarify wildlife habitat and is eligible for shrub Are Not the Same as the Corresponding noxious weed control responsibility by reclamation. Wyoming continues that Provisions of the Federal Regulations the operator; pastureland, with its primary use as Chapter 4, Section 2(d)(v) and (vi); 1. Chapter 1, Section 2(j); Definition of domestic livestock grazing and haying, deleted and relocated with revision to ‘‘Augmented Seeding’’ often has a significant enough shrub Chapter 2, Section 6(b)(iii)(E); Wyoming proposes to add a new component that it also functions as Chapter 4, Section 2(d)(vii); deleted definition for ‘‘Augmented Seeding’’ to wildlife habitat. Thus, the Pastureland and relocated with revision to Chapter its rules at Chapter 1, Section 2(j) that shrubs may be replaced on other 4, Section 2(d)(ii) and divided into reads as follows: reclaimed land such as grazingland. Section 2(d)(ii)(C) for ‘‘cropland’’ and Next, Wyoming states that the (F) for ‘‘industrial, commercial, and (j) ‘‘Augmented Seeding’’ means reseeding revision adds pastureland with a full residential land uses;’’ in response to the unsuccessful germination, shrub density greater than one shrub per establishment or permanence of revegetation square meter as eligible land. Wyoming Chapter 4, Section 2(d)(viii); deleted efforts. Augmented seeding resets the and relocated to Chapter 4, Section applicable liability period. A synonym is goes on to explain that this means the 2(d)(ii)(J)(I) under ‘‘special success reseeding. areas defined as pastureland are standards;’’ required to meet the shrub density In its SOPR, Wyoming states that this Chapter 4, Section 2(d)(i)(H); Bond standard if their pre-mine shrub definition is needed to support its release and revegetation (first sentence densities are greater than one full shrub proposed normal husbandry rules relocated from Chapter 4, Section per square meter. Conversely, [Chapter 4, Section 2(d)(i)(M)(I)], and 2(d)(x)); pasturelands with lower pre-mine shrub Chapter 4, Section 2(d)(x); deleted was required by OSM to address the densities are not required to replace and relocated with revision to Chapter difference between interseeding, which shrubs postmine. 4, Section 2(d)(ii)(B)(I) under is a husbandry practice that does not Wyoming also notes that the ‘‘Revegetation Success Standards for reset the bond clock, and augmented definition is being revised to make Grazingland and Pastureland;’’ seeding which does reset the bond pastureland ‘‘eligible land’’ only if the Chapter 4, Section 2(d)(x)(A)–(D); clock. Wyoming continues that the surface owner requests that pastureland deleted and relocated with revision to difference between the two is that be eligible. Originally, the proposed rule Chapter 1, Section 2(dl) ‘‘Reference augmented seeding is used when the made pastureland subject to shrub Area’’ definitions; original seeding has been unsuccessful, replacement when full shrub density Chapter 4, Section 2(d)(x)(E) and and that interseeding is used to enhance was greater than one shrub per square (E)(I)–(E)(IV); deleted and relocated with established vegetation in order to meter. Wyoming confirms that meeting revision to Chapter 4, Section improve composition. this standard is still required, but only 2(d)(ii)(B)(II) under shrub replacement The proposed definition appropriately with surface owner consent. Wyoming requirements for grazingland; distinguishes the differences between also explains that the concept of surface Chapter 4, Section 2(d)(x)(G); augmented seeding and interseeding, owner consent was added as a result of Standards for success of reforestation and is consistent with other state public comment and testimony during a (deleted; first and last sentences definitions and uses previously Wyoming Environmental Quality relocated with revision to Chapter 4, approved by OSMRE. We also find that Council hearing on these rules. Section 2(d)(ii)(H), with remainder while there is no direct Federal Wyoming concludes by stating that this moved to Chapter 2, Section 6(b)(iv)(G)); counterpart to the proposed rule it adds the option of replacing shrubs on Chapter 4, Section 2(d)(x)(H); deleted implements the Federal requirements at pastureland with a shrub density of and relocated with revision to Chapter 30 CFR 816/817.116(c)(1) and (4), and is greater than one shrub per square meter 4, Section 2(d)(ii)(C)(I) under cropland no less effective than the Federal if the owner of the land requests that success standards; regulations. Accordingly, we are pastureland be eligible land. Chapter 4, Section 2(d)(x)(I); deleted approving Wyoming’s proposed The Federal regulations at 30 CFR and relocated with revision to Chapter definition. 816/817.116(b)(1) require that for areas 4, Section 2(d)(ii)(C)(II) under cropland 2. Chapter 1, Section 2(am); Definition developed for use as grazing land or success standards; of ‘‘Eligible Land’’ pasture land, the ground cover and Chapter 4, Section 2(d)(x)(J); deleted production for living plants shall be at and relocated with revision to Chapter Wyoming proposes to revise its least equal to that of a reference area or 4, Section 2(d)(ii)(B)(I)(3.) under definition for ‘‘Eligible land’’ in its rules such other [revegetation] success cropland success standards; at Chapter 1, Section 2(am) to read as standards approved by the regulatory Chapter 4, Section 2(d)(xii); Irrigation follows: authority. Wyoming’s proposed plans deleted and relocated with (am) ‘‘Eligible land’’ means all land to be definition for ‘‘Eligible land’’ adds revision to Chapter 2, Section affected by a mining operation after August specificity beyond that contained in the 6(b)(iii)(H). 6, 1996 which carries the grazingland land Federal regulations. We also find that 4. Wyoming proposes new Chapter 4 use designation and all affected pastureland while there is no direct Federal land use units which have a full shrub Appendix 4A, Evaluation of Shrub density greater than one full shrub per square counterpart to the proposed rule, it Density, which describes the different meter. Pastureland is eligible only if the implements the Federal requirement at shrub standard options and is relocated surface owner requests that the pastureland 30 CFR 816/817.116(b)(1) and is no less from deleted Appendix A. Wyoming’s be eligible and only if the land units are effective than the Federal regulations.

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Accordingly, we are approving husbandry practices’’ in accordance (ii) ‘‘Pastureland’’ means land used Wyoming’s revised definition. with the approved postmining land use. primarily for the long-term production of We also find, based on the above adapted, domesticated forage plants to be 3. Chapter 1, Section 2(bm); Definition understanding, that while there is no grazed by livestock or occasionally cut and of ‘‘Husbandry Practice’’ direct Federal counterpart definition to cured for livestock feed. In addition, for the Wyoming proposes to add a new the proposed rule, it implements the purpose of determining premining land use, definition for ‘‘Husbandry practice’’ to Federal requirements at 30 CFR 816/ the relative cover of introduced perennial its rules at Chapter 1, Section 2(bm) that 817.116(b) and (c)(4) and is no less forage species must be greater than 40% of reads as follows: effective than the Federal regulations. the relative cover of total vegetation in order for the land to be pastureland. If the full (bm) ‘‘Husbandry practice’’ means when Wyoming also proposes to delete its preceded by the word ‘‘normal’’, those current definition of ‘‘Good husbandry shrub density is greater than one shrub per management practices that may be used to practices’’ at Chapter 1, Section 2(ao) as square meter on those lands and the surface achieve revegetation success without being unnecessary and redundant owner requests the lands to be eligible, the restarting the bond responsibility period. because the proposed addition of the land use is still pastureland but the land is Normal husbandry practices are sound term ‘‘normal’’ has been included in the also ‘‘eligible land’’ in terms of shrub management techniques which are reclamation. commonly practiced on native lands in the new definition for ‘‘Husbandry area of the mine and, if discontinued after the practice.’’ For the same reasons Wyoming explains that the revised area is bond released, shall not reduce the explained above, we approve the definition of pastureland is intended to probability of permanent vegetation success. proposed deletion. identify land that has been altered in the Wyoming states that a definition of 4. Chapter 1, Section 2(bu); Definition of past to better suit domestic grazing and ‘‘Husbandry practice’’ is needed to ‘‘Interseed’’ haying purposes. Wyoming further support its proposed normal husbandry states that it is recognized that many rules [Chapter 4, Section 2(d)(i)(M)], and Wyoming proposes to add a new pasturelands have, since initial explains that the new definition definition for ‘‘Interseed’’ to its rules at treatment, reverted back to a more Chapter 1, Section 2(bu) that reads as includes elements from the current native vegetation composition, follows: ‘‘Good husbandry practices’’ definition including shrubs, which now also at Chapter 1, Section 2(ao) that is (bu) ‘‘Interseed’’ means a secondary provide functional wildlife habitat as a proposed for deletion. Specifically, the seeding into established vegetation in order pre-mining land use. Thus, the second sentence of the proposed to improve composition, diversity or distinction between pastureland and definition was moved from the current seasonality. Interseeding is done to enhance revegetation rather than to augment the grazingland needs to be clear. Wyoming definition of ‘‘Good husbandry revegetation that is unsuccessful in terms of notes that the rule identifies the practices’’ in response to public germination, establishment, or permanence. vegetative composition, including comments. Wyoming also points out native forage and shrubs, that would that the specific list of acceptable Similar to Finding No. III.E.1. above distinguish treated lands as either normal husbandry practices and their for ‘‘Augmented seeding,’’ Wyoming pastureland or grazingland, and that limitations, which are enforceable, are states that a definition of ‘‘Interseeding’’ since it is possible for land to be defined included in Chapter 4, Section is needed to support its proposed as pastureland and still have a 2(d)(i)(M). normal husbandry rules [Chapter 4, functional shrub habitat component, the The Federal regulations at 30 CFR Section 2(d)(i)(M)(I)], and distinguish it definition also identifies when 816/817.116(b) state, in pertinent part, from augmented seeding which restarts pastureland is eligible for shrub that ‘‘Standards for [revegetation] the bond responsibility period. OSMRE reclamation. Lastly, Wyoming states that has previously approved the use of success shall be applied in accordance surface owner consent is required in interseeding as a normal husbandry with the approved postmining land use addition to the requirement that shrub practice in both Colorado and New * * *.’’ density be greater than one shrub per Mexico using similar language. The Federal regulations at 30 CFR square meter for lands to become 816.116(c)(1) require that the period of We find that Wyoming’s proposed eligible lands. The surface owner extended responsibility for successful definition provides specificity beyond consent requirement was added as a that contained in the Federal revegetation shall begin after the last result of public comment and testimony regulations, appropriately distinguishes year of augmented seeding, fertilizing, during a Wyoming Environmental the differences between augmented irrigation, or other work, excluding Quality Council rulemaking hearing. husbandry practices that are approved seeding and interseeding, and is by the regulatory authority in consistent with other state definitions Wyoming’s proposed revision accordance with 30 CFR 816.116(c)(4). and uses previously approved by specifies the amount of relative cover The Federal regulations at 30 CFR OSMRE. We also find that while there required of pastureland species in order 816.116(c)(4) state, in pertinent part, is no direct Federal counterpart to the for the vegetation community to be that management practices are normal proposed rule it implements the Federal considered pastureland. The revision husbandry practices ‘‘if such practices requirements at 30 CFR 816/ also specifies when pre-mine plant can be expected to continue as part of 817.116(c)(1) and (4), and is no less communities qualify as pastureland, the postmining land use or if effective than the Federal regulations. and when pastureland is required discontinuance of the practices after the Accordingly, we are approving (eligible) to meet the shrub density liability period expires will not reduce Wyoming’s proposed definition. standard. We find that Wyoming’s the probability of permanent revised definition for pastureland adds 5. Chapter 1, Section 2(by)(ii); revegetation success.’’ specificity beyond that contained in the Definition of ‘‘Pastureland’’ We are approving Wyoming’s Federal definition and is no less proposed definition of ‘‘Husbandry Wyoming proposes to revise its effective than the counterpart Federal practice,’’ with the understanding that it definition for ‘‘Pastureland’’ in its rules Regulation at 30 CFR 701.5. be interpreted as achieving successful at Chapter 1, Section 2(by)(ii) to read as Accordingly, we are approving revegetation through ‘‘normal follows: Wyoming’s revised definition.

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6. Chapter 1, Section 2(ct); Definition ‘‘coal mining operations’’ and ‘‘coal reference area’’, depending on how it is ‘‘Surface Coal Mining and Reclamation mining and reclamation operations’’ established and used, in accordance with the Operations’’ and deletion of the Term that are consistent with and no less following provisions: ‘‘Surface’’ in Chapters 1, 2, 4, and 5 effective than the requirements of Wyoming states in its SOPR that Wyoming proposes to delete the Federal counterpart definitions found at ‘‘Reference area’’ is now defined as a definition of ‘‘surface coal mining and 30 CFR 700.5. In the absence of such general umbrella term for all types of reclamation operations’’ at Chapter 1, definitions, we concluded that areas used for measuring revegetation Section 2(ct), as well as the word Wyoming’s proposed deletions are less success. These include the current ‘‘surface’’ throughout its rules in stringent than SMCRA and inconsistent revised definitions for ‘‘comparison Chapters 1, 2, 4, and 5, respectively. with and less effective than the area,’’ ‘‘control area,’’ ‘‘extended Wyoming states that both the definition corresponding Federal regulations. reference area,’’ and a newly-proposed and term are being deleted because they Wyoming responded in a letter dated definition for ‘‘limited reference area,’’ are holdovers from when the coal and June 21, 2010, by stating its agreement all of which are defined as subcategories non-coal rules were combined. with OSMRE that removal of the under the reference area category. Wyoming also notes in its SOPR that definition ‘‘surface coal mining and Wyoming explains that this allows deletion of the word ‘‘surface’’ is reclamation operations’’ and the term ‘‘reference area’’ to serve as a generic necessary to eliminate potential ‘‘surface’’ throughout Chapters 1, 2, 4, term referring to all categories, which confusion for underground coal and 5 ‘‘would result in Wyoming’s will facilitate clarity in rules and operations because the same continued use of the undefined terms.’’ communication with the public and requirements apply for both surface and As a result, Wyoming replied that it will operators. Wyoming also notes that it underground mines. At OSMRE’s review the formally submitted rules for combined the current revised and request, Wyoming provided additional instances where the term ‘‘surface’’ was newly-proposed rules for ‘‘reference justification for deleting its regulatory removed and reinsert that language as areas’’ from Appendix A, and Chapters definition of ‘‘surface coal mining and originally approved. Wyoming also 1, 2, and 4 and placed them in Chapter reclamation operations’’ by explaining stated that it would place the definition 1 under the definitions noted below to that similar definitions are included in of ‘‘surface coal mining and reclamation make it easier to compare them. operations’’ back in Chapter 1 as its statutes for ‘‘Surface coal mining (i) ‘‘Comparison area’’ means a type of operation’’ at 35–11–103(e)(xx) and originally defined as part of its future ‘‘Reference area’’ that is established after a ‘‘Reclamation’’ at 35–11–103(e)(i). Advisory Board rulemaking efforts. vegetation community has been affected. A Wyoming concluded by noting that if Based on the discussion above, we are qualitative determination shall be used to the statute and regulation conflict, the not approving Wyoming’s proposed rule evaluate if the proposed ‘‘Comparison area’’ statute would supersede the regulation; changes deleting the definition of adequately represents the affected vegetation community. A ‘‘Comparison area’’ may be therefore redundant or duplicative ‘‘surface coal mining and reclamation operations’’ at Chapter 1, Section 2(ct), used when other types of ‘‘Reference areas’’ regulations are removed when possible are not available for measuring revegetation (Administrative Record Document ID and removing the term ‘‘surface’’ throughout its rules in Chapters 1, 2, 4 success or when other types of ‘‘Reference No. OSM–2009–0012–0010). areas’’ will not be representative of OSMRE replied in a letter dated May and 5. We also acknowledge Wyoming’s revegetation success. ‘‘Comparison areas’’ 21, 2010, that Wyoming’s regulatory commitment to reinstate the proposed shall be approved by the Administrator prior definition of ‘‘surface coal mining and deletions in a future rulemaking effort to their establishment. When evaluating reclamation operations,’’ which was and are deferring our decision on them Chapter 4 revegetation success performance approved in its November 26, 1980, until such time as they are formally standards, data from the ‘‘Comparison areas’’ original program approval, is submitted to OSMRE for review. are directly compared by statistical procedures to data from the reclaimed area. substantively identical to the Federal 7. Chapter 1, Section 2(dl); Definition of (ii) ‘‘Control area’’ means a type of definitions found at Section 701(27) of ‘‘Reference Area’’ and Subcategories ‘‘Reference area’’ that is established during SMCRA and 30 CFR 700.5. ‘‘Comparison Area,’’ ‘‘Control Area,’’ baseline sampling. Quantitative comparisons Additionally, Wyoming’s statutory ‘‘Extended Reference Area,’’ and of vegetation cover, total ground cover, and definition of ‘‘surface coal mining ‘‘Limited Reference Area’’ production between the proposed ‘‘Control area’’ and the vegetation community to be operation,’’ as approved by OSMRE on Wyoming proposes to revise its March 31, 1980, is substantively affected are used to demonstrate the definition for ‘‘Reference area’’ in its representative nature of the ‘‘Control area’’. identical to the Federal definitions rules at Chapter 1, Section 2(dl) to read found at Section 701(28) of SMCRA and When evaluating revegetation success, as follows: baseline data are climatically adjusted using 30 CFR 700.5. Consequently, we (dl) ‘‘Reference area’’ means a land unit equations. These adjusted data are directly determined that, like their Federal compared by statistical procedures to counterparts, Wyoming’s definitions of established to evaluate revegetation success. A ‘‘Reference area’’ is representative of a vegetation data from the reclaimed area. The ‘‘surface coal mining and reclamation vegetation community or communities that Administrator may determine to make a operations’’ and ‘‘surface coal mining will be affected by mining activities, in terms direct comparison without the climatic operation’’ are companion requirements of physiography, soils, vegetation and land adjustment between the ‘‘Control area’’ and that complement one another and do use history. The ‘‘Reference area’’ and its the reclaimed area. Each ‘‘Control area’’ shall not conflict. We also informed Wyoming corresponding postmine vegetation be at least two acres. that its proposed deletions would result community (or communities) must be Wyoming explains in its SOPR that in continued use of the undefined terms approved by LQD and shall be defined in the ‘‘Control areas’’ have been deemed not ‘‘coal mining and reclamation approved Reclamation Plan. All ‘‘Reference the best technology because of their operations’’ and ‘‘coal mining areas’’ shall be managed to not cause small size and will not be allowed for significant changes in the vegetation operations’’ throughout its rules. parameters which will be used to evaluate new permitted lands. However, mines Therefore, in lieu of removing the Chapter 4 revegetation success performance that have ‘‘Control areas’’ currently definition of ‘‘surface coal mining and standards. A ‘‘Reference area’’ can be a approved will be allowed to continue to reclamation operations’’ we required ‘‘Comparison area’’, ‘‘Control area’’, use them on currently permitted lands that Wyoming propose definitions for ‘‘Extended reference area’’, or ‘‘Limited but will not be allowed to use ‘‘Control

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areas’’ on lands amended into the ground cover, productivity, and plant species programs to be no less stringent that permit after the effective date of these diversity that are produced naturally or by SMCRA and no less effective than the rules as per new rule Chapter 4, Sec. crop production methods approved by the Federal regulations, and does not Regulatory authority. Reference areas must be contemplate the use of guidelines in 2(d)(ii)(A)(I)(1). Wyoming also clarifies representative of geology, soil, slope, and that the two acre size remains because vegetation in the permit area. lieu of counterpart State laws and these areas were selected under the regulations. Thus, we determined that current rules which require two acres. Wyoming’s proposed definition for Wyoming’s proposal to remove the scale ‘‘Reference area’’ adds specificity (iii) ‘‘Extended reference area’’ means a requirement from its currently approved beyond that contained in the Federal rules and place it in a guideline renders type of a ‘‘Reference area’’ that includes a regulations. We also find that while major portion of one or more premine its program less stringent than SMCRA vegetation communities within the permit there are no direct Federal counterparts and less effective than the Federal area. During baseline sampling, the to the proposed subcategory definitions regulations, and concluded that ‘‘Extended reference area’’ includes areas for ‘‘comparison area,’’ ‘‘control area,’’ Wyoming must retain the 1:24,000 scale proposed to be affected and areas that will be ‘‘extended reference area,’’ and ‘‘limited requirement at Chapter 2, Section 1(c) unaffected. Postmine, the unaffected areas reference area,’’ they implement the for maps that are submitted with permit constitute the ‘‘Reference area’’ for Federal requirements at 30 CFR 816/ applications. revegetation success evaluation. ‘‘Extended 817.116 and are no less effective than reference areas’’ should be established during Wyoming replied in a letter dated the Federal regulations. Accordingly, we June 21, 2010, that it will submit a rule baseline sampling, but in some are approving both Wyoming’s revised circumstances, may be established after package to the Advisory Board that will mining begins. The representative nature of and proposed definitions with the put the 1:24,000 scale requirement back the vegetation community within the understanding that they be interpreted into its rules at Chapter 2, Section 1(c). ‘‘Extended reference area’’ is demonstrated as explained above. Based on the discussion above, we are by vegetation community mapping 8. Chapter 2, Section 1(c); U.S. not approving Wyoming’s proposed rule procedures, sampling data, soil data, change deleting the 1:24,000 scale physiography and land use history. To Geological Survey Topographic Map Scale Requirement requirement at Chapter 2, Section 1(c) evaluate revegetation success, data from the for maps that are submitted with permit ‘‘Extended reference area’’ are directly Wyoming proposes to delete the compared by the statistical procedures to applications. We also acknowledge requirement that maps the equivalent of Wyoming’s commitment to reinstate the data from the reclaimed area. Each a U.S. Geological Survey topographic ‘‘Extended reference area’’ will be as large as proposed deletion in a future possible. map submitted with a permit rulemaking effort and are deferring our (iv) ‘‘Limited reference area’’ is one type of application be no smaller than a scale of decision on it until such time as the rule a ‘‘Reference area’’ that is established during 1:24,000. In its SOPR, Wyoming states is formally submitted to OSMRE for baseline sampling to represent one vegetation that ‘‘the reference to a particular scale review. community to be reestablished. The has been removed from rule and will be representative nature of the ‘‘Limited placed in a guideline. This will allow 9. Chapter 2, Section 3(a)–(m); reference area’’ is determined by quantitative maximum flexibility to allow the scale Vegetation Baseline Requirements comparisons of vegetation cover, and be appropriate for the size of the mine Wyoming proposes to add a new production between the ‘‘Limited reference or item depicted. The scale will still area’’ and proposed affected areas at the 90 section to its rules at Chapter 2, Section percent confidence level. To evaluate have to be acceptable to the 3 entitled ‘‘Vegetation Baseline revegetation success, data from the ‘‘Limited Administrator to ensure its usefulness to Requirements.’’ reference area’’ are directly compared by the division.’’ In its SOPR, Wyoming states that statistical procedures to data from the By letter dated May 21, 2010, OSMRE Section 3, Vegetation Baseline reclaimed area. Each ‘‘Limited reference responded that Section 507(b)(13)(B) of Requirements, is almost entirely new area’’ shall be at least five acres. SMCRA requires, in pertinent part, that: language for Chapter 2. Wyoming In order to alleviate the potential for permit applications shall be submitted in a explains that most of these rules are confusion OSMRE notes that, with manner satisfactory to the regulatory relocated from Appendix A, and include respect to vegetation, the term authority and shall contain, among other rules on mapping, sampling, species ‘‘established’’ generally infers the things, accurate maps to an appropriate scale inventory, and vegetation community seeding, germination, and successful clearly showing * * * all types of descriptions. Wyoming continues that information set forth on topographic maps of independent propagation of vegetation. the United States Geological Survey of a scale the concepts contained in the current Thus, we interpret the term of 1:24,000 or 1:125,000 or larger, * * *. Appendix A and elsewhere in Chapters ‘‘established’’ in Wyoming’s proposed 2 and 4 were combined and presented In addition, we stated that the rules to mean those areas ‘‘designated,’’ in a single location to provide clarity counterpart Federal regulations at 30 ‘‘delineated,’’ and/or ‘‘identified’’ as and consistency to maps provided to the CFR 777.14(a) concerning the general meeting a ’’Reference area’’ standard. LQD for review. Wyoming maintains Additionally, we interpret the five requirements for maps and plans that the new section includes rules that acre requirement for ‘‘Limited Reference require, in pertinent part, that: assimilate and clarify the requirements Areas’’ to be a minimum requirement Maps submitted with applications shall be applicable to the mapping of vegetation even if a valid statistical analysis presented in a consolidated format, to the communities, and states that indicates the validity of a smaller sized extent possible, and shall include all the terminology used by the Natural types of information that are set forth on area; a minimum five acre requirement topographic maps of the U.S. Geological Resources Conservation Service may be will help buffer the reference area from Survey of the 1:24,000 scale series. * * * used to describe the vegetation such things as edge and other effects. Maps of the adjacent area shall clearly show communities. The rules contain a The Federal definition of ‘‘Reference the lands and waters within those areas and requirement that locations of certain area’’ is found at 30 CFR 701.5 and be in a scale determined by the regulatory weeds be shown on the map, and reads as follows: authority, but in no event smaller than Wyoming states that this has been the 1:24,000. Reference area means a land unit normal practice but it is now clarified maintained under appropriate management 30 CFR Part 730 sets forth criteria and in the rules. Wyoming also proposes to for the purpose of measuring vegetation procedures for amending approved reduce baseline measurement

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requirements for plant communities that are used instead when a technical compliance with the Archaeological have already been thoroughly described standard is not. The development of Resources Protection Act of 1979 (P.L. 96– in previous baseline studies and technical standards requires the use of 95), this information shall not be placed on proposes to add new rules on shrub data that are collected by specified display at the county clerk’s office (as methods that ensures the data is required by W.S. § 35–11–406(d)) where such standard option selection and sample resources occur on lands owned by the sizes. Additionally, the requirement for representative of the vegetation United States. This information shall be production measurements was community. Quantitative methods are clearly labeled as ‘‘Confidential’’ and eliminated for baseline sampling unless also appropriate for those mining areas submitted separately from the remainder of the operator is developing a technical that have vegetation communities that the application materials. Requests to standard or the vegetation community have not been fully described by disclose confidential information shall be has not been described adequately in previous baseline studies.’’ administered under the Department of the past. Wyoming explains that a semi- Wyoming’s proposed amendment Environmental Quality, Rules of Practice and quantitative method is proposed for relocates and combines existing Procedure, the Wyoming Public Records Act (W.S. §§ 16–4–2001 thru 16–4–2005 (2007)) areas where the LQD has numerous data previously approved rules from former Appendix A and Chapters 2 and 4 in a and the Wyoming Environmental Quality Act sets that describe in detail the pre-mine (2007). vegetation communities. single location to maintain The Federal regulations at 30 CFR organizational continuity and provide In its SOPR, Wyoming explains that 779.19 concerning the general clarity and consistency regarding the proposed rule language clarifies that requirements for collecting information mapping, sampling, species inventory, information related to the nature and on plant communities to document pre- and vegetation community descriptions. location of archeological resources on mine baseline vegetation conditions Moreover, Wyoming’s newly-proposed public lands shall be submitted require that: rules on shrub standard option selection separately from other application and sample sizes provide specificity materials, and outlines the procedures (a) The permit application shall, if required beyond that contained in the Federal by the regulatory authority, contain a map which govern requests to disclose that delineates existing vegetative types and regulations. We find that Wyoming’s information that has been submitted as a description of the plant communities explanation justifying the addition of confidential. Wyoming further notes within the proposed permit area and within these new provisions in Chapter 2, that the proposed language references any proposed reference area. This description Section 3 is reasonable, and the lack of the Department of Environmental shall include information adequate to predict exact Federal counterpart requirements Quality Rules of Practice and Procedure, the potential for reestablishing vegetation. do not render them less effective than the Wyoming Public Records Act, and (b) When a map or aerial photograph is the Federal regulations. Accordingly, we the Environmental Quality Act to more required, sufficient adjacent areas shall be are approving them. included to allow evaluation of vegetation as clearly identify the applicable standards important habitat for fish and wildlife for 10. Chapter 2, Section 4(a)(xvii); Public regarding the administration of requests those species of fish and wildlife identified Availability of Permit Applications and for confidential information. under 30 CFR 780.16. Confidentiality Although Wyoming’s rationale for Furthermore, the Federal regulations In an October 29, 1992, Federal making the rule change is sound, the at 30 CFR 816/817.116 require the use Register (57 FR 48987) notice, we proposed language referencing its Public of statistically valid sampling required Wyoming to further amend its Records Act contains an incorrect techniques to ensure that that all regulations regarding procedures, citation wherein W.S. §§ 16–4–2001 revegetation meet or exceed success including notice and opportunity to be thru 16–4–2005 (2007) is referenced standards—including criteria heard for persons seeking disclosure, to rather than W.S. §§ 16–4–201 thru 16– representative of unmined lands in the ensure confidentiality of qualified 4–205 (2007). For this reason, we are not area being reclaimed to evaluate the information, which shall be clearly approving Wyoming’s proposed rule appropriate vegetation parameters of identified by the by the applicant and revision rule regarding administrative ground cover, production, or stocking— submitted separately from the procedures to ensure confidentiality of for purposes of achieving bond release, remainder of the application as required qualified archaeological information regardless of whether technical by the Federal regulations at 30 CFR and the required program amendment at standards or comparisons to reference 773.13(d)(3). The Federal rules 30 CFR 950.16(u) remains outstanding. areas are used. All approved State concerning Public Participation in 11. Chapter 2, Section 5(a)(viii)(A); Fish programs must maintain counterparts to Permit Processing were subsequently and Wildlife Enhancement Measures these key nationwide minimum amended and redesignated as 30 CFR protections. 773.6 in a Federal Register notice dated In a July 8, 1992, Federal Register (57 Therefore, any methods used to December 19, 2000 (65 FR 79663). FR 30124), we placed a required designate a reference area for Consequently, the rules addressing program amendment on Wyoming at 30 comparison to reclaimed areas and confidentiality are now found at 30 CFR CFR 950.16(p) that discussed two demonstrate revegetation success at the 773.6(d)(3). distinct items. The first item required time of bond release should also use In response to the required program Wyoming to revise its rules at former valid methods of comparison during amendment at 30 CFR 950.16(u), Chapter 2, Section 3(b)(iv)(A) or such designation and during the success Wyoming proposes to revise its rules at otherwise amend its program to specify standard demonstration. Chapter 2, Section 4(a)(xvii) regarding that, when fish and wildlife In its SOPR, Wyoming acknowledges procedures for protecting the enhancement measures are not included this requirement, in part, by stating that confidentiality of qualified in a proposed permit application, the ‘‘With the exception of shrubs which archeological information to read as applicant must provide a statement have special rules * * *, the baseline follows: explaining why such measures are not data collected by quantitative methods (xvii) Boundaries and descriptions of all practicable. The second item required are not used to develop bond release cultural, historic and archaeological that the rule be revised to clarify that standards unless a technical standard is resources listed on, or eligible for listing on, fish and wildlife enhancement measures being developed because reference areas the National Register of Historic Places. In are not limited to revegetation efforts.

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In response to questions from OSMRE Section 3(o).’’ Notwithstanding When such enhancement measures are not regarding the underlying rationale for Wyoming’s reference to Chapter 2, included in a plan, the applicant shall not revising or amending its rules in Section 5(a)(viii)(B) our position affirmatively demonstrate why such response to 30 CFR 950.16(p), Wyoming remains unchanged from the April 12, measures are not practicable. explains that it informally submitted 1993, comment letter. The July 8, 1992, OSMRE found this language to be rule language [in a January 28, 1993, Federal Register (57 FR 30124) acceptable, but stated that ‘‘Discussion letter] that was intended to resolve the specifically identified former Chapter 2, of such enhancement plans would required program amendment. By letter Section 3(b)(iv)(A) as being the deficient appear to be relevant to LQD Rules at dated April 12, 1993, OSMRE found that provision in Wyoming’s rules, and Chapter II, Section 3(b)(iv) which the proposed language was less effective Wyoming states that the problematic discusses ‘A plan for minimizing than the Federal counterpart language has not changed. For these adverse impacts to fish, wildlife, and regulations, and it appears that reasons, we continue to interpret related environmental values’.’’ We Wyoming never attempted to revise the current Chapter 2, Section 5(a)(viii)(A) further explained that ‘‘In order to be no language and promulgate it anytime as limiting the scope of enhancement less effective than the Federal after the 1993 comment letter. measures to revegetation efforts and requirements and to provide for clarity Consequently, Wyoming states that it concluded that Wyoming’s explanation of the Wyoming program the proposed did not draft any specific language to does not satisfy the program deficiency language at LQD Rules Chapter II, address the required amendment in this specified in 30 CFR 950.16(p). Section 3(b)(iv)(A) should be relocated rule package. Next, Wyoming submits that while it at Chapter II, Section 3(b)(iv) which Rather, Wyoming provides additional did not specifically add a provision discusses ‘A plan’ or Wyoming should clarification and suggests that the requiring a statement from the applicant clarify how the existing rule current requirements of Chapter 2, when that person did not include construction is to be interpreted.’’ This Section 5(a)(viii)(B) (former Chapter 2, enhancement efforts in a proposed statement now applies to current Section 3(b)(iv)(B)) and Chapter 4, permit application, Chapter 2, Section Chapter 2, Section 5(a)(viii). Section 2(r) (former Chapter 4, Section 5(a)(viii)(B) requires a statement of how As Wyoming states above, it never 3(o)), respectively, address the required the applicant will ‘‘utilize monitoring attempted to revise the language and program amendment. Wyoming methods as specified in Appendix B promulgate it anytime after the 1993 continues that OSMRE’s April 12, 1993, * * * and impact control measures and comment letter and did not draft any comment letter directed it to clarify that management techniques to protect and specific language to address the wildlife enhancement was not limited to enhance’’ wildlife habitats and features. required amendment. Accordingly, the revegetation efforts. Wyoming also Wyoming also asserts that Chapter 4, basis for OSMRE’s April 12, 1993, states that the deficient language is now Section 2(r) requires the operator to the comment letter still applies, particularly found in Chapter 2, Section 5(a)(viii)(A) extent possible using the best since Wyoming previously proposed and it has not changed. However, technology currently available minimize language that appears to have been Wyoming submits that the language in disturbance and impacts and achieve acceptable to OSMRE but was never subsection (B) makes clear that enhancement of such resources when resubmitted. For these reasons we enhancement efforts are not limited to practicable. Accordingly, Wyoming determined that the additional revegetation because this section goes believes that the combination of these information offered by Wyoming and on to clarify that the applicant must two sections is no less effective than the reliance on its application review show how certain habitat components Federal regulations because the rules are process falls short of directly imposing and features will be ‘‘protect[ed] or written as affirmative duties on the part on an applicant the requisite burden to enhance[d].’’ This would include of the applicant and are required as part provide a statement explaining why important habitats such as wetlands, of the application. Specifically, enhancement measures are not riparian areas, rimrocks, and other Wyoming states that when an practicable when they are not included special habitat features. Wyoming also application is reviewed, it would in a permit application. notes that the wildlife performance become apparent that the applicant did Lastly, Wyoming notes that Chapter 2, standards contained in Chapter 4, not include enhancement measures and Section 5(a)(viii)(B)(II) includes an Section 2(r) speaks to things other than then the application would not be improper reference. Specifically, that vegetation (Administrative Record deemed complete which would require section refers to a consultation process Document ID No. OSM–2009–0012– follow up information by the applicant. found at Section 2(a)(vi)(G). However, 0009). Therefore, the applicant would either the reference should have been revised We replied in a letter dated May 21, include additional enhancement to reflect the new chapter reorganization 2010, that OSMRE’s April 12, 1993, features or respond that the and Wyoming states that it will be comment letter in response to enhancement features would not be corrected during the next rulemaking. Wyoming’s informal rule proposal practicable. Wyoming replied in a letter dated stated that ‘‘the existing rules at Chapter In our May 21, 2010, letter we June 21, 2010, that it will present rule II, Section 3(b)(iv)(A) appear to limit responded that the Federal regulations language to its Advisory Board that will enhancement only to revegetation at 30 CFR 780.16 and 784.21(b)(3)(ii) address both the required program efforts in Chapter IV, Section 3(o).’’ We require, in pertinent part: amendment as well as the incorrect also noted that this ‘‘is confusing since * * * Where the plan does not include Chapter citation in subsection (II). the rules at Chapter IV, Section 3(o) enhancement measures, a statement shall be Based on the discussion above, we do refer to many enhancement features in given explaining why enhancement is not not accept Wyoming’s explanation for addition to revegetation enhancement practicable. not revising or amending its rules in which is specifically located at Chapter We also maintained that in its January response to 30 CFR 950.16(p). We also IV, Section 3(o) (D). Thus, it appears 28, 1993, informal rule submittal in acknowledge Wyoming’s commitment that removal of the existing language response to 30 CFR 950.16(p), Wyoming to address both the required program ‘‘through successful revegetation’’ * * * proposed to amend its rules at former amendment and the incorrect cross- would allow enhancement features to Chapter II, Section 3(b)(iv)(A) by adding reference in a future rulemaking effort, include all the items in Chapter IV, the following language: and are deferring our decision on them

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until such time as the changes are implements the Federal requirements at vague and the phrase ‘‘control runoff’’ is formally submitted to OSMRE for 30 CFR 780.18(b)(5) and 816/ open to interpretation without the review. 817.116(b)(3), respectively. specificity of ‘storage capacity’ to contain or control the design event 12. Chapter 2, Section 2(b)(iii)(G); Weed 14. Chapter 4, Section 2(c)(xii)(D)(II); runoff. Consequently, in order to Control Plan Siltation Structures and Impoundments comply with Item C–2 of the February Wyoming proposes to add a new rule Wyoming proposes to revise its rules 21, 1990, letter and maintain at Chapter 2, Section 6(b)(iii)(G) at Chapter 4, Section 2(c)(xii)(D)(II) to be consistency with its proposed rule at requiring that reclamation plans include consistent with its proposed rule Chapter 4, Section 2(g)(v)(B), OSMRE a weed control plan for State of language in Chapter 4, Section 2(g)(iv)– required Wyoming to revise its rule Wyoming Designated Noxious and (v) and correct a deficiency in response language at Section 2(c)(xii)(D)(II) to Designated Prohibited Weeds, and on to a February 21, 1990, letter issued by require that all temporary coal mine Federal surface, any additional weeds OSMRE. Subsection C–2 of that letter waste impounding structures shall have listed by the Federal land managing states ‘‘[t]hese Federal rules have been ‘‘sufficient spillway and/or storage agency. In its SOPR, Wyoming explains revised to require that structures capacity to safely pass or control runoff’’ that Subsection G has been added to meeting the criteria of 30 CFR 77.216(a) from a 6-hour event. clarify that only those weeds designated and either constructed of coal mine Wyoming responded in a letter dated by the State as noxious and prohibited waste or intended to impound coal mine June 21, 2010, by clarifying that the rule are required to have a control plan in waste have sufficient spillway and/or in question at Chapter 4, Section addition to those by the Federal land storage capacity to safely pass or control 2(c)(xii)(D)(II) would always operate managing agency if Federally owned the runoff from the probable maximum together with Chapter 4, Section surface land is involved. precipitation of a 6-hour or greater 2(g)(v)(B), and that subsection The Federal regulations at 30 CFR precipitation event. Since the Wyoming 2(c)(xii)(D)(II) is only applicable to the 816/817.111(b)(5) require that the rule currently specifies the 100-year, 6- dam or embankment. Wyoming further reestablished plant species shall meet hour event, the State will need to revise explained that subsection 2(c)(xii)(D)(II) the requirements of applicable State and its rule to incorporate the larger event.’’ discusses design requirements for the Federal seed, poisonous and noxious Wyoming informally responded to the principal and emergency spillways and plant, and introduced species laws or February 21, 1990, letter on May 14, does not discuss the storage capacity regulations. 1990, and stated that it would amend its because the regulated party would have The Federal definition of noxious rules to require that permanent to comply with the requirements plants at 30 CFR 701.5 means species impoundments meeting the criteria of applicable to temporary impoundments that have been included on official State 30 CFR 77. 216(a), which are in subsection 2(g)(v)(B). lists of noxious plants for the State in constructed of coal mine waste or are We agree that the result of Chapter 4, which the surface coal mining and intended to impound coal mine waste, Section 2(c)(xii)(D)(II), when reclamation operation occurs. have sufficient spillway and/or storage functioning in concert with Chapter 4, While there is no direct Federal capacity to safely pass or control runoff Section 2(g)(v)(B), ensures that the coal counterpart to the proposed rule, it from the probable maximum mine waste impounding structure will implements the Federal requirement at precipitation of a 6-hour or greater have a sufficient spillway capacity to 30 CFR 816/817.111(b)(5) and, as event. OSMRE replied on October 3, safely pass, adequate storage to safely proposed, is no less effective than the 1990, that, to be no less effective than control, or a combination of storage Federal regulations. Accordingly, we the Federal regulations at 30 CFR 816/ capacity and spillway capacity to safely approve it. 817.84(b)(2), Wyoming must revise its control the probable maximum precipitation of a 6-hour precipitation 13. Chapter 2, Section 6(b)(iii)(D); rules to require that all coal mine waste event or greater as specified by the Reclamation Plan Tree Replacement impounding structures, which are regulatory authority. Accordingly, we Requirements temporary structures, must have sufficient spillway and/or storage to find that the combination of Wyoming’s Wyoming proposes to add a new rule safely pass or control runoff from the rules at Chapter 4, Section at Chapter 2, Section 6(b)(iii)(D) probable maximum precipitation of a 6- 2(c)(xii)(D)(II) and Chapter 4, Section requiring that reclamation plans include hour or greater storm. Wyoming has 2(g)(v)(B) are no less effective than the the tree species, the number per species, satisfied this deficiency at Chapter 4, corresponding Federal regulations at 30 and the location of tree plantings. Section 2(g)(v)(B) in its proposed rule CFR 816/817.84(b)(2) and we are Wyoming’s proposed rule contains package. (See Section III.C. above). approving them. language that was previously approved Revised Chapter 4, Section 2(c)(xii) 15. Chapter 4, Section 2(d)(i)(M) and by OSMRE in an August 28, 2006, (D)(II), pertaining to dams and Federal Register (71 FR 50848, 50850) (ii); Normal Husbandry Practices and embankments constructed to impound Revegetation Success Standards for Wyoming’s rules at Chapter 4, coal mine waste, reads as follows: Section 2(d)(x)(F). In that approval, we Wyoming proposes to substantially found that Wyoming’s proposed If the impounding structure meets the reorganize the structure of Chapter 4 criteria of 30 CFR § 77.216(a), the wording was consistent with the Federal combination of principal and emergency Section 2(d) into two new subsections rules at 30 CFR 816.116(b)(3) which spillways shall be able to safely pass or with subsection (i) containing general establish criteria for revegetation control runoff from the probable maximum revegetation performance standards and standards for tree and shrub precipitation of a 6-hour precipitation event most of the current Section 2(d) rules, establishment. Similar to that decision, or a storm duration having a greater peak and adding rules dealing with normal we are approving Wyoming’s proposed flow, as may be required by the husbandry practices. Subsection (ii) rule language regarding reclamation Administrator. contains Revegetation Success plan tree replacement requirements at Following our initial review of Standards listed by post-mine land use Chapter 2, Section 6(b)(iii)(D). While Wyoming’s proposed rule change, categories. there is no direct Federal counterpart to OSMRE responded by letter dated May On August 30, 2006, OSMRE revised the proposed rule, we find that it 21, 2010, that the proposed language is the Federal regulations at 30 CFR

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816.116(a)(1) by eliminating the normal husbandry practice’’ and that normal husbandry practice for requirement that revegetation success the regulatory authority ‘‘would be supplemental planting of tree and shrub standards and statistically valid expected to demonstrate (1) that the stock at Chapter 4, Section 2(d)(i)(M)(II). sampling techniques be included in practice is the usual or expected state, We notified Wyoming of our concerns approved State regulatory programs (71 form, amount, or degree of management by letter dated May 21, 2010, FR 51684, 51688). The revised current performed habitually or customarily to (Administrative Record No. OSM–2009– regulation continues to require that prevent exploitation, destruction, or 0012–0006) and delayed final standards for success and sampling neglect of the resource and maintain a rulemaking to afford Wyoming the techniques for measuring success must prescribed level of use or productivity opportunity to submit new material to be selected by the regulatory authority, of similar unmined lands and (2) that address the deficiency. Wyoming and shall be described in writing and the proposed practice is not an replied in a letter dated June 21, 2010, made available to the public in order to augmentative practice prohibited by that it will present corrected Chapter ensure that all interested parties can section 515(b)(20) of [SMCRA].’’ citations for subsection (II) to its readily find out all the options available The Federal regulations at 30 CFR Advisory Board as part of a future rule in their jurisdiction for evaluating 816.116(c)(1) for surface mining package (Administrative Record No. revegetation success. The removal of the operations and 817.116(c)(1) for OSM–2009–0012–0007). Consequently, approved program requirement does not underground mining operations require we do not approve Wyoming’s proposed leave a regulatory void as our that the period of extended normal husbandry practice for regulations at 816.116(a)(2) and (b), responsibility for successful supplemental planting of tree and shrub which remain in effect, already specify revegetation shall begin after the last stock at Chapter 4, Section 2(d)(i)(M)(II). minimum criteria for success standards year of augmented seeding, fertilizing, We also acknowledge Wyoming’s and sampling techniques, and those irrigation, or other work, excluding commitment to address the incorrect criteria will ensure the achievement of husbandry practices that are approved performance standard citation SMCRA’s goal of establishing a diverse, by the regulatory authority in references in a future rulemaking effort, permanent, and effective vegetative accordance with 30 CFR 816(c)(4) and and are deferring our decision on them cover. Section 816.116(a)(2) provides 817.116(c)(4). until such time as the changes are that the sampling techniques must use The Federal regulations at 30 CFR formally submitted to OSMRE for a 90-percent confidence interval (also 816.116(c)(4) and 817.116(c)(4) require review. known as a one-sided test with a 0.10 that a regulatory authority may approve To remain clear and concise and to alpha error), and that the ground cover, selective husbandry practices, excluding eliminate repetition, we have grouped production or stocking must meet 90 augmented seeding, fertilization, or the remaining ten categories of proposed percent of the success standard. Section irrigation, provided it obtains prior normal husbandry practices as follows: 816.116(b) provides additional approval from OSMRE’s Director that Interseeding (III.E.15.A.); Grazing guidelines for particular types of the practices are normal husbandry (III.E.15.B.); Shelterbelt (III.E.15.C.); ecosystems and post-mining land uses. practices, without extending the period Cropland and Pastureland Fertilization These nationwide minimum of responsibility for revegetation success (III.E.15.D.); Mechanical (III.E.15.E.); requirements for revegetation success and bond liability, if such practices can Cropland Tillage and Replanting and sampling techniques will continue be expected to continue as part of the (III.E.15.F.); Weed and Pest Control; to apply to the State regulatory postmining land use or if Controlled Burning; Subsidence, authorities and indirectly to the permits discontinuance of the practices after the Settling, and Erosion; and Removal of that they issue. liability period expires will not reduce Pipelines, Small Culverts, and Sediment In accordance with the requirements the probability of permanent vegetation Control Measures (III.E.15.G.). at 30 CFR 816.116(a)(1), Wyoming both success. Approved practices shall be A. Interseeding. Wyoming proposes to describes in writing and makes available normal husbandry practices within the add the following language regarding to the public the post-mine land use region for unmined land having land Interseeding at Chapter 4, Section revegetation success standards it has uses similar to the approved postmining 2(d)(i)(M)(I): land use of the disturbed area, including selected by virtue of its proposed rule The operator may interseed species changes. Therefore, consistent with the such practices as disease, pest, and contained in the approved seed mix over rationale explained in OSMRE’s August vermin control; and, any pruning, established revegetation, but not within 6 30, 2006, rule change, we are making no reseeding, and transplanting specifically years before the end of the bond decision on Wyoming’s revegetation necessitated by such actions. responsibility period. The operator may add success rules at Chapter 4, Section In response to a deficiency identified mulch to an interseeded area to facilitate 2(d)(ii) as they are not required to be by OSMRE in a February 21, 1990, plant establishment. Augmented seeding included in the approved regulatory letter, Wyoming is proposing to add (reseeding) is not considered normal husbandry practice. program. eleven categories of Normal Husbandry However, OSMRE approval is still Practices that will not be considered Wyoming proposes an appropriate required for the list of Normal augmented practices and will not result time frame limiting the application of Husbandry Practices Wyoming proposes in the restart of the responsibility interseeding as a normal husbandry in its Coal Rules and Regulations at period. Each category references the practice without restarting the bond Chapter 4, Section 2 (d) (i) (M) that mine applicable Conservation Practice liability period. Exceeding this limit operators may employ without Standard currently approved by the would result in extending the period of restarting the responsibility period prior Wyoming Natural Resources responsibility. OSMRE has determined to application for Phase III bond release. Conservation Service that will be that the proposed normal husbandry The September 7, 1988, Federal included as approved Normal practices for interseeding meet the Register notice (53 FR 34641) states that Husbandry Practices for the category. criteria to be approved as normal OSMRE ‘‘would consider, on a practice- During our initial review of the husbandry practices under 30 CFR 816/ by-practice basis, the administrative amendment proposal, OSMRE identified 817.116(c)(4). Accordingly, we approve record supporting each practice incorrect performance standard citation these proposed changes to Wyoming’s proposed by a regulatory authority as references in Wyoming’s proposed Coal Rules and Regulations.

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B. Grazing. Wyoming proposes to add OSMRE has determined that the Wyoming proposes to add the the following language regarding proposed normal husbandry practices following language regarding removal of Grazing at Chapter 4, Section for mechanical meet the criteria to be pipelines, small culverts, and sediment 2(d)(i)(M)(III): approved as normal husbandry practices control measures at Chapter 4, Section Grazing of reclamation is a normal under 30 CFR 816/817.116(c)(4). 2(d)(i)(M)(XI): husbandry practice. Accordingly, we approve these Removal of pipelines, small culverts, and OSMRE has determined that the proposed changes to Wyoming’s Coal small sediment control measures, such as proposed normal husbandry practices Rules and Regulations. traps, riprap, rock or straw bale check dams, for grazing meet the criteria to be F. Cropland Tillage and Replanting. small sediment ponds, and silt fences are approved as normal husbandry practices Wyoming proposes to add the following considered normal husbandry practices. The operator may reseed treated areas of less than under 30 CFR 816/817.116(c)(4). language regarding Cropland Tillage and Replanting at Chapter 4, Section 2(d) (i) five acres as a component of this husbandry Accordingly, we approve these practice without restarting the bond proposed changes to Wyoming’s Coal (M) (VII): responsibility period, provided the structures Rules and Regulations. Tillage and replanting are considered are reclaimed at least two years prior to the C. Shelterbelt. Wyoming proposes to normal husbandry practices for croplands. end of the bond responsibility period. add the following language regarding OSMRE has determined that the As proposed, the Wyoming normal Shelterbelt at Chapter 4, Section proposed normal husbandry practices husbandry practice categories for weed 2(d)(i)(M)(IV): for cropland tillage and replanting meet and pest control; controlled burning; For trees and shrubs planted in an the criteria to be approved as normal subsidence, settling, and erosion; and approved shelterbelt, the practices of husbandry practices under 30 CFR 816/ removal of pipelines, small culverts, fertilization, irrigation and rototilling may be 817.116(c)(4). Accordingly, we approve and sediment control measures are used as normal husbandry/nursery practices these proposed changes to Wyoming’s normal husbandry practices within the in accordance with standard practices. Coal Rules and Regulations. region for unmined lands having land OSMRE has determined that the G. Weed and Pest Control; Controlled uses similar to the approved postmining proposed normal husbandry practices Burning; Subsidence, Settling, and land use of the disturbed area. In for shelterbelt meet the criteria to be Erosion; and Removal of Pipelines, addition, these normal husbandry approved as normal husbandry practices Small Culverts, and Sediment Control practices contain a provision that allows under 30 CFR 816/817.116(c)(4). Measures. Wyoming proposes to add the operators to reseed treated areas of less Accordingly, we approve these following language regarding Weed and than five acres as a component of the proposed changes to Wyoming’s Coal Pest Control at Chapter 4, Section husbandry practice without restarting Rules and Regulations. 2(d)(i)(M)(VIII): the bond responsibility period. While reseeding is normally associated with D. Cropland and Pastureland Acceptable weed and pest control Fertilization. Wyoming proposes to add techniques representing normal husbandry ‘‘augmented seeding,’’ which is not the following language regarding practices include manual or mechanical considered normal husbandry practice, Cropland and Pastureland Fertilization removal, controlled burning, biological reseeding in these particular instances is at Chapter 4, Section 2(d)(i)(M)(V): controls, and herbicide/pesticide specifically necessitated by the applications. The operator may reseed treated management practices that are being Beyond establishment, fertilization is a areas of less than five acres per year as a used to achieve revegetation success in normal husbandry practice for cropland and component of this husbandry practice accordance with 30 CFR 816.116/ pastureland throughout the bond without restarting the bond responsibility 817.116(c) (4). We also find that the responsibility period. Irrigation is a normal period. husbandry practice beyond establishment for proposed five acre limit is both Wyoming proposes to add the reasonable and realistic considering cropland and pastureland, provided the following language regarding Controlled approved postmine land use is irrigated similar areal limitations have been cropland or irrigated pastureland. Burning at Chapter 4, Section previously approved by OSM in 2(d)(i)(M)(IX): OSMRE has determined that the Colorado, Montana, and New Mexico, Controlled burning may be used to reduce proposed normal husbandry practices and the size and extent of disturbance the buildup of litter, weed seeds, and to on surface mining operations in for cropland and pastureland control undesirable species. The operator fertilization meet the criteria to be Wyoming often involves hundreds or may interseed any portion of the treated area, even thousands of acres. Consequently, approved as normal husbandry practices or reseed up to five acres, as a component of OSMRE finds that Wyoming’s proposed under 30 CFR 816/817.116(c)(4). this husbandry practice without restarting Accordingly, we approve these the bond responsibility period. normal husbandry practices identified above are consistent with and no less proposed changes to Wyoming’s Coal Wyoming proposes to add the Rules and Regulations. effective than the Federal regulations at following language regarding 30 CFR 816.116/817.116(c)(1) and (4) in E. Mechanical. Wyoming proposes to subsidence, settling, and erosion at meeting the requirements of SMCRA add the following language regarding Chapter 4, Section 2(d)(i)(M)(X): and we approve them. Mechanical at Chapter 4, Section Subsidence, settling, and erosional 2(d)(i)(M)(VI) features, such as rills, gullies, or headcuts 16. Chapter 5, Section 2(b)(iii); Prime Mechanical husbandry practices such as less than five acres in size may be repaired Farmland selective cutting, mowing, combining, as a normal husbandry practice. Repairs Wyoming proposes to revise its rules aerating, land imprinting, raking, or considered to be normal husbandry practices at Chapter 5, Section 2(b)(iii) to address harrowing to stimulate permanent vegetation include hand work, mechanical a deficiency that was identified in a establishment, increase decomposition of manipulation, installation of erosion-control February 21, 1990, letter issued by organic matter, control weeds, harvest hay, matting, silt fences, straw bales, or other and/or reduce standing dead vegetation and similar work. The operator may reseed OSMRE. Subsection B–1 of that letter litter are considered normal husbandry treated areas of less than five acres as a stated that ‘‘Wyoming’s regulations practices. Other mechanical practices may be component of this husbandry practice include an exemption from prime used if approved by the Administrator prior without restarting the bond responsibility farmland performance standards for to their application. period. small acreage based upon an

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unidentified economic determination. reasonable, and the lack of Federal Chapter 1, Section 2(cl); new The Federal rules contain no such counterpart language for the newly- definition of ‘‘Native;’’ exclusion, except to the extent that such proposed rules do not render them less Chapter 1, Section 2(co); new acreage is so small that it would not effective than SMCRA and the Federal definition of ‘‘Perennial;’’ qualify for mapping under Soil regulations. For these reasons, we are Chapter 1, Section 2(cs); new Conservation Service rules and approving the following proposed rule definition of ‘‘Plant species inventory;’’ standards. Therefore, Wyoming must changes. Chapter 1, Section 2(cu); relocation of eliminate this provision to be no less Chapter 1, Section 2(f); new definition revised definition of ‘‘point intercept’’ effective than the Federal regulations.’’ of ‘‘Annual;’’ from Appendix A Glossary; In a May 14, 1990, informal response Chapter 1, Section 2(k); new Chapter 1, Section 2(cx); relocation of to the February 21, 1990, letter, definition of ‘‘Barren;’’ revised definition of ‘‘Primary shrub Wyoming stated that ‘‘[t]he exemption Chapter 1, Section 2(l); relocation of species’’ from Appendix A Glossary; from prime farmland performance revised definition of ‘‘Baseline Chapter 1, Section 2(da); relocation of standards for small acreage will be vegetation inventory’’ from Appendix A revised definition of ‘‘Production’’ from deleted from the State rule.’’ In a letter Glossary; Appendix A Glossary; dated October 3, 1990, OSMRE Chapter 1, Section 2(m); new Chapter 1, Section 2(df); relocation of informally replied that ‘‘[t]he proposal definition of ‘‘Belt transect;’’ revised definition of ‘‘Quadrat’’ from to remove the exemption from prime Chapter 1, Section 2(p); new Appendix A Glossary; farmland performance standards definition of ‘‘Biennial;’’ Chapter 1, Section 2(dg); new appears acceptable.’’ Wyoming now Chapter 1, Section 2(r); new definition definition of ‘‘Qualitative;’’ proposes to remove the problematic of ‘‘Bond responsibility period;’’ Chapter 1, Section 2(dh); new language and retain the sentence ‘‘Areas Chapter 1, Section 2(s); new definition of ‘‘Quantitative;’’ where permits were issued prior to definition of ‘‘Cactus;’’ Chapter 1, Section 2(di); new August 3, 1977, are exempt from the Chapter 1, Section 2(z); relocation of definition of ‘‘Random;’’ reconstruction standards of this revised definition of ‘‘Cool season Chapter 1, Section 2(dp); new Section.’’ The revised rule contains plant’’ from Appendix A Glossary; definition of ‘‘Rock;’’ language that is consistent with and no Chapter 1, Section 2(aa); combined Chapter 1, Section 2(ds); new less effective than the corresponding definitions of ‘‘Cover’’ in Chapter 1 and definition of ‘‘Sample unit;’’ Federal regulations at 30 CFR Appendix A Glossary; Chapter 1, Section 2(dt); new 785.17(a)(1) and we approve it. Chapter 1, Section 2(ab); new definition of ‘‘Seasonal variety;’’ Chapter 1, Section 2(dv); new F. Revisions to Wyoming’s Rules With definition of ‘‘Cover crop;’’ definition of ‘‘Self-renewing;’’ No Corresponding Federal Regulations Chapter 1, Section 2(ae); new definition of ‘‘Cryptogam;’’ Chapter 1, Section 2(dw); new Wyoming proposed numerous Chapter 1, Section 2(ak); relocation of definition of ‘‘Semi-quantitative;’’ revisions to its regulatory program for revised definition of ‘‘Dominant’’ from Chapter 1, Section 2(dx); new which there are no Federal counterpart Appendix A Glossary; definition of ‘‘Shrub;’’ provisions. The proposed changes are Chapter 1, Section 2(ao); new Chapter 1, Section 2(dy); relocation of intended to simplify references to definition of ‘‘Endangered species;’’ revised definition of ‘‘Shrub mosaic’’ applicable rules, reduce unnecessary, Chapter 1, Section 2(ap); new from Appendix A Glossary; outdated, and duplicative language, definition of ‘‘Enhancement wetland;’’ Chapter 1, Section 2(dz); relocation of reorganize and/or relocate already Chapter 1, Section 2(az); new revised definition of ‘‘Shrub patch’’ existing and approved language to a definition of ‘‘Forb;’’ from Appendix A Glossary; more appropriate place within the Chapter 1, Section 2(bd); new Chapter 1, Section 2(eg); new regulations, and to provide clarification definition of ‘‘Graminoid;’’ definition of ‘‘Species of Special and specificity to the rules pertaining to Chapter 1, Section 2(be); new Concern;’’ vegetation studies and revegetation definition of ‘‘Grass;’’ Chapter 1, Section 2(el); relocation of standards. Chapter 1, Section 2(bf); new revised definition of ‘‘Study area’’ from 1. Wyoming proposes to relocate definition of ‘‘Grass-like;’’ Appendix A Glossary; existing previously approved definitions Chapter 1, Section 2(bg); relocation of Chapter 1, Section 2(eo); relocation of from former Appendix A to Chapters 1, revised definition of ‘‘Grazing revised definition of ‘‘Subshrub’’ from 2, and 4. The language in the relocated exclosure’’ from Appendix A Glossary; Appendix A Glossary; Appendix A definitions has been Chapter 1, Section 2(bs); new Chapter 1, Section 2(es); new revised to be technically current and definition of ‘‘Inclusion;’’ definition of ‘‘Substantially complete;’’ rewritten to better fit the rules format. Chapter 1, Section 2(bv); new Chapter 1, Section 2(eu); new Wyoming’s definition changes are definition of ‘‘Introduced;’’ definition of ‘‘Succulent;’’ intended to add specificity and clarity Chapter 1, Section 2(bz); new Chapter 1, Section 2(ex); new to current and proposed rules and/or definition of ‘‘Lichen;’’ definition of ‘‘Systematic sampling;’’ sampling methods, standardize/support Chapter 1, Section 2(ca); relocation of Chapter 1, Section 2(ey); new sampling methodology and provide revised definition of ‘‘Life form’’ from definition of ‘‘Technical revegetation consistency in data reporting, and Appendix A Glossary; success standard;’’ support its proposed revisions to the Chapter 1, Section 2(cb); relocation Chapter 1, Section 2(ez); new performance standards in Chapters 2 revised definition of ‘‘Litter’’ from definition of ‘‘Threatened species;’’ and 4. Wyoming also proposes several Appendix A Glossary; Chapter 1, Section 2(fe); relocation of new definitions that provide guidance Chapter 1, Section 2(cc); new revised definition of ‘‘Transect’’ from beyond that contained in the Federal definition of ‘‘Major species;’’ Appendix A Glossary; regulations. We find that the rationale Chapter 1, Section 2(cg); new Chapter 1, Section 2(ff); new Wyoming provided for justifying the definition of ‘‘Mitigation wetland;’’ definition of ‘‘Tree;’’ relocation of the revised and existing Chapter 1, Section 2(cj); new Chapter 1, Section 2(fm); revised definitions from Appendix A is definition of ‘‘Moss;’’ definition of ‘‘Vegetation type;’’

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Chapter 1, Section 2(fn); relocation of and more clearly differentiate between facilities if they were taken out of use on or revised definition of ‘‘Warm season those practices that delay the start of the after May 25, 1975 (the effective date of the plant’’ from Appendix A Glossary; bond responsibility period and those Division’s 1975 rules and Regulations) and which do not impact the bond before May 3, 1978 (the effective date of the 2. Chapter 1, Section 2(n); Definition of Office of Surface Mining’s (OSM) Initial responsibility period. In its SOPR, ‘‘Best Practicable Technology’’ Regulatory Program). Wyoming further explains that (v) ‘‘Category 5’’ means those affected Wyoming proposes to add a new establishment practices are those that lands and support facilities if coal was not definition for ‘‘Best Practicable are used after planting to facilitate removed from those lands prior to May 3, technology’’ to its rules at Chapter 1, actual establishment of the targeted 1978 (the effective date of OSM’s Initial Section 2(n) that reads as follows: plants, and are not intended to continue Regulatory Program) or those lands were used on or after May 3, 1978 to facilitate (j) ‘‘Best Practicable technology’’ means a throughout the duration of the bond mining (including support facilities and technology based on methods and processes responsibility period. These practices associated lands constructed before May 3, that are both practicable and reasonably are acceptable, but the start of the bond 1978 but still in use on or after May 3, 1978). economic and is justifiable in terms of responsibility period is delayed until existing performance and achievability in they are discontinued. This can be Wyoming maintains that this relation to the establishment of shrubs in the definition codifies policy set by the required density, aerial extent and species. contrasted to approved ‘‘husbandry’’ practices that are expected to be Administrator that has been used for Wyoming states that Best Technology continued after the bond responsibility several years (Administrative Record Currently Available is an important period and do not restart the bond Document ID No. OSM–2009–0012– component of its shrub rules that clock. 0008), and is needed to provide became effective in 1996. Wyoming also Wyoming’s proposed definition consistency in the administration of the explains that the new language enables provides specificity beyond that applicable reclamation performance the State to require an operator to revise contained in the Federal regulations. standards. The five proposed categories the permit to adopt shrub establishment Moreover, Wyoming’s explanation reflect different regulatory time periods methods that are more likely to result in justifying the addition of this provision and their associated performance and successful shrub establishment if is reasonable and the lack of a Federal reclamation standards ranging from Wyoming finds the operator is not counterpart definition does not render it Category 1 (pre-law, before 1969) to achieving the required shrub density, less effective than the Federal rules based on SMCRA that apply after aerial extent, or species. Wyoming regulations. Therefore, we approve it. May 3, 1978, (Category 5). Wyoming concludes by noting that the term has explains in its SOPR that because been changed to Best Practicable 4. Chapter 1, Section 2(dm); Definition regulations have changed through the technology to reflect that not all of ‘‘Regulatory Categories’’ years the standards that mined lands technology may be practicable as stated Wyoming proposes to add a new must meet are determined by the rules in the previous definition. definition for ‘‘Regulatory Categories’’ to that were in effect when the lands were Wyoming’s proposed definition its rules at Chapter 1, Section 2(dm) that disturbed. clarifies that the term ‘‘Best Practicable reads as follows: We agree with Wyoming’s need to clarify, provide consistency, and inform technology’’ relates to shrub (dm) ‘‘Regulatory categories’’ means the establishment whereas term ‘‘Best following time frames that encompass the coal operators about the different technology currently available’’ applies major regulatory periods from which the regulatory time periods and their only to erosion control and fish and different performance and reclamation associated performance and reclamation wildlife enhancement measures. The standards for specified lands within the standards. Categories 1 through 4 proposed definition also provides permit area are established: provide guidance beyond that contained specificity beyond that contained in the (i) ‘‘Category 1’’ means those lands which in the Federal regulations and predate Federal regulations. Moreover, were affected to conduct and/or support the passage of SMCRA. Category 5 Wyoming’s explanation justifying the mining operations and were completed or clarifies the applicable timeframes substantially completed prior to May 24, addition of this provision is reasonable 1969 (the implementation date of the Open wherein lands affected by coal mining and the lack of a Federal counterpart Cut Land Reclamation Act). operations fall under SMCRA’s requirement does not render it less (ii) ‘‘Category 2’’ means those lands which jurisdiction and are subject to its effective than the Federal regulations. were affected on or after May 24, 1969 (the reclamation performance standards. We Therefore, we approve it. implementation date of the Open Cut Land find that the underlying rationale Reclamation Act) in order to conduct and/or Wyoming provided for justifying the 3. Chapter 1, Section 2(as); Definition of support mining operations and were addition of these provisions is ‘‘Establishment Practices’’ completed or substantially completed prior reasonable and the lack of exact Federal Wyoming proposes to add a new to or on June 30, 1973 (day prior to the effective date of the Wyoming Environmental counterpart requirements do not render definition for ‘‘Establishment practices’’ Quality Act). them less effective than the Federal to its rules at Chapter 1, Section 2(as) (iii) ‘‘Category 3’’ means those affected regulations. Therefore, we approve that reads as follows: lands and support facilities if those lands them. supported operations which were not (as) ‘‘Establishment practices’’ means 5. Chapter 1, Section 2(ef); Definition of practices used to facilitate actual completed or substantially completed prior establishment of targeted plants and are not to July 1, 1973 (the effective date of the ‘‘Species Lacking Creditable Value’’ intended to continue throughout the bond Wyoming Environmental Quality Act) and Wyoming proposes to add a new responsibility period. These practices are any affected lands or support facilities taken definition for ‘‘Species lacking acceptable practices, but delay the start of the out of use on or after July 1, 1973 and before creditable value’’ to its rules at Chapter May 25, 1975 (the effective date of the bond responsibility period until they are 1, Section 2(ef) that reads as follows: discontinued. Division’s 1975 Rules and Regulations). (iv) ‘‘Category 4’’ means those affected (ef) ‘‘Species lacking creditable value’’ Wyoming states that a definition of lands if coal was removed from those lands means the cover and production of these ‘‘Establishment practices’’ is needed to prior to May 3, 1978 and which do not species will be estimated but will not be support its proposed normal husbandry qualify for any of the previous categories. It credited or counted towards meeting the rules [Chapter 4, Section 2(d) (i) (M)], also means those affected lands and support revegetation success standards for cover,

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production or species diversity and monitoring. Wyoming continues that the to Federal land managing agencies composition. Species lacking creditable value definition will be used as an umbrella desire to have greater acknowledgement include noxious weeds listed under the term for those species which must be of their role in approving reclamation Wyoming Weed and Pest Control Act, surveyed for the agencies listed above. activities on Federal lands. Wyoming Bromus japonicus, Bromus tectorum, Wyoming’s proposed definition Taeniatherum caput- medusae, Halogeton continues that Federal agencies already glomeratus, Kochia scoparia and Salsola provides specificity beyond that conduct reviews of the reclamation tragus and all synonyms for these species as contained in the Federal regulations. We plans for Federal lands, and this new listed in the Natural Resources Conservation also find that the underlying rationale provision merely reaffirms and clarifies Wyoming provided for justifying the Service’s Plants Database. that responsibility (Administrative addition of this definition is reasonable Wyoming states that the proposed Record Document ID No. OSM–2009– and the lack of an exact Federal definition prevents using those species 0012–0008). that have limited or no value in support counterpart requirement does not render Wyoming’s proposed amendment of the post mining land uses from being it less effective than the Federal provides specificity beyond that credited toward revegetation success, regulations. Accordingly, we are approving Wyoming’s proposed and thus are not assigned value in contained in the Federal regulations and definition. quantitative estimates of percent serves to codify procedures that it 7. Wyoming proposes to delete the absolute vegetation cover nor annual currently utilizes. We also find that last sentence of its existing rule at Wyoming’s explanation justifying the herbaceous production nor semi- Chapter 2, Section 2(b)(iv)(C) which quantitative descriptions of species addition of this provision is reasonable requires that the Wyoming Department and the lack of a Federal counterpart diversity and species composition. of Agriculture be consulted regarding Wyoming goes on to explain in its SOPR requirement does not render it less croplands and erosion control effective than the Federal regulations. that the new definition describes which techniques. Wyoming explains in its Therefore, we approve it. species may not be counted in reference SOPR that the requirement is being areas and reclaimed areas for evaluation deleted because the LQD and coal 9. Chapter 4, Section 2(d)(i)(N); Routine of reclamation success. Current rules operators have gained the necessary Land Management Activities exclude listed noxious weeds from experience over the past decades on evaluation of reclamation success and how to control erosion. Wyoming proposes to add a new rule exclude annual plants from production There are no similar provisions in at Chapter 4, Section 2(d)(i)(N) that measurements. However, the proposed SMCRA or the Federal regulations defines ‘‘Routine land management definition includes restrictions for cover regarding consultation requirements for activities’’ as follows: and species diversity measurements in croplands and erosion control (N) The following actions have been addition to production. Wyoming techniques. However, the remainder of administratively identified as those which concludes by noting that the species list Wyoming’s existing rule at Chapter 2, qualify as routine land management has been expanded to include six highly Section 2(b)(iv)(C), which has been activities; implementing these actions will invasive species that can prevent relocated to Chapter 2 Section 6(b)(iii) not restart the bonding liability period: reclamation from achieving a land use (A), requires that reclamation plans (I) Installation and/or removal of power that is at least equal to pre-mine assure revegetation of all affected land conditions. lines and substations; in accordance with Chapter 4, Section (II) Installation and/or removal of fences; Wyoming’s proposed definition 2(d) and contain, among other things, provides specificity beyond that (III) Installation and/or removal of any the method and schedule of revegetation monitoring equipment or features; contained in the Federal regulations. We including erosion control techniques. also find that the underlying rationale (IV) Establishment and/or reclamation of Additionally, Chapter 4, Section two-track trails; and Wyoming provided for justifying the 2(d)(ii)(C)(I) specifically addresses addition of this definition is reasonable (V) Emplacement and/or removal of above- revegetation success standards for ground pipelines. and the lack of an exact Federal cropland and includes requirements for counterpart requirement does not render erosion control. For these reasons, Wyoming explains in its SOPR that it less effective than the Federal Wyoming’s deletion of the requirement routine land management activities regulations. Accordingly, we are that the Wyoming Department of need to be separated to distinguish them approving Wyoming’s proposed Agriculture be consulted regarding from normal husbandry practices. definition. croplands and erosion control Wyoming further states the LQD 6. Chapter 1, Section 2(eg); Definition of techniques and its rationale for doing so Administrator has determined that these ‘‘Species of Special Concern’’ is acceptable and does not render activities involve insignificant Wyoming’s rules less effective than disturbance area, are temporary in Wyoming proposes to add a new SMCRA and the Federal regulations. extent, and represent land stewardship definition for ‘‘Species of Special Therefore, we are approving the practices. Concern’’ to its rules at Chapter 1, deletion. Section 2(eg) that reads as follows: 8. Wyoming proposes to add a new Wyoming’s proposed rule language (eg) ‘‘Species of Special Concern’’ means rule at Chapter 2, Section provides specificity beyond that those plant species required to be surveyed 6(b)(iii)(E)(VIII) requiring that for contained in the Federal regulations. We by the U.S. Fish and Wildlife Service, U.S. Federally owned surface, the Federal also find that the underlying rationale Forest Service, and Bureau of Land land managing agency shall be Wyoming provided for justifying the Management. consulted for mulching requirements addition of this rule is reasonable and Wyoming states that the proposed and seeding requirements for cover the lack of Federal counterpart definition was added to explain Chapter crops, temporary and permanent requirements do not render it less 2 baseline requirements, and notes that reclamation. In response to questions effective than the Federal regulations. the Federal agencies listed above use from OSMRE regarding the underlying Accordingly, we are approving different terms to describe species that rationale for the new rule, Wyoming Wyoming’s proposed rule. they have determined require explains that it was added in response

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G. Removal of Previously—Disapproved 1986, Federal Register notice (51 FR substantively identical language that Rules 42213) which stated that the Federal requires applicants for coal mining regulations at 30 CFR 816/817.116(a)(1) permits to provide a complete 1. Disapproved Provision at 30 CFR require that success standards be identification of interests including the 950.12(a)(6), Vegetative Cover and Total included in an approved regulatory names, addresses, and telephone Ground Cover program, and the preamble to the numbers of any operators, if different In response to the disapproved Federal regulations clarifies that from the applicant. Wyoming explains provision at 30 CFR 950.12(a)(6), standards are to be subject to public in its SOPR that the proposed rule was Wyoming proposes to delete the review and comment. Therefore, the also revised to require the phone reference to ‘‘total ground cover’’ and Director could not approve language numbers for the other business interests add the term ‘‘absolute total’’ to the allowing alternative success standards which may be involved with the mining phrase ‘‘vegetative cover’’ in Chapter 4, in the absence of an explanation as to operation. Section 2(d)(ii)(B)(I), which is revised what the standards were, and how the Wyoming’s proposed language text from Chapter 4, Section 2(d)(x) in operator’s success in attaining them requiring that permit applications for the currently approved rules. In its would be evaluated. coal mining include the name, address, SOPR, Wyoming states that ‘‘absolute On August 30, 2006, OSMRE revised and telephone numbers of operators total’’ is added to vegetative cover to the Federal regulations at 30 CFR 816/ affiliated with an applicant makes its provide precise language for the 817.116(a)(1) by eliminating the rules consistent with and no less vegetation cover parameter that is the requirement that revegetation success effective than the Federal counterpart standard and does not change the standards and statistically valid provision at 30 CFR 778.11(b)(3), and parameter currently used to evaluate sampling techniques be included in we are removing the required program revegetation success. Conversely, approved State regulatory programs (See amendment at 30 CFR 950.16(f). Wyoming notes that the phrase ‘‘total 71 FR 51684). The revised regulation ground cover’’ is deleted because this 2. Required Amendment at 30 CFR retains the requirement that the 950.16(l), Operator Sampling parameter does not provide information regulatory authority select revegetation on the successful establishment of Techniques for Evaluating Ground success standards and statistically valid Cover Parameters vegetation on reclamation. Wyoming sampling techniques; and that the continues that its proposed rule change selected success standards and sampling In a November 24, 1986, Federal Register (51 FR 42212) notice, we stated addresses the aforementioned techniques be put in writing and made that while Appendix A provides general disapproval set forth in a November 24, available to the public. Nevertheless, we and often detailed guidance on 1986, Federal Register notice (51 FR are approving Wyoming’s proposed sampling concepts and data analysis, it 42213) regarding Wyoming’s definition deletion of language allowing the fails to identify the sampling techniques of cover wherein the Director of OSMRE Administrator to approve unspecified that are required to be included as part found that inclusion of litter and rock in alternative success standards, and we of an approved program by 30 CFR 816/ the definition rendered the Wyoming are removing the program disapproval at 817.116(a) (1). Therefore, to be no less program less effective than the Federal 30 CFR 950.12(a)(7). regulations. Wyoming maintains that effective than the Federal regulations, specifying total vegetative cover makes H. Removal of Required Amendments we required Wyoming to revise its regulations consistent with Federal Appendix A to prescribe the specific 1. Required Amendment at 30 CFR techniques which operators can use to regulations. 950.16(f), Operator Property Interest Wyoming’s proposed revision adds evaluate revegetation success. Information specificity to its rules concerning On August 30, 2006, OSMRE revised successful establishment of vegetation In a November 24, 1992, Federal the Federal regulations at 30 CFR 816/ cover requirements and clarifies that Register (51 FR 42211) notice, we 817.116(a)(1) by eliminating the prior to bond release, the vegetative required Wyoming to further amend its requirement that revegetation success cover of reclaimed areas will be at least program to include a provision standards and statistically valid equal to that of the natural vegetation of comparable to that portion of the sampling techniques be included in the area consistent with the Federal Federal regulations at 30 CFR 778.13(b) approved State regulatory programs (See regulations at 30 CFR 816/817.111(a)(3). which requires that permit applications 71 FR 51684). However, the revised For these reasons, we are removing the include the name, address, and regulation continues to require that program disapproval at 30 CFR telephone number of the operator if he standards for success and sampling 950.12(a)(6). or she is not the applicant. However, techniques for measuring success must those portions of previous 30 CFR still be selected by the regulatory 2. Disapproved Provision at 30 CFR 778.13 that pertain to the identity of the authority, and shall be described in 950.12(a)(7), Alternative Success applicant, operator, owners, controllers, writing and made available to the Standards Approved by the and other persons with a role in the public. Administrator proposed surface coal mining operation As a result of OSMRE’s August 30, In response to the disapproved were subsequently moved to new 30 2006, rule change, Wyoming proposes to provision at 30 CFR 950.12(a)(7), CFR 778.11 in a Federal Register notice remove provisions regarding operator Wyoming proposes to delete language in dated December 19, 2000, (65 FR sampling techniques for evaluating proposed Chapter 4, Section 2(d)(i)(G) 79582). As a result, 30 CFR 778.11(b)(3) ground cover parameters from its rules and 2(d)(ii)(B)(I), which is revised text now requires the applicant to provide in Appendix A, Part II. B. In addition, from Chapter 4, Section 2(d)(x) in the the name, address, and telephone Wyoming indicates in its SOPR that currently approved rules, that allows number for ‘‘[A]ny operator, if different rules for sampling and statistical the use of unspecified alternative from the applicant.’’ methods that had previously been success standards when approved by In response to the required program developed for inclusion into Chapter 4 the Administrator. In both cases, amendment at 30 CFR 950.16(f), will now be incorporated into the Wyoming references the aforementioned Wyoming proposes to revise its rules at Administrator’s Approved Sampling disapproval set forth in a November 24, Chapter 2, Section 2(a)(i)(B) by adding and Statistical Methods document.

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Based on the foregoing, we have must meet cropland success standards note that, other than Wyoming’s determined that Wyoming’s program is during at least the last two consecutive proposal to revise its rules at Chapter 5, consistent with and no less effective crop years of the responsibility period.’’ Section 2(b)(iii) regarding prime than the revised Federal regulations at Wyoming further states that, in farmlands, no other changes are 30 CFR 816/817.116(a)(1). Moreover, anticipation of changes to the required proposed in the chapter. Nevertheless, OSMRE’s August 30, 2006, rule change amendment, it has revised its rule to we acknowledge the NRCS’s comments renders the required program allow measurements two out of four and are alerting Wyoming of the need to amendment at 30 CFR 950.16(l) moot years, starting year seven, to be make these corrections by virtue of this and we are removing it. consistent with new OSM rules. Federal Register final rule notice. Somewhat related to the finding Based on the discussion above, we MSHA responded that it reviewed the above is Wyoming’s proposal to remove have determined that Wyoming’s proposed changes to the Wyoming language from its rules in Appendix A, program is consistent with and no less Reclamation Program and had no Part 2 C. 1.a. regarding the use of ocular effective than the revised Federal comments or concerns. quadrat methods for estimating species, regulations at 30 CFR 816/ The BLM submitted several comments vegetation, and total ground cover. 817.116(c)(3)(i). In addition, OSMRE’s on Wyoming’s amendment and stated OSMRE previously approved the August 30, 2006, rule change renders that most of the changes appear to be removal of required program the required program amendment at 30 editorial providing clarification, or are amendment 30 CFR 950.16(k) in a May CFR 950.16(m) moot and we are updates to current requirements to 8, 2003, Federal Register (68 FR 24647, removing it. comply with OSM standards, with no 24653) notice pertaining to the significant changes in policy or clear aforementioned rule language. IV. Summary and Disposition of deletions of prior requirements. In Therefore, we are merely acknowledging Comments response to BLM’s comments that are Wyoming’s proposed deletion in this Public Comments editorial or grammatical in nature, as finding. well as those related to previously- We asked for public comments on the approved rules that have merely been 3. Required Amendment at 30 CFR amendment (Administrative Record recodified or are not proposed for 950.16(m), Cropland Success Standards Document ID No. OSM–2009–0012– revision, we note that we can only speak In the November 24, 1986, Federal 0001). We received comments from one to the establishment of regulatory Register (51 FR 42213) notice, we State Agency. requirements and determine whether required Wyoming to amend its program The Wyoming Game and Fish the proposed amendment is in to be no less effective than the Federal Department commented in a March 11, accordance with SMCRA and the regulations at 30 CFR 816/817.116(c)(3) 2010, letter that it reviewed the Federal regulations. Therefore, we will which held that in areas of 26.0 inches proposed amendment and had no only address substantive comments to or less average annual precipitation, terrestrial or aquatic resource concerns Wyoming’s proposed rules that production standards must be met for at at this time (Administrative Record specifically allege inconsistencies and least the last two consecutive years of Document ID No. OSM–2009–0012– conflicts with SMCRA and/or the the ten-year minimum responsibility 0005). Federal regulations. period, and not any two consecutive Federal Agency Comments BLM’s substantive comments crop years within that period as primarily concern Federal land provided by Appendix A of Wyoming’s Under 30 CFR 732.17(h)(11)(i) and management agency concurrence and rules. section 503(b) of SMCRA, we requested consultation where Federal surface On August 30, 2006, OSMRE revised comments on the amendment from lands are involved with coal mining the Federal regulations at 30 CFR 816/ various Federal agencies with an actual operations. Specifically, the BLM stated 817.116(c)(3)(i) for semi-arid areas to or potential interest in the Wyoming that overall it appears that the rule require that the vegetation parameters program (Administrative Record revisions provide the Administrator of identified in 816.116(b) for grazing land, Document ID No. OSM–2009–0012– the State Land Quality Division with pasture land, or cropland must equal or 0011). We received comments from considerable authority/discretion/ exceed the approved success standard three Federal Agencies. flexibility in determining what will during the growing season of any two The Natural Resources Conservation define successful reclamation years after year six of the responsibility Service (NRCS) commented in a revegetation and how it will be period (See 71 FR 51700). November 23, 2009 letter measured. As a result of OSMRE’s August 30, (Administrative Record Document ID For example, in Chapter 1, Section 2006, rule change, Wyoming proposes to No. OSM–2009–0012–0002), the Mine 2(dl)(i), ‘‘comparison areas’’ must be move text from Chapter 4, Section Safety and Health Administration approved by the Administrator and in 2(d)(x)(I) of its current rules with (MSHA) commented in a December 7, Section 2(er), ‘‘substantially affect’’ is revision to proposed Chapter 4, Section 2009 letter (Administrative Record determined by the Administrator. BLM 2(d)(ii)(C)(II) by replacing the ‘‘two Document ID No. OSM–2009–0012– continues that, while this may be consecutive crop year’’ language with 0003), and the Bureau of Land acceptable on State or private land the requirement that revegetation Management (BLM) commented in a reclamation projects, it is crucial that success standards for cropland be December 16, 2009 letter the rules revision state that all demonstrated for two out of four years (Administrative Record No. WY–43–6). reclamation (including revegetation) of the bond responsibility period, The NRCS commented that, starting at plans that involve Federal surface are starting no sooner than year seven. Chapter 5, the document begins to refer subject to approval by the managing Wyoming notes in its SOPR that the to NRCS as the ‘‘U.S. Soil Conservation agency; otherwise, the BLM believes required amendment at 30 CFR Service,’’ and suggested that necessary there would be a potential for conflict. 950.16(m) has not been revised to changes be made to the document to BLM also comments that the bond account for the OSM rule change, and reflect the agency’s current name of release requirements have been still requires that ‘‘Wyoming shall NRCS or the Natural Resources substantially updated and notes that it submit revisions to clarify that operators Conservation Service. In response we is important that the affected BLM office

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concurs in setting the amount and in Quality Division will consult with the General Permit Application releasing reclamation bonds on BLM Federal agency only in regards to cover Requirements, BLM commented that the surface. crops, and asserts that it should be clear 1:24,000 scale requirement for maps be Lastly, with respect to Wyoming’s that the Federal agency will be restored. We agree with BLM’s comment proposed rule changes at Chapter 2, consulted for mulching and seeding and refer it to Finding No. III.E.8. BLM Section 6(b)(iii)(B and C) and Chapter 4, requirements for both cover crops and also commented that Wyoming’s newly- Sections 2(d)(ii)(B)(II)(2)(d) and (D), the intended permanent vegetation for proposed rule at Chapter 2, Section BLM states that for Federally owned reclamation. BLM continues that if this 3(c)(ii) should also have a scale detail surface, the managing agency should be is not clarified, they foresee a potential requirement for mapping of vegetation consulted as well as the Wyoming Game problem with the use of non-native/ communities. In response, we note that and Fish Department for tree and shrub unapproved seeds or seeds not certified because Wyoming has committed to species composition, ground cover, and weed-free for revegetation on public reinstate the 1:24,000 scale requirement minimum stocking and planting lands, which would not follow the for maps in its rules at Chapter 2, arrangements. BLM/policy rules. Section 1(c), the same requirement is For the reasons that follow, BLM’s We disagree with BLM’s unnecessary for mapping of vegetation concerns regarding Federal land interpretation and read Wyoming’s communities. In addition, the Federal management agency concurrence and proposed rule to require that the Federal counterpart provision at 30 CFR consultation where Federal surface land managing agency will be consulted 779.19(a) does not include such a lands are involved with coal mining for mulching and seeding requirements requirement. operations are currently addressed, and for both cover crops and the intended Next, BLM referenced Wyoming’s do not warrant additional rulemaking by temporary and permanent vegetation for proposed rule change at Chapter 4, Wyoming. In particular, we refer BLM to reclamation. We refer BLM to Finding Section 2(c)(xii)(D)(II) and commented the Federal Lands Program provisions No. III.F.8. for an explanation as to why that it is unclear whether the discretion set forth at 30 CFR Subchapter D, Part proposed Chapter 2, Section of the Administrator applies only to 740 and the Wyoming State/Federal 6(b)(iii)(E)(VIII) is being approved. designing an impoundment for a storm Cooperative Agreement at 30 CFR The BLM provided several specific duration having greater peak flow than 950.20 Article V, Policies and comments in response to Wyoming’s the runoff from the probable maximum Procedures: Permit Application Package proposed rule changes in Chapter 1. precipitation of a 6-hour precipitation Review. 30 CFR 740.4(c)(2) and (3) and First, BLM inquired whether Wyoming’s event, or to the probable maximum 740.13(c)(5) specifically address OSMRE existing definition of ‘‘Best technology precipitation of a 6-hour precipitation and State Regulatory Authority currently available’’ at Chapter 1, event itself. BLM further noted that requirements regarding consultation Section 2(o) can be combined with the there should be a minimum standard with and obtaining the consent, as newly-proposed definition of ‘‘Best that is not subject to the discretion of necessary, of the Federal land practicable technology’’ at Chapter 1, the Administrator. In response, we refer management agency with respect to Section 2(n). In response, we note that BLM to Finding No. III.E.14. for an post-mining land use and permit review these definitions are mutually exclusive explanation as to why the proposed rule and processing. to the extent that the definition of ‘‘Best is being approved and how it is to be In addition, 30 CFR 740.4(c)(4) technology currently available’’ applies interpreted. requires Federal land management only to erosion control and fish and Finally, the BLM stated that the five agency concurrence when approving or wildlife enhancement measures, while acre threshold for repairs of erosional releasing Federal lessee protection ‘‘Best practicable technology’’ relates to features, subsidence, or settling in bonds. While these provisions are not shrub establishment. proposed Chapter 4, Section 2(d)(M)(X) found in Wyoming’s approved rules, BLM also asked that we explain the seems fairly large to consider as a Article V, Section 9 of the State/Federal significance of the August 6, 1996, date ‘‘normal husbandry practice’’ that Cooperative Agreement delineates the in Wyoming’s definition of ‘‘eligible avoids resetting the bond clock. We respective responsibilities that OSMRE land’’ at Chapter 1, Section 2(am). In disagree with this comment and refer and Wyoming shall assume under 30 response, we note that August 6, 1996, BLM to Finding No. III.E.15.G. for an CFR 740.4(c). Lastly, we note that 30 is the date on which OSMRE approved explanation as to why the five acre limit CFR 740.4(e)(1) states that ‘‘The Federal Wyoming’s definition of ‘‘eligible land’’ is being approved. The commenter is land management agency is responsible and signifies that land affected by a also reminded that all mined lands must for: determining post-mining land mining operation after that date is meet revegetation success standards uses.’’ These Federal rules and eligible for shrub reclamation. prior to final bond release. accompanying Cooperative Agreement BLM commented that Wyoming’s ensure that the requirements regarding newly-proposed definition of ‘‘Sample Environmental Protection Agency (EPA) consultation with and consent by the unit’’ at Chapter 1, Section 2(ds) should Concurrence and Comments Federal land management agency where define a minimum acreage. The Under 30 CFR 732.17(h)(11)(i) and Federal surface lands are involved with proposed definition provides additional (ii), we are required to get concurrence coal mining operations will be adhered specificity as neither SMCRA nor the from EPA for those provisions of the to. Federal regulations define ‘‘sample program amendment that relate to air or Similar to the comments above, BLM unit.’’ Moreover, the definition of the water quality standards issued under quotes Wyoming’s proposed rule at size of the sample unit is to be the authority of the Clean Water Act (33 Chapter 2, Section 6(b)(iii)(E)(VIII) established by mutual agreement U.S.C. 1251 et seq.) or the Clean Air Act which states ‘‘For Federally owned between the permittee and the (42 U.S.C. 7401 et seq.). surface, the Federal land managing Administrator. For these reasons, we Under 30 CFR 732.17(h)(11)(i), agency shall be consulted for mulching will defer to the State with regard to OSMRE requested comments on the requirements and seeding requirements determining the size of a particular amendment from EPA (Administrative for cover crops, temporary and sample unit. Record Document ID No. OSM–2009– permanent reclamation.’’ BLM With respect to Wyoming’s proposed 0012–0011). EPA did not respond to our comments that it sounds like the Land rule change at Chapter 2, Section 1(c), request.

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State Historic Preservation Officer Section 2(ct), and removing the term programs that are not approved by (SHPO) and the Advisory Council on ‘‘surface’’ throughout its rules in OSMRE. In the oversight of the Historic Preservation (ACHP) Chapters 1, 2, 4, and 5. Wyoming program, we will recognize As discussed in Finding No. III.E.8, Under 30 CFR 732.17(h)(4), we are only the statutes, regulations and other we are not approving Wyoming’s required to request comments from the materials we have approved, together proposed rule change deleting the SHPO and ACHP on amendments that with any consistent implementing 1:24,000 scale requirement at Chapter 2, may have an effect on historic policies, directives and other materials. Section 1(c) for maps that are submitted We will require Wyoming to enforce properties. On August 4, 2010, we with permit applications. only approved provisions. requested comments on Wyoming’s As discussed in Finding No. III.E.10, amendment (Administrative Record we are not approving Wyoming’s VI. Procedural Determinations Document ID No. OSM–2009–0012– proposed rule change at Chapter 2, Executive Order 12630—Takings 0012). The SHPO responded on Section 4(a)(xvii), concerning public September 2, 2010, and explained that This rule does not have takings availability of permit applications and implications. This determination is in reviewing the cultural resources confidentiality, and the required section of the document [specifically based on the analysis performed for the amendment at 30 CFR 950.16(u) counterpart Federal regulation. Chapter 2, Section 4(a)(xvii) and Section remains outstanding. 4(a)(xviii), and Chapter 2, Section As discussed in Finding No. III.E.11, Executive Order 12866—Regulatory 5(a)(xix)], it is apparent that the we do not accept Wyoming’s Planning and Review Wyoming DEQ/LQD rules are not explanation for not revising or This rule is exempted from review by consistent with, nor are they as stringent amending its rules at Chapter 2, Section or effective as, the regulations the Office of Management and Budget 5(a)(viii)(A) concerning fish and wildlife (OMB) under Executive Order 12866. implementing Section 106 of the enhancement measures, and the National Historic Preservation Act required amendment at 30 CFR Executive Order 12988—Civil Justice (NHPA) found at 36 CFR Part 800 950.16(p) remains outstanding. Reform (Administrative Record Document ID As discussed in Finding No. III.E.15, The Department of the Interior has No. OSM–2009–0012–0013). SHPO we are not approving Wyoming’s conducted the reviews required by further recommended that OSMRE proposed normal husbandry practice for section 3 of Executive Order 12988 and retain its responsibilities under Section supplemental planting of tree and shrub has determined that this rule meets the 106 of the NHPA pursuant to 30 CFR stock at Chapter 4, Section 2(d)(i)(M)(II). applicable standards of subsections (a) Part 800 until such time as the [state] We are removing existing required and (b) of that section. However, these rules can be made consistent with, and amendments and approving, as standards are not applicable to the as stringent and effective as, the Federal discussed in: Finding No. III.H.1, actual language of State regulatory regulations. Chapter 2, Section 2(a)(i)(B), concerning programs and program amendments Notwithstanding our disapproval of operator property interest information; because each program is drafted and Wyoming’s proposed rule change at Finding No. III.H.2, Appendix A, Part II. promulgated by a specific State, not by Chapter 2, Section 4(a)(xvii) for different B, concerning operator sampling OSMRE. Under sections 503 and 505 of reasons in Finding No. III.E.10 above, techniques for evaluating ground cover SMCRA (30 U.S.C. 1253 and 1255) and which was specifically submitted in parameters; and Finding No. III.H.3, the Federal regulations at 30 CFR response to a required program Chapter 4, Section 2(d)(ii)(C)(II), 730.11, 732.15, and 732.17(h)(10), amendment at 30 CFR 950.16(u) concerning cropland success standards. decisions on proposed State regulatory concerning public availability of permit To implement this decision, we are programs and program amendments applications and confidentiality, we amending the Federal regulations at 30 submitted by the States must be based concur with the SHPO’s CFR Part 950, which codify decisions solely on a determination of whether the acknowledgement in its response that concerning the Wyoming program. We submittal is consistent with SMCRA and the purpose of the amendment is not to find that good cause exists under 5 its implementing Federal regulations make adjustments concerning U.S.C. 553(d)(3) to make this final rule and whether the other requirements of compliance with Section 106 of the effective immediately. 30 CFR Parts 730, 731, and 732 have NHPA. Although the aforementioned Section 503(a) of SMCRA requires been met. comments are beyond the scope of this that the State’s program demonstrates amendment and differ from the context that the State has the capability of Executive Order 13132—Federalism in which the proposed rule change was carrying out the provisions of the Act This rule does not have Federalism submitted, we recognize the SHPO’s and meeting its purposes. Making this implications. SMCRA delineates the concerns and are alerting Wyoming to regulation effective immediately will roles of the Federal and State them by virtue of this Federal Register expedite that process. SMCRA requires governments with regard to the final rule notice. consistency of State and Federal regulation of surface coal mining and standards. reclamation operations. One of the V. OSMRE’s Decision purposes of SMCRA is to ‘‘establish a Based on the above findings, we Effect of OSMRE’s Decision nationwide program to protect society approve, with certain exceptions, Section 503 of SMCRA provides that and the environment from the adverse Wyoming’s October 15, 2009, a State may not exercise jurisdiction effects of surface coal mining amendment. We do not approve the under SMCRA unless the State program operations.’’ Section 503(a)(1) of following provisions or parts of is approved by the Secretary. Similarly, SMCRA requires that State laws provisions. 30 CFR 732.17(a) requires that any regulating surface coal mining and As discussed in Finding No. III.E.6, change of an approved State program be reclamation operations be ‘‘in we are not approving Wyoming’s submitted to OSMRE for review as a accordance with’’ the requirements of proposed rule changes deleting the program amendment. The Federal SMCRA, and section 503(a)(7) requires definition of ‘‘surface coal mining and regulations at 30 CFR 732.17(g) that State programs contain rules and reclamation operations’’ at Chapter 1, prohibits any changes to approved State regulations ‘‘consistent with’’

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regulations issued by the Secretary Paperwork Reduction Act counterpart Federal regulations for pursuant to SMCRA. This rule does not contain which an analysis was prepared and a determination made that the Federal Executive Order 13175—Consultation information collection requirements that regulation was not considered a major and Coordination With Indian Tribal require approval by OMB under the rule. Governments Paperwork Reduction Act (44 U.S.C. In accordance with Executive Order 3501 et seq.). Unfunded Mandates 13175, we have evaluated the potential Regulatory Flexibility Act This rule will not impose an effects of this rule on Federally The Department of the Interior unfunded mandate on State, local, or recognized Indian tribes and have certifies that this rule will not have a tribal governments or the private sector determined that the rule does not have significant economic impact on a of $100 million or more in any given substantial direct effects on one or more substantial number of small entities year. This determination is based upon Indian tribes, on the relationship the fact that the State submittal, which between the Federal Government and under the Regulatory Flexibility Act (5 is the subject of this rule, is based upon Indian tribes, or on the distribution of U.S.C. 601 et seq.). The State submittal, counterpart Federal regulations for power and responsibilities between the which is the subject of this rule, is based which an analysis was prepared and a Federal government and Indian tribes. upon counterpart Federal regulations for determination made that the Federal The rule does not involve or affect which an economic analysis was regulation did not impose an unfunded Indian tribes in any way. prepared and certification made that such regulations would not have a mandate. Executive Order 13211—Regulations significant economic effect upon a List of Subjects in 30 CFR Part 950 That Significantly Affect The Supply, substantial number of small entities. In Distribution, or Use of Energy making the determination as to whether Intergovernmental relations, Surface On May 18, 2001, the President issued this rule would have a significant mining, Underground mining. Executive Order 13211 which requires economic impact, the Department relied Dated: January 7, 2011. upon the data and assumptions for the agencies to prepare a Statement of Allen D. Klein, counterpart Federal regulations. Energy Effects for a rule that is (1) Regional Director, Western Region. considered significant under Executive Small Business Regulatory Enforcement Order 12866, and (2) likely to have a Fairness Act Editorial Note: This document was significant adverse effect on the supply, received in the Office of the Federal Register distribution, or use of energy. Because This rule is not a major rule under 5 on June 6, 2011. U.S.C. 804(2), of the Small Business this rule is exempt from review under For the reasons set out in the Executive Order 12866 and is not Regulatory Enforcement Fairness Act. This rule: preamble, 30 CFR part 950 is amended expected to have a significant adverse as set forth below: effect on the supply, distribution, or use a. Does not have an annual effect on of energy, a Statement of Energy Effects the economy of $100 million. PART 950—WYOMING is not required. b. Will not cause a major increase in costs or prices for consumers, ■ 1. The authority citation for part 950 National Environmental Policy Act individual industries, Federal, State, or continues to read as follows: This rule does not require an local government agencies, or environmental impact statement geographic regions. Authority: 30 U.S.C. 1201 et seq. because section 702(d) of SMCRA (30 c. Does not have significant adverse ■ 2. Section 950.15 is amended in the CFR U.S.C. 1292(d)) provides that effects on competition, employment, table by adding a new entry in agency decisions on proposed State investment, productivity, innovation, or chronological order by ‘‘Date of Final regulatory program provisions do not the ability of U.S. based enterprises to Publication’’ to read as follows: constitute major Federal actions within compete with foreign-based enterprises. the meaning of section 102(2)(C) of the This determination is based upon the § 950.15 Approval of Wyoming regulatory National Environmental Policy Act (42 fact that the State submittal which is the program amendments. U.S.C. 4332(2)(C) et seq). subject of this rule is based upon * * * * *

Original amendment submission date Date of final publication Citation/description

*******

October 15, 2009 ...... June 14, 2011 ...... Chap. 1, Section 2(f); Chap. 1, Section 2(j); Chap. 1, Section 2(k); Chap. 1, Section 2(l); Chap. 1, Section 2(m); Chap. 1, Section 2(n); Chap. 1, Section 2(p); Chap. 1, Section 2(r); Chap. 1, Section 2(s); Chap. 1, Section 2(z); Chap. 1, Section 2(aa); Chap. 1, Section 2(ab); Chap. 1, Section 2(ae); Chap. 1, Section 2(ak); Chap. 1, Section 2(am); Chap. 1, Section 2(ao);

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Original amendment submission date Date of final publication Citation/description

Chap. 1, Section 2(ap); Chap. 1, Section 2(as); Chap. 1, Section 2(az); Chap. 1, Section 2(bd); Chap. 1, Section 2(be); Chap. 1, Section 2(bf); Chap. 1, Section 2(bg); Chap. 1, Section 2(bm); Chap. 1, Section 2(bs); Chap. 1, Section 2(bu); Chap. 1, Section 2(bv); Chap. 1, Section 2(by)(ii); Chap. 1, Section 2(bz); Chap. 1, Section 2(ca); Chap. 1, Section 2(cb); Chap. 1, Section 2(cc); Chap. 1, Section 2(cg); Chap. 1, Section 2(cj); Chap. 1, Section 2(cl); Chap. 1, Section 2(cm); Chap. 1, Section 2(co); Chap. 1, Section 2(cs); Chap. 1, Section 2(cu); Chap. 1, Section 2(cx); Chap. 1, Section 2(da); Chap. 1, Section 2(df); Chap. 1, Section 2(dg); Chap. 1, Section 2(dh); Chap. 1, Section 2(di); Chap. 1, Section 2(dl); Chap. 1, Section 2(dm); Chap. 1, Section 2(dp); Chap. 1, Section 2(ds); Chap. 1, Section 2(dt); Chap. 1, Section 2(dv); Chap. 1, Section 2(dw); Chap. 1, Section 2(dx); Chap. 1, Section 2(dy); Chap. 1, Section 2(dz); Chap. 1, Section 2(ef); Chap. 1, Section 2(eg); Chap. 1, Section 2(el); Chap. 1, Section 2(eo); Chap. 1, Section 2(es); Chap. 1, Section 2(eu); Chap. 1, Section 2(ex); Chap. 1, Section 2(ey); Chap. 1, Section 2(ez); Chap. 1, Section 2(fe); Chap. 1, Section 2(ff); Chap. 1, Section 2(fm); Chap. 1, Section 2(fn); Chap. 2, Section 2(b)(iv)(C); Chap. 2, Section 2(c)(xii)(D)(II); Chap. 2, Section 3(a)-(m); Chap. 2, Section 6(b)(iii)(D); Chap. 2, Section 6(b)(iii)(E)(VIII); Chap. 2, Section 6(b)(iii)(G); Chap. 4, Section 2(c)(xii)(D)(II) Chap. 4, Section 2(d)(i)(G); Chap. 4, Section 2(d)(i)(I); Chap. 4, Section 2(d)(i)(M)(I) and (III)–(XI); Chap. 4, Section 2(d)(i)(N); Chap. 4, Section 2(g)(iv)(L) Chap. 4, Section 2(g)(iv)(M); Chap. 4, Section 2(g)(v)(A); Chap. 4, Section 2(g)(v)(B); Chap. 5, Section 2(b) (iii); also all minor, editorial, and codification changes and all reorganized or relocated rules.

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§ 950.16 [Amended] ■ 3. Section 950.16 is amended by removing and reserving paragraphs (f), (l), and (m). [FR Doc. 2011–14310 Filed 6–13–11; 8:45 am] BILLING CODE 4310–05–P

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Part III

The President

Executive Order 13575—Establishment of the White House Rural Council

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Federal Register Presidential Documents Vol. 76, No. 114

Tuesday, June 14, 2011

Title 3— Executive Order 13575 of June 9, 2011

The President Establishment of the White House Rural Council

By the authority vested in me as President by the Constitution and the laws of the United States of America and in order to enhance Federal engagement with rural communities, it is hereby ordered as follows: Section 1. Policy. Sixteen percent of the American population lives in rural counties. Strong, sustainable rural communities are essential to winning the future and ensuring American competitiveness in the years ahead. These communities supply our food, fiber, and energy, safeguard our natural re- sources, and are essential in the development of science and innovation. Though rural communities face numerous challenges, they also present enor- mous economic potential. The Federal Government has an important role to play in order to expand access to the capital necessary for economic growth, promote innovation, improve access to health care and education, and expand outdoor recreational activities on public lands. To enhance the Federal Government’s efforts to address the needs of rural America, this order establishes a council to better coordinate Federal pro- grams and maximize the impact of Federal investment to promote economic prosperity and quality of life in our rural communities. Sec. 2. Establishment. There is established a White House Rural Council (Council). Sec. 3. Membership. (a) The Secretary of Agriculture shall serve as the Chair of the Council, which shall also include the heads of the following executive branch departments, agencies, and offices: (1) the Department of the Treasury; (2) the Department of Defense; (3) the Department of Justice; (4) the Department of the Interior; (5) the Department of Commerce; (6) the Department of Labor; (7) the Department of Health and Human Services; (8) the Department of Housing and Urban Development; (9) the Department of Transportation; (10) the Department of Energy; (11) the Department of Education; (12) the Department of Veterans Affairs; (13) the Department of Homeland Security; (14) the Environmental Protection Agency; (15) the Federal Communications Commission; (16) the Office of Management and Budget; (17) the Office of Science and Technology Policy; (18) the Office of National Drug Control Policy; (19) the Council of Economic Advisers;

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(20) the Domestic Policy Council; (21) the National Economic Council; (22) the Small Business Administration; (23) the Council on Environmental Quality; (24) the White House Office of Public Engagement and Intergovernmental Affairs; (25) the White House Office of Cabinet Affairs; and such other executive branch departments, agencies, and offices as the President or the Secretary of Agriculture may, from time to time, designate. (b) A member of the Council may designate, to perform the Council functions of the member, a senior-level official who is part of the member’s department, agency, or office, and who is a full-time officer or employee of the Federal Government. (c) The Department of Agriculture shall provide funding and administrative support for the Council to the extent permitted by law and within existing appropriations. (d) The Council shall coordinate its policy development through the Do- mestic Policy Council and the National Economic Council. Sec. 4. Mission and Function of the Council. The Council shall work across executive departments, agencies, and offices to coordinate development of policy recommendations to promote economic prosperity and quality of life in rural America, and shall coordinate my Administration’s engagement with rural communities. The Council shall: (a) make recommendations to the President, through the Director of the Domestic Policy Council and the Director of the National Economic Council, on streamlining and leveraging Federal investments in rural areas, where appropriate, to increase the impact of Federal dollars and create economic opportunities to improve the quality of life in rural America; (b) coordinate and increase the effectiveness of Federal engagement with rural stakeholders, including agricultural organizations, small businesses, education and training institutions, health-care providers, telecommuni- cations services providers, research and land grant institutions, law enforce- ment, State, local, and tribal governments, and nongovernmental organiza- tions regarding the needs of rural America; (c) coordinate Federal efforts directed toward the growth and development of geographic regions that encompass both urban and rural areas; and (d) identify and facilitate rural economic opportunities associated with energy development, outdoor recreation, and other conservation related ac- tivities. Sec. 5. General Provisions. (a) The heads of executive departments and agencies shall assist and provide information to the Council, consistent with applicable law, as may be necessary to carry out the functions of the Council. Each executive department and agency shall bear its own ex- pense for participating in the Council. (b) Nothing in this order shall be construed to impair or otherwise affect: (i) authority granted by law to an executive department, agency, or the head thereof; or (ii) functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals. (c) This order shall be implemented consistent with applicable law and subject to the availability of appropriations.

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(d) This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.

THE WHITE HOUSE, June 9, 2011.

[FR Doc. 2011–14919 Filed 6–13–11; 11:15 am] Billing code 3195–W1–P

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Reader Aids Federal Register Vol. 76, No. 114 Tuesday, June 14, 2011

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING JUNE

Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. Presidential Documents 2 CFR 983...... 34181 987...... 34618 Executive orders and proclamations 741–6000 780...... 34143 1170...... 34004 The United States Government Manual 741–6000 782...... 34573 1205...... 32088 Other Services Proposed Rules: 3434...... 34187 Ch. XI...... 32330 741–6020 Electronic and on-line services (voice) Ch. XVIII ...... 31884 8 CFR Privacy Act Compilation 741–6064 Ch. XXIV...... 31884 214...... 33970 Public Laws Update Service (numbers, dates, etc.) 741–6043 Ch. XXVII...... 34003 TTY for the deaf-and-hard-of-hearing 741–6086 Proposed Rules: 3 CFR Ch. I ...... 32331 Ch. V...... 34003 ELECTRONIC RESEARCH Proclamations: 8683...... 32065 World Wide Web 9 CFR 8684...... 32851 Full text of the daily Federal Register, CFR and other publications 8685...... 32853 307...... 33974 is located at: www.fdsys.gov. 8686...... 32855 381...... 33974 590...... 33974 Federal Register information and research tools, including Public 8687...... 32857 Inspection List, indexes, and links to GPO Access are located at: 8688...... 33119 Proposed Rules: 92...... 31499 www.ofr.gov. Executive Orders: 13575...... 34841 93...... 31499 E-mail 94...... 31499 Administrative Orders: 96...... 31499 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is Memorandums: 98...... 31499 an open e-mail service that provides subscribers with a digital Memorandum of May form of the Federal Register Table of Contents. The digital form 31, 2011 ...... 33117 10 CFR of the Federal Register Table of Contents includes HTML and Memorandum of June PDF links to the full text of each document. 6, 2011 ...... 33613 72...... 33121 217...... 33615 To join or leave, go to http://listserv.access.gpo.gov and select 5 CFR 430...... 31750 Online mailing list archives, FEDREGTOC-L, Join or leave the list 431...... 31795, 33631 (or change settings); then follow the instructions. 531...... 32859 532...... 31785 Proposed Rules: PENS (Public Law Electronic Notification Service) is an e-mail 35...... 33173 service that notifies subscribers of recently enacted laws. Proposed Rules: Ch. I ...... 31886 40...... 31507 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 532...... 31885 50...... 32878, 34007 and select Join or leave the list (or change settings); then follow Ch. VII...... 32088 150...... 31507 the instructions. Ch. XXVI...... 32330 431...... 34192 FEDREGTOC-L and PENS are mailing lists only. We cannot Ch. XXVIII...... 34003 12 CFR respond to specific inquiries. Ch. XXXV ...... 31886 Ch. XLII...... 34177 202...... 31451 Reference questions. Send questions and comments about the 914...... 33121 Federal Register system to: [email protected] Ch. XLV ...... 32330 Ch. LIX...... 31884 1235...... 33121 The Federal Register staff cannot interpret specific documents or Ch. LXV ...... 31884 1732...... 33121 regulations. Proposed Rules: 6 CFR Reminders. Effective January 1, 2009, the Reminders, including 4...... 32332 Rules Going Into Effect and Comments Due Next Week, no longer Proposed Rules: 5...... 32332 appear in the Reader Aids section of the Federal Register. This Ch. I ...... 32331 7...... 32332 information can be found online at http://www.regulations.gov. 5...... 34177, 34616 8...... 32332 28...... 32332 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 7 CFR 34...... 32332 longer appears in the Federal Register. This information can be 51...... 31787 43...... 34010 found online at http://bookstore.gpo.gov/. 201...... 31790 244...... 34010 210...... 34542 373...... 34010 FEDERAL REGISTER PAGES AND DATE, JUNE 215...... 34542 Ch. XVII ...... 31884 220...... 34542 1234...... 34010 31451–31784...... 1 225...... 34542 31785–32064...... 2 226...... 34542 13 CFR 32065–32312...... 3 457...... 32067 124...... 33980 32313–32850...... 6 953...... 33967 32851–33120...... 7 985...... 33969 14 CFR 33121–33612...... 8 Proposed Rules: 1...... 34576 33613–33966...... 9 36...... 31887 23...... 33129 33967–34142...... 10 205...... 31495, 34180 25 ...... 31451, 31453, 31454, 34143–34572...... 13 916...... 31888 31456, 33129 34573–34844...... 14 917...... 31888 27...... 33129

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29...... 33129 21 CFR Proposed Rules: 21...... 33999 Ch. II ...... 34177 33...... 33981 5...... 31468 Ch. IV...... 34177 40 CFR 39 ...... 31457, 31459, 31462, 10...... 31468 Ch. V...... 34177 31465, 31796, 31798, 31800, 14...... 31468 52 ...... 31856, 31858, 32321, Ch. VII...... 34177 31803, 33982, 33984, 33986, 19...... 31468 33647, 33650, 33651, 34000, 1602...... 31892 33988, 33991 20...... 31468 34608 71 ...... 31821, 31822, 34576 Ch. XXV...... 34177 180 ...... 31471, 31479, 31485 21...... 31468 2550...... 31544 91...... 31823 312...... 32863 268...... 34147 93...... 34576 314...... 31468 30 CFR 271...... 34147 95...... 33136 300...... 32081 320...... 32863 950...... 34816 417...... 33139 350...... 31468 Proposed Rules: Proposed Rules: Proposed Rules: 52 ...... 31898, 31900, 32110, 516...... 31468 Ch. I ...... 34177 39 ...... 31508, 32103, 33173, 814...... 31468 32113, 32333, 33181, 33662, 33176, 33658, 33660, 34011, 1310...... 31824 31 CFR 34020, 34021, 34630 34014, 34625 Proposed Rules: 10...... 32286 86...... 32886 71 ...... 31510, 32879, 34196, Ch. I ...... 32330 545...... 31470 174...... 33183 34627 180...... 33184 Ch. II ...... 34003 Proposed Rules: 139...... 32105 268...... 34200 573...... 32332 Ch. IX...... 34003 217...... 31511 271...... 34200 241...... 31511 22 CFR 32 CFR 300...... 32115 298...... 31511 62...... 33993 706...... 32865 Ch. IV...... 34003 382...... 32107 208...... 34143 Ch. VII...... 32330 Ch. V...... 31884 Proposed Rules: 210...... 34573 Ch. I ...... 32330 41 CFR 15 CFR Ch. V...... 32330 24 CFR Ch. VI...... 32330 Proposed Rules: 740...... 34577 Proposed Rules: Ch. VII...... 32330 Ch. 50 ...... 34177 743...... 34577 Ch. I ...... 31884 Ch. XII...... 32330 Ch. 60 ...... 34177 774...... 34577 Ch. II ...... 31884 Ch. 61 ...... 34177 33 CFR Ch. 101 ...... 32088 16 CFR 267...... 34010 Ch. III ...... 31884 1...... 31831 Ch. 102 ...... 32088 259...... 31467 Ch. IV...... 31884 27...... 31831 102-34...... 31545 Proposed Rules: Ch. V...... 31884 96...... 31831 Ch. 105 ...... 32088 309...... 31513 Ch. VI...... 31884 100...... 32313, 34606 Ch. 128 ...... 34003 1460...... 33179 Ch. VIII...... 31884 101...... 31831 301-11...... 32340 Ch. IX...... 31884 107...... 31831 302-2...... 32340 17 CFR Ch. X...... 31884 115...... 31831 302-3...... 32340 240...... 34300, 34579 Ch. XII...... 31884 117...... 31831, 31838 302-17...... 32340 249...... 34300 135...... 31831 42 CFR Proposed Rules: 25 CFR 140...... 31831 1...... 32880, 33066 Proposed Rules: 148...... 31831 412...... 32085 5...... 33066 Ch. I ...... 33180 150...... 31831 434...... 32816 7...... 33066 Ch. III ...... 33181 151...... 31831 438...... 32816 8...... 33066 Ch. V...... 32330 160...... 31831 447...... 32816 15...... 33066 161...... 31831 Proposed Rules: 18...... 33066 26 CFR 162...... 31831 Ch. I ...... 32330 21...... 33066 1...... 33994, 33997 164...... 31831 5...... 31546 22...... 31518, 33818 31...... 32864 165 ...... 31839, 31843, 31846, 84...... 33188 31848, 31851, 31853, 32069, 36...... 33066 Proposed Rules: 401...... 33566 32071, 32313, 33151, 33154, 41...... 33066 1 ...... 31543, 32880, 32882, 412...... 34633 33155, 33157, 33639, 33641, 140...... 33066 34017, 34019 413...... 34633 33643, 33646, 34145 145...... 33066 31...... 32885 414...... 31547, 32410 166...... 31831 155...... 33066 301...... 31543 476...... 34633 166...... 33066 167...... 31831 Ch. V...... 32330 190...... 31518, 33818 27 CFR 169...... 31831 230...... 31518 175...... 33160 44 CFR Proposed Rules: 183...... 33160 232...... 33420 Ch. II ...... 34003 64...... 34611 239...... 31518 Proposed Rules: Proposed Rules: 240...... 32880, 33420 28 CFR Ch. I ...... 32331 Ch. I ...... 32331 246...... 34010 110...... 34197 67...... 32896 Proposed Rules: 165...... 31895 249...... 33420 Ch. I ...... 34003 Ch. II ...... 32330 45 CFR 249b...... 33420 III...... 34003 V ...... 34003 34 CFR Proposed Rules: 19 CFR Ch. II ...... 32330 VI ...... 34003 Ch. II ...... 32073 122...... 31823 Ch. III ...... 32330 29 CFR 222...... 31855 Proposed Rules: 668...... 34386 Ch. IV...... 32330 Ch. I ...... 32331 1910...... 33590 Ch. V...... 34003 1915...... 33590 36 CFR Ch. VIII...... 31886 20 CFR 1917...... 33590 Proposed Rules: Ch. X...... 32330 Proposed Rules: 1918...... 33590 Ch. III ...... 32330 Ch. XIII...... 32330 Ch. III ...... 31892 1919...... 33590 46 CFR Ch. IV...... 34177 1926...... 33590 37 CFR Ch. V...... 34177 1928...... 33590 201...... 32316 45...... 32323 Ch. VI...... 34177 4001...... 34590 Proposed Rules: Ch. VII...... 34177 4022...... 34590 38 CFR Ch. I ...... 32331 Ch. IX...... 34177 4044...... 34590 18...... 33999 Ch. III ...... 32331

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47 CFR 246...... 33166 Ch. 24 ...... 31884 50 CFR 1...... 32866 252 ...... 32840, 32841, 33166 Ch. 28 ...... 34003 17...... 31866, 33036 2...... 33653 Proposed Rules: Ch. 29 ...... 34177 217...... 34157 73...... 33656 Ch. 1...... 32133, 32330 Ch. 61 ...... 32088 622...... 31874 80...... 33653 2...... 32330 635...... 32086 8...... 34634 90...... 33653 49 CFR 648...... 31491, 32873 9...... 34634 Proposed Rules: 660...... 32876 17...... 31886 171...... 32867 4...... 33686 679...... 31881, 33171 27...... 32901 21...... 31886 177...... 32867 73...... 32116 52...... 32330, 34634 383...... 32327 Proposed Rules: 76...... 32116 54...... 32330 390...... 32327 17 ...... 31686, 31903, 31906, 203...... 32846 572...... 31860 31920, 32911, 33880, 33924 48 CFR 204...... 32846 Proposed Rules: 223...... 31556, 34023 203...... 32840 252...... 32845, 32846 390...... 32906 224...... 31556 211...... 33166 Ch. 5 ...... 32088 391...... 34635 226...... 32026 212...... 33170 Ch. 16 ...... 31886 396...... 32906 660...... 33189 225...... 32841, 32843 Ch. 18 ...... 31884 Ch. XII...... 32331 665...... 32929

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The text of laws is not H.R. 754/P.L. 112–18 enacted public laws. To published in the Federal Intelligence Authorization Act subscribe, go to http:// LIST OF PUBLIC LAWS Register but may be ordered for Fiscal Year 2011 (June 8, listserv.gsa.gov/archives/ in ‘‘slip law’’ (individual 2011; 125 Stat. 223) publaws-l.html This is a continuing list of pamphlet) form from the public bills from the current Superintendent of Documents, Last List June 6, 2011 session of Congress which U.S. Government Printing Note: This service is strictly have become Federal laws. It Office, Washington, DC 20402 for E-mail notification of new may be used in conjunction (phone, 202–512–1808). The Public Laws Electronic laws. The text of laws is not with ‘‘P L U S’’ (Public Laws text will also be made Notification Service available through this service. Update Service) on 202–741– available on the Internet from (PENS) PENS cannot respond to 6043. This list is also GPO’s Federal Digital System specific inquiries sent to this available online at http:// (FDsys) at http://www.gpo.gov/ address. www.archives.gov/federal- fdsys. Some laws may not yet PENS is a free electronic mail register/laws. be available. notification service of newly

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