Vol. 76 Tuesday, No. 225 November 22, 2011

Pages 72081–72300

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 76, No. 225

Tuesday, November 22, 2011

Agriculture Department PROPOSED RULES See Animal and Plant Health Inspection Service Revisions to California State Implementation Plan: See Farm Service Agency South Coast Air Quality Management District, 72142– NOTICES 72144 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 72159–72160 Executive Office of the President See Science and Technology Policy Office Animal and Plant Health Inspection Service RULES Export-Import Bank Karnal Bunt; Regulated Areas in California, 72081–72082 NOTICES Army Department Renewals of Advisory Committee Charter, 72204–72205 See Engineers Corps Farm Service Agency Census Bureau NOTICES NOTICES Farm Loan Programs: Meetings: Funding for the Guaranteed Loan Interest Assistance Federal Economic Statistics Advisory Committee, 72160 Program, 72160 Centers for Disease Control and Prevention Federal Aviation Administration NOTICES RULES Agency Information Collection Activities; Proposals, Airworthiness Directives: Submissions, and Approvals, 72206–72207 Turbomeca S.A. Makila 1A2 Turboshaft Engines, 72091– Commerce Department 72093 See Census Bureau Amendment of VOR Federal Airways V–81, V–89, and V– See Industry and Security Bureau 169 in Vicinity of Chadron, NE, 72093–72094 See International Trade Administration IFR Altitudes: See National Oceanic and Atmospheric Administration Miscellaneous Amendments, 72094–72097 See Patent and Trademark Office Special Conditions: Diamond Aircraft Industries, Model DA–40NG; Electronic Commodity Futures Trading Commission Engine Control System, 72087–72091 NOTICES PROPOSED RULES Meetings; Sunshine Act, 72179–72180 Airworthiness Directives: Pratt & Whitney JT9D Series Turbofan Engines, 72130– Defense Department 72132 See Engineers Corps Thielert Aircraft Engines GmbH (TAE) Reciprocating NOTICES Engines, 72128–72130 36(b)(1) Arms Sales Notification, 72180–72186 NOTICES Meetings: Agency Information Collection Activities; Proposals, Defense Audit Advisory Committee, 72186 Submissions, and Approvals: Aircraft Certification Systems Evaluation Program; Education Department Evaluation Customer Feedback Report, 72236–72237 NOTICES Certification of Repair Stations, 72240 Agency Information Collection Activities; Proposals, Commercial Air Tour Limitations in the Grand Canyon Submissions, and Approvals, 72187–72190 National Park Special Flight Rules Area, 72239– 72240 Energy Department Exemptions for Air Taxi and Commuter Air Carrier See Federal Energy Regulatory Commission Operations, 72239 Engineers Corps Financial Responsibility Requirements For Licensed NOTICES Reentry Activities, 72236 Environmental Impact Statements; Availability, etc.: Operating Requirements; Domestic, Flag and Proposed Westbrook Project, Corps Permit Application Supplemental Operations, 72237–72238 Number SPK–2005–00938, 72187 Procedures for Non-Federal Navigation Facilities, 72238 Report of Inspections Required by Airworthiness Environmental Protection Agency Directives, 72237 RULES Revisions to Digital Flight Data Recorders, 72238–72239 Air Quality Designations for the 2008 Lead (Pb) National Meetings: Ambient Air Quality Standards, 72097–72120 RTCA Special Committee 206; Aeronautical Information Oil Pollution Prevention: and Meteorological Data Link Services, 72240–72241 Spill Prevention, Control, and Countermeasure Rule; RTCA Special Committee 214/EUROCAE WG–78; Compliance Date Amendment for Farms, 72120– Standards for Air Traffic Data Communication 72124 Services, 72241

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Federal Communications Commission HUD-Administered Small Cities Program Performance RULES Assessment Report, 72211–72212 Internet-Based Telecommunications Relay Service Numbering, 72124–72125 Industry and Security Bureau PROPOSED RULES NOTICES Standardized and Enhanced Disclosure Requirements for Meetings: Television Broadcast Licensee Public Interest Regulations and Procedures Technical Advisory Obligations; Extension of the Filing Requirement for Committee, 72160–72161 Children’s Television Programming Report, 72144– 72158 Interior Department NOTICES See Land Management Bureau Agency Information Collection Activities; Proposals, Submissions, and Approvals, 72205 International Trade Administration NOTICES Federal Energy Regulatory Commission Antidumping and Countervailing Duty Administrative PROPOSED RULES Reviews; Results, Amendments, Extensions, etc.: Annual Charges for Use of Government Lands, 72134– Laminated Woven Sacks From the People’s Republic of 72142 China, 72161–72164 NOTICES Antidumping Duty Administrative Reviews; Results, Applications: Amendments, Extensions, etc.: Alaska Energy Authority, 72190–72191 Circular Welded Carbon-Quality Steel Pipe From India, Gulf South Pipeline Co., LP, 72191 the Sultanate of Oman, the United Arab Emirates, Combined Filings, 72191–72192 and the Socialist Republic of Vietnam, 72164–72171 Combined Filings #1, 72192–72194 Antidumping Duty Orders: Combined Filings #2, 72194–72195 Pure Magnesium From People’s Republic of China, 72172 Combined Filings #3, 72195–72196 Countervailing Duty Administrative Reviews; Results, Combined Filings #4, 72196 Amendments, Extensions, etc.: License Transfer Applications: Circular Welded Carbon-Quality Steel Pipe From India, CRD Hydroelectric LLC; Western Minnesota Municipal the Sultanate of Oman, the United Arab Emirates, Power Agency, 72196–72197 and the Socialist Republic of Vietnam, 72173–72178 Meetings: Yuba County Water Agency, 72197 International Trade Commission Order Approving Reliability Standard: NOTICES North American Electric Reliability Corporation, 72197– Antidumping Duty Orders; Five-Year Reviews: 72202 Certain Lined Paper School Supplies From China, India, Preliminary Permit Applications: and Indonesia, 72213–72214 The City of East Providence, 72202–72203 Silicomanganese From Brazil, China, and Ukraine, Reliability Workshop Agenda: 72212–72213 Voltage Coordination on High Voltage Grids, 72203– Tapered Roller Bearings From China, 72213 72204 Complaints: Requests Under Blanket Authorizations: Certain Products Containing Interactive Program Guide Equitrans, LP, 72204 and Parental Controls Technology, 72215–72216 Federal Reserve System Certain Semiconductor Chips With DRAM Circuitry, and NOTICES Modules and Products Containing Same, 72214– Change in Bank Control Notices: 72215 Acquisitions of Shares of a Bank or Bank Holding Justice Department Company, 72205–72206 Formations of, Acquisitions by, and Mergers of Bank NOTICES Holding Companies, 72206 Lodging of Consent Decree Under the Comprehensive Environmental Response, Compensation and Liability Federal Trade Commission Act (CERCLA), 72216 PROPOSED RULES Regulations Under Fur Products Labeling Act: Labor Department Public Hearing, 72132–72134 See Occupational Safety and Health Administration Health and Human Services Department Land Management Bureau See Centers for Disease Control and Prevention NOTICES See National Institutes of Health Alaska Native Claims Selection, 72212 Filing of Plats of Survey: Oregon/Washington, 72212 Homeland Security Department See U.S. Citizenship and Immigration Services National Aeronautics and Space Administration See U.S. Immigration and Customs Enforcement NOTICES NASA Routine Payloads on Expendable Launch Vehicles, Housing and Urban Development Department 72218–72220 NOTICES Agency Information Collection Activities; Proposals, National Council on Disability Submissions, and Approvals: NOTICES Congressional Earmark Grants, 72210–72211 Meetings; Sunshine Act, 72220

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National Institutes of Health NASDAQ OMX PHLX LLC, 72233–72235 NOTICES The NASDAQ Stock Market LLC, 72230–72231 Government-Owned Inventions: Suspensions of Trading Orders: Availability for Licensing, 72207–72208 Abviva, Inc.; ACTIS Global Ventures, Inc.; aeroTelesis, Meetings: Inc., et al., 72235 Center for Scientific Review, 72208–72209 National Heart, Lung, and Blood Institute, 72209 State Department PROPOSED RULES National Oceanic and Atmospheric Administration Implementation of Defense Trade Cooperation Treaties, RULES 72246–72268 Fisheries of Northeastern United States: NOTICES Extension of Emergency Fishery Closure Due to Presence Meetings: of Toxin That Causes Paralytic Shellfish Poisoning, Foreign Affairs Policy Board, 72236 72125–72127 NOTICES Surface Transportation Board Marine Mammals, 72178 NOTICES Abandonment Exemptions: Neighborhood Reinvestment Corporation BNSF Railway Company, Cass County, ND, 72241–72242 NOTICES Meetings; Sunshine Act, 72220 Transportation Department See Federal Aviation Administration Nuclear Regulatory Commission See Surface Transportation Board RULES Miscellaneous Administrative Changes, 72082–72087 U.S. Citizenship and Immigration Services NOTICES Incorporation of Risk Management Concepts in Regulatory NOTICES Programs, 72220–72223 Agency Information Collection Activities; Proposals, Meetings; Sunshine Act, 72223–72224 Submissions, and Approvals, 72209–72210

Occupational Safety and Health Administration U.S. Immigration and Customs Enforcement NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals: Occupational Exposure to Hazardous Chemicals in Electronic Bonds Online (eBonds) Access, 72210 Laboratories Standard, 72216–72218 Veterans Affairs Department Patent and Trademark Office NOTICES RULES Agency Information Collection Activities; Proposals, Rules of Practice Before the Board of Patent Appeals and Submissions, and Approvals: Interferences in Ex Parte Appeals, 72270–72299 Operation Enduring Freedom/Operation Iraqi Freedom NOTICES Veterans Health Needs Assessment, 72243 Agency Information Collection Activities; Proposals, Survey of Post-Deployment Adjustment among OEF and Submissions, and Approvals, 72178–72179 OIF Veterans, 72242–72243

Science and Technology Policy Office NOTICES Separate Parts In This Issue Meetings: President’s Council of Advisors on Science and Part II Technology, 72224–72225 State Department, 72246–72268 Securities and Exchange Commission Part III NOTICES Commerce Department, Patent and Trademark Office, Agency Information Collection Activities; Proposals, 72270–72299 Submissions, and Approvals: Form 2–E and Rule 609, 72226–72227 Regulation S–K, 72227 Rule 12d2–2; Form 25, 72226 Reader Aids Rule 17f–2, 72225 Consult the Reader Aids section at the end of this page for Meetings; Sunshine Act, 72227 phone numbers, online resources, finding aids, reminders, Request for Comments: and notice of recently enacted public laws. Order Extending Temporary Conditional Exemption for To subscribe to the Federal Register Table of Contents Nationally Recognized Statistical Rating LISTSERV electronic mailing list, go to http:// Organizations, etc., 72227–72230 listserv.access.gpo.gov and select Online mailing list Self-Regulatory Organizations; Proposed Rule Changes: archives, FEDREGTOC-L, Join or leave the list (or change NASDAQ OMX BX, Inc., 72231–72233 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.

7 CFR 301...... 72081 10 CFR 1...... 72082 9...... 72082 19...... 72082 20...... 72082 30...... 72082 35...... 72082 40...... 72082 52...... 72082 55...... 72082 60...... 72082 61...... 72082 70...... 72082 73...... 72082 110...... 72082 170...... 72082 171...... 72082 14 CFR 23...... 72087 39...... 72091 71...... 72093 95...... 72094 Proposed Rules: 39 (2 documents) ...... 72128, 72130 16 CFR Proposed Rules: 301...... 72132 18 CFR Proposed Rules: 11...... 72134 22 CFR Proposed Rules: 120...... 72246 123...... 72246 124...... 72246 126...... 72246 127...... 72246 129...... 72246 37 CFR 1...... 72270 41...... 72270 40 CFR 81...... 72097 112...... 72120 Proposed Rules: 52...... 72142 47 CFR 64...... 72124 Proposed Rules: 73...... 72144 50 CFR 648...... 72125

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Rules and Regulations Federal Register Vol. 76, No. 225

Tuesday, November 22, 2011

This section of the FEDERAL REGISTER the USDA South Building, 14th Street with Karnal bunt, as well as any contains regulatory documents having general and Independence Avenue SW., noninfected acreage surrounding the applicability and legal effect, most of which Washington, DC. Normal reading room field, will be released from regulation if: are keyed to and codified in the Code of hours are 8 a.m. to 4:30 p.m., Monday • The field has been permanently Federal Regulations, which is published under through Friday, except holidays. To be removed from crop production; or 50 titles pursuant to 44 U.S.C. 1510. sure someone is there to help you, • The field is tilled at least once per The Code of Federal Regulations is sold by please call (202) 690–2817 before year for a total of 5 years (the years need the Superintendent of Documents. Prices of coming. not be consecutive). After tilling, the field may be planted with a crop or left new books are listed in the first FEDERAL FOR FURTHER INFORMATION CONTACT: Ms. fallow. If the field is planted with a host REGISTER issue of each week. Lynn Evans-Goldner, Karnal Bunt crop, the harvested grain must test Program Manager, Forest Pest and Plant negative, through the absence of bunted Pathogen Programs, EDP, PPQ, APHIS, DEPARTMENT OF AGRICULTURE kernels, for Karnal bunt. 4700 River Road Unit 26, Riverdale, MD In this interim rule, we are amending Animal and Plant Health Inspection 20737–1236; (301) 734–7228. the list of quarantined areas in § 301.89– Service SUPPLEMENTARY INFORMATION: 3(g) by removing areas in Riverside Background County, CA, from the list of regulated 7 CFR Part 301 areas, based on our determination that Karnal bunt is a fungal disease of these fields or areas are eligible for [Docket No. APHIS–2011–0074] wheat (Triticum aestivum L.), durum release from regulation under the wheat (Triticum durum L.), and triticale criteria in § 301.89–3(f). Specifically, we Karnal Bunt; Regulated Areas in (Triticum aestivum L. x Secale cereal are removing the remaining 17,827 acres California L.), a hybrid of wheat and rye. Karnal from Riverside County, CA. AGENCY: Animal and Plant Health bunt is caused by the fungus Tilletia This action relieves restrictions on Inspection Service, USDA. indica (Mitra) Mundkur and is spread fields within those areas that are no primarily through the planting of ACTION: Interim rule and request for longer warranted. We note that with the infected seed followed by very specific comments. removal of those fields in Riverside environmental conditions matched County, there are no longer any areas SUMMARY: We are amending the Karnal during specific stages of wheat growth. within the State of California that are bunt regulations to make changes to the Some countries in the international quarantined because of Karnal bunt. list of areas or fields regulated because wheat market regulate Karnal bunt as a of Karnal bunt, a fungal disease of fungal disease requiring quarantine; Immediate Action wheat. Specifically, we are removing therefore, without measures taken by Immediate action is necessary to areas and fields in Riverside County, the United States Department of relieve restrictions on certain fields or CA, from the list of regulated areas Agriculture (USDA), Animal and Plant areas that are no longer warranted. based on our determination that those Health Inspection Service (APHIS), to Under these circumstances, the fields or areas meet our criteria for prevent its spread, the presence of Administrator has determined that prior release from regulation. This action is Karnal bunt in the United States could notice and opportunity for public necessary to relieve restrictions on have significant consequences with comment are contrary to the public certain areas that are no longer regard to the export of wheat to interest and that there is good cause necessary. international markets. under 5 U.S.C. 553 for making this Upon detection of Karnal bunt in action effective less than 30 days after DATES: This interim rule is effective Arizona in March of 1996, Federal November 22, 2011. We will consider publication in the Federal Register. quarantine and emergency actions were We will consider comments we all comments that we receive on or imposed to prevent the interstate spread receive during the comment period for before January 23, 2012. of the disease to other wheat-producing this interim rule (see DATES above). ADDRESSES: You may submit comments areas in the United States. The After the comment period closes, we by either of the following methods: quarantine continues in effect, although will publish another document in the • Federal eRulemaking Portal: Go to it has since been modified, both in Federal Register. The document will http://www.regulations.gov/#!document terms of its physical boundaries and in include a discussion of any comments Detail;D=APHIS-2011-0074-0001. terms of its restrictions on the we receive and any amendments we are • Postal Mail/Commercial Delivery: production and movement of regulated making to the rule. Send your comment to Docket No. articles from regulated areas. The APHIS–2011–0074, Regulatory Analysis regulations regarding Karnal bunt are set Executive Order 12866 and Regulatory and Development, PPD, APHIS, Station forth in 7 CFR 301.89–1 through Flexibility Act 3A–03.8, 4700 River Road Unit 118, 301.89–16 (referred to below as the This interim rule is subject to Riverdale, MD 20737–1238. regulations). Articles regulated for Executive Order 12866. However, for Supporting documents and any Karnal bunt are listed in § 301.89–2. this action, the Office of Management comments we receive on this docket Conditions for determining whether an and Budget has waived its review under may be viewed at http://www. area is regulated for Karnal bunt are set Executive Order 12866. regulations.gov/#!docketDetail;D= forth in § 301.89–3. This rule amends the Karnal bunt APHIS-2011-0074 or in our reading Under the regulations in § 301.89–3(f), regulations by removing certain areas in room, which is located in room 1141 of a field known to have been infected California from quarantine based on

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surveys that indicate these areas have ■ 2. In § 301.89–3, paragraph (g) is rule can be found at http:// met the criteria for release from amended by removing the entry for www.regulations.gov by searching on regulation. California. Docket ID: NRC–2011–0169. Address We have prepared an economic Done in Washington, DC, this 16th day of questions about NRC dockets to Carol analysis for this interim rule. The November 2011. Gallagher; telephone at (301) 492–3668; analysis, which considers the number Kevin Shea, email: [email protected]. and types of entities that are likely to be Acting Administrator, Animal and Plant FOR FURTHER INFORMATION CONTACT: affected by this action and the potential Health Inspection Service. Christina England, Rules, economic effects on those entities, [FR Doc. 2011–30100 Filed 11–21–11; 8:45 am] Announcements, and Directives Branch, provides the basis for the BILLING CODE 3410–34–P Division of Administrative Services, Administrator’s determination that the Office of Administration, U.S. Nuclear rule will not have a significant Regulatory Commission, Washington, economic impact on a substantial DC 20555–0001, telephone: (301) 492– number of small entities. The economic NUCLEAR REGULATORY 3663, email: [email protected]; analysis may be viewed on the COMMISSION or Angella Love Blair, Rules, Regulations.gov Web site (see 10 CFR Parts 1, 9, 19, 20, 30, 35, 40, Announcements, and Directives Branch, ADDRESSES above for instructions for 52, 55, 60, 61, 70, 73, 110, 170, and 171 Division of Administrative Services, accessing Regulations.gov). Copies of Office of Administration, U.S. Nuclear the economic analysis are also available [NRC–2011–0169] Regulatory Commission, Washington, from the person listed under FOR RIN 3150–AJ01 DC 20555–0001, telephone: (301) 492– FURTHER INFORMATION CONTACT. 3671, email: [email protected]. Executive Order 12372 Miscellaneous Administrative Changes SUPPLEMENTARY INFORMATION: This program/activity is listed in the AGENCY: Nuclear Regulatory Catalog of Federal Domestic Assistance Commission. Introduction under No. 10.025 and is subject to ACTION: Final rule. The NRC is amending its regulations Executive Order 12372, which requires at Title 10 of the Code of Federal intergovernmental consultation with SUMMARY: The U.S. Nuclear Regulatory Regulations (10 CFR) parts 1, 9, 19, 20, State and local officials. (See 7 CFR part Commission (NRC or the Commission) 26, 30, 35, 40, 52, 55, 60, 61, 70, 73, 110, 3015, subpart V.) is amending its regulations to make 170, and 171 to make miscellaneous miscellaneous administrative changes, Executive Order 12988 administrative changes. These changes including updating the street address for include correcting the authority citation This rule has been reviewed under its Region IV office and correcting an for 10 CFR part 61, updating the street Executive Order 12988, Civil Justice authority citation and typographical and address for its Region IV office, Reform. This rule: (1) Preempts all State spelling errors, and other edits and correcting typographical and spelling and local laws and regulations that are conforming changes. This document is errors, and making other edits and in conflict with this rule; (2) has no necessary to inform the public of these conforming changes. retroactive effect; and (3) does not changes to the NRC’s regulations. require administrative proceedings DATES: This rule is effective December Summary of Changes before parties may file suit in court 22, 2011. Replace ‘‘NRC’s Electronic Reading challenging this rule. ADDRESSES: You can access publicly Room’’ With ‘‘NRC Library’’ Paperwork Reduction Act available documents related to this final The name of the NRC’s online This interim rule contains no rule using the following methods: • NRC’s Public Document Room repository, formerly called ‘‘NRC’s information collection or recordkeeping Electronic Reading Room’’ and requirements under the Paperwork (PDR): The public may examine and have copies made, for a fee, publicly ‘‘Electronic Reading Room,’’ has been Reduction Act of 1995 (44 U.S.C. 3501 changed to ‘‘NRC Library.’’ Only the et seq.). available documents at the NRC’s PDR, Room O1–F21, One White Flint North, name has changed; the Web site address List of Subjects in 7 CFR Part 301 11555 Rockville Pike, Rockville, remains the same. The new name is incorporated into § 9.27(a) of the NRC’s Agricultural commodities, Plant Maryland 20852. • regulations. In addition, the new name diseases and pests, Quarantine, NRC’s Agencywide Documents Access and Management System is incorporated in the definition of Reporting and recordkeeping ‘‘NRC Public Document Room’’ by requirements, Transportation. (ADAMS): Publicly available documents created or received at the NRC are replacing the term ‘‘Electronic Reading Accordingly, we are amending 7 CFR available online in the NRC Library at Room’’ with ‘‘NRC Library’’ in § 60.2 of part 301 as follows: http://www.nrc.gov/reading-rm/ the NRC’s regulations. PART 301—DOMESTIC QUARANTINE adams.html. From this page, the public Correct Spelling Errors NOTICES can gain entry into ADAMS, which provides text and image files of the In § 19.14(b), an ‘‘r’’ was inadvertently ■ 1. The authority citation for part 301 NRC’s public documents. If you do not included in the word ‘‘phases’’ resulting continues to read as follows: have access to ADAMS or if there are in a different word, ‘‘phrases.’’ In problems in accessing the documents § 19.14(b), the word ‘‘phrases’’ is Authority: 7 U.S.C. 7701–7772 and 7781– replaced with the word ‘‘phases.’’ 7786; 7 CFR 2.22, 2.80, and 371.3. located in ADAMS, contact the NRC’s Section 301.75–15 issued under Sec. 204, PDR reference staff at 1–(800) 397–4209, In § 60.75(c)(2), an ‘‘m’’ was Title II, Public Law 106–113, 113 Stat. 1501 (301) 415–4737, or by email to inadvertently omitted from the word A–293; sections 301.75–15 and 301.75–16 [email protected]. ‘‘accomodate.’’ In § 60.75(c)(2), the word issued under Sec. 203, Title II, Public Law • Federal Rulemaking Web Site: ‘‘accomodate’’ is replaced with the word 106–224, 114 Stat. 400 (7 U.S.C. 1421 note). Supporting materials related to this final ‘‘accommodate.’’

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Add Missing Conjunction Update Location of Information Paperwork Reduction Act of 1995 (44 Collections Citation in 10 CFR Part 110 U.S.C. 3501 et seq.). In § 35.50, the word ‘‘and’’ is missing between § 35.50(a)(2)(ii)(B) and In a final rule (75 FR 44072; July 28, Public Protection Notification 35.50(a)(2)(iii), due to a clerical error 2010), the information collections were The NRC may not conduct or sponsor, resulting from an administrative change moved from §§ 110.23 and 110.26 to and a person is not required to respond in January 2007 (71 FR 15008). The § 110.54. Section 110.7 is updated to to, a request for information or an word ‘‘and’’ is added at the end of reflect this reorganization of provisions. information collection requirement § 35.50(a)(2)(ii)(B) after the semicolon. Delete Footnote in 10 CFR Part 170 unless the requesting document Remove Misprinted Reference A final rule (76 FR 36786; June 22, displays a currently valid Office of In § 35.50(b)(1)(i), the reference, ‘‘(ii)’’, 2011) eliminated footnote 5 in 10 CFR Management and Budget control incorrectly appears after the word 170.31 and renumbered footnote 6 to number. ‘‘areas’’ and a dash. The reference is footnote 5. Subsections 15.M through Backfit Analysis removed from the end of 10 CFR 15.Q were removed and reserved. The The NRC has determined that the 35.50(b)(1)(i). rule language inadvertently added a backfit rule does not apply to this final new footnote 6 next to the ‘‘Reserved’’ Update the Commercial Telephone rule; therefore, a backfit analysis is not subsections 15.M through 15.Q that said Number of the NRC Operations Center required for this final rule because these ‘‘There are no existing NRC licenses in amendments are administrative in The commercial telephone number for the fee category.’’ In § 170.31, the new nature and do not involve any the NRC Operations Center has been footnote 6 and corresponding references provisions that would impose backfits changed. The new number, (301) 816– in 15.M through 15.Q are removed. 5100, is listed in footnote 3 to as defined in 10 CFR chapter I, or would Change in Street Address for Region IV § 35.3045(c). be inconsistent with the issue finality The street address of the NRC Region provisions in 10 CFR part 52. Correct Zip Code IV office has been changed. The new Congressional Review Act (CRA) The zip code, ‘‘20582,’’ that is listed address is incorporated into the Under the CRA of 1996, the NRC has in Appendices A, B, and C to 10 CFR following sections of the NRC’s determined that this action is not a part 52 is incorrect. The correct zip regulations: Sec. 1.5(b)(4), Appendix D major rule and has verified this code, ‘‘20852,’’ is incorporated into to 10 CFR part 20, Sec. 30.6(b)(2)(iv), determination with the Office of paragraphs III.A of Appendices A, B, Sec. 40.5(b)(2)(iv), Sec. 55.5(b)(2)(iv), Information and Regulatory Affairs of and C. Sec. 70.5(b)(2)(iv), and Appendix A to the Office of Management and Budget. 10 CFR part 73. Correct the Authority Citation for 10 List of Subjects CFR Part 61 Rulemaking Procedure The authority citation for 10 CFR part Because these amendments constitute 10 CFR Part 1 61 was revised by the final rule, minor administrative corrections to the Organization and functions ‘‘Clarification of NRC Civil Penalty regulations, the Commission finds that (Government Agencies). Authority Over Contractors and the notice and comment provisions of Subcontractors Who Discriminate the Administrative Procedure Act are 10 CFR Part 9 Against Employees for Engaging in unnecessary and is exercising its Criminal penalties, Freedom of Protected Activities,’’ on November 14, authority under 5 U.S.C. 553(b)(3)(B) to information, Privacy, Reporting and 2007 (72 FR 63939). The authority publish these amendments as a final recordkeeping requirements, Sunshine citation was further revised by the rule. The amendments are effective Act. administrative rule, ‘‘Administrative December 22, 2011. These amendments 10 CFR Part 19 Changes’’ on July 23, 2008 (73 FR do not require action by any person or 42671); however, a subsequent final entity regulated by the NRC. Also, the Criminal penalties, Environmental rule, ‘‘Regulatory Changes to Implement final rule does not change the protection, Nuclear materials, Nuclear the Additional Protocol to the US/IAEA substantive responsibilities of any power plants and reactors, Occupational Safeguards Agreement,’’ (73 FR 78599; person or entity regulated by the NRC. safety and health, Radiation protection, December 23, 2008) inadvertently Reporting and recordkeeping Environmental Impact: Categorical included the authority citation from the requirements, Sex discrimination. Exclusion 2007 final rule. The authority citation is 10 CFR Part 20 revised to correctly reflect that of the The NRC has determined that this 2008 administrative rule. final rule is the type of action described Byproduct material, Criminal in categorical exclusion 10 CFR penalties, Licensed material, Nuclear Revise Table Formatting Error in 10 CFR 51.22(c)(2), which excludes from a materials, Nuclear power plants and Part 171 major action rules which are corrective reactors, Occupational safety and The table in paragraph (c) of § 171.16 or of a minor or nonpolicy nature and health, Packaging and containers, is missing a colon and a hard return that do not substantially modify existing Radiation protection, Reporting and would separate the heading, regulations. Therefore, neither an recordkeeping requirements, Source ‘‘Educational Institutions that are not environmental impact statement nor an material, Special nuclear material, State or Publicly Supported, and have environmental assessment has been Waste treatment and disposal. 500 Employees or Fewer,’’ from the prepared for this rule. 10 CFR Part 30 subsequent list item, ‘‘35 to 500 Paperwork Reduction Act Statement employees.’’ The formatting errors are Byproduct material, Criminal corrected, adding a colon after the word This final rule does not contain penalties, Government contracts, ‘‘Fewer’’ and separating the list heading information collection requirements Intergovernmental relations, Isotopes, from the subsequent list item. and, therefore, is not subject to the Nuclear materials, Radiation protection,

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Reporting and recordkeeping 10 CFR Part 110 Subpart A also issued 5 U.S.C. 552; 31 requirements. U.S.C. 9701; Pub. L. 99–570. Administrative practice and Subpart B is also issued under 5 U.S.C. 10 CFR Part 35 procedure, Classified information, 552a. Criminal penalties, Export, Import, Byproduct material, Criminal Subpart C is also issued under 5 U.S.C. Intergovernmental relations, Nuclear 552b. penalties, Drugs, Health facilities, materials, Nuclear power plants and Health professions, Medical devices, reactors, Reporting and recordkeeping § 9.27 [Amended] Nuclear materials, Occupational safety requirements, Scientific equipment. ■ 4. In § 9.27, paragraph (a), third and health, Radiation protection, sentence, remove the term ‘‘NRC’s Reporting and recordkeeping 10 CFR Part 170 Electronic Reading Room’’ and add in requirements. Byproduct material, Import and its place the term ‘‘NRC Library.’’ 10 CFR Part 40 export licenses, Intergovernmental relations, Non-payment penalties, PART 19—NOTICES, INSTRUCTIONS Criminal penalties, Government Nuclear materials, Nuclear power plants AND REPORTS TO WORKERS: contracts, Hazardous materials and reactors, Source material, Special INSPECTION AND INVESTIGATIONS transportation, Nuclear materials, nuclear material. Reporting and recordkeeping ■ 5. The authority citation for part 19 requirements, Source material, 10 CFR Part 171 continues to read as follows: Uranium. Annual charges, Byproduct material, Authority: 53, 63, 81, 103, 104, 161, 186, 10 CFR Part 52 Holders of certificates, Registrations, 68 Stat. 930, 933, 935, 936, 937, 948, 955, as Approvals, Intergovernmental relations, amended, sec. 234, 83 Stat. 444, as amended, Administrative practice and Nonpayment penalties, Nuclear sec. 1701, 106 Stat. 2951, 2952, 2953 (42 procedure, Antitrust, Backfitting, materials, Nuclear power plants and U.S.C. 2073, 2093, 2111, 2133, 2134, 2201, Combined license, Early site permit, 2236, 2282, 2297f); sec. 201, 88 Stat. 1242, as reactors, Source material, Special Emergency planning, Fees, Inspection, amended (42 U.S.C. 5841); Pub. L. 95–601, nuclear material. Limited work authorization, Nuclear sec. 10, 92 Stat. 2951 (42 U.S.C. 5851); sec. power plants and reactors, Probabilistic For the reasons set out in the 1704, 112 Stat. 2750 (44 U.S.C. 3504 note). risk assessment, Prototype, Reactor preamble and under the authority of the Section 19.32 is also issued under sec. 401, siting criteria, Redress of site, Reporting Atomic Energy Act of 1954, as amended; 88 Stat. 1254 (42 U.S.C. 5891). and recordkeeping requirements, the Energy Reorganization Act of 1974, § 19.14 [Amended] Standard design, Standard design as amended; and 5 U.S.C. 552 and 553, certification. the NRC is adopting the following ■ 6. In § 19.14, paragraph (b), second amendments to 10 CFR parts 1, 9, 19, sentence, remove the word ‘‘phrases’’ 10 CFR Part 55 20, 30, 35, 40, 52, 55, 60, 61, 70, 73, 110, and add in its place the word ‘‘phases.’’ Criminal penalties, Manpower 170, and 171. training programs, Nuclear power plants PART 20—STANDARDS FOR and reactors, Reporting and PART 1—STATEMENT OF PROTECTION AGAINST RADIATION recordkeeping requirements. ORGANIZATION AND GENERAL INFORMATION ■ 7. The authority citation for part 20 10 CFR Part 60 continues to read as follows: ■ Criminal penalties, High-level waste, 1. The authority citation for part 1 Authority: Secs. 53, 63, 65, 81, 103, 104, Nuclear materials, Nuclear power plants continues to read as follows: 161, 182, 186, 68 Stat. 930, 933, 935, 936, and reactors, Reporting and Authority: Sec. 23, 16181, 68 Stat. 925, 937, 948, 953, 955, as amended, sec. 1701, recordkeeping requirements, Waste 948, as amended (42 U.S.C. 2033, 2201); sec. 106 Stat. 2951, 2952, 2953 (42 U.S.C. 2073, 2093, 2095, 2111, 2133, 2134, 2201, 2232, treatment and disposal. 29, Pub. L. 85–256, 71 Stat. 759, Pub. L. 95– 209, 91 Stat. 1483 (42 U.S.C. 2039); sec. 191, 2236, 2297f), secs. 201, as amended, 202, 10 CFR Part 61 Pub. L. 87–615, 76 Stat. 409 (42 U.S.C. 2241); 206, 88 Stat. 1242, as amended, 1244, 1246 secs. 201, 203, 204, 205, 209, 88 Stat. 1242, (42 U.S.C. 5841, 5842, 5846); sec. 1704, 112 Criminal penalties, Low-level waste, 1244, 1245, 1246, 1248, as amended (42 Stat. 2750 (44 U.S.C. 3504 note); sec. 651(e), Nuclear materials, Reporting and U.S.C. 5841, 5843, 5844, 5845, 5849); 5 Pub. L. 109–58, 119 Stat. 806–810 (42 U.S.C. recordkeeping requirements, Waste U.S.C. 552, 553; Reorganization Plan No. 1 of 2014, 2021, 2021b, 2111). treatment and disposal. 1980, 45 FR 40561, June 16, 1980. ■ 8. In Appendix D to part 20, second 10 CFR Part 70 ■ 2. In § 1.5, revise paragraph (b)(4) to column, revise the address for Region IV to read as follows: Criminal penalties, Hazardous read as follows: materials transportation, Material § 1.5 Location of principal offices and Appendix D to Part 20—United States control and accounting, Nuclear Regional Offices. Nuclear Regulatory Commission materials, Packaging and containers, * * * * * Regional Offices Radiation protection, Reporting and (b) * * * * * * * * recordkeeping requirements, Scientific (4) Region IV, US NRC, 1600 E. Lamar US NRC, Region IV, 1600 E. Lamar Blvd., equipment, Security measures, Special Blvd., Arlington, TX 76011–4511. Arlington, TX 76011–4511. nuclear material. * * * * * PART 9—PUBLIC RECORDS 10 CFR Part 73 PART 30—RULES OF GENERAL Criminal penalties, Export, Hazardous ■ 3. The authority citation for part 9 APPLICABILITY TO DOMESTIC materials transportation, Import, continues to read as follows: LICENSING OF BYPRODUCT Nuclear materials, Nuclear power plants Authority: Sec. 161, 68 Stat. 948, as MATERIAL and reactors, Reporting and amended (42 U.S.C. 2201); sec. 201, 88 Stat. recordkeeping requirements, Security 1242, as amended (42 U.S.C. 5841); sec. 1704, ■ 9. The authority citation for part 30 measures. 112 Stat. 2750 (44 U.S.C. 3504 note). continues to read as follows:

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Authority: Secs. 81, 82, 161, 182, 183, 186, ■ a. In paragraph (a)(2)(ii)(B), add the and applications for a new license or an 68 Stat. 935, 948, 953, 954, 955, as amended, word ’’ and’’ at the end after the semi- amendment or renewal of an existing sec. 234, 83 Stat. 444, as amended (42 U.S.C. colon. license specified in paragraph (b)(1) of 2111, 2112, 2201, 2232, 2233, 2236, 2282); ■ b. In the introductory text of this section must use the following secs. 201, as amended, 202, 206, 88 Stat. paragraph (b)(1)(i), remove the reference 1242, as amended, 1244, 1246 (42 U.S.C. address: U.S. Nuclear Regulatory 5841, 5842, 5846); sec. 1704, 112 Stat. 2750 ‘‘-(ii)’’ at the end and add in its place Commission, Region IV, Division of (44 U.S.C. 3504 note); Energy Policy Act of ‘‘—.’’ Nuclear Materials Safety, 1600 E. Lamar Blvd., Arlington, TX 76011–4511; where 2005, Pub. L. No. 109–58, 119 Stat. 549 § 35.3045 [Amended] (2005). email is appropriate, it should be ■ 13. In § 35.3045, footnote 3, remove Section 30.7 also issued under Pub. L. 95– addressed to 601, sec. 10, 92 Stat. 2951 as amended by the telephone number ‘‘(301) 951–0550’’ [email protected]. Pub. L. 102–486, sec. 2902, 106 Stat. 3123 (42 and add in its place the telephone U.S.C. 5851). Section 30.34(b) also issued number ‘‘(301) 816–5100.’’ PART 52—LICENSES, under sec. 184, 68 Stat. 954, as amended (42 CERTIFICATIONS, AND APPROVALS U.S.C. 2234). Section 30.61 also issued under PART 40—DOMESTIC LICENSING OF FOR NUCLEAR POWER PLANTS sec. 187, 68 Stat. 955 (42 U.S.C. 2237). SOURCE MATERIAL ■ 16. The authority citation for part 52 ■ 10. In § 30.6, revise the second ■ 14. The authority citation for part 40 continues to read as follows: sentence of paragraph (b)(2)(iv)(A) and continues to read as follows: the second sentence of paragraph Authority: Secs. 103, 104, 161, 182, 183, (b)(2)(iv)(B) to read as follows: Authority: Secs. 62, 63, 64, 65, 81, 161, 186, 189, 68 Stat. 936, 948, 953, 954, 955, 182, 183, 186, 68 Stat. 932, 933, 935, 948, 956, as amended, sec. 234, 83 Stat. 444, as § 30.6 Communications. 953, 954, 955, as amended, secs. 11e(2), 83, amended (42 U.S.C. 2133, 2201, 2232, 2233, 84, Pub. L. 95–604, 92 Stat. 3033, as * * * * * 2236, 2239, 2282); secs. 201, 202, 206, 88 amended, 3039, sec. 234, 83 Stat. 444, as Stat. 1242, 1244, 1246, as amended (42 U.S.C. (b) * * * amended (42 U.S.C. 2014(e)(2), 2092, 2093, 5841, 5842, 5846); sec. 1704, 112 Stat. 2750 (2) * * * 2094, 2095, 2111, 2113, 2114, 2201, 2232, (44 U.S.C. 3504 note); Energy Policy Act of (iv) * * * 2233, 2236, 2282); sec. 274, Pub. L. 86–373, 2005, Pub. L. 109–58, 119 Stat. 594 (2005), 73 Stat. 688 (42 U.S.C. 2021); secs. 201, as secs. 147 and 149 of the Atomic Energy Act. (A) * * * All mailed or hand- amended, 202, 206, 88 Stat. 1242, as delivered inquiries, communications, amended, 1244, 1246 (42 U.S.C. 5841, 5842, Appendix A to Part 52—[Amended] and applications for a new license or an 5846); sec. 275, 92 Stat. 3021, as amended by ■ 17. In Appendix A to part 52, amendment, renewal, or termination Pub. L. 97–415, 96 Stat. 2067 (42 U.S.C. paragraph III.A, last sentence, remove request of an existing license specified 2022); sec. 193, 104 Stat. 2835, as amended the zip code ‘‘20582’’ and add in its in paragraph (b)(1) of this section must by Pub. L. 104–134, 110 Stat. 1321, 1321–349 place the zip code ‘‘20852.’’ use the following address: U.S. Nuclear (42 U.S.C. 2243); sec. 1704, 112 Stat. 2750 (44 Regulatory Commission, Region IV, U.S.C. 3504 note); Energy Policy Act of 2005, Appendix B to Part 52—[Amended] Pub. L. 109–59, 119 Stat. 594 (2005). Division of Nuclear Materials Safety, ■ 18. In Appendix B to part 52, 1600 E. Lamar Blvd., Arlington, TX Section 40.7 also issued under Pub. L. 95– paragraph III.A, last sentence, remove 76011–4511; where email is 601, sec. 10, 92 Stat. 2951 as amended by the zip code ‘‘20582’’ and add in its appropriate, it should be addressed to Pub. L. 102–486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851). Section 40.31(g) also issued place the zip code ‘‘20852.’’ [email protected]. under sec. 122, 68 Stat. 939 (42 U.S.C. 2152). (B) * * * All mailed or hand- Section 40.46 also issued under sec. 184, 68 Appendix C to Part 52—[Amended] delivered inquiries, communications, Stat. 954, as amended (42 U.S.C. 2234). ■ 19. In Appendix C to part 52, and applications for a new license or an Section 40.71 also issued under sec. 187, 68 paragraph III.A, last sentence, remove Stat. 955 (42 U.S.C. 2237). amendment, renewal, or termination the zip code ‘‘20582’’ and add in its request of an existing license specified ■ 15. In § 40.5, revise the second place the zip code ‘‘20852.’’ in paragraph (b)(1) of this section must sentence of paragraph (b)(2)(iv)(A) and use the following address: U.S. Nuclear the second sentence of paragraph PART 55—OPERATORS’ LICENSES Regulatory Commission, Region IV, (b)(2)(iv)(B) to read as follows: Division of Nuclear Materials Safety, ■ 20. The authority citation for part 55 1600 E. Lamar Blvd., Arlington, TX § 40.5 Communications. continues to read as follows: 76011–4511; where email is * * * * * Authority: Secs. 107, 161, 182, 68 Stat. appropriate, it should be addressed to (b) * * * 939, 948, 953, as amended, sec. 234, 83 Stat. [email protected]. (2) * * * 444, as amended (42 U.S.C. 2137, 2201, 2232, (iv) * * * 2282); secs. 201, as amended, 202, 88 Stat. PART 35—MEDICAL USE OF (A) * * * All mailed or hand- 1242, as amended, 1244 (42 U.S.C. 5841, BYPRODUCT MATERIAL delivered inquiries, communications, 5842); sec. 1704, 112 Stat. 2750 (44 U.S.C. and applications for a new license or an 3504 note). Sections 55.41, 55.43, 55.45, and ■ 11. The authority citation for part 35 amendment or renewal of an existing 55.59 also issued under sec. 306, Pub. L. 97– continues to read as follows: license specified in paragraph (b)(1) of 425, 96 Stat. 2262 (42 U.S.C. 10226). Authority: Secs. 81, 161, 182, 183, 68 Stat. this section must use the following Section 55.61 also issued under secs. 186, 935, 948, 953, 954, as amended (42 U.S.C. address: U.S. Nuclear Regulatory 187, 68 Stat. 955 (42 U.S.C. 2236, 2237). 2111, 2201, 2232, 2233); sec. 201, 88 Stat. Commission, Region IV, Division of ■ 21. In § 55.5, revise the second 1242, as amended (42 U.S.C. 5841); sec. 1704, Nuclear Materials Safety, 1600 E. Lamar sentence of paragraph (b)(2)(iv) to read 112 Stat. 2750 (44 U.S.C. 3504 note); sec. Blvd., Arlington, TX 76011–4511; where as follows: 651(e), Pub. L. 109–58, 119 Stat. 806–810 (42 email is appropriate, it should be U.S.C. 2014, 2021, 2021b, 2111). addressed to § 55.5 Communications. § 35.50 [Amended] [email protected]. * * * * * (B) * * * All mailed or hand- (b) * * * ■ 12. In § 35.50: delivered inquiries, communications, (2) * * *

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(iv) * * * Submission by mail or PART 70—DOMESTIC LICENSING OF PART 73—PHYSICAL PROTECTION OF hand delivery must be addressed to the SPECIAL NUCLEAR MATERIAL PLANTS AND MATERIALS Administrator at U.S. Nuclear Regulatory Commission, 1600 E. Lamar ■ 26. The authority citation for part 70 ■ 28. The authority citation for part 73 Blvd., Arlington, TX 76011–4511; where continues to read as follows: continues to read as follows: email is appropriate, it should be Authority: Secs. 51, 53, 161, 182, 183, 68 Authority: Secs. 53, 161, 149, 68 Stat. 930, addressed to Stat. 929, 930, 948, 953, 954, as amended, 948, as amended, sec. 147, 94 Stat. 780 (42 [email protected]. sec. 234, 83 Stat. 444, as amended, (42 U.S.C. U.S.C. 2073, 2167, 2169, 2201); sec. 201, as * * * * * 2071, 2073, 2201, 2232, 2233, 2282, 2297f); amended, 204, 88 Stat. 1242, as amended, secs. 201, as amended, 202, 204, 206, 88 Stat. 1245, sec. 1701, 106 Stat. 2951, 2952, 2953 PART 60—DISPOSAL OF HIGH–LEVEL 1242, as amended, 1244, 1245, 1246 (42 (42 U.S.C. 5841, 5844, 2297f); sec. 1704, 112 RADIOACTIVE WASTES IN GEOLOGIC U.S.C. 5841, 5842, 5845, 5846). Sec. 193, 104 Stat. 2750 (44 U.S.C. 3504 note); Energy Policy Act of 2005, Pub. L. 109–58, 119 Stat. REPOSITORIES Stat. 2835 as amended by Pub. L. 104–134, 110 Stat. 1321, 1321–349 (42 U.S.C. 2243); 594 (2005). Section 73.1 also issued under secs. 135, ■ sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 22. The authority citation for part 60 note); Energy Policy Act of 2005, Pub. L. No. 141, Pub. L. 97–425, 96 Stat. 2232, 2241 (42 continues to read as follows: 109–58, 119 Stat. 194 (2005). U.S.C. 10155, 10161). Section 73.37(f) also Authority: Secs. 51, 53, 62, 63, 65, 81, 161, Sections 70.1(c) and 70.20a(b) also issued issued under sec. 301, Pub. L. 96–295, 94 182, 183, 68 Stat. 929, 930, 932, 933, 935, under secs. 135, 141, Pub. L. 97–425, 96 Stat. Stat. 789 (42 U.S.C. 5841 note). Section 73.57 948, 953, 954, as amended (42 U.S.C. 2071, 2232, 2241 (42 U.S.C. 10155, 10161). is issued under sec. 606, Pub. L. 99–399, 100 2073, 2092, 2093, 2095, 2111, 2201, 2232, Section 70.7 also issued under Pub. L. 95– Stat. 876 (42 U.S.C. 2169). 2233); secs. 202, 206, 88 Stat. 1244, 1246 (42 601, sec. 10, 92 Stat. 2951 as amended by ■ 29. In Appendix A to Part 73, first U.S.C. 5842, 5846); secs. 10 and 14, Pub. L. Pub. L. 102–486, sec. 2902, 106 Stat. 3123 (42 table, second column, and second table, 95–601, 92 Stat. 2951 (42 U.S.C. 2021a and U.S.C. 5851). Section 70.21(g) also issued second column, revise the address for 5851); sec. 102, Pub. L. 91–190, 83 Stat. 853 under sec. 122, 68 Stat. 939 (42 U.S.C. 2152). Region IV to read as follows: (42 U.S.C. 4332); secs. 114, 121, Pub. L. 97– Section 70.31 also issued under sec. 57d, 425, 96 Stat. 2213g, 2228, as amended (42 Pub. L. 93–377, 88 Stat. 475 (42 U.S.C. 2077). Appendix A to Part 73—U.S. Nuclear U.S.C. 10134, 10141), and Pub. L. 102–486, Sections 70.36 and 70.44 also issued under Regulatory Commission Offices and sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851); sec. 184, 68 Stat. 954, as amended (42 U.S.C. Classified Mailing Addresses sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 2234). Section 70.81 also issued under secs. note); Energy Policy Act of 2005, Pub. L. No. 186, 187, 68 Stat. 955 (42 U.S.C. 2236, 2237). * * * * * 109–58, 119 Stat. 594 (2005). Section 70.82 also issued under sec. 108, 68 US NRC, Region IV, 1600 E. Lamar Blvd., Stat. 939, as amended (42 U.S.C. 2138). Arlington, TX 76011–4511. § 60.2 [Amended] * * * * * ■ 27. In § 70.5, revise the second ■ US NRC, Region IV, 1600 E. Lamar Blvd., 23. In § 60.2, the definition of ‘‘NRC sentence of paragraph (b)(2)(iv)(A) and Arlington, TX 76011–4511. Public Document Room’’: the second sentence of paragraph * * * * * ■ a. In the first sentence, add the zip (b)(2)(iv)(B) to read as follows: code ‘‘20852’’ after ‘‘Maryland,’’ § 70.5 Communications. PART 110—EXPORT AND IMPORT OF ■ b. In the second sentence, remove the NUCLEAR EQUIPMENT AND * * * * * term ‘‘Electronic Reading Room’’ and MATERIAL add in its place the term ‘‘NRC Library’’; (b) * * * and (2) * * * ■ 30. The authority citation for part 110 continues to read as follows: ■ c. In the fourth sentence, remove the (iv) * * * email address ‘‘[email protected]’’ and add (A) * * * All mailed or hand- Authority: Secs. 51, 53, 54, 57, 63, 64, 65, 81, 82, 103, 104, 109, 111, 126, 127, 128, 129, in its place the email address delivered inquiries, communications, ‘‘[email protected].’’ 134, 161, 170H., 181, 182, 187, 189, 68 Stat. and applications for a new license or an 929, 930, 931, 932, 933, 936, 937, 948, 953, § 60.75 [Amended] amendment or renewal of an existing 954, 955, 956, as amended (42 U.S.C. 2071, license specified in paragraph (b)(1) of 2073, 2074, 2077, 2092–2095, 2111, 2112, ■ 24. In § 60.75, paragraph (c)(2), third this section must use the following 2133, 2134, 2139, 2139a, 2141, 2154–2158, sentence, remove the word address: U.S. Nuclear Regulatory 2160d., 2201, 2210h., 2231–2233, 2237, ‘‘accomodate’’ and add in its place the Commission, Region IV, Division of 2239); sec. 201, 88 Stat. 1242, as amended (42 word ‘‘accommodate.’’ Nuclear Materials Safety, 1600 E. Lamar U.S.C. 5841); sec. 5, Pub. L. 101–575, 104 Blvd., Arlington, TX 76011–4511; where Stat. 2835 (42 U.S.C. 2243); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note); Energy PART 61—LICENSING email is appropriate, it should be REQUIREMENTS FOR LAND Policy Act of 2005; Pub. L. 109–58, 119 Stat. addressed to 594 (2005). DISPOSAL OF RADIOACTIVE WASTE [email protected]. Sections 110.1(b)(2) and 110.1(b)(3) also (B) * * * All mailed or hand- ■ 25. The authority citation for part 61 issued under Pub. L. 96–92, 93 Stat. 710 (22 delivered inquiries, communications, U.S.C. 2403). Section 110.11 also issued is revised to read as follows: and applications for a new license or an under sec. 122, 68 Stat. 939 (42 U.S.C. 2152) Authority: Secs. 53, 57, 62, 63, 65, 81, 161, amendment or renewal of an existing and secs. 54c and 57d, 88 Stat. 473, 475 (42 182, 183, 68 Stat. 930, 932, 933, 935, 948, license specified in paragraph (b)(1) of U.S.C. 2074). Section 110.27 also issued 953, 954, as amended (42 U.S.C. 2073, 2077, this section must use the following under sec. 309(a), Pub. L. 99–440. Section 2092, 2093, 2095, 2111, 2201, 2232, 2233); address: U.S. Nuclear Regulatory 110.50(b)(3) also issued under sec. 123, 92 secs. 202, 206, 88 Stat. 1244, 1246 (42 U.S.C. Commission, Region IV, Division of Stat. 142 (42 U.S.C. 2153). Section 110.51 5842, 5846); secs. 10 and 14, 95, 92 Stat. 2951 also issued under sec. 184, 68 Stat. 954, as (42 U.S.C. 2021a and 5851) and 102, sec. Nuclear Materials Safety, 1600 E. Lamar amended (42 U.S.C. 2234). Section 110.52 2902, 106 Stat. 3123, (42 U.S.C. 5851); sec. Blvd., Arlington, TX 76011–4511; where also issued under sec. 186, 68 Stat. 955 (42 1704, 112 Stat. 2750 (44 U.S.C. 3504 note); email is appropriate, it should be U.S.C. 2236). Sections 110.80–110.113 also sec. 651(e), Pub. L. 109–58, 119 Stat. 806–810 addressed to issued under 5 U.S.C. 552, 554. Sections (42 U.S.C. 2014, 2021, 2021b, 2111). [email protected]. *** 110.130–110.135 also issued under 5 U.S.C.

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553. Sections 110.2 and 110.42(a)(9) also 201, Pub. L. 93–438, 88 Stat. 1242, as Authority: Sec. 7601, Pub. L. 99–272, 100 issued under sec. 903, Pub. L. 102–496 (42 amended (42 U.S.C. 5841); sec. 205a, Pub. L. Stat. 146, as amended by sec. 5601, Pub. L. U.S.C. 2151 et seq.). 101–576, 104 Stat. 2842, as amended (31 100–203, 101 Stat. 1330 as amended by sec. ■ 31. Section 110.7, paragraph (b), is U.S.C. 901, 902); sec. 1704, 112 Stat. 2750 (44 3201, Pub. L. 101–239, 103 Stat. 2132, as revised to read as follows: U.S.C. 3504 note); sec. 623, Pub. L. 109–58, amended by sec. 6101, Pub. L. 101–508, 104 119 Stat. 783 (42 U.S.C. 2201(w)); sec. 651(e), Stat. 1388, as amended by sec. 2903a, Pub. § 110.7 Information collection Pub. L. 109–58, 119 Stat. 806–810 (42 U.S.C. L. 102–486, 106 Stat. 3125 (42 U.S.C. 2213, requirements: OMB approval. 2014, 2021, 2021b, 2111). 2214), and as amended by Title IV, Pub. L. 109–103, 119 Stat. 2283 (42 U.S.C. 2214); sec. * * * * * § 170.31 [Amended] (b) The approved information 301, Pub. L. 92–314, 86 Stat. 227 (42 U.S.C. ■ 33. In § 170.31, remove footnote 6 and 2201w); sec. 201, Pub. L. 93–438, 88 Stat. requirements contained in this part 1242, as amended (42 U.S.C. 5841); sec. 1704, appear in §§ 110.7a, 110.27, 110.32, the corresponding reference to footnote 112 Stat. 2750 (44 U.S.C. 3504 note); sec. 110.50, 110.52, 110.53, and 110.54. 6 in 15.M, 15.N, 15.O, 15.P, and 15.Q. 651(e), Pub. L. 109–58, 119 Stat. 806–810 (42 * * * * * U.S.C. 2014, 2021, 2021b, 2111). PART 171—ANNUAL FEES FOR PART 170—FEES FOR FACILITIES, REACTOR LICENSES AND FUEL ■ 35. In § 171.16, paragraph (c), the MATERIALS IMPORT AND EXPORT CYCLE LICENSES AND MATERIAL table is revised to read as follows: LICENSES AND OTHER REGULATORY LICENSES, INCLUDING HOLDERS OF SERVICES UNDER THE ATOMIC CERTIFICATES OF COMPLIANCE, § 171.16 Annual fees: Materials licensees, ENERGY ACT OF 1954, AS AMENDED REGISTRATIONS, AND QUALITY holders of certificates of compliance, ASSURANCE PROGRAM APPROVALS holders of sealed source and device ■ 32. The authority citation for part 170 AND GOVERNMENT AGENCIES registrations, holders of quality assurance continues to read as follows: LICENSED BY NRC program approvals, and government agencies licensed by the NRC. Authority: Sec. 9701, Pub. L. 97–258, 96 * * * * * Stat. 1051 (31 U.S.C. 9701); sec. 301, Pub. L. ■ 34. The authority citation for part 171 92–314, 86 Stat. 227 (42 U.S.C. 2201(w)); sec. continues to read as follows: (c) * * *

Maximum annual fee per licensed category

Small Businesses Not Engaged in Manufacturing (Average gross receipts over last 3 completed fiscal years): $450,000 to $6.5 million ...... $2,300 Less than $450,000 ...... 500 Small Not-For-Profit Organizations (Annual Gross Receipts): $450,000 to $6.5 million ...... 2,300 Less than $450,000 ...... 500 Manufacturing entities that have an average of 500 employees or fewer: 35 to 500 employees ...... 2,300 Fewer than 35 employees ...... 500 Small Governmental Jurisdictions (Including publicly supported educational institutions) (Population): 20,000 to 50,000 ...... 2,300 Fewer than 20,000 ...... 500 Educational Institutions that are not State or Publicly Supported, and have 500 Employees or Fewer: 35 to 500 employees ...... 2,300 Fewer than 35 employees ...... 500

* * * * * DEPARTMENT OF TRANSPORTATION Engine Control (FADEC). The applicable Dated at Rockville, Maryland, this 10th day airworthiness regulations do not contain Federal Aviation Administration of November 2011. adequate or appropriate safety standards for this design feature. These special For the Nuclear Regulatory Commission. 14 CFR Part 23 conditions contain the additional safety Cindy Bladey, standards that the Administrator Chief, Rules, Announcements, and Directives [Docket No. CE313; Special Conditions No. considers necessary to establish a level 23–253–SC] Branch, Division of Administrative Services, of safety equivalent to that established Office of Administration. Special Conditions: Diamond Aircraft by the existing airworthiness standards. [FR Doc. 2011–29669 Filed 11–21–11; 8:45 am] Industries, Model DA–40NG; Electronic DATES: Effective Date: October 28, 2011. BILLING CODE 7590–01–P Engine Control (EEC) System FOR FURTHER INFORMATION CONTACT: AGENCY: Federal Aviation Peter L. Rouse, Federal Aviation Administration (FAA), DOT. Administration, Aircraft Certification Service, Small Airplane Directorate, ACTION: Final special conditions. ACE–111, 901 Locust, Kansas City, SUMMARY: These special conditions are Missouri, (816) 329–4135, fax (816) issued for the Diamond Aircraft 329–4090. Industries, Model DA–40NG airplane. SUPPLEMENTARY INFORMATION: This airplane will have a novel or Background unusual design feature(s) associated with an electronic engine control (EEC) On May 11, 2010, Diamond Aircraft also known as a Full authority Digital Industry GmbH applied for an

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amendment to Type Certificate No. guidance does highlight some of the integral nature of EEC installations A47CE to include the new model DA– aspects of installation that the engine require review of EEC functionality at 40NG with the Austro Engine GmbH applicant should consider during engine the airplane level, as behavior model E4 Aircraft Diesel Engine (ADE). certification. The installation of an acceptable for part 33 certification may The model DA–40NG, which is a engine with an EEC system requires not be acceptable for part 23 derivative of the model DA–40 currently evaluation of environmental effects and certification. approved under Type Certificate No. possible effects on or by other airplane For over a decade, the Small Airplane A47CE, is a fully composite, four place, systems, including the part 23 Directorate has applied a special single-engine airplane with a cantilever installation aspects of the EEC condition that required all EEC low wing, T-tail airplane with the functions. For example, the indirect installations to comply with the Austro Engine GmbH model E4 diesel effects of lightning, radio interference requirements of § 23.1309(a) through (e). engine and an increased maximum with other airplane electronic systems, The rationale for applying § 23.1309 was takeoff gross weight from 1150 and shared engine and airplane data and that it was an existing rule that kilograms (kg) to 1280 kg (2535 pounds power sources. contained the best available (lbs) to 2816 lbs). The regulatory requirements in part requirements to apply to the installation DAI will use an EEC instead of a 23 for evaluating the installation of of a complex electronic system; in this traditional mechanical control system complex electronic systems are on the model DA–40NG airplane. The contained in § 23.1309. However, when case, an EEC with aircraft interfaces. EEC is certified as part of the engine § 23.1309 was developed, the Additionally, special conditions for design certification, and the certification requirements of the rule were High Intensity Radiated Fields (HIRF) requirements for engine control systems specifically excluded from applying to were also applied prior to the are driven by 14 CFR part 33 powerplant systems provided as part of codification of § 23.1308. certification requirements. The guidance the engine (reference § 23.1309(f)(1)). There are several difficulties for for the part 33 EEC certification Although the parts of the system that are propulsion systems directly complying requirement is contained in two not certificated with the engine could be with the requirements of § 23.1309. advisory circulars: Advisory Circular evaluated using the criteria of § 23.1309, There are conflicts between the (AC) 33.28–1 and AC 33.28–2. The EEC the analysis would not be useful and not guidance material for § 23.1309 and certification, as part of the engine, be complete because it would not propulsion system capabilities and addresses those aspects of the engine include the effects of the aircraft failure susceptibilities. The following specifically addressed by part 33 and is supplied power and data failures on the figure is an excerpt from AC 23.1309– not intended to address 14 CFR part 23 engine control system, and the resulting 1D. installation requirements. However, the effects on engine power/thrust. The BILLING CODE 4910–13–P

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BILLING CODE 4910–13–C probability per hour requirements given of power/thrust as given in part 23 AC There is a conflict between the EEC in part 33 guidance material and the 23.1309–1D guidance. The part 33 system loss-of-thrust-control (LOTC), or failure rate requirements associated requirements for engine control LOTC/ loss-of-power-control (LOPC), with the hazard created by a total loss LOPC probabilities are shown below:

Average LOTC/LOPC Maximum LOTC/LOPC Engine type Events per million hours Events per million hours

Turbine Engine ...... 10 (1 × 10–05 per hour) ...... 100 (1 × 10–04 per hour). Reciprocating Engine ...... 45 (4.5 × 10–05 per hour) ...... 450 (4.5 × 10–04 per hour). Note: See AC 33.28–1, AC 33.28–2 and ANE–1993–33.28TLD–R1 for further guidance.

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The classification of the failure indication otherwise provided as part of engine compressor variable geometry condition for LOTC/LOPC event on a the engine installation, engine speed (VG): the VG function in itself is not an single engine airplane ranges from synchronization, ignition control, auto- airplane function, but changes to the VG Hazardous to Catastrophic. The feather, etc. scheduling will require re-substantiating classification of the failure condition for The certification of an airplane to the compliance to part 23 requirements, a single engine LOTC/LOPC event on a standards of 14 CFR part 25 does not such as § 23.939. multi-engine airplane ranges from Major require the application of § 25.1309 via The components that should be to Catastrophic. The classification of the special condition to the EEC considered part of the EEC system are failure condition for a multi-engine installation. In part 25, § 25.1309 is defined in Society of Automotive LOTC/LOPC event on a multi-engine applicable to the powerplant Engineers (SAE) document, Aerospace airplane is Catastrophic. From the AC installations in general and as a whole. Recommended Practice (ARP) 5107B, 23.1309–1D failure probability values, it The part 25 consequences differ from Guidelines for Time-Limited-Dispatch is obvious that a single engine airplane part 23 due to the required multi-engine (TLD) Analysis for Electronic Engine EEC system will not be able to meet the configuration of part 25 airplanes. Control Systems, section 6.4. This failure probabilities as shown in the Additional applicable part 25, Subpart E guidance is intended for turbine engine guidance material for § 23.1309. As a requirements are those contained within installations; however, the intent is result, applicants have elected to § 25.901(b)(2) and (c). applicable to piston engine installations. declare a reduced hazard severity for a There is language similar to part 25, A means of compliance issue paper failure of the EEC system. This is not the § 25.901(c) contained in part 23, giving specific guidance can be intent of § 23.1309. The greater hazard § 23.1141(e).The requirements generated, if desired, for the applicant. severity should be associated with lower contained within § 23.1141(e) were Part 33 certification data, if probabilities of failure, and higher originally intended for the mechanical applicable, may be used to show probabilities of failure should not control interfaces on turbine engines. compliance with the requirements of establish the lower hazard severities. The rule was first promulgated at part 23 installation requirements; There is also a conflict between the Amendment 23–7, effective on however, compliance with the part 33 classification of the failure condition for September 14, 1969. The preamble requirements does not constitute a failure of an EEC system and the justifying the rule change states: compliance with the requirements of required test levels for the effects of part 23, nor automatically imply that the lightning and high intensity radiated ‘‘This proposal would, in effect require that engine is installable on a part 23 the need for system redundancy, alternate frequency (HIRF). Testing to a level devices, and duplication of functions be airplane. The part 23 applicant is lower than required for a catastrophic determined in the design of turbine required to show compliance in failure results in a lower level of safety powerplant control systems.’’ accordance with part 21. If part 33 data than the mechanical system it replaces. is to be used, then the part 23 applicant This is contrary to the intent of The overall intent of the above cited must be able to provide this data for certification requirements. rules is to provide a robust and fault their showing of compliance to the part The advent of EEC also created/ tolerant engine control installation that 23 requirements. established the ability to dispatch with ensures that no single failure or certain allowable loss of functionality malfunction or probable combination of Type Certification Basis and/or redundancy. This is known as failures will jeopardize the safe Under the provisions of § 21.101, DAI Time-Limited Dispatch (TLD). The TLD operation of the airplane. must show that the model DA–40NG allowable configurations must meet the Given the unique requirements of an meets the applicable provisions of the specific risk LOTC/LOPC failure EEC installation, and the lack of specific regulations incorporated by reference in probabilities. FAA policy statement, regulatory requirements, a special Type Certificate No. A47CE or the ANE–1993–33.28TLD–R1, defines the condition will be applied to all EEC applicable regulations in effect on the full up and TLD allowable failure installations in part 23 airplanes. This date of application for the change to the probabilities for turbine engines. The special condition is not applicable to model DA–40. The regulations ability to use TLD is a risk management the part 33 engine certification incorporated by reference in the type endeavor that uses a limited time period requirements, and it specifically certificate are commonly referred to as between inspection/maintenance excludes any part 33 references. the ‘‘original type certification basis.’’ intervals to mitigate the hazard. As Compliance with this special condition If the Administrator finds that the such, the FAA has issued specific may necessitate changes to the EEC, and applicable airworthiness regulations guidance for part 23 airplanes in may require additional part 33 (i.e., 14 CFR part 23) do not contain addition to policy statement, ANE– compliance showings. In like manner, adequate or appropriate safety standards 1993–33.28TLD–R1, in order to changes to the EEC at the part 33 level for the model DA–40NG because of a adequately capture the necessary time may require additional compliance novel or unusual design feature, special limits between maintenance intervals. A showings to this special condition. The conditions are prescribed under the means of compliance issue paper giving overall intent of this special condition is provisions of § 21.16. specific guidance can be generated, if to leverage off of the part 33 compliance In addition to the applicable desired, for the applicant. as much as possible and address the airworthiness regulations and special The advent of EEC also led to airplane level effects of an EEC conditions, the model DA–40NG must incorporation of functions that, while installation. comply with the fuel vent and exhaust not required by the CFRs, also introduce The EEC system includes all of the emission requirements of 14 CFR part potentially catastrophic failure(s) and subsystems on the aircraft that interface 34 and the noise certification malfunction(s). Consequently, with the EEC and provide aircraft data requirements of 14 CFR part 36. incorporation of these additional and electrical power. This special The FAA issues special conditions, as functions must be shown to retain part condition is applicable to and includes appropriate, as defined in § 11.19, under 23 levels of safety. These additional all functions of the EEC system that § 11.38, and they become part of the functions have included thrust have an effect at the airplane level. An type certification basis under management, portions of engine example of this is control of the turbine § 21.101(b)(2).

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Special conditions are initially List of Subjects in 14 CFR Part 23 23.1309–1D. The term ‘‘probable’’ in applicable to the model for which they ‘‘probable combination of failures’’ means Aircraft, Aviation safety, Signs and ‘‘foreseeable,’’ or (in AC 23.1309–1D terms), are issued. Should the type certificate symbols. for that model be amended later to ‘‘not extremely improbable.’’ include any other model that Citation Issued in Kansas City, Missouri on October incorporates the same novel or unusual The authority citation for these 28, 2011. design feature, or should any other special conditions is as follows: John Colomy, model already included on the same Acting Manager, Small Airplane Directorate, type certificate be modified to Authority: 49 U.S.C. 106(g), 40113 and 44701; 14 CFR 21.16 and 21.17; and 14 CFR Aircraft Certification Service. incorporate the same novel or unusual 11.38 and 11.19. [FR Doc. 2011–28616 Filed 11–21–11; 8:45 am] design feature, the special conditions BILLING CODE 4910–13–P would also apply to the other model The Special Conditions under the provisions of § 21.101(a)(1). Accordingly, pursuant to the Novel or Unusual Design Features authority delegated to me by the DEPARTMENT OF TRANSPORTATION Administrator, the following special The model DA–40NG will incorporate conditions are issued as part of the type Federal Aviation Administration the following novel or unusual design certification basis for the Diamond features: Electronic engine control Aircraft Industry GmbH model DA– 14 CFR Part 39 system. 40NG with the installation of the Austro [Docket No. FAA–2011–1037; Directorate Engine GmbH model E4 aircraft diesel Discussion Identifier 2011–NE–30–AD; Amendment 39– engine. 16872; AD 2011–24–08] As discussed above, these special 1. Electronic Engine Control conditions are applicable to the model RIN 2120–AA64 DA–40NG. Should DAI apply at a later a. For electronic engine control system installations, it must be Airworthiness Directives; Turbomeca date for a change to the type certificate S.A. Makila 1A2 Turboshaft Engines to include another model incorporating established that no single failure or the same novel or unusual design malfunction or probable combinations AGENCY: Federal Aviation feature, the special conditions would of failures of Electronic Engine Control Administration (FAA), DOT. (EEC) system components will have an apply to that model. ACTION: Final rule; request for effect on the system, as installed in the comments. Discussion of Comments airplane, that causes the loss-of-thrust- Notice of proposed special conditions control (LOTC), or loss-of-power-control SUMMARY: We are adopting a new No. 23–10–03–SC for the Diamond (LOPC) probability of the system to airworthiness directive (AD) for the Aircraft Industries, model DA–40NG, exceed those allowed in part 33 products listed above. This AD results airplane was published on September 7, certification. from mandatory continuing 2011 (76FR 55293). No comments were b. Electronic engine control system airworthiness information (MCAI) received, and the special conditions are installations must be evaluated for issued by an aviation authority of adopted as proposed. environmental and atmospheric another country to identify and correct conditions, including lightning. The an unsafe condition on an aviation Applicability EEC system lightning and High-Intensity product. The MCAI describes the unsafe Radiated Fields (HIRF) effects that result condition as: As discussed above, these special in LOTC/LOPC should be considered A helicopter experienced an inadvertent conditions are applicable to the model catastrophic. DA–40NG. Should DAI apply at a later activation of the 65% N1 (gas generator c. The components of the installation speed) back up control mode. date for a change to the type certificate must be constructed, arranged, and to include another model incorporating The subsequent technical investigations installed so as to ensure their continued carried by Turbomeca revealed that an N2 the same novel or unusual design safe operation between normal (power turbine speed) sensor harness wire feature, the special conditions would inspections or overhauls. crimping discrepancy was at the origin of apply to that model. d. Functions incorporated into any this event. Further quality investigations Under standard practice, the effective electronic engine control that make it performed with the supplier led to the date of final special conditions would part of any equipment, systems or conclusion that N2 sensor Part Number (P/N) be 30 days after the date of publication 0 301 52 001 0 whose Serial Numbers (S/N) installation whose functions are beyond are between S/N 242 and S/N 339 inclusive in the Federal Register; however, as the that of basic engine control, and which are potentially concerned by the same certification date for the Diamond may also introduce system failures and manufacturing discrepancy. Aircraft Industries (DAI), model DA– malfunctions, are not exempt from This condition, if not corrected, could lead 40NG airplane is imminent, the FAA § 23.1309 and must be shown to meet to the inadvertent activation of the 65% N1 finds that good cause exists to make part 23 levels of safety as derived from back up mode and consequently to these special conditions effective upon § 23.1309. Part 33 certification data, if significant power loss on one or more or both issuance. applicable, may be used to show engines installed on the same helicopter, compliance with any part 23 potentially resulting in an emergency landing Conclusion of the helicopter. requirements. If part 33 data is to be This action affects only certain novel used to substantiate compliance with We are issuing this AD to prevent or unusual design features on one model part 23 requirements, then the part 23 inadvertent activation of the backup of airplane. It is not a rule of general applicant must be able to provide this control mode, which could result in applicability, and it affects only the data for their showing of compliance. engine power loss and emergency applicant who applied to the FAA for Note: The term ‘‘probable’’ in the context landing of the helicopter. approval of these features on the of ‘‘probable combination of failures’’ does DATES: This AD becomes effective airplane. not have the same meaning as in AC December 7, 2011.

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We must receive comments on this back up mode and consequently to We will post all comments we AD by December 22, 2011. significant power loss on one or more or both receive, without change, to http:// engines installed on the same helicopter, ADDRESSES: www.regulations.gov, including any You may send comments by potentially resulting in an emergency landing any of the following methods: personal information you provide. We • of the helicopter. Federal eRulemaking Portal: Go to For the reasons described above, this AD will also post a report summarizing each http://www.regulations.gov and follow requires replacement of affected N2 sensor substantive verbal contact with FAA the instructions for sending your harnesses with serviceable parts. This AD personnel concerning this AD. Using the comments electronically. also prohibits the installation of non search function of the Web site, anyone • Mail: U.S. Department of serviceable N2 sensor harnesses on an can find and read the comments in any Transportation, 1200 New Jersey engine. of our dockets, including, if provided, Avenue SE., West Building Ground You may obtain further information by the name of the individual who sent the Floor, Room W12–140, Washington, DC examining the MCAI in the AD docket. comment (or signed the comment on 20590–0001. behalf of an association, business, labor • Hand Delivery: Deliver to Mail Relevant Service Information union, etc.). You may review the DOT’s address above between 9 a.m. and 5 Turbomeca has issued Service complete Privacy Act Statement in the p.m., Monday through Friday, except Bulletin 298 77 0817, Version B, dated Federal Register published on April 11, Federal holidays. August 23, 2011. The actions described 2000 (65 FR 19477–78). • Fax: (202) 493–2251. in this service information are intended Authority for This Rulemaking Examining the AD Docket to correct the unsafe condition identified in the MCAI. Title 49 of the United States Code You may examine the AD docket on specifies the FAA’s authority to issue the Internet at http:// FAA’s Determination and Requirements rules on aviation safety. Subtitle I, www.regulations.gov; or in person at the of This AD section 106, describes the authority of Docket Operations office between 9 a.m. This product has been approved by the FAA Administrator. ‘‘Subtitle VII: and 5 p.m., Monday through Friday, the aviation authority of France and is Aviation Programs,’’ describes in more except Federal holidays. The AD docket approved for operation in the United detail the scope of the Agency’s contains this AD, the regulatory States. Pursuant to our bilateral authority. evaluation, any comments received, and agreement with the European We are issuing this rulemaking under other information. The street address for Community, EASA has notified us of the authority described in ‘‘Subtitle VII, the Docket Operations office (phone: the unsafe condition described in the Part A, Subpart III, Section 44701: (800) 647–5527) is the same as the Mail MCAI and service information General requirements.’’ Under that address provided in the ADDRESSES referenced above. We are issuing this section, Congress charges the FAA with section. Comments will be available in AD because we evaluated all promoting safe flight of civil aircraft in the AD docket shortly after receipt. information provided by EASA and air commerce by prescribing regulations FOR FURTHER INFORMATION CONTACT: determined the unsafe condition exists for practices, methods, and procedures James Lawrence, Aerospace Engineer, and is likely to exist or develop on other the Administrator finds necessary for Engine Certification Office, FAA, Engine products of the same type design. This safety in air commerce. This regulation & Propeller Directorate, 12 New England AD requires replacement of the affected is within the scope of that authority Executive Park, Burlington, MA 01803; N2 sensor harnesses with N2 sensor because it addresses an unsafe condition email: [email protected]; phone: harnesses eligible for installation. that is likely to exist or develop on (781) 238–7176; fax: (781) 238–7199. products identified in this rulemaking FAA’s Determination of the Effective action. SUPPLEMENTARY INFORMATION: Date Regulatory Findings Discussion Since no domestic operators use this We determined that this AD will not The European Aviation Safety Agency product, notice and opportunity for have federalism implications under (EASA), which is the Technical Agent public comment before issuing this AD Executive Order 13132. This AD will for the Member States of the European are unnecessary. Therefore, we are not have a substantial direct effect on Community, issued EASA adopting this regulation immediately. the States, on the relationship between Airworthiness Directive 2011–0147, Comments Invited the national government and the States, dated August 5, 2011 (referred to after or on the distribution of power and this as ‘‘the MCAI’’), to correct an unsafe This AD is a final rule that involves responsibilities among the various condition for the specified products. requirements affecting flight safety, and levels of government. The MCAI states: we did not precede it by notice and opportunity for public comment. We For the reasons discussed above, I A helicopter experienced an inadvertent invite you to send any written relevant certify this AD: activation of the 65% N1 (gas generator 1. Is not a ‘‘significant regulatory speed) back up control mode. data, views, or arguments about this AD. The subsequent technical investigations Send your comments to an address action’’ under Executive Order 12866, carried by Turbomeca revealed that an N2 listed under the ADDRESSES section. 2. Is not a ‘‘significant rule’’ under the (power turbine speed) sensor harness wire Include ‘‘Docket No. FAA–2011–1037; DOT Regulatory Policies and Procedures crimping discrepancy was at the origin of Directorate Identifier 2011–NE–30–AD’’ (44 FR 11034, February 26, 1979), and this event. Further quality investigations at the beginning of your comments. We 3. Will not have a significant performed with the supplier led to the specifically invite comments on the economic impact, positive or negative, conclusion that N2 sensor Part Number (P/N) overall regulatory, economic, on a substantial number of small entities 0 301 52 001 0 whose Serial Numbers (S/N) under the criteria of the Regulatory are between S/N 242 and S/N 339 inclusive environmental, and energy aspects of are potentially concerned by the same this AD. We will consider all comments Flexibility Act. manufacturing discrepancy. received by the closing date and may We prepared a regulatory evaluation This condition, if not corrected, could lead amend this AD because of those of the estimated costs to comply with to the inadvertent activation of the 65% N1 comments. this AD and placed it in the AD docket.

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List of Subjects in 14 CFR Part 39 are between S/N 242 and S/N 339 inclusive, DEPARTMENT OF TRANSPORTATION Air transportation, Aircraft, Aviation do the following: (i) If an affected P/N is installed on each Federal Aviation Administration safety, Incorporation by reference, of the 2 (two) engines of the helicopter, then Safety. within 10 flight hours (FHs) after the 14 CFR Part 71 Adoption of the Amendment effective date of this AD, replace one N2 [Docket No. FAA–2010–1016; Airspace sensor harness with an N2 sensor harness Accordingly, under the authority Docket No. 11–ACE–6] delegated to me by the Administrator, that is eligible for installation, and within 50 RIN 2120–AA66 the FAA amends 14 CFR part 39 as FHs after the effective date of this AD, follows: replace the second harness with an N2 sensor harness that is eligible for installation. Amendment of VOR Federal Airways PART 39—AIRWORTHINESS (ii) If an affected P/N is installed only on V–81, V–89, and V–169 in the Vicinity DIRECTIVES 1 (one) engine of the helicopter, then within of Chadron, NE 50 FHs after the effective date of this AD, AGENCY: Federal Aviation ■ 1. The authority citation for part 39 replace the affected N2 sensor harness with Administration (FAA), DOT. continues to read as follows: an N2 harness that is eligible for installation. ACTION: Final rule. Authority: 49 U.S.C. 106(g), 40113, 44701. (3) After the effective date of this AD, do not install in an engine any N2 sensor SUMMARY: This action amends the legal § 39.13 [Amended] harness, P/N 0 301 52 001 0, whose S/N is description of the VHF omnidirectional ■ 2. The FAA amends § 39.13 by adding between S/N 242 and S/N 339 inclusive, range (VOR) Federal airways V–81, V– the following new AD: unless the part has ‘‘SB 0815’’ marked on the 89, and V–169 in the vicinity of identification plate. Chadron, Nebraska. The FAA is taking 2011–24–08 Turbomeca S.A.: Amendment (4) After the effective date of this AD, do 39–16872; Docket No. FAA–2011–1037; this action because the Chadron VOR not install in a helicopter an engine equipped Directorate Identifier 2011–NE–30–AD. distance measuring equipment (DME), with an N2 sensor harness, P/N 0 301 52 001 included as part of the V–81, V–89, and (a) Effective Date 0, whose S/N is between S/N 242 and S/N V–169 route structure, is being renamed 339 inclusive, unless the part has ‘‘SB 0815’’ This airworthiness directive (AD) becomes the Toadstool VOR/DME to avoid effective December 7, 2011. marked on the identification plate. confusion with Chadron Airport that (b) Affected ADs (f) Alternative Methods of Compliance shares the same identifier. None. (AMOCs) DATES: Effective Dates: 0901 UTC, April (c) Applicability The Manager, Engine Certification Office, 5, 2012. The Director of the Federal FAA, may approve AMOCs for this AD. Use Register approves this incorporation by This AD applies to Makila 1A2 turboshaft the procedures found in 14 CFR 39.19 to engines, all serial numbers. reference action under 1 CFR part 51, make your request. subject to the annual revision of FAA (d) Reason Order 7400.9 and publication of (g) Related Information (1) This AD results from mandatory conforming amendments. (1) Refer to MCAI EASA AD 2011–0147, continuing airworthiness information (MCAI) FOR FURTHER INFORMATION CONTACT: issued by an aviation authority of another dated August 5, 2011, and Turbomeca Colby Abbott, Airspace, Regulations and country to identify and correct an unsafe Service Bulletin No. 298 77 0817, for related ATC Procedures Group, Office of condition on an aviation product. The MCAI information. Contact Turbomeca; 40220 Airspace Services, Federal Aviation describes the unsafe condition as: Tarnos, France; phone: 33–05–59–74–40–00; Administration, 800 Independence A helicopter experienced an inadvertent fax: 33–05–59–74–45–11; for a copy of this Avenue SW., Washington, DC 20591; activation of the 65% N1 (gas generator service information. speed) back up control mode. (2) Contact James Lawrence, Aerospace telephone: (202) 267–8783. The subsequent technical investigations Engineer, Engine Certification Office, FAA, SUPPLEMENTARY INFORMATION: carried by Turbomeca revealed that an N2 Engine & Propeller Directorate, 12 New (power turbine speed) sensor harness wire The Rule crimping discrepancy was at the origin of England Executive Park, Burlington, MA 01803; email: [email protected]; This action amends Title 14 Code of this event. Further quality investigations Federal Regulations (14 CFR) part 71 by performed with the supplier led to the phone: (781)–238–7176; fax: (781) 238–7199, conclusion that N2 sensor Part Number (P/N) for more information about this AD. amending the legal description of VOR 0 301 52 001 0 whose Serial Numbers (S/N) Federal Airways V–81, V–89, and V– are between S/N 242 and S/N 339 inclusive (h) Material Incorporated by Reference 169, in the vicinity of Chadron, NE. are potentially concerned by the same None. Currently, V–81, V–89, and V–169 manufacturing discrepancy. include the Chadron, NE, [VOR/DME] as This condition, if not corrected, could lead Issued in Burlington, Massachusetts, on November 9, 2011. part of their route structure. The to the inadvertent activation of the 65% N1 Chadron VOR/DME and the Chadron back up mode and consequently to Peter A. White, Airport share the same name and significant power loss on one or more or both Manager, Engine & Propeller Directorate, identifier (CDR), but are located engines installed on the same helicopter, Aircraft Certification Service. potentially resulting in an emergency landing nineteen nautical miles apart. A of the helicopter. [FR Doc. 2011–30061 Filed 11–21–11; 8:45 am] navigation facility and airport having (2) We are issuing this AD to prevent BILLING CODE 4910–13–P the same name and identifier causes inadvertent activation of the backup control frequent confusion to air traffic mode, which could result in engine power automation systems, as well as pilot/ loss and emergency landing of the helicopter. controller communications. To (e) Actions and Compliance eliminate confusion, and a potential (1) Unless already done, do the following flight safety issue, the Chadron VOR/ actions. DME is renamed the Toadstool VOR/ (2) For engines equipped with N2 sensor DME and assigned a new facility harnesses, P/N 0 301 52 001 0, whose S/Ns identifier (TST). All VOR Federal

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airways with Chadron, NE, [VOR/DME] Airways listed in this document will be Devils Lake West MOA is excluded when included in their legal description are published subsequently in the Order. activated by NOTAM. amended to reflect the Toadstool, NE, * * * * * Environmental Review [VOR/DME] name change. The name Issued in Washington, DC on November 14, change of the VOR/DME will coincide The FAA has determined that this 2011. action qualifies for categorical exclusion with the effective date of this rule. Gary A. Norek, Additionally, the exclusionary under the National Environmental language in the V–169 legal description Policy Act in accordance with FAA Acting Manager, Airspace, Regulations and ATC Procedures Group. addressing the Devils Lake West Order 1050.1E, Environmental Impacts: Military Operations Area (MOA) has Polices and Procedures, paragraph 311a. [FR Doc. 2011–29895 Filed 11–21–11; 8:45 am] been simplified for clarity. No changes This airspace action is not expected to BILLING CODE 4910–13–P to the current operational use are cause any potentially significant expected to occur from this editorial environmental impacts, and no DEPARTMENT OF TRANSPORTATION amendment. extraordinary circumstances exist that Since this action merely involves warrant preparation of an Federal Aviation Administration editorial changes in the legal environmental assessment. descriptions of VOR Federal airways, 14 CFR Part 95 and does not involve a change in the List of Subjects in 14 CFR Part 71 dimensions or operating requirements of Airspace, Incorporation by reference, [Docket No. 30814; Amdt. No. 497] that airspace, notice and public Navigation (air). IFR Altitudes; Miscellaneous procedures under 5 U.S.C. 553(b) are Adoption of the Amendment unnecessary. Amendments In consideration of the foregoing, the The FAA has determined that this AGENCY: Federal Aviation Federal Aviation Administration regulation only involves an established Administration (FAA), DOT. body of technical regulations for which amends 14 CFR part 71 as follows: ACTION: frequent and routine amendments are Final rule. necessary to keep them operationally PART 71—DESIGNATION OF CLASS A, B, C, D, AND E AIRSPACE AREAS; AIR SUMMARY: This amendment adopts current. Therefore, this regulation: (1) Is miscellaneous amendments to the not a ‘‘significant regulatory action’’ TRAFFIC SERVICE ROUTES; AND REPORTING POINTS required IFR (instrument flight rules) under Executive Order 12866; (2) is not altitudes and changeover points for a ‘‘significant rule’’ under DOT ■ 1. The authority citation for 14 CFR certain Federal airways, jet routes, or Regulatory Policies and Procedures (44 part 71 continues to read as follows: direct routes for which a minimum or FR 11034; February 26, 1979); and (3) Authority: 49 U.S.C. 106(g), 40103, 40113, maximum en route authorized IFR does not warrant preparation of a altitude is prescribed. This regulatory Regulatory Evaluation as the anticipated 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– 1963 Comp., p. 389. action is needed because of changes impact is so minimal. Since this is a occurring in the National Airspace routine matter that will only affect air § 71.1 [Amended] System. These changes are designed to traffic procedures and air navigation, it ■ 2. The incorporation by reference in provide for the safe and efficient use of is certified that this rule, when 14 CFR 71.1 of the Federal Aviation the navigable airspace under instrument promulgated, will not have a significant Administration Order 7400.9V, Airspace conditions in the affected areas. economic impact on a substantial Designations and Reporting Points, DATES: Effective Date: 0901 UTC, number of small entities under the dated August 9, 2011, and effective December 15, 2011. criteria of the Regulatory Flexibility Act. The FAA’s authority to issue rules September 15, 2011, is amended as FOR FURTHER INFORMATION CONTACT: Rick regarding aviation safety is found in follows: Dunham, Flight Procedure Standards Title 49 of the United States Code. Paragraph 6010(a)—Domestic VOR Federal Branch (AMCAFS–420), Flight Subtitle I, Section 106 describes the Airways Technologies and Programs Division, authority of the FAA Administrator. * * * * * Flight Standards Service, Federal Aviation Administration, Mike Subtitle VII, Aviation Programs, V–81 [Amended] describes in more detail the scope of the Monroney Aeronautical Center, 6500 From Chihuahua, Mexico; Marfa, TX; Fort agency’s authority. South MacArthur Blvd., Oklahoma City, Stockton, TX; Midland, TX; Lubbock, TX; OK 73169 (Mail addresses: P.O. Box This rulemaking is promulgated Plainview, TX; Panhandle, TX; Dalhart, TX; under the authority described in Tobe, CO; Pueblo, CO; Black Forest, CO; 25082 Oklahoma City, OK 73125) Subtitle VII, Part A, Subpart I, Section Jeffco, CO; Cheyenne, WY; Scottsbluff, NE; to telephone: (405) 954–4164. 40103. Under that section, the FAA is Toadstool, NE. The airspace outside the SUPPLEMENTARY INFORMATION: This charged with prescribing regulations to United States is excluded. amendment to part 95 of the Federal assign the use of the airspace necessary * * * * * Aviation Regulations (14 CFR part 95) to ensure the safety of aircraft and the amends, suspends, or revokes IFR V–89 [Amended] efficient use of airspace. This regulation altitudes governing the operation of all From Gill, CO; INT Gill 003° and is within the scope of that authority as ° aircraft in flight over a specified route it revises the legal description of four Cheyenne, WY, 131 radials; Cheyenne; to or any portion of that route, as well as Toadstool, NE. VOR Federal Airways in the vicinity of the changeover points (COPs) for Chadron, NE. * * * * * Federal airways, jet routes, or direct Domestic VOR Federal Airways are V–169 [Amended] routes as prescribed in part 95. published in paragraph 6010(a) of FAA From Tobe, CO; 69 MSL, Hugo, CO; 38 The Rule Order 7400.9V, dated August 9, 2011, miles, 67MSL, Thurman, CO; Akron, CO; and effective September 15, 2011, which Sidney, NE; Scottsbluff, NE; Toadstool, NE; The specified IFR altitudes, when is incorporated by reference in 14 CFR Rapid City, SD; Dupree, SD; Bismarck, ND; used in conjunction with the prescribed 71.1. The domestic VOR Federal to Devils Lake, ND. The airspace within the changeover points for those routes,

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ensure navigation aid coverage that is amendment effective in less than 30 Issued in Washington, DC on November 11, adequate for safe flight operations and days. 2011. free of frequency interference. The John McGraw, Conclusion reasons and circumstances that create Deputy Director, Flight Standards Service. the need for this amendment involve The FAA has determined that this Adoption of the Amendment matters of flight safety and operational regulation only involves an established efficiency in the National Airspace body of technical regulations for which Accordingly, pursuant to the System, are related to published frequent and routine amendments are authority delegated to me by the aeronautical charts that are essential to necessary to keep them operationally Administrator, part 95 of the Federal Aviation Regulations (14 CFR part 95) is the user, and provide for the safe and current. It, therefore—(1) is not a amended as follows effective at 0901 efficient use of the navigable airspace. ‘‘significant regulatory action’’ under UTC, December 15, 2011. In addition, those various reasons or Executive Order 12866; (2) is not a circumstances require making this ‘‘significant rule’’ under DOT PART 95—IFR ALTITUDES amendment effective before the next Regulatory Policies and Procedures (44 scheduled charting and publication date FR 11034; February 26, 1979); and (3) ■ 1. The authority citation for part 95 of the flight information to assure its does not warrant preparation of a continues to read as follows: timely availability to the user. The regulatory evaluation as the anticipated Authority: 49 U.S.C. 106(g), 40103, 40106, effective date of this amendment reflects impact is so minimal. For the same 40113, 40114, 40120, 44502, 44514, 44719, those considerations. In view of the reason, the FAA certifies that this 44721. close and immediate relationship amendment will not have a significant ■ between these regulatory changes and economic impact on a substantial 2. Part 95 is amended to read as safety in air commerce, I find that notice number of small entities under the follows: and public procedure before adopting criteria of the Regulatory Flexibility Act. REVISIONS TO IFR ALTITUDES & this amendment are impracticable and List of Subjects in 14 CFR Part 95 CHANGEOVER POINTS AMENDMENT contrary to the public interest and that 497 EFFECTIVE DATE December 15, good cause exists for making the Airspace, Navigation (air). 2011

From To MEA

&95.6001 Victor Routes-U.S. &95.6014 VOR Federal Airway V14 is Amended to Read in Part

Will Rogers, OK VORTAC ...... Totes, OK FIX ...... 3700 Drops, OK FIX ...... Tulsa, OK VORTAC. NE BND ...... 2800 SW BND ...... 3800

&95.6017 VOR Federal Airway V17 is Amended to Read in Part

Fator, TX FIX ...... *Nelee, TX FIX ...... **4000 *5500–MRA. **2800–MOCA. Centex, TX VORTAC ...... Waco, TX VORTAC ...... 3600

&95.6054 VOR Federal Airway V54 is Amended to Read in Part

Sandhills, NC VORTAC ...... *RAEFO, NC FIX ...... **6000 *6000–MRA. **2000–MOCA. **3000–GNSS MEA. *Raefo, NC FIX ...... Fayetteville, NC VOR/DME ...... **2800 *6000–MRA. **1900–MOCA.

&95.6104 VOR Federal Airway V104 Is Amended to Read in Part

Malae, NY FIX ...... Plattsburgh, NY VORTAC ...... *7000 *6100–MOCA. *6100–GNSS MEA.

&95.6113 VOR Federal Airway V113 is Amended to Read in Part

Helena, MT VORTAC ...... Lewistown, MT VOR/DME ...... 11100

&95.6137 VOR Federal Airway V137 is Amended to Read in Part

Palmdale, CA VORTAC ...... Vicky, CA FIX ...... *8000 *5800–MOCA. Vicky, CA FIX ...... Jeffy, CA FIX. E BND ...... 8000 W BND ...... 9000 Jeffy, CA FIX ...... Gorman, CA VORTAC. E BND ...... 8000

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From To MEA

W BND ...... 10100

&95.6271 VOR Federal Airway V271 is Amended to Read in Part

Muskegon, MI VORTAC ...... WELKO, MI FIX ...... *3000 *2500–MOCA. Welko, MI FIX ...... Manistee, MI VOR/DME ...... *4000 *2400–MOCA.

&95.6276 VOR Federal Airway V276 is Amended to Read in Part

Manta, NJ FIX ...... *Prepi, OA FIX ...... **6000 *8000–MRA. **2000–MOCA. **3000–GNSS MEA.

&95.6287 VOR Federal Airway V287 is Amended to Read in Part

Fort Jones, CA VOR/DME ...... Klama, OR FIX ...... *12000 *9800–MOCA. Klama, OR FIX ...... *Rogue Valley, OR VORTAC. SE BND ...... 12000 NW BND ...... 8000 *7000–MCA Rogue Valley, OR VORTAC, SE BND.

&95.6296 VOR Federal Airway V296 is Amended to Read in Part

Hustn, NC FIX ...... *Raefo, NC FIX ...... **5000 *6000–MRA. **2300–MOCA. **2400–GNSS MEA. *Raefo, NC FIX ...... Fayetteville, NC VOR/DME ...... **2800 *6000–MRA. **1900–MOCA.

&95.6465 VOR Federal Airway V465 is Amended to Read in Part

Miles City, MT VOR/DME ...... Williston, ND VORTAC ...... *7000 *5200–MOCA. *6000–GNSS MEA.

&95.6545 VOR Federal Airway V545 is Amended to Read in Part

Miles City, MT VOR/DME ...... Williston, ND VORTAC ...... *7000 *5300–MOCA. *6000–GNSS MEA.

&95.6319 ALASKA VOR Federal Airway V319 is Amended to Read in Part

Vidda, AK FIX ...... Weeke, AK FIX. SW BND ...... *3000 NE BND ...... *6000 *2100–MOCA.

&95.6440 ALASKA VOR Federal Airway V440 is Amended to Read in Part

Yucon, AK FIX ...... Unalakleet, AK VOR/DME. W BND ...... 4600 E BND ...... 8000

&95.6423 HAWAII VOR Federal Airway V23 is Amended to Read in Part

Jessi, HI FIX ...... *Fires, HI FIX ...... 8000 *13000–MRA.

From To MEA MAA

&95.7001 JET ROUTES &95.7037 Jet Route J37 is Amended to Read in Part

Brooke, VA VORTAC ...... Nales, DE FIX ...... 18000 31000

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From To MEA MAA

&95.7060 Jet Route J60 is Amended to Read in Part

Philipsburg, PA VORTAC ...... Sparta, NJ VORTAC ...... 18000 45000

&95.7204 Jet Route J204 is Amended to Read in Part

Miles City, MT VOR/DME ...... Hilgr, MT FIX ...... 19000 45000 Hilgr, MT FIX ...... Great Falls, MT VORTAC ...... 18000 45000

Airway Segment Changeover Points From To Distance From

&95.8003 VOR Federal Airway Changeover Points V104 is Amended to Add Changeover Point

Massena, NY VORTAC ...... Plattsburgh, NY VORTAC ...... 16 Massena

V271 is Amended to Add Changeover Point

Muskegon, MI VORTAC ...... Manistee, MI VOR/DME ...... 37 Muskegon

[FR Doc. 2011–30096 Filed 11–21–11; 8:45 am] by this rule to undertake certain site includes the EPA’s final state and BILLING CODE 4910–13–P planning and pollution control activities tribal designations, as well as state to attain the standards as quickly as initial recommendation letters, the EPA reasonably possible. modification letters, technical support ENVIRONMENTAL PROTECTION DATES: Effective Date: The effective date documents, responses to comments, and AGENCY of this rule is December 31, 2011. other related technical information. ADDRESSES: The EPA has established a FOR FURTHER INFORMATION CONTACT: 40 CFR Part 81 docket for this action under Docket ID Rhonda Wright, Office of Air Quality [EPA–HQ–OAR–2009–0443; FRL–9492–3] NO. EPA–HQ–OAR–2009–0443. All Planning and Standards, U.S. documents in the docket are listed in Environmental Protection Agency, Mail RIN 2060–AR17 the index at http://www.regulations.gov. Code C539–04, Research Triangle Park, N.C. 27711, phone number (919) 541– Air Quality Designations for the 2008 Although listed in the index, some information is not publicly available, 1087 or by email at: Lead (Pb) National Ambient Air Quality [email protected]. Standards i.e., Confidential Business Information (CBI) or other information whose Regional Office Contacts AGENCY: Environmental Protection disclosure is restricted by statute. Agency (EPA). Certain other material, such as Region 1—Robert McConnell (617) 918– 1046, ACTION: Final rule. copyrighted material, is not placed on the Internet and will be publicly Region 2—Mazeeda Khan (212) 637– SUMMARY: This rule establishes air available only in hard copy form. 3715, quality designations for most areas in Publicly available docket materials are Region 3—Melissa Linden (215) 814– the United States for the 2008 lead (Pb) available either electronically in the 2096, National Ambient Air Quality Standards docket or in hard copy at the Docket, Region 4—Steve Scofield (404) 562– (NAAQS). In a previous action EPA/DC, EPA West, Room 3334, 1301 9034, established on November 16, 2010, the Constitution Ave, NW., Washington, Region 5—Andy Chang (312) 886–0258, EPA designated as ‘‘nonattainment’’ 16 DC. The Public Reading Room is open Region 6—Terry Johnson (214) 665– areas as violating the 2008 Pb NAAQS from 8:30 a.m. to 4:30 p.m. Monday 2154, based on data from the pre-2010 through Friday, excluding legal Region 7—Stephanie Doolan (913) 551– monitoring network. For all other areas, holidays. The telephone number for the 7719, the EPA deferred action so that data Public Reading Room is (202) 566–1744, Region 8—Kevin Leone (303) 312–6227, from newly deployed monitors could be and the telephone number for the Office Region 9—Ginger Vagenas (415) 972– considered in making appropriate of Air and Radiation Docket and 3964, designation decisions. In this action, the Information Center is (202) 566–1742. Region 10—Steve Body (206) 553–0782. EPA is designating all remaining areas In addition, the EPA has established SUPPLEMENTARY INFORMATION: The of the United States, including Indian a Web site for this rulemaking at: public may inspect the rule and state- country. The Clean Air Act (CAA) http://www.epa.gov/leaddesignations/ specific technical support information requires areas designated nonattainment 2008standards/index.html. The Web at the following locations:

Regional offices States

Dave Conroy, Chief, Air Programs Branch, EPA New England, 1 Con- Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, gress Street, Suite 1100, Boston, MA 02114–2023, (617) 918–1661. and Vermont. Raymond Werner, Chief, Air Programs Branch, EPA Region 2, 290 New Jersey, New York, Puerto Rico, and Virgin Islands. Broadway, 25th Floor, New York, NY 10007–1866, (212) 637–3706.

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Regional offices States

Cristina Fernandez, Branch Chief, Air Quality Planning Branch, EPA Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, and Region 3, 1650 Arch Street, Philadelphia, PA 19103–2187, (215) West Virginia. 814–2178. Scott R. Davis, Branch Chief, Air Planning Branch, EPA Region 4, Sam Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, Nunn Atlanta Federal Center, 61 Forsyth, Street, SW, 12th Floor, At- South Carolina, and Tennessee. lanta, GA 30303, (404) 562–9127. John Mooney, Chief, Air Programs Branch, EPA Region 5, 77 West Illinois, Indiana, Michigan, Minnesota, Ohio, and Wisconsin. Jackson Street, Chicago, IL 60604, (312) 886–6043. Guy Donaldson, Chief, Air Planning Section, EPA Region 6, 1445 Ross Arkansas, Louisiana, New Mexico, Oklahoma, and Texas. Avenue, Dallas, TX 75202, (214) 665–7242. Joshua A. Tapp, Chief, Air Programs Branch, EPA Region 7, 901 North Iowa, Kansas, Missouri, and Nebraska. 5th Street, Kansas City, Kansas 66101–2907, (913) 551–7606. Monica Morales, Leader, Air Quality Planning Unit, EPA Region 8, Colorado, Montana, North Dakota, South Dakota, Utah, and Wyoming. 1595 Wynkoop Street, Denver, CO 80202–1129, (303) 312–6936. Lisa Hanf, Air Planning Office, EPA Region 9, 75 Hawthorne Street, American Samoa, Arizona, California, Guam, Hawaii, Nevada, and San Francisco, CA 94105, (415) 972–3854. Northern Mariana Islands. Mahbubul Islam, Manager, State and Tribal Air Programs, EPA Region Alaska, Idaho, Oregon, and Washington. 10, Office of Air, Waste, and Toxics, Mail Code OAQ–107, 1200 Sixth Avenue, Seattle, WA 98101, (206) 553–6985.

Table of Contents I. Preamble Glossary of Terms and that this rule is available. The EPA has Acronyms posted the notice on the EPA’s The following is an outline of the Preamble. The following are abbreviations of designations Web site and provided a I. Preamble Glossary of Terms and Acronyms terms used in the preamble. copy of the rule to those states with nonattainment areas. II. What is the purpose of this document? APA Administrative Procedure Act III. What is lead? AQS Air Quality System This notice identifies the five areas IV. What are the health and welfare concerns CAA Clean Air Act being designated as nonattainment areas addressed by the Pb standards? CBI Confidential Business Information for the 2008 Pb NAAQS. These five V. What are the CAA requirements for air CFR Code of Federal Regulations areas surround violating monitors in quality designations and what action has DC District of Columbia Arecibo, Puerto Rico; Chicago, Illinois; the EPA taken to meet these EO Executive Order Belding, Michigan; Saline, Kansas; and requirements? EPA Environmental Protection Agency Pottawattamie, Iowa. The basis for VI. What guidance did the EPA issue and FR Federal Register designating these areas as how did the EPA apply the statutory FEM Federal Equivalent Method FRM Federal Reference Method nonattainment areas is monitored air requirements and applicable guidance to quality data from calendar years 2008– determine area designations and IQ Intelligence Quotient NAAQS National Ambient Air Quality 2010 indicating violations of the boundaries? Standards NAAQS. For these areas being VII. What air quality data has the EPA used? NTTAA National Technology Transfer and designated nonattainment, states must VIII. How do designations affect Indian Advancement Act develop a State Implementation Plan country? OMB Office of Management and Budget IX. Where can I find information forming the (SIP) that meets the requirements of Pb Lead section 172(c) and subpart 5 of Part D basis for this rule and exchanges PM Particulate Matter between the EPA, states, and tribes RFA Regulatory Flexibility Act of the CAA, including providing for related to this rule? RIA Regulatory Impact Analysis attainment of the NAAQS as X. Statutory and Executive Order Reviews SBA Small Business Administration expeditiously as practicable, but no later A. Executive Order 12866: Regulatory SIP State Implementation Plan than December 31, 2016. These SIPs Planning and Review and Executive UMRA Unfunded Mandate Reform Act of must be submitted to the EPA within 18 Order 13563: Improving Regulation and 1995 months of the effective date of these Regulatory Review TAR Tribal Authority Rule designations, i.e., by June 30, 2013.1 B. Paperwork Reduction Act TSD Technical Support Document This notice also identifies the C. Regulatory Flexibility Act TSP Total Suspended Particulate expansion of the boundary of one D. Unfunded Mandates Reform Act TPY Tons Per Year nonattainment area—the Lower Beaver E. Executive Order 13132: Federalism U.S. United States F. Executive Order 13175: Consultation VCS Voluntary Consensus Standards Valley nonattainment area in Pennsylvania—that was designated and Coordination with Indian Tribal II. What is the purpose of this Governments nonattainment on November 16, 2010. G. Executive Order 13045: Protection of document? The expansion incorporates additional Children from Environmental Health and The purpose of this action is to land area that the EPA has determined Safety Risks promulgate and announce designations does not meet the 2008 Pb NAAQS. This H. Executive Order 13211: Actions That and boundaries for areas of the country action does not affect the required Significantly Affect Energy Supply, for the 2008 Pb NAAQS based on attainment date or SIP submission Distribution, or Use available information, in accordance deadline for this nonattainment area. I. National Technology Transfer and with the requirements of the CAA. All The EPA is designating three areas Advancement Act (NTTAA) (Knox County, Tennessee; an area J. Executive Order 12898: Federal Actions area designations for each state, and the to Address Environmental Justice in boundaries for each area, appear in the table at the end of this final rule. The 1 In addition, as discussed in the proposed and Minority Populations and Low-Income final Pb NAAQS rules, all states are required to Populations EPA has been working closely with the submit SIPs pursuant to section 110(a)(1) K. Congressional Review Act states involved in these designations (‘‘infrastructure SIPs’’) within 3 years of L. Judicial Review and has taken several steps to announce promulgation of the new standard.

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surrounding Hayden, Arizona; and states to identify specific boundaries Although these errors have no practical Orange County, New York) as that appropriately encompass violating effect, and the 1978 standard will be unclassifiable on the basis that there are areas and any areas contributing to revoked for all but two areas by available monitoring data from recent violations in these counties. The December 31, 2012, the EPA did not periods indicating a significant boundaries of any nonattainment area intend to alter any designations for the likelihood that the areas may be may well be smaller than the county 1978 standard in making designations violating the 2008 Pb NAAQS, but the boundaries, and in such case the EPA for the 2008 standard and is thus available information is insufficient at anticipates that the remainder of these correcting the errors to ensure that part this time to make nonattainment two counties would be redesignated 81 reflects the proper designations for designations. In the 2008 Pb NAAQS unclassifiable/attainment. The EPA the 1978 standard. rule, the EPA required new monitors to notes that, although it is designating III. What is lead? be sited near sources emitting more than these three areas as ‘‘unclassifiable’’ to one ton per year or more beginning in reflect the recent monitoring data, there Lead (Pb) is a metal found naturally 2010 and in certain non-source oriented are no additional planning or control in the environment and present in some locations by December 27, 2011.2 Due to requirements that apply as a result of an manufactured products. The major the timing of monitor siting, monitoring unclassifiable designation, as compared sources of Pb air emissions were data are available for the first several to a designation of ‘‘unclassifiable/ historically motor vehicles (such as cars months of 2011 for some sites with no attainment.’’ and trucks) and industrial sources. 2008–2010 data, two of which have data All other areas of the country are Motor vehicles emissions of Pb have in AQS that exceed the standard (Knox being designated as unclassifiable/ been dramatically reduced with the County, Tennessee and Hayden, attainment, meaning the available phase-out of leaded gasoline, but Pb is Arizona). A previously established information does not indicate that the still used as an additive in general monitor in the Orange County, New air quality in these areas exceeds the aviation gasoline used in piston-engine York, area also has data in AQS from 2008 Pb NAAQS. aircraft and remains a trace contaminant early 2011 that exceed the standard. When the EPA issued the 2008 Pb in other fuels. Large industrial sources Because of the form of the 2008 Pb NAAQS, we provided that the 1978 Pb of Pb emissions currently include NAAQS, one 3-month average ambient NAAQS would be revoked 1 year after metals processing, particularly primary air concentration over 0.15 micorgrams the effective date of designations for the and secondary Pb smelters. Lead is also per cubic meter (mg/m3) is enough to 2008 NAAQS, except in areas emitted from sources such as: Iron and cause a violation of the Pb NAAQS. designated nonattainment for the 1978 steel foundries; primary and secondary However, before the EPA can finalize NAAQS where the standard will remain copper smelters; industrial, commercial, nonattainment designation for these in effect until a SIP is approved for the and institutional boilers; waste areas, the data that were reported to new standard. There are two areas incinerators; glass manufacturing; and AQS must be quality assured and designated nonattainment for the 1978 cement manufacturing. NAAQS: Herculaneum, Missouri, and certified and appropriate nonattainment IV. What are the health and welfare area boundaries must be defined for the East Helena, Montana. Herculaneum concerns addressed by the Pb areas. Therefore, the EPA is designating was designated nonattainment for the standards? these three areas as unclassifiable until 2008 standard in 2010, and thus the 1978 standard will remain in effect until Lead is generally emitted in the form this process can be completed. of particles, which can end up being The EPA received a recommendation an attainment SIP for the 2008 NAAQS is approved by the EPA. East Helena is deposited in water, soil, and dust. on behalf of the Governor of Arizona People may be exposed to Pb by with recommended boundaries for an being designated unclassifiable/ attainment for the 2008 standard in this inhaling it, or by ingesting lead- area surrounding Hayden, Arizona, and contaminated food, water, soil, or dust. the EPA is designating that area as action, and the 1978 standard will remain in effect until a maintenance SIP Once in the body, Pb is quickly unclassifiable consistent with that absorbed into the bloodstream and can recommendation. Consistent with the for the 2008 NAAQS is approved by the EPA. For all other areas designated in result in a broad range of adverse health EPA’s view that the perimeter of a effects. These may include damage to county containing a violating monitor is this action, the 1978 standard is revoked as of December 31, 2012. the central nervous system, the initial presumptive boundary for cardiovascular function, kidneys, nonattainment areas, the EPA is In addition to making designations for the 2008 Pb NAAQS, the EPA is also immune system, and red blood cells. designating the entirety of Orange Children are particularly vulnerable to County, New York, and Knox County, revising 40 CFR part 81 to clarify the presentation of designations for the Pb exposure, in part because they are Tennessee, as unclassifiable. However, more likely to ingest Pb and in part the EPA recognizes that experience with 1978 standard and the 2008 standard and to correct certain inadvertent errors because their still-developing bodies are other initial designations for the Pb more sensitive to the effects of Pb. The NAAQS has indicated that where a concerning the 1978 standard. In making designations for the 2008 harmful effects to children’s developing NAAQS violation is attributable to a nervous systems (including their brains) single source, area-specific analyses standard last year, the EPA inadvertently changed certain arising from Pb exposure may include have served as a basis for designating a intelligence quotient (IQ) loss, poor nonattainment area that is smaller than information in part 81 for the 1978 standard, such as identifying areas that academic achievement, long-term the county. Accordingly, before learning disabilities, and an increased redesignating these two areas as had been designated ‘‘unclassifiable’’ as ‘‘attainment,’’ identifying areas that risk of delinquent behavior. nonattainment and consistent with the Lead is persistent in the environment CAA, the EPA intends to work with the were not designated at all as ‘‘unclassifiable,’’ or including the wrong and accumulates in soils and sediments 3 through deposition from air sources, 2 EPA subsequently revised these requirements, effective date for a designation. including by lowering the emission threshold for direct discharge of waste streams to source-oriented monitoring to 0.5 tpy. See 75 FR 3 No areas were inadvertently identified as water bodies, mining, and erosion. 81127 (Dec. 27, 2010). ‘‘nonattainment.’’ Ecosystems near some longstanding

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point sources of Pb demonstrate a wide modify designations that did not meet recommendations for an area ‘‘or range of adverse effects including losses the statutory requirements or were portions thereof,’’ and, under section in biodiversity, changes in community otherwise inconsistent with the facts or 107(d)(1)(B)(iv), a designation remains composition, decreased growth and analysis deemed appropriate by the in effect for an area ‘‘or portion thereof’’ reproductive rates in plants and EPA. If the EPA is considering until the EPA redesignates it. animals, and neurological effects in modifications to a state’s initial Designation activities for federally- vertebrates. recommendation, the EPA is required to recognized tribes are covered under the notify the state of any such intended authority of section 301(d) of the CAA. V. What are the CAA requirements for modifications to its recommendation This provision of the CAA authorizes air quality designations and what not less than 120 days prior to the EPA’s the EPA to treat eligible tribes in a action has the EPA taken to meet these promulgation of the final designation. If similar manner as states. Pursuant to requirements? the state does not agree with the EPA’s section 301(d)(2), we promulgated After the promulgation of a new or modification, it then has an opportunity regulations, known as the Tribal revised NAAQS, the EPA is required to to respond to the EPA and to Authority Rule (TAR), on February 12, designate areas as nonattainment, demonstrate why it believes the 1999. 63 FR 7254, codified at 40 CFR attainment, or unclassifiable, pursuant modification proposed by the EPA is part 49 (1999). That rule specifies those to section 107(d)(1) of the CAA. The inappropriate, as contemplated by provisions of the CAA for which it is Administrator signed a final rule section 107(d)(1)(B)(ii). Even if a state appropriate to treat tribes in a similar revising the Pb NAAQS on October 15, fails to provide any recommendation for manner as states. Under the TAR, tribes 2008, which was published in the an area, in whole or in part, the EPA may choose to develop and implement Federal Register on November 12, 2008, still must promulgate a designation that their own CAA programs, but are not and became effective January 12, 2009. the Administrator deems appropriate, required to do so. The TAR also Based on the Administrator’s review of pursuant to section 107(d)(1)(B)(ii). establishes procedures and criteria by the scientific evidence, including Section 107(d)(1)(A)(i) of the CAA which tribes may request from the EPA numerous studies published since the defines a nonattainment area as any area a determination of eligibility for such last review of the Pb NAAQS, and that does not meet an ambient air treatment. The designations process taking into consideration the comments quality standard or that is contributing contained in section 107(d) of the CAA expressed by the Clean Air Scientific to ambient air quality in a nearby area is included among those provisions Advisory Committee and the public, the that does not meet the standard. If an determined to be appropriate by the Administrator revised the standard from area meets either prong of this EPA for treatment of tribes in the same a level of 1.5 mg/m3 to a level of 0.15 mg/ definition, then the EPA is obligated to manner as states. Under the TAR, tribes m3. In addition, the Administrator designate the area as ‘‘nonattainment.’’ generally are not subject to the same changed the averaging time and form to Section 107(d)(1)(A)(iii) provides that submission schedules imposed by the a maximum rolling 3-month average any area that the EPA cannot designate CAA on states. As authorized by the evaluated over a 3-year period. The rule on the basis of available information as TAR, tribes may seek eligibility to also established new requirements for meeting or not meeting the standards submit designation recommendations to Pb monitoring networks, including the should be designated as the EPA. In addition, CAA section requirement that new Pb monitors be ‘‘unclassifiable.’’ 301(d)(4) gives the EPA discretionary located in close proximity to the largest The EPA believes that section 107(d) authority, in cases where it determines Pb emissions sources by January 1, provides the agency with discretion to that treatment of tribes as identical to 2010. determine how best to interpret the states is ‘‘inappropriate or The process for designating areas terms in the definition of a administratively infeasible,’’ to provide following promulgation of a new or nonattainment area (e.g., ‘‘contributes for direct administration by regulation revised NAAQS is contained in section to’’ and ‘‘nearby’’) for a new or revised to achieve the appropriate purpose. 107(d) of the CAA. The CAA requires NAAQS, given considerations such as To date, one tribe has applied under the EPA to complete the initial area the nature of a specific pollutant, the the TAR for eligibility to submit its own designation process within 2 years of types of sources that may contribute to recommendations under section 107(d). promulgating a new or revised NAAQS. violations, the form of the standards for Nonetheless, the EPA invited all tribes However, if the Administrator has the pollutant, and other relevant to submit recommendations concerning insufficient information to make these information. In particular, the EPA designations for the 2008 Pb NAAQS. designations within that time frame, the believes that the statute does not require The EPA worked with the tribes that EPA has the authority to extend the the agency to establish bright line tests requested an opportunity to submit designation process by up to 1 or thresholds for what constitutes designation recommendations. Tribes additional year. By not later than 1 year contribution or nearby for purposes of were provided an opportunity to submit after the promulgation of a new or designations.4 their own recommendations and revised NAAQS, each state governor is Similarly, the EPA believes that the supporting documentation and could required to recommend air quality statute permits the EPA to evaluate the also comment on state designations, including the appropriate appropriate application of the term recommendations and the EPA boundaries for areas, to the EPA. Tribes ‘‘area’’ to include geographic areas modifications. are not required to submit based upon full or partial county In light of the new Pb monitoring recommendations, but the EPA boundaries, and contiguous or non- network, the EPA planned to complete encourages their participation in the contiguous areas, as may be appropriate the initial area designations for Pb in designations process. The EPA reviews for a particular NAAQS. For example, two rounds. Designation those state recommendations and is section 107(d)(1)(B)(ii) explicitly recommendations and supporting authorized to make any modifications provides that the EPA can make documentation were previously the Administrator deems necessary. The modifications to designation submitted by most states and a few statute does not define the term tribes to the EPA by October 15, 2009. ‘‘necessary,’’ but the EPA interprets this 4 This view was confirmed in Catawba County v. In the first round, established on to authorize the Administrator to EPA, 571 F.3d 20 (D.C. Cir. 2009). November 16, 2010, the EPA designated

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as ‘‘nonattainment’’ 16 areas as violating violating monitor sited under the newly either a larger or smaller area. The EPA the 2008 Pb NAAQS based on 2007– deployed monitoring network, and indicated that the following factors 2009 air quality data from the pre-2010 designating three areas as unclassifiable should be considered in an analysis of monitoring network. For all other areas, based on data reported to AQS in early whether to exclude portions of a county the EPA extended the deadline for 2011 that exceed the 2008 Pb NAAQS and whether to include additional designations by up to 1 year so that data but have not been quality assured and nearby areas outside the county as part from the newly deployed monitors can certified. All other areas are designated of the designated nonattainment area: be considered in making appropriate as unclassifiable/attainment. The EPA (1) Emissions in areas potentially designation decisions. uses this designation in practice for included versus excluded from the For the second round of designations, initial designations to mean that nonattainment area; (2) Air quality in states and tribes were given an available information does not indicate potentially included versus excluded opportunity to update their that the air quality in these areas areas; (3) Population density and degree recommendation letters, for these exceeds the 2008 Pb NAAQS. of urbanization including commercial remaining areas, by December 15, 2010. development in included versus VI. What guidance did the EPA issue After receiving recommendations from excluded areas; (4) Expected growth and how did the EPA apply the states and tribes, and after reviewing (including extent, pattern, and rate of statutory requirements and applicable and evaluating each recommendation, growth); (5) Meteorology (weather/ guidance to determine area the EPA provided a response to the transport patterns); (6) Geography/ designations and boundaries? states and tribes on June 15, 2011. In topography (mountain ranges or other these letter responses, we indicated In the notice of proposed rulemaking air basin boundaries); (7) Jurisdictional whether the EPA intended to make for the revised Pb NAAQS (73 FR boundaries (e.g., counties, air districts, modifications to the initial state or tribal 29184), the EPA issued proposed reservations, etc.); and (8) Level of recommendations and explained the guidance on its approach to control of emission sources. The EPA EPA’s reasons for making any such implementing the standard, including further indicated that we would modifications. The EPA requested that its approach to initial area designations. consider information provided by the states and tribes respond to any The EPA solicited comment on that state resulting from one or more of the proposed modifications, made by the guidance and, in the notice of final following techniques: (1) Qualitative EPA, by August 15, 2011. The state and rulemaking (73 FR 66964), adopted analysis; (2) spatial interpolation of air tribal letters, including the initial guidance concerning how to determine quality monitoring data; or (3) air recommendations, and the EPA’s June the boundaries for nonattainment areas quality simulation by dispersion 2011 responses to those letters, for the Pb NAAQS.5 In that guidance, modeling. including any modifications, and the the EPA indicated that it would use The EPA received comments on the subsequent state and tribal comment monitoring data from the 3 most recent proposed guidance suggesting that letters are in the docket for this action. calendar years to identify a violation of violations of the Pb NAAQS were likely Although not required by section the Pb NAAQS. This is appropriate to occur in close proximity to stationary 107(d) of the CAA, the EPA also because the form of the Pb NAAQS is sources of Pb. In response, the EPA provided an opportunity for members of calculated over 36 consecutive valid 3- indicated that it agreed that Pb the public to comment on the EPA’s month site means (specifically for a 3 emissions do not generally transport June 2011 response letters. In order to calendar year period and the 2 previous over long distances (e.g., as compared to gather additional information for the months).6 The EPA is generally basing fine particulate matter), and that in EPA to consider before making final these final designations on monitored situations where a single source, rather designations, the EPA published a Pb concentrations from Federal than multiple sources, is causing a notice on June 21, 2011, (76 FR 36042) Reference Method (FRM) and Federal NAAQS violation, the EPA believes that which invited the public to comment on Equivalent Method (FEM) monitors a state may well be able to use area- the response letters the EPA sent to from calendar years 2008–2010, which specific analyses to determine whether states in June 2011. In that notice, the were the most recent quality assured a nonattainment area that is smaller EPA provided the opportunity to all and certified data available upon which than the county boundary is interested parties other than states and to base designations decisions.7 appropriate. tribes to submit comments by July 21, In the guidance, the EPA stated that The EPA found that states did use the 2011. The state and tribal initial the perimeter of a county containing a factors and the variety of techniques recommendations and the EPA’s violating monitor would be the initial identified by the EPA in making responses, including modifications, presumptive boundary for recommendations for nonattainment were posted on a publicly accessible nonattainment areas, but also stated that areas smaller than the county. In Web site (http://www.epa.gov/ the state, tribe, and/or the EPA could recommending boundaries, the EPA and leaddesignations/2008standards/ conduct additional area-specific states began with monitors that recorded index.html). We did not receive any analyses that could justify establishing a violation of the 2008 Pb NAAQS. As comments questioning our general provided in Appendix R to 40 CFR part approach to these designations. 5 See also, ‘‘Area Designations for the Revised 50, all valid Pb-TSP data and all valid Comments from the public and the Lead National Ambient Air Quality Standards,’’ Pb-PM10 data measured by a FRM or memorandum to Regional Administrators, Regions EPA’s responses to state-specific FEM monitor submitted to the EPA’s Air comments are in the docket for this I–X, from William Harnett, dated August 21, 2009. 6 Quality System (AQS), or otherwise action. For convenience, this notice refers to the period of 3 calendar years and the 2 previous months available to the EPA, and meeting the In this rule, the EPA is designating as simply as 3 calendar years. Thus, monitoring for requirements of 40 CFR part 58, ‘‘nonattainment’’ five areas violating the ‘‘calendar years 2008–2010’’ includes data from November 2007 through December 2010. including Appendices A, C, and E, are 2008 Pb NAAQS based on 2008–2010 8 7 used in design value calculations. air quality data from the newly As noted above, the three unclassifiable designations are based on uncertified 2011 deployed monitoring network, monitoring data, but there are no planning or 8 A design value is the air quality value that is extending a previously designated control requirements that apply as a result of an compared to the NAAQS to determine compliance. nonattainment area to encompass a unclassifiable designation. Continued

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For areas with a violating monitor, the early 2011 that did not have data index.html. State-specific information is designated nonattainment area must available for 2008–2010. Two such available from the EPA Regional Offices. encompass the entire area that does not monitors, one in Hayden, Arizona and X. Statutory and Executive Order meet, and any nearby area that one in Knox County, Tennessee, have Reviews contributes to ambient air quality in the data in AQS that exceed the standard for area that does not meet, the 2008 Pb at least one 3-month period in 2011. A. Executive Order 12866: Regulatory NAAQS. Given the sources and Additionally, a site in Orange County, Planning and Review and Executive characteristics of Pb emissions, states New York also has monitoring data in Order 13563: Improving Regulation and and the EPA generally found factors AQS for early 2011 that exceed the Regulatory Review such as emissions, air quality, and standard. The EPA anticipates that these This action will establish meteorology to be particularly relevant data will be sufficient to support nonattainment designations for certain in determining appropriate boundaries, nonattainment designations or other areas of the country for the Pb NAAQS. while factors such as population density appropriate action once quality assured This action is not a ‘‘significant and expected growth were not as and certified. However, the EPA cannot regulatory action’’ under the terms of relevant for the 2008 Pb NAAQS, and finalize nonattainment designations for Executive Orders 12866 (58 FR 51735, thus did not play a significant role in these areas at this time because the data October 4, 1993) and 13563 (76 FR 3821, determining boundaries. In some cases, that were reported to AQS have not yet January 21, 2011) and is therefore not states made a judgment that it was been quality assured and certified and subject to review under those orders. important to follow jurisdictional appropriate nonattainment area B. Paperwork Reduction Act boundaries, particularly where boundaries have not been defined for jurisdictional boundaries smaller than a two of the areas. Therefore, the EPA is This action does not impose an county exist. In other cases, states chose designating these three areas as information collection burden under the to rely primarily on air dispersion unclassifiable until this process can be provisions of the Paperwork Reduction modeling to determine the completed.10 As noted above, there are Act, 44 U.S.C. 3501 et seq. Burden is recommended boundaries for no additional planning or control defined at 5 CFR 1320.3(b). This rule nonattainment areas. In each case, the requirements that apply as a result of an will respond to the requirement to EPA reviewed the state unclassifiable designation, as compared promulgate air quality designations after recommendations and, for the most part, to a designation of ‘‘unclassifiable/ promulgation of a NAAQS. This the EPA has accepted the state’s attainment.’’ requirement is prescribed in the CAA recommendations; however, where the section 107 of title 1. EPA felt that changes were necessary to VIII. How do designations affect Indian a state’s initial recommendation, we country? C. Regulatory Flexibility Act conveyed those issues to the state and This final rule is not subject to the have worked with the state to revise the All counties, partial counties, or Air Regulatory Flexibility Act (RFA), which boundaries. Quality Control Regions listed in the generally requires an agency to prepare table at the end of this document are a regulatory flexibility analysis for any VII. What air quality data has the EPA designated as indicated. For the first rule that will have a significant used? round of Pb designations, the EPA only economic impact on a substantial The final Pb designations contained designated nonattainment areas and number of small entities. The RFA in this action are generally based upon deferred all remaining areas to this applies only to rules subject to notice- air quality monitoring data from second round of Pb designations. All and-comment rulemaking requirements calendar years 2008–2010. As discussed areas in Indian country are being under the Administrative Procedure Act previously, the form of the standard designated unclassifiable/attainment. (APA) or any other statute. This rule is requires comparison of monitoring not subject to notice-and-comment values from up to 36 3-month rolling IX. Where can I find information forming the basis for this rule and requirements under the APA or any averages (i.e., 3 years, plus 2 preceding other statute because the rule is not exchanges between the EPA, states, and months). A violation will have occurred subject to the APA and is subject to tribes related to this rule? if any of the 36 3-month average CAA section 107(d)(2)(B), which does concentrations of either Pb-TSP or Pb- Information providing the basis for not require that the agency issue a PM10 exceeds the level of the NAAQS, this action and related decisions is notice of proposed rulemaking before and a finding of compliance will require provided in the technical support issuing this rule. that all 36 3-month averages of Pb-TSP documents (TSDs), response to 9 D. Unfunded Mandates Reform Act be at or below the level of the NAAQS. comments document, and other Moreover, pursuant to the CAA, the information in the docket. The TSDs, This action contains no federal EPA is making designations as applicable EPA guidance memoranda, mandate under the provisions of Title II expeditiously as practicable. Section copies of correspondence regarding this of the Unfunded Mandates Reform Act 107(d) requires the EPA to designate process between the EPA and the states, of 1995 (UMRA), 2 U.S.C. 1531–1538 for areas as nonattainment if sufficient data tribes, and other parties, and the EPA’s state, local, or tribal governments or the exist to support such a designation. responses to comments, are available for private sector. The action imposes no Due to the timing of the siting of review at the EPA Docket Center listed enforceable duty on any state, local or monitors under the monitoring plan above in the addresses section of this tribal governments or the private sector. established in the 2008 Pb NAAQS rule, document and on our designation Web Therefore, this action is not subject to data are available for several sites for site at http://www.epa.gov/ the requirements of sections 202 and leaddesignations/2008standards/ 205 of the UMRA. For the Pb NAAQS, the design value is the highest This action is also not subject to the 3-month site mean of daily Pb concentrations over requirements of section 203 of UMRA 36 consecutive 3-month means for 3 calendar years. 10 The monitors that have shown apparent 9 For additional details on how to determine violations are the following: AQS ID 04–007–1002 because it contains no regulatory when the 2008 Pb NAAQS have been met, see 40 in Hayden, AZ; AQS ID 47–093–0023 in Knox Co., requirements that might significantly or CFR part 50, Appendix R. TN; and AQS ID 36–071–3002 in Orange Co., NY. uniquely affect small governments. It

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does not create any additional implement the Pb NAAQS. Thus, provided further information to tribes requirements beyond those of the CAA Executive Order 13132 does not apply through presentations at the National and Pb NAAQS (40 CFR 50.16); to this rule. Tribal Forum and through participation therefore, no UMRA analysis is needed. in National Tribal Air Association F. Executive Order 13175: Consultation This rule establishes nonattainment conference calls. The EPA also sent and Coordination With Indian Tribal designations for certain areas of the individualized letters to all federally Governments country for the Pb NAAQS. The CAA recognized tribes that submitted requires states to develop plans, This action is not designating any recommendations to the EPA about the including control measures, based on tribal areas as nonattainment. Executive EPA’s intended designations for the Pb the designations for areas within the Order 13175, entitled ‘‘Consultation and standards and offered tribal leaders the state. Coordination with Indian Tribal opportunity for consultation. These One mandate that may apply as a Governments’’ (65 FR 67249, November communications provided opportunities consequence of this action to all 2, 2000), requires the EPA to develop an for tribes to voice concerns to the EPA designated nonattainment areas is the accountable process to ensure about the general designations process requirement under CAA section 176(c) ‘‘meaningful and timely input by tribal for the Pb NAAQS, as well as concerns and associated regulations to officials in the development of specific to a tribe, and informed the EPA demonstrate general conformity of regulatory policies that have Tribal about key tribal concerns regarding federal actions to SIPs. These rules implications.’’ This action does not have designations as the rule was under apply to federal agencies making tribal implications, as specified in development. conformity determinations. The EPA Executive Order 13175 (65 FR 67249, concludes that such conformity November 9, 2000). This rule concerns G. Executive Order 13045: Protection of determinations will not cost $100 the designation of areas for the Pb Children from Environmental Health million or more in the aggregate. NAAQS. The CAA provides for states and Safety Risks The EPA believes that any new and eligible tribes to develop plans to The action is not subject to Executive controls imposed as a result of this regulate emissions of air pollutants Order 13045 (62 FR 19885, April 23, action will not cost in the aggregate within their areas based on their 1997) because it is not economically $100 million or more annually. Thus, designations. The TAR provides tribes significant as defined in Executive this federal action will not impose the opportunity to apply for eligibility Order 12866. However, the protection mandates that will require expenditures to develop and implement CAA offered by the Pb NAAQS may be of $100 million or more in the aggregate programs such as programs to attain and especially important for children in any 1 year. maintain the Pb NAAQS, but it leaves because neurological effects in children Nonetheless, the EPA communicated to the discretion of the tribe the decision are among if not the most sensitive with government entities affected by of whether to develop and implement health endpoints for Pb exposure. this rule, including states, tribal which programs, or appropriate Because children are considered a governments, and local air pollution elements of a program, the tribe will sensitive population, in setting the Pb control agencies. seek to adopt. This rule does not have NAAQS we carefully evaluated the a substantial direct effect on one or E. Executive Order 13132: Federalism environmental health effects of more Indian tribes. It does not create exposure to Pb pollution among Executive Order 13132, entitled any additional requirements beyond children. These effects and the size of ‘‘Federalism’’ (64 FR 43255, August 10, those of the Pb NAAQS (40 CFR 50.16). the population affected are summarized 1999), requires the EPA to develop an This rule establishes the designation for in the EPA’s 2006 Air Quality Criteria accountable process to ensure most areas of the country for the Pb Document for Pb and in the proposed meaningful and timely input by state NAAQS but no areas in Indian country and final Pb NAAQS rules. See http:// and local officials in the development of are being designated as nonattainment www.epa.gov/airquality/lead/fr/ regulatory policies that have federalism under this rule. Additionally, no tribe 20081112.pdf. implications. ‘‘Policies that have has implemented a CAA program to federalism implications’’ is defined in attain the Pb NAAQS at this time. H. Executive Order 13211: Actions That the Executive Order to include Furthermore, this rule does not affect Significantly Affect Energy Supply, regulations that have ‘‘substantial direct the relationship or distribution of power Distribution, or Use effects on the states, or the relationship and responsibilities between the federal This action is not subject to Executive between the national government and government and Indian tribes. The CAA Order 13211 (66 FR 28355 (May 22, the states, or on the distribution of and the TAR establish the relationship 2001)), because it is not a significant power and responsibilities among the of the federal government and tribes in regulatory action under Executive Order various levels of government.’’ developing plans to attain the NAAQS, 12866. This final rule does not have and this rule does nothing to modify federalism implications. It will not have that relationship. Because this rule does I. National Technology Transfer and substantial direct effects on the states, not have tribal implications, Executive Advancement Act (NTTAA) on the relationship between the national Order 13175 does not apply. Section 12(d) of the NTTAA of 1995, government and the states, or on the Although Executive Order 13175 does Public Law 104–113, section 12(d) (15 distribution of power and not apply to this rule, the EPA U.S.C. 272 note) directs the EPA to use responsibilities among the various communicated with tribal leaders and voluntary consensus standards (VCS) in levels of government, as specified in environmental staff regarding the its regulatory activities unless to do so Executive Order 13132. The CAA designations process. The EPA also sent would be inconsistent with applicable establishes the process whereby states individualized letters to all federally law or otherwise impracticable. take primary responsibility in recognized tribes to explain the Voluntary consensus standards are developing plans to meet the Pb designation process for the 2008 Pb technical standards (e.g., materials NAAQS. This rule will not modify the NAAQS, to provide the EPA specifications, test methods, sampling relationship of the states and the EPA designations guidance, and to offer procedures, and business practices) that for purposes of developing programs to consultation with the EPA. The EPA are developed or adopted by VCS

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bodies. The NTTAA directs the EPA to until 60 days after it is published in the 95–294 at 323, 324, reprinted in 1977 provide Congress, through OMB, Federal Register. This action is not a U.S.C.C.A.N. 1402–03. Here, the scope explanations when the agency decides ‘‘major rule’’ as defined by 5 U.S.C. and effect of this rulemaking extends to not to use available and applicable VCS. 804(2). This rule will be effective numerous judicial circuits since the This action does not involve technical December 31, 2011. designations apply to areas across the standards. Therefore, the EPA did not country. In these circumstances, section L. Judicial Review consider the use of any VCS. 307(b)(1) and its legislative history calls J. Executive Order 12898: Federal Section 307 (b) (1) of the CAA for the Administrator to find the rule to Actions to Address Environmental indicates which Federal Courts of be of ‘‘nationwide scope or effect’’ and Justice in Minority Populations and Appeal have venue for petitions of for venue to be in the D.C. Circuit. Low-Income Populations review of final actions by the EPA. This Thus, any petitions for review of final section provides, in part, that petitions designations must be filed in the Court Executive Order 12898 (59 FR 7629 for review must be filed in the Court of of Appeals for the District of Columbia (Feb. 16, 1994)) establishes federal Appeals for the District of Columbia Circuit within 60 days from the date executive policy on environmental Circuit: (i) When the agency action final action is published in the Federal justice. Its main provision directs consists of ‘‘nationally applicable Register. federal agencies, to the greatest extent regulations promulgated, or final actions practicable and permitted by law, to taken, by the Administrator,’’ or (ii) List of Subjects in 40 CFR Part 81 make environmental justice part of their when such action is locally or regionally Environmental protection, Air mission by identifying and addressing, applicable, if ‘‘such action is based on pollution control, National parks, as appropriate, disproportionately high a determination of nationwide scope or Wilderness areas. and adverse human health or effect and if in taking such action the Dated: November 8, 2011. environmental effects of their programs, Administrator finds and publishes that Lisa P. Jackson, policies, and activities on minority such action is based on such a populations and low-income determination.’’ Administrator. populations in the U.S. For the reasons set forth in the The EPA has determined that this This rule designating areas for the 2008 Pb NAAQS is ‘‘nationally preamble, 40 CFR part 81, is amended final rule will not have as follows: disproportionately high and adverse applicable’’ within the meaning of human health or environmental effects section 307(b)(1). This rule establishes PART 81—DESIGNATIONS OF AREAS on any population, including minority designations for areas across the U.S. for FOR AIR QUALITY PLANNING or low-income populations. the 2008 Pb NAAQS. At the core of this PURPOSES rulemaking is the EPA’s interpretation K. Congressional Review Act of the definition of nonattainment under ■ 1. The authority citation for part 81 The Congressional Review Act, 5 section 107(d)(1) of the CAA, and its continues to read as follows: application of that interpretation to U.S.C. 801 et seq., as added by the Small Authority: 42 U.S.C. 7401, et seq. Business Regulatory Enforcement areas across the country. Fairness Act of 1996, generally provides For the same reasons, the Subpart C—[Amended] that before a rule may take effect, the Administrator also is determining that agency promulgating the rule must the final designations are of nationwide ■ 2. Section 81.301 is amended as submit a rule report, which includes a scope and effect for the purposes of follows: copy of the rule, to each House of the section 307(b)(1). This is particularly ■ a. By removing the table entitled Congress and to the Comptroller General appropriate because, in the report on the ‘‘Alabama—Lead.’’ of the U.S. The EPA will submit a report 1977 Amendments that revised section ■ b. By adding two tables entitled containing this rule and other required 307(b)(1) of the CAA, Congress noted ‘‘Alabama—1978 Lead NAAQS’’ and information to the U.S. Senate, the U.S. that the Administrator’s determination ‘‘Alabama—2008 Lead NAAQS’’ to the House of Representatives, and the that an action is of ‘‘nationwide scope end of the section. Comptroller General of the U.S. prior to or effect’’ would be appropriate for any publication of the rule in the Federal action that has a scope or effect beyond § 81.301 Alabama. Register. A major rule cannot take effect a single judicial circuit. H.R. Rep. No. * * * * *

ALABAMA—1978 LEAD NAAQS

Designation Classification Designated area Date Type Date Type

Statewide ...... 3/7/95 Attainment.

ALABAMA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Troy, AL: Pike County (part) Area is bounded by a 0.8 mile radius from a center point at 12/31/10 Nonattainment. latitude 31.78627106 North and longitude 85.97862228 West, which fully in- cludes the Sanders Lead facility.

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ALABAMA—2008 LEAD NAAQS—Continued

Designation for the 2008 NAAQS a Designated area Date 1 Type

Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 3. Section 81.302 is amended by Lead NAAQS’’ to the end of the section § 81.302 Alaska. adding a table entitled ‘‘Alaska—2008 to read as follows: * * * * *

ALASKA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 4. Section 81.303 is amended by Lead NAAQS’’ to the end of the section § 81.303 Arizona. adding a table entitled ‘‘Arizona—2008 to read as follows: * * * * *

ARIZONA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Hayden, AZ: Gila County (part) ...... Unclassifiable. The portions of Gila County that are bounded by: T4S,R15E; T4S,R16E (except those por- tions in the San Carlos Indian Reservation); T5S,R15E; T5S,R16E (except those portions in the San Carlos Indian Reservation). Pinal County (part) ...... Unclassifiable. The portions of Pinal County that are bounded by: T4S,R14E; T4S, R15E; T4S,R16E (except those portions in the San Carlos Indian Reservation); T5S,R14E; T5S,R15E; T5S,R16E (except those portions in the San Carlos Indian Reservation); T6S,R14E; T6S,R15E; T6S,R16E (except those portions in the San Carlos Indian Reservation). Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 5. Section 81.304 is amended by Lead NAAQS’’ to the end of the section § 81.304 Arkansas. adding a table entitled ‘‘Arkansas—2008 to read as follows: * * * * *

ARKANSAS—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 6. Section 81.305 is amended as ■ b. By adding a table entitled § 81.305 California. follows: ‘‘California—2008 Lead NAAQS’’ to the * * * * * ■ a. By removing the table entitled end of the section to read as follows: ‘‘California—Lead.’’

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CALIFORNIA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Los Angeles County—South Coast Air Basin, CA: Los Angeles County (part) ...... 12/31/10 Nonattainment. That portion of Los Angeles County which lies south and west of line described as fol- lows: Beginning at the Los Angeles-San Bernardino County boundary and running west along the Township line common to Township 3 North and Township 2 North, San Bernardino Base and Meridian; then North along the range line common to Range 8 West and Range 9 West; then west along the Township line common to Township 4 North and Township 3 North; then north along the range line common to Range 12 West and Range 13 West to the southeast corner of Section 12, Township 5 North and Range 13 West; then west along the south boundaries of Sections 12, 11, 10, 9, 8, and 7, Township 5 North and Range 13 West to the boundary of the An- geles National Forest which is collinear with the range line common to Range 13 West and Range 14 West; then north and west along the Angeles National Forest boundary to the point of intersection with the Township line common to Township 7 North and Township 6 North (point is at the northwest corner of Section 4 in Township 6 North and Range 14 West); then west along the Township line common to Township 7 North and Township 6 North; then north along the range line common to Range 15 West and Range 16 West to the southeast corner of Section 13, Township 7 North and Range 16 West; then along the south boundaries of Sections 13, 14, 15, 16, 17 and 18, Township 7 North and Range 16 West; then north along the range line com- mon to Range 16 West and Range 17 West to the north boundary of the Angeles Na- tional Forest (collinear with The Township line common to Township 8 North and Township 7 North); then west and north along the Angeles National Forest boundary to the point of intersection with the south boundary of the Rancho La Liebre Land Grant; then west and north along this land grant boundary to the Los Angeles-Kern County boundary. Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 7. Section 81.306 is amended by Lead NAAQS’’ to the end of the section § 81.306 Colorado. adding a table entitled ‘‘Colorado—2008 to read as follows: * * * * *

COLORADO—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 8. Section 81.307 is amended by 2008 Lead NAAQS’’ to the end of the § 81.307 Connecticut. adding a table entitled ‘‘Connecticut— section to read as follows: * * * * *

CONNECTICUT—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 9. Section 81.308 is amended by Lead NAAQS’’ to the end of the section § 81.308 Delaware. adding a table entitled ‘‘Delaware—2008 to read as follows: * * * * *

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DELAWARE—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 10. Section 81.309 is amended by Columbia—2008 Lead NAAQS’’ to the § 81.309 District of Columbia. adding a table entitled ‘‘District of end of the section to read as follows: * * * * *

DISTRICT OF COLUMBIA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 11. Section 81.310 is amended as ■ b. By adding two tables entitled § 81.310 Florida. follows: ‘‘Florida—1978 Lead NAAQS’’ and * * * * * ■ a. By removing the table entitled ‘‘Florida—2008 Lead NAAQS’’ to the ‘‘Florida—Lead.’’ end of the section.

FLORIDA—1978 LEAD NAAQS

Designation Classification Designated area Date Type Date Type

Hillsborough County (part) 1/6/92 Unclassifiable. The area encompassed within a radius of (5) kil- ometers centered at UTM coordinates: 364.0 East, 3093.5 North, zone 17 (in city of Tampa). Rest of State Not Designated.

FLORIDA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Tampa, FL: Hillsborough County (part) ...... 12/31/10 Nonattainment. Area is located within a 1.5 km radius centered at UTM coordinates 364104 meters E, 3093830 meters N, Zone 17, which surrounds the EnviroFocus Technologies facility. Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 12. Section 81.311 is amended as the table heading ‘‘Georgia—1978 Lead § 81.311 Georgia. follows: NAAQS.’’ * * * * * ■ ■ a. By removing the table heading b. By adding a table entitled ‘‘Georgia—2008 Lead NAAQS’’ to the ‘‘Georgia—Lead’’ and adding in its place end of the section.

GEORGIA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified.

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1 December 31, 2011 unless otherwise noted.

■ 13. Section 81.312 is amended by Lead NAAQS’’ to the end of the section § 81.312 Hawaii. adding a table entitled ‘‘Hawaii—2008 to read as follows: * * * * *

HAWAII—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 14. Section 81.313 is amended by Lead NAAQS’’ to the end of the section § 81.314 Idaho. adding a table entitled ‘‘Idaho—2008 to read as follows: * * * * *

IDAHO—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 15. Section 81.314 is amended as ■ b. By adding a table entitled § 81.314 Illinois. follows: ‘‘Illinois—2008 Lead NAAQS’’ to the * * * * * ■ a. By removing the table entitled end of the section to read as follows: ‘‘Illinois—Lead.’’

ILLINOIS—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Chicago, IL: Cook County (part) ...... Nonattainment. Area bounded by Damen Ave. on the west, Roosevelt Rd. on the north, the Dan Ryan Expressway on the east, and the Stevenson Expressway on the south. Granite City, IL: Madison County (part) ...... 12/31/10 Nonattainment. Area is bounded by Granite City Township and Venice Township. Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 16. Section 81.315 is amended as ■ b. By adding two tables entitled § 81.315 Indiana. follows: ‘‘Indiana—1978 Lead NAAQS’’ and * * * * * ■ a. By removing the table entitled ‘‘Indiana—2008 Lead NAAQS’’ to the ‘‘Indiana—Lead.’’ end of the section.

INDIANA—1978 LEAD NAAQS

Designation Classification Designated area Date Type Date Type

Marion County (Part)— 7/10/00 Attainment. Part of Franklin Township: Thompson Road on the south; Emerson Avenue on the west; Five Points Road on the east; and Troy Avenue on the north. Marion County (Part)— 7/10/00 Attainment.

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INDIANA—1978 LEAD NAAQS—Continued

Designation Classification Designated area Date Type Date Type

Part of Wayne Township: Rockville Road on the north; Girls School Road on the east; Wash- ington Street on the south; and Bridgeport Road on the west. Rest of State Not Designated.

INDIANA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Muncie, IN: Delaware County (part) ...... 12/31/10 Nonattainment. A portion of the City of Muncie, Indiana bounded to the North by West 26th Street/Hines Road, to the east by Cowan Road, to the south by West Fuson Road, and to the west by a line running south from the eastern edge of Victory Temple’s driveway to South Hoyt Avenue and then along South Hoyt Avenue. Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 17. Section 81.316 is amended by Lead NAAQS’’ to the end of the section § 81.316 Iowa. adding a table entitled ‘‘Iowa—2008 to read as follows: * * * * *

IOWA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Pottawattamie, IA: Pottawattamie County (part) ...... Nonattainment. Area bounded by Avenue G on the north, N 16th/S 16th street on the east, 23rd Avenue on the south, and N 35th/S 35th street on the west. Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 18. Section 81.317 is amended by Lead NAAQS’’ to the end of the section § 81.317 Kansas. adding a table entitled ‘‘Kansas—2008 to read as follows: * * * * *

KANSAS—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Saline County, KS: Saline County (part) ...... Nonattainment. Area bounded by Schilling Rd. on the north, 1⁄4 mile west of S. Ohio St. on the east, Water Well Rd. on the south, and 9th Street on the west. Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 19. Section 81.318 is amended by 2008 Lead NAAQS’’ to the end of the § 81.318 Kentucky. adding a table entitled ‘‘Kentucky— section to read as follows: * * * * *

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KENTUCKY—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 20. Section 81.319 is amended as place table heading ‘‘Louisiana—1978 § 81.319 Louisiana. follows: Lead NAAQS.’’ * * * * * ■ ■ a. By removing the table heading b. By adding a table to the end of the section entitled ‘‘Louisiana—2008 Lead ‘‘Louisiana—Lead’’ and adding in its NAAQS.’’

LOUISIANA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 21. Section 81.320 is amended by Lead NAAQS’’ to the end of the section § 81.320 Maine. adding a table entitled ‘‘Maine—2008 to read as follows: * * * * *

MAINE—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 22. Section 81.321 is amended by 2008 Lead NAAQS’’ to the end of the § 81.321 Maryland. adding a table entitled ‘‘Maryland— section to read as follows: * * * * *

MARYLAND—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 23. Section 81.322 is amended by ‘‘Massachusetts—2008 Lead NAAQS’’ to § 81.322 Massachusetts. adding a table entitled the end of the section to read as follows: * * * * *

MASSACHUSETTS—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 24. Section 81.323 is amended by Lead NAAQS’’ to the end of the section § 81.323 Michigan. adding a table entitled ‘‘Michigan—2008 to read as follows: * * * * *

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MICHIGAN—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Belding, MI: Ionia County (part) ...... Nonattainment. The area bounded by the following coordinates: Southeast corner by latitude 43.0956705 N and longitude 85.2130771 W; southwest corner (intersection of S. Broas St. and W. Washington St.) by latitude 43.0960358 N and longitude 85.2324027 W; northeast corner by latitude 43.1074942 N and longitude 85.2132313 W; western boundary 1 (intersection of W. Ellis St. and the vertical extension of S. Broas St.) by latitude 43.1033277 N and longitude 85.2322553 W; western boundary 2 (intersection of W. Ellis St. and N. Bridge St.) by latitude 43.1033911 N and longitude 85.2278464 W; western boundary 3 (intersection of N. Bridge St. and Earle St.) by latitude 43.1074479 N and longitude 85.2279722 W. Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 25. Section 81.324 is amended as ■ b. By adding two tables entitled § 81.324 Minnesota. follows: ‘‘Minnesota—1978 Lead NAAQS’’ and * * * * * ■ a. By removing the table entitled ‘‘Minnesota—2008 Lead NAAQS’’ to the ‘‘Minnesota—Lead.’’ end of the section.

MINNESOTA—1978 LEAD NAAQS

Designation Classification Designated area Date Type Date Type

Dakota County ...... 12/19/94 Attainment. Rest of State not designated.

MINNESOTA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Eagan, MN: Dakota County (part) ...... 12/31/10 Nonattainment. Portions of Dakota County that are bounded by: Lone Oak Rd. (County Rd. 26) to the north, County Rd. 63 to the east, Wescott Rd. to the south, and Lexington Ave. (County Rd. 43) to the west. Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 26. Section 81.325 is amended by 2008 Lead NAAQS’’ to the end of the § 81.325 Mississippi. adding a table entitled ‘‘Mississippi— section to read as follows: * * * * *

MISSISSIPPI—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 27. Section 81.326 is amended as ■ b. By adding two tables entitled § 81.326 Missouri. follows: ‘‘Missouri—1978 Lead NAAQS’’ and * * * * * ■ a. By removing the table entitled ‘‘Missouri—2008 Lead NAAQS’’ to the ‘‘Missouri—Lead.’’ end of the section.

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MISSOURI—1978 LEAD NAAQS

Designation Classification Designated area Date Type Date Type

Iron County (part) Within boundaries of Dent Township ...... 10/18/00 Attainment. Iron County (part) Within boundaries of Liberty and Arcadia Town- 10/29/04 Attainment. ships. Jefferson County (part) Within city limits of Herculaneum ...... 1/6/92 Nonattainment. Dent County ...... 1/6/92 Unclassifiable. Holt County ...... 1/6/92 Unclassifiable. Rest of State Not Designated.

MISSOURI—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Iron, Dent, and Reynolds Counties, MO: Dent County (part) ...... 2/31/10 Nonattainment. Sections 4, 9, 16, 21, 28, 33 of T34N, R2W. Iron County (part) ...... 12/31/10 Nonattainment. Sections 6–7, 18–19, 30–32 of T34N, R1W and Sections 1–3, 10–15, 22–27, 34–36 of T34N, R2W. Reynolds County (part) ...... 12/31/10 Nonattainment. Sections 5–7 of T33N, R1W and Sections 1–3, 10–12 of T33N, R2W. Jefferson County, MO: Jefferson County (part) ...... 12/31/10 Nonattainment. Within city limits of Herculaneum. Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 28. Section 81.327 is amended as place table heading ‘‘Montana—1978 § 81.327 Montana. follows: Lead NAAQS.’’ * * * * * ■ ■ a. By removing the table heading b. By adding a table to the end of the section entitled ‘‘Montana—2008 Lead ‘‘Montana—Lead’’ and adding in its NAAQS.’’

MONTANA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 29. Section 81.328 is amended as place table heading ‘‘Nebraska—1978 § 81.328 Nebraska. follows: Lead NAAQS.’’ * * * * * ■ ■ a. By removing the table heading b. By adding a table to the end of the section entitled ‘‘Nebraska—2008 Lead ‘‘Nebraska—Lead’’ and adding in its NAAQS.’’

NEBRASKA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

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■ 30. Section 81.329 is amended by Lead NAAQS’’ to the end of the section § 81.329 Nevada. adding a table entitled ‘‘Nevada—2008 to read as follows: * * * * *

NEVADA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 31. Section 81.330 is amended by Hampshire—2008 Lead NAAQS’’ to the § 81.330 New Hampshire. adding a table entitled ‘‘New end of the section to read as follows: * * * * *

NEW HAMPSHIRE—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 32. Section 81.331 is amended by 2008 Lead NAAQS’’ to the end of the § 81.331 New Jersey. adding a table entitled ‘‘New Jersey— section to read as follows: * * * * *

NEW JERSEY—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 33. Section 81.332 is amended by 2008 Lead NAAQS’’ to the end of the § 81.332 New Mexico. adding a table entitled ‘‘New Mexico— section to read as follows: * * * * *

NEW MEXICO—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 34. Section 81.333 is amended as place table heading ‘‘New York—1978 § 81.333 New York. follows: Lead NAAQS.’’ * * * * * ■ ■ a. By removing the table heading b. By adding a table entitled ‘‘New York—2008 Lead NAAQS’’ to the end of ‘‘New York—Lead’’ and adding in its the section.

NEW YORK—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designation area Date 1 Type

Orange County, NY: Orange County ...... Unclassifiable. Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified.

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1 December 31, 2011 unless otherwise noted.

■ 35. Section 81.334 is amended by Carolina—2008 Lead NAAQS’’ to the § 81.334 North Carolina. adding a table entitled ‘‘North end of the section to read as follows: * * * * *

NORTH CAROLINA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 36. Section 81.335 is amended by 2008 Lead NAAQS’’ to the end of the § 81.335 North Dakota. adding a table entitled ‘‘North Dakota— section to read as follows: * * * * *

NORTH DAKOTA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 37. Section 81.336 is amended as ■ b. By adding two tables entitled § 81.336 Ohio. follows: ‘‘Ohio—1978 Lead NAAQS’’ and * * * * * ■ a. By removing the table entitled ‘‘Ohio—2008 Lead NAAQS’’ to the end ‘‘Ohio—Lead.’’ of the section to read as follows:

OHIO—1978 LEAD NAAQS

Designation Classification Designated area Date Type Date Type

Cuyahoga County (part) Subcounty area in the vicinity of Master Metals .. 1/6/92 Unclassifiable. On the west by Interstate 71, on the north by the Conrail tracks, on the east by Interstate 77, and on the south by a line running from the intersection of Interstate 71 and Clark Avenue to the intersection of Interstate 77 and Pershing Avenue. Rest of State Not Designated.

OHIO—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Bellefontaine, OH: Logan County (part) ...... 12/31/10 Nonattainment. The portions of Logan County that are bounded by: sections 27, 28, 33, and 34 of Lake Township. Cleveland, OH: Cuyahoga County (part) ...... 12/31/10 Nonattainment. The portions of Cuyahoga County that are bounded on the west by Washington Park Blvd./Crete Ave./East 49th St., on the east by East 71st St., on the north by Fleet Ave., and on the south by Grant Ave. Delta, OH: Fulton County (part) ...... 12/31/10 Nonattainment. The portions of Fulton County that are bounded by: sections 12 and 13 of York Town- ship and sections 7 and 18 of Swan Creek Township. Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified.

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1 December 31, 2011 unless otherwise noted.

■ 38. Section 81.337 is amended by 2008 Lead NAAQS’’ to the end of the § 81.337 Oklahoma. adding a table entitled ‘‘Oklahoma— section to read as follows: * * * * *

OKLAHOMA—2008 LEAD NAAQS

Designation for the 2008 NAAQS Designated area Date1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 39. Section 81.338 is amended by Lead NAAQS’’ to the end of the section § 81.338 Oregon. adding a table entitled ‘‘Oregon—2008 to read as follows: * * * * *

OREGON—2008 LEAD NAAQS

Designation for the 2008 NAAQS Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 40. Section 81.339 is amended as ■ b. By adding a table entitled § 81.339 Pennsylvania. follows: ‘‘Pennsylvania—2008 Lead NAAQS’’ to * * * * * ■ a. By removing the table entitled the end of the section to read as follows: ‘‘Pennsylvania—Lead.’’

PENNSYLVANIA—2008 LEAD NAAQS

Designation for the 2008 NAAQS Designated area Date 1 Type

Lower Beaver Valley, PA: Beaver County (part) ...... 2 12/31/10 Nonattainment. Area is bounded by Potter Township, Vanport Township, and Center Township. Lyons, PA: Berks County (part) ...... 12/31/10 Nonattainment. Area is bounded by Kutztown Borough, Lyons Borough, Maxatawny Township and Rich- mond Township. North Reading, PA: Berks County (part) ...... 12/31/10 Nonattainment. Area is bounded by Alsace Township, Laureldale Borough, and Muhlenberg Township. Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted. 2 Center Township was included in the nonattainment area as of 12/31/11.

■ 41. Section 81.340 is amended by 2008 Lead NAAQS’’ to the end of the § 81.340 Rhode Island. adding a table entitled ‘‘Rhode Island— section to read as follows: * * * * *

RHODE ISLAND—2008 LEAD NAAQS

Designation for the 2008 NAAQS Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

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■ 42. Section 81.341 is amended by Carolina—2008 Lead NAAQS’’ to the § 81.341 South Carolina. adding a table entitled ‘‘South end of the section to read as follows: * * * * *

SOUTH CAROLINA—2008 LEAD NAAQS

Designation for the 2008 NAAQS Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 43. Section 81.342 is amended by 2008 Lead NAAQS’’ to the end of the § 81.342 South Dakota. adding a table entitled ‘‘South Dakota— section to read as follows: * * * * *

SOUTH DAKOTA—2008 LEAD NAAQS

Designation for the 2008 NAAQS Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 44. Section 81.343 is amended as ■ b. By adding two tables entitled § 81.343 Tennessee. follows: ‘‘Tennessee—1978 Lead NAAQS’’ and * * * * * ■ a. By removing the table entitled ‘‘Tennessee—2008 Lead NAAQS’’ to the ‘‘Tennessee—Lead.’’ end of the section.

TENNESSEE—1978 LEAD NAAQS

Designation Classification Designated area Date Type Date Type

Shelby County (part) ...... 7/2/01 Attainment. Area encompassed by a circle with a 3⁄4 mile ra- dius with center being the intersection of Castex and Mallory Avenue, Memphis, TN. Williamson County (part) ...... 9/10/99 Attainment. Area encompassed by a circle centered on Uni- versal Transverse Mercator coordinate 530.38 E, 3961.60 N (Zone 16) with a radius of 1.5 kilometers. Fayette County (part) ...... 10/17/95 Attainment. Area encompassed by a circle centered on Uni- versal Transverse Mercator coordinate 267.59 E, 3881.30 N (Zone 16) with a radius of 1.0 kilometers. Rest of State Not Designated.

TENNESSEE—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Bristol, TN: Sullivan County (part) ...... 12/31/10 Nonattainment. Area is bounded by a 1.25 km radius surrounding the UTM coordinates 4042923 meters E, 386267 meters N, Zone 17, which surrounds the Exide Technologies Facility. Knox County, TN: Knox County ...... Unclassifiable. Rest of State ...... Unclassifiable/Attainment.

a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

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■ 45. Section 81.344 is amended as ■ b. By adding two tables entitled ‘‘Texas—2008 Lead NAAQS’’ to the end follows: ‘‘Texas—1978 Lead NAAQS’’ and of the section. ■ a. By removing the table entitled ‘‘Texas—Lead.’’ § 81.344 Texas.

TEXAS–1978 LEAD NAAQS

Designation Classification Designated area Date Type Date Type

Collin County (all) ...... 12/13/99 Attainment. Eastside: Starting at the intersection of south Fifth St. and the fence line approximately 1000′ south of the GNB property line going north to the intersection of south Fifth St. and Eubanks St.; Northside: Proceeding west on Eubanks to the Bur- lington Railroad tracks; Westside: Along Burlington Railroad tracks to the fence line approximately 1000′ south of the GNB property line; Southside: Fence line approximately 1000′ south of the GNB property line. Bexar County (part) Northside: Starting at intersection of Loop 1604 and Nelson Gardens Road and along the Nel- son Gardens Road to Covel Road; Eastside: Along Covel Road to Pearsall Road and along Pearsall Road to Nelson Road; Southside: Along Nelson Road to where it intersects with Loop 1604; Westside: Along Loop 1604 where it intersects with Nelson Gardens Road. Rest of State Not Designated. 1 This date is November 15, 1990, unless otherwise noted.

TEXAS—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Frisco, TX: Collin County (part) 12/31/10 Nonattainment. The area immediately surrounding the Exide Technologies battery recycling plant in Fris- co, bounded to the north by latitude 33.153 North, to the east by longitude 96.822 West, to the south by latitude 33.131 North, and to the west by longitude 96.837 West. Rest of State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 46. Section 81.345 is amended by Lead NAAQS’’ to the end of the section § 81.345 Utah. adding a table entitled ‘‘Utah—2008 to read as follows: * * * * *

UTAH—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment.

a Includes Indian Country located in each county or area, except as otherwise specified.

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1 December 31, 2011 unless otherwise noted.

■ 47. Section 81.346 is amended by Lead NAAQS’’ to the end of the section § 81.346 Vermont. adding a table entitled ‘‘Vermont—2008 to read as follows: * * * * *

VERMONT—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 48. Section 81.347 is amended by Lead NAAQS’’ to the end of the section § 81.347 Virginia. adding a table entitled ‘‘Virginia—2008 to read as follows: * * * * *

VIRGINIA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 49. Section 81.348 is amended by 2008 Lead NAAQS’’ to the end of the § 81.348 Washington. adding a table entitled ‘‘Washington— section to read as follows: * * * * *

WASHINGTON—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 50. Section 81.349 is amended by 2008 Lead NAAQS’’ to the end of the § 81.349 West Virginia. adding a table entitled ‘‘West Virginia— section to read as follows: * * * * *

WEST VIRGINIA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 51. Section 81.350 is amended by 2008 Lead NAAQS’’ to the end of the § 81.350 Wisconsin. adding a table entitled ‘‘Wisconsin— section to read as follows: * * * * *

WISCONSIN—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment.

a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

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■ 52. Section 81.351 is amended by 2008 Lead NAAQS’’ to to the end of the § 81.351 Wyoming. adding a table entitled ‘‘Wyoming— section read as follows: * * * * *

WYOMING—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 53. Section 81.352 is amended by Samoa—2008 Lead NAAQS’’ to the end § 81.352 American Samoa. adding a table entitled ‘‘American of the section to read as follows: * * * * *

AMERICAN SAMOA—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 54. Section 81.353 is amended by Lead NAAQS’’ to the end of the section § 81.353 Guam. adding a table entitled ‘‘Guam—2008 to read as follows: * * * * *

GUAM—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 55. Section 81.354 is amended by to the end of the section to read as § 81.354 Northern Mariana Islands. adding a table entitled ‘‘Northern follows: * * * * * Mariana Islands—2008 Lead NAAQS’’

NORTHERN MARIANA ISLANDS—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

■ 56. Section 81.355 is amended by 2008 Lead NAAQS’’ to the end of the § 81.355 Puerto Rico. adding a table entitled ‘‘Puerto Rico— section to read as follows: * * * * *

PUERTO RICO—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Arecibo, PR: Arecibo Municipio (part) ...... Nonattainment. Area bounded by 4 km from the boundaries of the Battery Recycling Company facility. Rest of State ...... Unclassifiable/Attainment.

a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

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■ 57. Section 81.356 is amended by 2008 Lead NAAQS’’ to the end of the § 81.356 Virgin Islands. adding a table entitled ‘‘Virgin Islands— section to read as follows: * * * * *

VIRGIN ISLANDS—2008 LEAD NAAQS

Designation for the 2008 NAAQS a Designated area Date 1 Type

Whole State ...... Unclassifiable/Attainment. a Includes Indian Country located in each county or area, except as otherwise specified. 1 December 31, 2011 unless otherwise noted.

[FR Doc. 2011–29460 Filed 11–21–11; 8:45 am] disclosure is restricted by statute. II. What does this amendment do? BILLING CODE 6560–50–P Certain other material, such as This action amends the date by which copyrighted material, is not placed on farms as defined in section 112.2 must the internet and will be publicly prepare or amend, and implement their ENVIRONMENTAL PROTECTION available only in hard copy form. SPCC Plan to May 10, 2013. A farm is AGENCY Publicly available docket materials are defined in this section as a facility on available either electronically through 40 CFR Part 112 a tract of land devoted to the production http://www.regulations.gov or in hard of crops or raising of animals, including [EPA–HQ–OPA–2011–0838; FRL–9494–8] copy at the RCRA Docket, EPA/DC, EPA fish, which produced and sold, or West, Room 3334, 1301 Constitution RIN 2050–AG69 normally would have produced and Ave. NW., Washington, DC. The Public sold, $1,000 or more of agricultural Oil Pollution Prevention; Spill Reading Room is open from 8:30 a.m. to products during a year. Prevention, Control, and 4:30 p.m., Monday through Friday, On June 19, 2009 (74 FR 29136), EPA Countermeasure (SPCC) Rule— excluding legal holidays. The telephone issued a final rule in the Federal Compliance Date Amendment for number for the Public Reading Room is Register that amended the dates by Farms (202) 566–1744, and the telephone which facilities must prepare or amend number for the RCRA Docket is (202) their SPCC Plans, and implement those AGENCY: Environmental Protection 566–1744. Plans to November 10, 2010. On October Agency (EPA). FOR FURTHER INFORMATION CONTACT: For 14, 2010 (75 FR 63093), EPA issued a ACTION: Final rule. general information, contact the final rule in the Federal Register with Superfund, TRI, EPCRA, RMP and Oil a new compliance date of November 10, SUMMARY: EPA (or the Agency) is taking Information Center at (800) 424–9346 or 2011, by which certain facilities must final action to amend the date by which TDD (800) 553–7672 (hearing impaired). prepare or amend, and implement their farms must prepare or amend, and In the Washington, DC metropolitan SPCC Plans, providing an additional implement their Spill Prevention, area, call (703) 412–9810 or TDD (703) year for the remaining facilities. On Control, and Countermeasure Plans to 412–3323. For more detailed October 18, 2011, EPA issued a direct May 10, 2013. The date is being information on specific aspects of this final rule (76 FR 64245) and a amended because a large segment of the final rule, contact either Lynn Beasley at concurrent proposed rule (76 FR 64296), continental U.S. was affected by (202) 564–1965 ([email protected]) in the Federal Register that amended flooding during the spring and summer or Mark W. Howard at (202) 564–1964 the dates by which farms must prepare of 2011, and other areas were impacted ([email protected]), U.S. or amend their SPCC Plans, and by devastating fires and drought Environmental Protection Agency, 1200 implement those Plans to May 10, 2013. conditions. In addition, despite the Pennsylvania Avenue NW., Washington, Prior to the close of the public targeted farm outreach efforts by EPA DC 20460–0002, Mail Code 5104A. comment period for the concurrent over the past ten months, the sheer SUPPLEMENTARY INFORMATION: proposed rule, the Agency received number of farms throughout the U.S. written adverse comments concerning makes it a challenge to reach those I. Does this action apply to me? the amended compliance dates. This owners and operators of farms that may final rule supersedes any and all prior Industry sector NAICS code be subject to the SPCC Plan regulations. published rules, including the direct As a result, the Agency believes that Farms ...... 111, 112 final rule, in extending the compliance farms need additional time to come into Government ...... 92 date to May 10, 2013 for the owners or compliance with the requirements to operators of farms as defined in 40 CFR prepare or amend and implement a This table is not intended to be 112.2. We have addressed the public SPCC Plan. exhaustive, but rather provides a guide comments in the Response to Comment DATES: This rule is effective on for readers regarding entities likely to be section of this preamble. This action November 22, 2011. regulated by this action. This table lists further extends the compliance date to ADDRESSES: EPA has established a the types of entities that EPA is now May 10, 2013 for the owners or docket for this action under Docket ID aware could potentially be regulated by operators of farms as defined in 40 CFR No. EPA–HQ–OPA–2011–0838. All this action. Other types of entities not 112.2. The Agency recognizes that the documents in the docket are listed on listed in the table could also be owners or operators of some facilities the http://www.regulations.gov Web regulated. If you have questions excluded from the extension of the site. Although listed in the index, some regarding the applicability of this action compliance date may still require information is not publicly available, to a particular entity, consult the person additional time to amend or prepare e.g., Confidential Business Information listed in the preceding FOR FURTHER their SPCC Plans as a result of either (CBI) or other information whose INFORMATION CONTACT section. non-availability of qualified personnel,

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or delays in construction or equipment extension to the compliance date Thus, the Agency has decided to delivery beyond the control and without through 40 CFR 112.3(f). extend the compliance date by which the fault of the owner or operator. If so, owners or operators of a farm must III. What was the basis for extending the owner or operator of the facility may prepare or amend and implement a the SPCC compliance date for farms? submit a written request for additional SPCC Plans to May 10, 2013. The time to amend or prepare a SPCC Plan A large segment of the continental additional 18 months allows enough to the Regional Administrator in U.S. was affected by flooding during the time for farms to come in compliance accordance with § 112.3(f). spring and summer of 2011. Other areas with this regulation. The owners and Under 40 CFR 112.3(f) the Regional were impacted by devastating fires and operators of farms are strongly Administrator may authorize an drought conditions. In fact, many encouraged not to delay, and to take extension of time for the preparation counties in several states were declared advantage of the off-season for planting and full implementation of a SPCC Plan, disaster areas by either the federal or and growing, in preparing their SPCC or any amendment thereto, beyond the their state government or both. EPA has Plans. However, any farm owner or time permitted for the preparation, received a number of letters and other operator who is not able to come into implementation, or amendment of a correspondence, from State Agricultural compliance by May 10, 2013, and SPCC Plan under this part, when he Departments and other parties, wishes to seek a further extension of the finds that the owner or operator of a explaining the impact of these recent compliance date, should submit a facility subject to this section, cannot floods on the owners and operators of written request to the Regional fully comply with the requirements as a farms and their ability to comply with Administrator of the EPA Regional result of either non-availability of the SPCC rule. These owners and Office for the state where the farm is qualified personnel, or delays in operators have experienced located in accordance with paragraph (f) construction or equipment delivery interruptions in planting, cultivation of 40 CFR 112.3. beyond the control and without the fault and harvesting due to these floods. Finally, we would note that the of such owner or operator or his agents According to the Federal Emergency amendment to the compliance date does or employees. If you are an owner or Management Agency (FEMA) in 2011, not remove the regulatory requirement operator seeking an extension of time, the Agency issued 56 Major Disaster/ for owners or operators of farms in you may submit a written extension Emergency Declarations specifically operation before August 16, 2002, to request to the Regional Administrator. associated with flooding events. have and to maintain and continue implementing a SPCC Plan in Your request must include a: According to FEMA’s 2011 data, (i) Full explanation of the cause for accordance with the SPCC regulations approximately two thirds of the fifty any such delay and the specific aspects then in effect. Such owners and states had a FEMA flooding Major of the Plan affected by the delay; operators continue to be required to Disaster/Emergency Declarations. (ii) Full discussion of actions being maintain their SPCC Plans during the Almost a quarter of the fifty states had taken or contemplated to minimize or interim until the applicable compliance multiple FEMA declarations due to mitigate such delay; and date for amending and implementing flooding. These declarations are (iii) Proposed time schedule for the the amended SPCC Plans. In addition, widespread throughout the crop implementation of any corrective the amendment of the compliance date production areas of the country. The actions being taken or contemplated, does not relieve owners or operators of including interim dates for completion Agency was also advised in the farms from the potential liability under of tests or studies, installation and correspondence that there may be a lack the Clean Water Act or other operation of any necessary equipment, of available qualified Professional environmental statutes or regulations for or other preventive measures. In Engineers (PEs) in some areas of the any spills (see 40 CFR part 110) that addition you may present additional country to assist in the preparation, may occur. oral or written statements in support of implementation, and review of SPCC your extension request. Plans for farms. IV. Response to Comments The submission of a written extension In addition, despite the targeted farm The Agency received four comments. request does not relieve you of your outreach efforts by EPA over the past All of the comments were adverse in obligation to comply with the ten months, the sheer number of farms nature. A response to comment requirements of 40 CFR part 112. The throughout the U.S. makes it a challenge document can be found in the Agency’s Regional Administrator may request a to reach those owners and operators of docket for this rule (EPA–HQ–OPA– copy of your Plan to evaluate the farms that may be subject to the SPCC 2011–0838). extension request. When the Regional Plan regulations. As a result, the Agency Comments: Comments received on the Administrator authorizes an extension believes that farms, as defined in section direct final rule with a concurrent of time for particular equipment or other 112.2, need additional time to come into proposed rule either disagreed with specific aspects of the SPCC Plan, such compliance with the requirements to providing any extension or in one case extension does not affect your obligation prepare or amend and implement a the length of time (18 months) for the to comply with the requirements related SPCC Plan. While the Agency could extension, suggesting instead a shorter to other equipment or other specific require farms to request an extension extension. The commenters that aspects of the SPCC Plan for which the pursuant to 40 CFR 112.3(f), as expressly requested that the 18 month Regional Administrator has not described above, the Agency believes extension for farms not be granted cited expressly authorized an extension. that unless the Agency extends the one or more of the following concerns: This action is not the vehicle for other compliance date for farms, we will (1) That repeated extensions (eight extensions. EPA is not extending the receive an overwhelming number of times) of compliance dates removes the compliance date for any other facilities requests for individual extensions. The urgency for farms to ‘‘do the right thing’’ as other facilities are not season- Agency believes that this would be an from an environmental perspective or dependent and are less likely to be inefficient use of scarce Agency otherwise put off their SPCC impacted by severe weather conditions. resources to address this problem by obligations; (2) interferes with the Additionally, other facilities retain the processing a great number of individual (commenters’) ability to communicate to alternative mechanism for requesting an extension requests. potential clients (farmers) the need to

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come into compliance soon; (3) there are Plans and recover financially from the V. Statutory and Executive Order many companies ready to assist farmers impacts of extreme weather, find Reviews with their SPCC Plans; and (4) there are qualified engineers, and install the A. Executive Order 12866: Regulatory millions of dollars in grants available to proper equipment. The Agency Planning and Review and Executive farmers to help them come into proposed an 18 month extension Order 13563: Improving Regulation and compliance with the SPCC regulations. determining that 24 months may be too Regulatory Review Two of the commenters suggested that long a period and decided 18 months This action is not a ‘‘significant greater outreach to farms regarding the should be adequate time for the farms. regulatory action’’ under the terms of SPCC Plan requirements is needed We still believe 18 months is the correct instead of the extension. Executive Order 12866 (58 FR 51735, timeframe upon hearing from One commenter agreed that an October 4, 1993), and therefore is not extension is necessary but does not commenters that there are firms subject to review under Executive agree with the time frame of 18 months. available to assist the farmers to come Orders 12866 and 13563 (76 FR 3821, The commenter stated that a vast into compliance. January 21, 2011). majority of farming clients have The Agency recognizes that farms, B. Paperwork Reduction Act indicated that they are out of harvest more than other industries, are directly and feel confident that they can finalize impacted by extreme weather This final action does not impose any their SPCC Plans during the winter conditions, such as the devastating new information collection burden. The months. Therefore, a three to four flooding and drought that was amendments in this final rule simply month extension coupled with a experienced this past year by a extend the compliance date for farms. This final rule does not change any concerted effort to inform farmers of substantial portion of the continental reporting requirements in the general their regulatory responsibilities would U.S. Rather than requiring all impacted provisions. However, the Office of be of far greater benefit to the farming farms to submit a written request to the community. The commenter cited three Management and Budget (OMB) has Regional Administrator of the EPA primary concerns of the proposed previously approved the information Regional Office for the state where the extension: (1) It jeopardizes the collection requirements contained in the resources that are currently available to farm is located in accordance with existing subparts of 40 CFR 112 under help producers gain compliance; (2) paragraph (f) of 40 CFR 112.3, we the provisions of the Paperwork there are solutions and professionals determined that it is more efficient to Reduction Act, 44 U.S.C. 3501 et seq. available including a ‘‘free of charge’’ extend the compliance date for the farm and has assigned OMB control number online SPCC Plan creation tool, even industry. We also want to emphasize 2050–0021. The OMB control numbers though most farms do not need a that farms should not wait until May 10, for EPA’s regulations in 40 CFR are professional engineer (PE) to certify 2013, to ready their SPCC Plans. Farms listed in 40 CFR part 9. Subparts that their SPCC Plan and are able to prepare should take advantage of non-growing will be added through separate a self-certified SPCC Plan; and (3) a and non-harvesting seasons to focus on rulemakings will document the concerted effort must be made to inform preparing and implementing their SPCC respective information collection and educate farmers about the SPCC Plans. requirements in their own ICR rule and their responsibilities. One Comments: Additionally, three of the documents. commenter cited a potential loss of jobs four comments correctly explain that C. Regulatory Flexibility Act (RFA) associated with the action and the EPA’s action does not provide an inequity of EPA’s enforcement of the The RFA generally requires an agency SPCC regulation on farmers as extension for those farms that were in to prepare a regulatory flexibility compared to other sectors, such as the operation on or before August 16, 2002, analysis of any rule subject to notice oil and gas sector. and which did not have a previously and comment rulemaking requirements Response: While we recognize that developed SPCC Plan. Such farms may under the Administrative Procedure Act there have been multiple extensions to be in noncompliance with the rule. A or any other statute unless the agency the compliance date under 40 CFR commenter also questioned the certifies that the rule will not have a 112.3—Requirement to prepare and necessity of the current action, pointing significant economic impact on a implement a Spill Prevention, Control, out that most farms are in substantial number of small entities. and Countermeasure Plan, at this time, noncompliance and would not benefit Small entities include small businesses, we are further extending the date for from the extension. A second small organizations, and small compliance for a narrow segment of commenter also pointed out the governmental jurisdictions. industries that are covered by this misconception that all farmers For purposes of assessing the impacts regulation; i.e., farms. (producers) will be eligible for the of this rule on small entities, small The Agency considered comments extension. The commenter stated that entity is defined as: (1) A small business that opposed any extension to the many farmers do not have SPCC Plans, as defined by the Small Business compliance date and the comment that thus, making them ineligible for the Administration’s regulations at 13 CFR recognized a compliance date extension extension. 121.201; (2) a small governmental was appropriate, but suggested a shorter jurisdiction that is a government of a compliance date, as well as letters from Response: The Agency agrees with city, county, town, school district or the Secretary of Agriculture, Arkansas commenters that said that only existing special district with a population of less Agriculture Department, the farms maintaining an SPCC plan or new than 50,000; and (3) a small Commissioner of the Mississippi farms coming into operation after organization that is any not-for-profit Department of Agriculture and August 16, 2002, are eligible for the enterprise which is independently Commerce and the Commissioner of the extension provided by this action. owned and operated and is not Louisiana Department of Agriculture dominant in its field. previously received by the Agency, that After considering the economic specifically requested an additional 24 impacts of this final rule on small months for farms to implement SPCC entities, I certify that this action will not

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have a significant economic impact on F. Executive Order 13175: Consultation J. Executive Order 12898: Federal a substantial number of small entities. and Coordination With Indian Tribal Actions to Address Environmental The final rule simply amends the date Governments Justice in Minority Populations and for compliance. The final rule does not Low-Income Populations itself add any additional subparts or This action does not have tribal Executive Order 12898 (59 FR 7629, requirements. The final rule will not implications, as specified in Executive February 16, 1994) establishes federal impose any new requirements on small Order 13175 (65 FR 67249, November 9, executive policy on environmental entities. 2000). The changes in this final rule do not result in any changes to the justice. Its main provision directs D. Unfunded Mandates Reform Act requirements of the 2009 rule. Thus federal agencies, to the greatest extent (UMRA) Executive Order 13175 does not apply practicable and permitted by law, to to this action. make environmental justice part of their This action contains no Federal mission by identifying and addressing, mandates under the provisions of title II G. Executive Order 13045: Protection of as appropriate, disproportionately high of the Unfunded Mandates Reform Act Children From Environmental Health and adverse human health or of 1995 (UMRA), 2 U.S.C. 1531–1538 for Risks and Safety Risks environmental effects of their programs, state, local, or tribal governments or the policies, and activities on minority This final rule is not subject to EO private sector. The action imposes no populations and low-income 13045 (62 FR 19885, April 23, 1997) enforceable duty on any State, local or populations in the United States. because it is not economically tribal governments or the private sector. EPA has determined that the final rule significant as defined in EO 12866, and Therefore, this action is not subject to amendments will not have because the Agency does not believe the the requirements of sections 202 or 205 disproportionately high and adverse environmental health or safety risks of the UMRA. This action is also not human health or environmental effects addressed by this action present a subject to the requirements of section on minority or low-income populations disproportionate risk to children. The 203 of UMRA because it contains no because the amendments do not affect changes in this final rule do not result regulatory requirements that might the level of protection provided to in any changes to the requirements significantly or uniquely affect small human health or the environment. applicable to farms, other than the date governments. The amendments in this for compliance. K. Congressional Review Act final rule change the compliance date for farms. H. Executive Order 13211: Actions That The Congressional Review Act, 5 Significantly Affect Energy Supply, U.S.C. 801 et seq., as added by the Small E. Executive Order 13132: Federalism Distribution, or Use Business Regulatory Enforcement Fairness Act of 1996, generally provides Executive Order (EO) 13132, entitled This rule is not a ‘‘significant energy ‘‘Federalism’’ (64 FR 43255, August 10, that before a rule may take effect, the action’’ as defined in Executive Order agency promulgating the rule must 1999), requires EPA to develop an 13211, ‘‘Actions Concerning Regulations submit a rule report, which includes a accountable process to ensure That Significantly Affect Energy Supply, copy of the rule, to each House of the ‘‘meaningful and timely input by state Distribution, or Use’’ (66 FR 28355 (May Congress and to the Comptroller General and local officials in the development of 22, 2001) because it is not likely to have of the United States. EPA will submit a regulatory policies that have Federalism any adverse effect on the supply, report containing this rule and other implications.’’ ‘‘Policies that have distribution, or use of energy. required information to the U.S. Senate, Federalism implications’’ is defined in the U.S. House of Representatives, and I. National Technology Transfer and the EO to include regulations that have the Comptroller General of the U.S. ‘‘substantial direct effects on the states, Advancement Act prior to publication of the rule in the on the relationship between the national Section 12(d) of the National Federal Register. A major rule cannot government and the states, or on the Technology Transfer and Advancement take effect until 60 days after it is distribution of power and Act of 1995 (NTTAA), Public Law 104– published in the Federal Register. This responsibilities among the various 113, 12(d)(15 U.S.C. 272 note) directs action is not a ‘‘major rule’’ as defined levels of government.’’ EPA to use voluntary consensus by 5 U.S.C. 804(2). This rule will be This final rule does not have standards in its regulatory activities effective November 22, 2011. Federalism implications. It will not unless to do so would be inconsistent List of Subjects in 40 CFR Part 112 have substantial direct effects on the with applicable law or otherwise states, on the relationship between the impractical. Voluntary consensus Oil pollution prevention, Farms, national government and the states, or standards are technical standards (e.g., Compliance date, Reporting and on the distribution of power and materials specifications, test methods, recordkeeping requirements. responsibilities among the various sampling procedures, and business Dated: November 10, 2011. levels of government, as specified in EO practices) that are developed or adopted Lisa P. Jackson, 13132. This amendment applies directly by voluntary consensus standards Administrator. bodies. NTTAA directs EPA to provide to farms. It does not apply to For the reasons set out above, title 40, Congress, through OMB, explanations governmental entities unless the chapter I of the Code of Federal when the Agency decides not to use government entity owns a farm, as Regulations is amended as follows: defined in 40 CFR 112.2 Definitions. available and applicable voluntary This regulation also does not limit the consensus standards. PART 112—OIL POLLUTION power of states or localities to regulate This action does not involve technical PREVENTION farms. Thus, EO 13132 does not apply standards. Therefore, EPA did not to this final rule. consider the use of any voluntary ■ 1. The authority citation for part 112 consensus standards. continues to read as follows:

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Authority: 33 U.S.C. 1251 et seq.; 33 U.S.C. Policy Division, Wireline Competition The total annual reporting burdens 2720; and E.O. 12777 (October 18, 1991), 3 Bureau, at (202) 418–7295, or email: and costs for the respondents are as CFR, 1991 Comp., p.351. [email protected]. follows: ■ 2. Section 112.3 is amended by OMB Control Number: 3060–1089. SUPPLEMENTARY INFORMATION: This revising paragraph (a)(3) to read as OMB Approval Date: September 27, document announces that, on follows: 2011. September 27, 2011, OMB approved, for OMB Expiration Date: December 31, § 112.3 Requirement to prepare and a period of three years, the information 2013. implement a Spill Prevention, Control, and collection requirements contained in 47 Title: Telecommunications Relay Countermeasure Plan. CFR 64.611(e)(2), 64.611(e)(3), Services and Speech-to-Speech Services * * * * * 64.611(g)(1)(v), 64.611 (g)(1)(vi), and for Individuals with Hearing and (a) * * * 64.613(a)(3). The Commission publishes Speech Disabilities; E911 Requirements (3) If your farm, as defined in § 112.2, this notice as an announcement of the for IP–Enabled Service Providers; was in operation on or before August 16, effective date of the rules. See Internet- Internet-Based Telecommunications 2002, you must maintain your Plan, but Based Telecommunications Relay Relay Service Numbering, CG Docket must amend it, if necessary to ensure Service Numbering, CG Docket No. 03– No. 03–123, WC Docket No. 05–196, and compliance with this part, and 123; WC Docket No. 05–196; WC Docket WC Docket No. 10–191; FCC 11–123. implement the amended Plan on or No. 10–191; FCC 11–123, published at Form Number: N/A. before May 10, 2013. If your farm 76 FR 59511, September 27, 2011. If you Type of Review: Revision of a becomes operational after August 16, have any comments on the burden currently approved collection. 2002, through May 10, 2013, and could estimates listed below, or how the Respondents: Business or other for- reasonably be expected to have a Commission can improve the profit entities; Not-for-profit discharge as described in § 112.1(b), you collections and reduce any burdens institutions; Individuals or households; must prepare and implement a Plan on caused thereby, please contact Cathy State, local or tribal government. or before May 10, 2013. If your farm Williams, Federal Communications Number of Respondents and becomes operational after May 10, 2013, Commission, Room 1–C823, 445 12th Responses: 15 respondents; 5,763,199 and could reasonably be expected to Street SW., Washington, DC 20554. responses. Estimated Time per Response: 0.25– have a discharge as described in Please include the OMB Control 1.5 hours. § 112.1(b), you must prepare and Number, 3060–1089, in your Frequency of Response: On occasion, implement a Plan before you begin correspondence. The Commission will quarterly and one time reporting operations. also accept your comments via the requirements, recordkeeping and third * * * * * Internet if you send them to party disclosure requirements. [FR Doc. 2011–29901 Filed 11–21–11; 8:45 am] [email protected]. Obligation to Respond: Required to BILLING CODE 6560–50–P To request materials in accessible obtain or retain benefits. The statutory formats for people with disabilities authority for the collection is contained (Braille, large print, electronic files, in Sections 1, 2, 4(i), 4(j), 225, 251, and FEDERAL COMMUNICATIONS audio format), send an email to 303(r) of the Communications Act of COMMISSION [email protected] or call the Consumer 1934, as amended, 47 U.S.C. 151, 152, and Governmental Affairs Bureau at 154(i), 154(j), 225, 251, 303(r). 47 CFR Part 64 (202) 418–0530 (voice), (202) 418–0432 Total Annual Burden: 279,891 hours. [CG Docket No. 03–123; WC Docket No. (TTY). Total Annual Cost: $4,269,135. Nature and Extent of Confidentiality: 05–196; WC Docket No. 10–191; FCC 11– Synopsis 123] An assurance of confidentiality is not As required by the Paperwork offered because this information Internet-Based Telecommunications Reduction Act of 1995 (44 U.S.C. 3507), collection does not require the Relay Service Numbering the FCC is notifying the public that it collection of personally identifiable received OMB approval on September information (PII) from individuals by AGENCY: Federal Communications the Commission. Commission. 27, 2011, for the information collection requirements contained in the Privacy Impact Assessment: This ACTION: Final rule; announcement of Commission’s rules at 47 CFR information collection affects effective date. 64.611(e)(2), 64.611(e)(3), individuals or households, and thus there are impacts under the Privacy Act. SUMMARY: In this document, the 64.611(g)(1)(v), 64.611(g)(1)(vi), and However, a third party, the individual Commission announces that the Office 64.613(a)(3). or household’s VRS or IP Relay of Management and Budget (OMB) has Under 5 CFR part 1320, an agency provider, collects the information that is may not conduct or sponsor a collection approved, for a period of three years, the related to individuals or households; of information unless it displays a information collection associated with and the Commission has no direct current, valid OMB Control Number. the Commission’s Internet-Based involvement in this collection. As such, Telecommunications Relay Service No person shall be subject to any the Commission is not required to Numbering, Report and Order (Report penalty for failing to comply with a complete a privacy impact assessment. and Order). The information collection collection of information subject to the Further, VRS and IP Relay providers requirements were approved on Paperwork Reduction Act that does not generally have written privacy policies September 27, 2011 by OMB. display a current valid OMB Control governing the treatment of information DATES: 47 CFR 64.611(e)(2), 64.611(e)(3), Number. The OMB Control Number is collected from their users, and the 64.611(g)(1)(v), 64.611 (g)(1)(vi), and 3060–1089. Commission expects that much of the 64.613(a)(3), are effective November 22, The foregoing notice is required by information collected here would fall 2011. the Paperwork Reduction Act of 1995, under those policies. FOR FURTHER INFORMATION CONTACT: Public Law 104–13, October 1, 1995, Needs and Uses: On August 4, 2011 Heather Hendrickson, Competition and 44 U.S.C. 3507. the Commission released Report and

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Order FCC 11–123, published at 76 FR a toll free service provider that is under on December 8, 2010 (75 FR 76315), is 59551, September 27, 2011, adopting the direct control of the user. extended through December 31, 2012. final rules—containing information Federal Communications Commission. Comments must be received by collection requirements—designed to December 23, 2011. Marlene H. Dortch, improve assignment of telephone ADDRESSES: Copies of the Small Entity numbers associated with Internet-based Secretary, Office of the Secretary, Office of Compliance Guide, the emergency rule, Managing Director. Telecommunications Relay Service the Environmental Assessment, and the (iTRS). Specifically, the final rules, [FR Doc. 2011–30119 Filed 11–21–11; 8:45 am] Regulatory Impact Review prepared for described below are designed to BILLING CODE 6712–01–P the October 18, 2005, reinstatement of promote the use of geographically the September 9, 2005, emergency appropriate local numbers, while action and subsequent extensions of the ensuring that the deaf and hard-of- DEPARTMENT OF COMMERCE emergency action, are available from hearing community has access to toll Patricia A. Kurkul, Regional National Oceanic and Atmospheric free telephone numbers that is Administrator, National Marine Administration equivalent to access enjoyed by the Fisheries Service, 55 Great Republic hearing community. Drive, Gloucester, MA 01930. These 50 CFR Part 648 Below are the new and revised documents are also available via the information collection requirements [Docket No. 050613158–5262–03] Internet at http://www.nero.noaa.gov/ contained in the Report and Order: nero/hotnews/redtide/index.html. RIN 0648–BB59 You may submit comments, identified A. Provision of Routing Information Magnuson-Stevens Fishery by RIN 0648–BB59, by any one of the In addition to provisioning their Conservation and Management Act following methods: • registered users’ routing information to Provisions; Fisheries of the Mail: Patricia A. Kurkul, Regional the TRS Numbering Directory and Northeastern United States; Extension Administrator, Northeast Region, maintaining such information in the of Emergency Fishery Closure Due to NMFS, 55 Great Republic Drive, database, the VRS and IP relay providers the Presence of the Toxin that Causes Gloucester, MA 01930–2298. Mark on must: (1) Remove from the Internet- Paralytic Shellfish Poisoning (PSP) the outside of the envelope, ‘‘Comments based TRS Numbering Directory any toll on PSP Closure.’’ free number that has not been AGENCY: National Marine Fisheries • Fax: (978) 281–9135. transferred to a subscription with a toll Service, National Oceanic and • Electronic Submissions: Submit all free service provider and for which the Atmospheric Administration (NOAA), electronic public comments via the user is the subscriber of record, and (2) Commerce. Federal eRulemaking Portal http://www. ensure that the toll free number of a user ACTION: Temporary rule; emergency regulations.gov. that is associated with a geographically action; extension of effective period; Instructions: All comments received appropriate NANP number will be request for comments. are part of the public record and will associated with the same Uniform generally be posted to http://www. Resource Identifier URI as that SUMMARY: This temporary rule extends a regulations.gov without change. All geographically appropriate NANP closure of Federal waters. The U.S. Food personal identifying information (for telephone number. and Drug Administration has example, name, address, etc.) determined that oceanographic voluntarily submitted by the commenter B. User Notification conditions and alga sampling data may be publicly accessible. Do not In addition to the information that the suggest that the northern section of the submit confidential business Commission previously instructed VRS Temporary Paralytic Shellfish Poison information or otherwise sensitive or and IP Relay providers to include in the Closure Area remain closed to the protected information. consumer advisories, VRS and IP Relay harvest of bivalve molluscan shellfish, NMFS will accept anonymous providers must also include certain with the exception of sea scallop comments (enter N/A in the required additional information in their adductor muscles harvested and fields, if you wish to remain consumer advisories under the Report shucked at sea, and that the southern anonymous). You may submit and Order. Specifically, the consumer area remain closed to the harvest of attachments to electronic comments in advisories must explain: (1) The process whole or roe-on scallops. The Microsoft Word, Excel, WordPerfect, or by which a VRS or IP Relay user may regulations contained in the temporary Adobe PDF file formats only. acquire a toll free number from a toll rule, emergency action, first published FOR FURTHER INFORMATION CONTACT: free service provider, or transfer control in 2005, and have been subsequently Jason Berthiaume, Fishery Management of a toll free number from a VRS or IP extended several times at the request of Specialist, phone: (978) 281–9177, fax: Relay provider to the user; and (2) the the U.S. Food and Drug Administration. (978) 281–9135. process by which persons holding a toll NMFS is publishing the regulatory text SUPPLEMENTARY INFORMATION: free number may have that number associated with this closure in this linked to their ten-digit telephone temporary emergency rule in order to Background number in the TRS Numbering ensure that current regulations On June 10, 2005, the U.S. Food and Directory. accurately reflect the codified text that Drug Administration (FDA) requested has been modified and extended that NMFS close an area of Federal C. Transferring Toll Free Numbers numerous times, so that the public is waters off the coasts of New Hampshire VRS and IP Relay providers that have aware of the regulations being extended. and Massachusetts to fishing for bivalve already assigned or provided a toll free DATES: The amendments to § 648.14, in shellfish intended for human number to a VRS or IP Relay user must, amendatory instruction 2, are effective consumption due to the presence in at the VRS or IP Relay user’s request, from January 1, 2012, through December those waters of toxins (saxotoxins) that facilitate the transfer of the toll free 31, 2012. The expiration date of the cause PSP. These toxins are produced number to a toll free subscription with temporary emergency action published by the alga Alexandrium fundyense,

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which can form blooms commonly TABLE 2—COORDINATES FOR THE private laboratories. NOAA maintains a referred to as red tides. Red tide blooms, SOUTHERN TEMPORARY PSP CLO- Red Tide Information Center (http:// also known as harmful algal blooms SURE AREA—Continued oceanservice.noaa.gov/redtide/), which (HABs), can produce toxins that can be accessed directly or through the accumulate in filter-feeding shellfish. Point Latitude Longitude Web site listed in the ADDRESSES Shellfish contaminated with the toxin, if section. Information on test results, eaten in large enough quantity, can 5 ...... 41° 39′ N 71° 00′ W modeling of algal bloom movement, and cause illness or death from PSP. general background on red tide can be On June 16, 2005, NMFS published an Classification accessed through this information emergency rule (70 FR 35047) closing This action is issued pursuant to center. While NMFS is the agency with the area recommended by the FDA (i.e., section 305(c) of the Magnuson-Stevens the authority to promulgate the the Temporary PSP Closure Area). Since Fishery Conservation and Management emergency regulations, it modified the 2005, the closure has been extended Act (Magnuson-Stevens Act), 16 U.S.C. regulations on September 9, 2005, at the several times and the area has been 1855(c). Pursuant to section 5 U.S.C. request of the FDA, after the FDA expanded and divided into northern 553(b)(B) of the Administrative determined that the results of its tests and southern components. The Procedure Act, the Assistant warranted such action. If necessary, the Northern Temporary PSP Closure Area Administrator for Fisheries finds there regulations may be terminated at an remained closed to the harvest of all is good cause to waive prior notice and earlier date, pursuant to section bivalve molluscan shellfish, while the an opportunity for public comment on 305(c)(3)(D) of the Magnuson-Stevens Southern Temporary PSP Closure Area this action as notice and comment Act, by publication in the Federal was reopened to the harvest of Atlantic would be impracticable and contrary to Register of a notice of termination, or surfclams, ocean quahogs, and sea the public interest due to a public extended further to ensure the safety of scallop adductor muscles harvested and health emergency, and public comment human health. shucked at sea. The current closure will has been solicited concurrently with This emergency action is exempt from expire on December 31, 2011, and this each of the extensions of this action, as the procedures of the Regulatory action extends this closure for one detailed and responded to below. In Flexibility Act because the rule is issued additional year, through December 31, addition, under section 553(d)(3) there without opportunity for prior notice and 2012. opportunity for public comment. The boundaries of the northern is good cause to waive the 30-day delay in effectiveness due to a public health This rule is not significant for the component of the Temporary PSP purposes of Executive Order 12866. Closure Area comprise Federal waters emergency. The original emergency bounded by the following coordinates closure was in response to a public List of Subjects in 50 CFR Part 648 health emergency. Toxic algal blooms specified in Table 1 below. Under this Fisheries, Fishing, Reporting and are responsible for the marine toxin that emergency rule, this area remains closed recordkeeping requirements. causes PSP in persons consuming to the harvest of Atlantic surfclams, Dated: November 17, 2011. ocean quahogs, and whole or roe-on affected shellfish. People have become Samuel D. Rauch III, scallops. seriously ill and some have died from consuming affected shellfish under Deputy Assistant Administrator for Regulatory Programs, National Marine TABLE 1—COORDINATES FOR THE similar circumstances. Pursuant to section 305(c)(3)(C) of the Magnuson- Fisheries Service. NORTHERN TEMPORARY PSP CLO- Stevens Act, the closure to the harvest SURE AREA For the reasons set out in the of shellfish, as modified on September preamble, 50 CFR part 648 is amended Point Latitude Longitude 9, 2005, and re-instated on October 18, to read as follows: 2005, may remain in effect until the 1 ...... 43° 00′ N 71° 00′ W circumstances that created the PART 648—FISHERIES OF THE 2 ...... 43° 00′ N 69° 00′ W emergency no longer exist, provided the NORTHEASTERN UNITED STATES 3 ...... 41° 39′ N 69° 00′ W public has had an opportunity to 4 ...... 41° 39′ N 71° 00′ W comment after the regulation was ■ 1. The authority citation for part 648 ° ′ ° ′ 5 ...... 43 00 N 71 00 W published, and, in the case of a public continues to read as follows: health emergency, the Secretary of Authority: 16 U.S.C. 1801 et seq. The boundaries of the southern Health and Human Services concurs ■ 2. In § 648.14, paragraphs (a)(10)(iii) component of the Temporary PSP with the Commerce Secretary’s action. and (a)(10)(iv) are added to read as Closure Area comprise Federal waters During the initial comment period, June follows: bound by the following coordinates 16, 2005, through August 1, 2005, no specified in Table 2. Under this comments were received. Two § 648.14 Prohibitions. emergency rule, the Southern comments have been received after the (a) * * * Temporary PSP Closure Area remains re-opening of the southern component closed only to the harvest of whole or (10) * * * of the Temporary PSP Closure Area on (iii) Fish for, harvest, catch, possess or roe-on scallops. September 9, 2005. One commenter attempt to fish for, harvest, catch, or described the overall poor quality of possess any bivalve shellfish, including TABLE 2—COORDINATES FOR THE water in Boston Harbor, but provided no Atlantic surfclams, ocean quahogs, and SOUTHERN TEMPORARY PSP CLO- evidence to back these claims. The other mussels, with the exception of sea SURE AREA commenter expressed reluctance to re- scallops harvested only for adductor opening a portion of the closure area muscles and shucked at sea, unless Point Latitude Longitude without seeing the results of the FDA issued and possessing on board a Letter 1 ...... 41° 39′ N 71° 00′W tests. Data used to make determinations of Authorization (LOA) from the 2 ...... 41° 39′ N 69° 00′ W regarding closing and opening of areas Regional Administrator authorizing the 3 ...... 40° 00′ N 69° 00′ W to certain types of fishing activity are collection of shellfish for biological 4 ...... 40° 00′ N 71° 00′ W collected from Federal, state, and sampling and operating under the terms

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and conditions of said LOA, in the area possess any sea scallops, except for sea bound by the following coordinates in of the U.S. Exclusive Economic Zone scallops harvested only for adductor the order stated: bound by the following coordinates in muscles and shucked at sea, unless (A) 41° 39′ N. lat., 71° 00′ W. long.; the order stated: issued and possessing on board a Letter (B) 41° 39′ N. lat., 69° 00′ W. long.; (A) 43° 00′ N. lat., 71° 00′ W. long.; ° ′ ° ′ ° ′ ° ′ of Authorization (LOA) from the (C) 40 00 N. lat., 69 00 W. long.; (B) 43 00 N. lat., 69 00 W. long.; Regional Administrator authorizing ° ′ ° ′ (C) 41° 39′ N. lat., 69° 00′ W. long; (D) 40 00 N. lat., 71 00 W. long.; (D) 41° 39′ N. lat., 71° 00′ W. long.; collection of shellfish for biological and then ending at the first point. and then ending at the first point. sampling and operating under the terms * * * * * (iv) Fish for, harvest, catch, possess, and conditions of said LOA, in the area [FR Doc. 2011–30151 Filed 11–21–11; 8:45 am] or attempt to fish for, harvest, catch, or of the U.S. Exclusive Economic Zone BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 76, No. 225

Tuesday, November 22, 2011

This section of the FEDERAL REGISTER • Hand Delivery: Deliver to Mail will also post a report summarizing each contains notices to the public of the proposed address above between 9 a.m. and 5 substantive verbal contact we receive issuance of rules and regulations. The p.m., Monday through Friday, except about this proposed AD. purpose of these notices is to give interested Federal holidays. Discussion persons an opportunity to participate in the For service information identified in rule making prior to the adoption of the final On May 19, 2010, we issued AD rules. this AD, contact Thielert Aircraft Engines GmbH, Platanenstrasse 14 D– 2010–11–09, Amendment 39–16314 (75 09350, Lichtenstein, Germany; phone: FR 32253, June 8, 2010), for TAE DEPARTMENT OF TRANSPORTATION +49–37204–696–0; fax: +49–37204– Models TAE 125–01 and TAE 125–02– 696–2912; email: info@centurion- 99 reciprocating engines installed on, Federal Aviation Administration engines.com. You may review copies of but not limited to, Diamond Aircraft the referenced service information at the Industries model DA 42 airplanes. That 14 CFR Part 39 FAA, Engine & Propeller Directorate, 12 AD requires initial and repetitive New England Executive Park, replacements of PPRVs (also known as [Docket No. FAA–2009–0201; Directorate propeller control valves). That AD Identifier 2008–NE–47–AD] Burlington, MA. For information on the availability of this material at the FAA, resulted from reports of in-flight RIN 2120–AA64 call (781) 238–7125. shutdown (IFSD) incidents on Diamond Aircraft Industries DA 42 aircraft Airworthiness Directives; Thielert Examining the AD Docket equipped with TAE 125 engines. Aircraft Engines GmbH (TAE) You may examine the AD docket on Preliminary investigations showed that Reciprocating Engines the Internet at http:// the IFSDs were mainly the result of AGENCY: Federal Aviation www.regulations.gov; or in person at the failure of the PPRV. The European Administration (FAA), DOT. Docket Management Facility between 9 Aviation Safety Agency issued AD a.m. and 5 p.m., Monday through 2009–0224, dated October 20, 2009, to ACTION: Notice of proposed rulemaking (NPRM). Friday, except Federal holidays. The AD address this unsafe condition in Europe. docket contains this proposed AD, the We issued AD 2010–11–09 to prevent SUMMARY: We propose to revise an regulatory evaluation, any comments engine in-flight shutdown, possibly existing airworthiness directive (AD) received, and other information. The resulting in reduced control of the that applies to TAE models TAE 125–01 street address for the Docket Office aircraft. (phone: (800) 647–5527) is in the and TAE 125–02–99 reciprocating Actions Since Existing AD (75 FR ADDRESSES section. Comments will be engines installed on, but not limited to, 32253, June 8, 2010) Was Issued Diamond Aircraft Industries Model DA available in the AD docket shortly after 42 airplanes. The existing AD currently receipt. Since we issued AD 2010–11–09, TAE requires initial and repetitive FOR FURTHER INFORMATION CONTACT: performed a successful 600-hour replacements of proportional pressure Alan Strom, Aerospace Engineer, Engine endurance test of the PPRV, P/N 05– reducing valves (PPRVs) (also known as Certification Office, FAA, Engine & 7212–E002801, for TAE 125–02–99 propeller control valves). Since we Propeller Directorate, 12 New England engines only, on a propeller test bench, issued that AD, TAE has increased the Executive Park, Burlington, MA 01803; The test also had the vibration isolator life of the PPRV, part number (P/N) 05– phone: (781) 238–7143; fax: (781) 238– installed, which was introduced by AD 7212–E002801, on TAE 125–02–99 7199; email: [email protected]. 2010–11–09. engines, from 300 hours to 600 hours. SUPPLEMENTARY INFORMATION: Relevant Service Information This proposed AD would relax the We reviewed TAE Service Bulletin repetitive replacement interval from a Comments Invited (SB) No. TM TAE 125–1007 P1, 300-hour interval to a 600-hour interval We invite you to send any written Revision 3, dated October 17, 2011. The for PPRVs, P/N 05–7212–E002801, on relevant data, views, or arguments about SB relaxes the PPRV repetitive TAE 125–02–99 engines. We are this proposed AD. Send your comments replacement interval from 300 hours to proposing this AD to prevent engine in- to an address listed under the 600 hours. flight shutdown, possibly resulting in ADDRESSES section. Include ‘‘Docket No. reduced control of the aircraft. FAA–2009–0201; Directorate Identifier FAA’s Determination DATES: We must receive comments on 2008–NE–47–AD’’ at the beginning of We are proposing this AD revision, this proposed AD by January 23, 2012. your comments. We specifically invite because we evaluated all the relevant ADDRESSES: You may send comments by comments on the overall regulatory, information and determined the unsafe any of the following methods: economic, environmental, and energy condition described previously is likely • Federal eRulemaking Portal: Go to aspects of this proposed AD. We will to exist or develop in other products of http://www.regulations.gov. Follow the consider all comments received by the the same type design. instructions for submitting comments. closing date and may amend this • Fax: (202) 493–2251. proposed AD because of those Proposed AD Requirements • Mail: U.S. Department of comments. This proposed AD would retain all of Transportation, Docket Operations, M– We will post all comments we the requirements of AD 2010–11–09 (75 30, West Building Ground Floor, Room receive, without change, to http:// FR 32253, June 8, 2010), except the W12–140, 1200 New Jersey Avenue SE., www.regulations.gov, including any repetitive replacement interval in Washington, DC 20590. personal information you provide. We paragraph (e)(2). This proposed AD

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would relax the repetitive 300-hour under the criteria of the Regulatory (f) TAE 125–02–99 Reciprocating Engines replacement interval to a 600 hour- Flexibility Act. (1) For TAE 125–02–99 reciprocating interval. engines with engine, P/N 05–7200–K000301, List of Subjects in 14 CFR Part 39 within 55 flight hours after the effective date Costs of Compliance Air transportation, Aircraft, Aviation of this AD: We estimate that this AD would affect (i) Replace the existing PPRV with PPRV, safety, Incorporation by reference, P/N 05–7212–E002801. Use paragraphs A. about 300 TAE 125–01 and TAE 125– Safety. 02–99 reciprocating engines installed in through B. of TAE Service Bulletin (SB) No. Diamond Aircraft Industries Model DA The Proposed Amendment TM TAE 125–1007 P1, Revision 3, dated 42 airplanes of U.S. registry. We also October 17, 2011, or SB No. TM TAE 125– 1007 P1, Revision 2, dated April 29, 2009, to estimate that it would take about 0.25 Accordingly, under the authority delegated to me by the Administrator, do the replacement. work-hour per engine to replace a PPRV (ii) Install a vibration isolator, P/N 05– and install a vibration isolator to the the FAA proposes to amend 14 CFR part 39 as follows: 7212–K022302, to the gearbox assembly. Use gearbox assembly. The average labor paragraphs 1 through 20 of TAE SB No. TM rate is $85 per work-hour. Required PART 39—AIRWORTHINESS TAE 125–1009 P1, Revision 3, dated October 14, 2009, to do the installation. parts would cost about $275 per DIRECTIVES product. Based on these figures, we (2) Repetitive PPRV Replacements estimate the cost of the AD on U.S. 1. The authority citation for part 39 Thereafter, within every 600 flight hours, operators to be $88,875. continues to read as follows: replace the PPRV, P/N 05–7212–E002801, with the same P/N PPRV. Authority for This Rulemaking Authority: 49 U.S.C. 106(g), 40113, 44701. (g) TAE 125–01 Reciprocating Engines Title 49 of the United States Code § 39.13 [Amended] specifies the FAA’s authority to issue (1) For TAE 125–01 reciprocating engines rules on aviation safety. Subtitle I, 2. The FAA amends § 39.13 by with engine, P/N 02–7200–14017R1, within section 106, describes the authority of removing airworthiness directive (AD) 55 flight hours after the effective date of this the FAA Administrator. Subtitle VII, 2010–11–09, Amendment 39–16314 (75 AD: Aviation Programs, describes in more FR 32253, June 8, 2010), and adding the (i) Replace the existing PPRV with a PPRV, following new AD: P/N NM–0000–0124501 or P/N 05–7212– detail the scope of the Agency’s K021401. Use paragraph 1 of TAE SB No. TM authority. Thielert Aircraft Engines GmbH: Docket No. TAE 125–0018, Revision 1, dated November We are issuing this rulemaking under FAA–2009–0201; Directorate Identifier 12, 2008, to do the replacement. the authority described in subtitle VII, 2008–NE–47–AD. (ii) Inspect the electrical connectors of the part A, subpart III, section 44701, PPRV and replace the connectors if damaged, (a) Comments Due Date ‘‘General requirements.’’ Under that and install a vibration isolator, P/N 05–7212– section, Congress charges the FAA with The FAA must receive comments on this K023801, to the gearbox assembly. Use promoting safe flight of civil aircraft in AD action by January 23, 2012. paragraphs 1 through 27 of TAE SB No. TM TAE 125–0020, Revision 1, dated November air commerce by prescribing regulations (b) Affected ADs for practices, methods, and procedures 25, 2009, to do the inspection and This AD revises AD 2010–11–09, installation. the Administrator finds necessary for Amendment 39–16314 (75 FR 32253, June 8, safety in air commerce. This regulation 2010). (3) Repetitive PPRV Replacements is within the scope of that authority Thereafter, within every 300 flight hours, (c) Applicability because it addresses an unsafe condition replace the PPRV with a PPRV, P/N NM– that is likely to exist or develop on This AD applies to Thielert Aircraft 0000–0124501 or P/N 05–7212–K021401. Engines GmbH (TAE) models TAE 125–01 products identified in this rulemaking (h) FAA Differences action. and TAE 125–02–99 reciprocating engines designated with part number (P/N) 05–7200– (1) We have found it necessary to not Regulatory Findings K000301 or 02–7200–14017R1. The engines reference the second paragraph of the unsafe are installed on, but not limited to, Diamond condition from the MCAI EASA AD 2009– We have determined that this Aircraft Industries Model DA 42 airplanes. 0224. That sentence stated that the problem proposed AD would not have federalism has only manifested itself on those TAE implications under Executive Order (d) Unsafe Condition engines installed on Diamond Aircraft 13132. This proposed AD would not This AD was prompted by engine in-flight Industries DA 42 aircraft. The affected have a substantial direct effect on the shutdown incidents reported on Diamond engines which require a PPRV could be used States, on the relationship between the Aircraft Industries DA 42 airplanes equipped on other make and model airplanes in the national Government and the States, or with TAE 125 engines. The investigations future. on the distribution of power and showed that it was mainly the result of (2) We also did not reference the February failure of the proportional pressure reducing responsibilities among the various 28, 2010 compliance date, which is in EASA valve (PPRV) (also known as the propeller AD 2009–0193R1, or the January 31, 2010 levels of government. control valve) due to high vibrations. Since compliance date which is in EASA AD 2009– For the reasons discussed above, I the release of European Aviation Safety 0224. certify that the proposed regulation: Agency (EASA) AD 2008–0145, the engine (1) Is not a ‘‘significant regulatory gearbox has been identified as the primary (i) Alternative Methods of Compliance action’’ under Executive Order 12866, source of vibrations for the PPRV, and it has (AMOCs) (2) Is not a ‘‘significant rule’’ under also been determined that failure of the The Manager, Engine Certification Office, the DOT Regulatory Policies and electrical connection to the PPRV could have FAA, may approve AMOCs for this AD. Use Procedures (44 FR 11034, February 26, contributed to some power loss events or in- the procedures found in 14 CFR 39.19 to 1979), flight shutdowns. We are issuing this AD to make your request. prevent engine in-flight shutdown, possibly (3) Will not affect intrastate aviation (j) Related Information resulting in reduced control of the aircraft. in Alaska, and (1) Refer to EASA AD 2009–0224, dated (4) Will not have a significant (e) Actions and Compliance October 20, 2009 (TAE 125–02–99), and economic impact, positive or negative, Unless already done, do the following EASA AD 2009–0193R1, dated December 1, on a substantial number of small entities actions. 2009 (TAE 125–01), for related information.

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(2) Contact Alan Strom, Aerospace uncontained engine failure and damage substantive verbal contact we receive Engineer, Engine Certification Office, FAA, to the airplane. about this proposed AD. Engine & Propeller Directorate, 12 New England Executive Park, Burlington, MA DATES: We must receive comments on Discussion 01803; phone: (781) 238–7143; fax: (781) this proposed AD by January 23, 2012. On March 1, 2007, we issued AD 238–7199; email: [email protected], for ADDRESSES: You may send comments, 2007–05–17, Amendment 39–14978 (72 more information about this AD. using the procedures found in 14 CFR FR 10350, March 8, 2007), for all PW (3) For service information identified in 11.43 and 11.45, by any of the following JT9D series turbofan engines. That AD this AD, contact Thielert Aircraft Engines methods: GmbH, Platanenstrasse 14 D–09350, requires revisions to the ALS of the • Federal eRulemaking Portal: Go to Lichtenstein, Germany, phone: +49–37204– manufacturer’s ICA to include required http://www.regulations.gov. Follow the 696–0; fax: +49–37204–696–2912; email: enhanced inspection of selected critical [email protected]. You may instructions for submitting comments. • life-limited parts at each piece-part review copies of the referenced service Fax: (202) 493–2251. opportunity. We issued that AD to information at the FAA, Engine & Propeller • Mail: U.S. Department of prevent critical life-limited rotating Directorate, 12 New England Executive Park, Transportation, Docket Operations, M– Burlington, MA. For information on the engine part failure, which could result 30, West Building Ground Floor, Room in an uncontained engine failure and availability of this material at the FAA, call W12–140, 1200 New Jersey Avenue SE., (781) 238–7125. damage to the airplane. Washington, DC 20590. Issued in Burlington, Massachusetts, on • Hand Delivery: Deliver to Mail Actions Since Existing AD (72 FR November 10, 2011. address above between 9 a.m. and 5 10350, March 8, 2007) Was Issued Peter A. White, p.m., Monday through Friday, except Since we issued AD 2007–05–17, an Manager, Engine & Propeller Directorate, Federal holidays. Aircraft Certification Service. FAA study of in-service events Examining the AD Docket involving uncontained failures of [FR Doc. 2011–30059 Filed 11–21–11; 8:45 am] critical rotating engine parts has BILLING CODE 4910–13–P You may examine the AD docket on indicated the need for additional the Internet at http:// mandatory inspections. The mandatory www.regulations.gov; or in person at the DEPARTMENT OF TRANSPORTATION inspections are needed to identify those Docket Management Facility between 9 critical rotating parts with conditions a.m. and 5 p.m., Monday through Federal Aviation Administration which, if allowed to continue in service, Friday, except Federal holidays. The AD could result in uncontained engine docket contains this proposed AD, the 14 CFR Part 39 failures. This proposal would require regulatory evaluation, any comments revisions to the JT9D series engines ALS received, and other information. The [Docket No. FAA–2007–27023; Directorate sections of the manufacturer’s manuals Identifier 98–ANE–47–AD] street address for the Docket Office and an air carrier’s approved continuous (phone: (800) 647–5527) is in the airworthiness maintenance program to RIN 2120–AA64 ADDRESSES section. Comments will be incorporate additional inspection available in the AD docket shortly after requirements. Airworthiness Directives; Pratt & receipt. Whitney JT9D Series Turbofan Engines FOR FURTHER INFORMATION CONTACT: FAA’s Determination Stephen Sheely, Aerospace Engineer, AGENCY: Federal Aviation We are proposing this AD because we Engine & Propeller Directorate, FAA, 12 Administration (FAA), DOT. evaluated all the relevant information New England Executive Park, and determined the unsafe condition ACTION: Notice of proposed rulemaking Burlington, MA 01803; phone: (781) described previously is likely to exist or (NPRM). 238–7750; fax: (781) 238–7199; email: develop in other products of the same SUMMARY: We propose to supersede an [email protected]. type design. existing airworthiness directive (AD) SUPPLEMENTARY INFORMATION: Proposed AD Requirements that applies to all Pratt & Whitney (PW) Comments Invited JT9D series turbofan engines. The This proposed AD would retain all of existing AD currently requires revisions We invite you to send any written the requirements of AD 2007–05–17 (72 to the Airworthiness Limitations relevant data, views, or arguments about FR 10350, March 8, 2007). This Section (ALS) of the manufacturer’s this proposed AD. Send your comments proposed AD would supersede AD Instructions for Continued to an address listed under the 2007–05–17 to require the following Airworthiness (ICA) to include required ADDRESSES section. Include ‘‘Docket No. additional inspections: enhanced inspection of selected critical FAA–2007–27023; Directorate Identifier • Adding eddy current inspections life-limited parts at each piece-part 98–ANE–47–AD’’ at the beginning of (ECIs) for web cooling holes in high- opportunity. Since we issued that AD, your comments. We specifically invite pressure turbine (HPT) stage 1 disks PW has added mandatory inspections comments on the overall regulatory, installed in engine models JT9D–3A, –7, for certain critical life-limited parts. economic, environmental, and energy –7A, –7AH, –7F, –7H, –7J, –20, and –20J This proposed AD would require aspects of this proposed AD. We will engines; additional revisions to the JT9D series consider all comments received by the • Adding ECIs for web cooling holes engines ALS sections of the closing date and may amend this and tierod holes in HPT stage 2 disks manufacturer’s ICA. This proposed AD proposed AD because of those installed in JT9D–59A and –70A results from the need to require comments. engines; enhanced inspection of selected critical We will post all comments we • Adding ECIs for web cooling holes life-limited parts of JT9D series engines. receive, without change, to http:// and tierod holes in HPT stage 2 disks We are proposing this AD to prevent www.regulations.gov, including any installed in JT9D–7Q and –7Q3 engines; critical life-limited rotating engine part personal information you provide. We • Adding ECIs for web cooling holes failure, which could result in an will also post a report summarizing each in HPT stage 2 disks, and for fan hub

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slots, installed in JT9D–7R4 engines; the Administrator finds necessary for § 39.13 [Amended] and safety in air commerce. This regulation 2. The FAA amends § 39.13 by • Adding ECIs for web cooling holes is within the scope of that authority removing airworthiness directive (AD) and tierod holes in HPT stage 2 disks because it addresses an unsafe condition 2007–05–17, Amendment 39–14978 (72 installed in JT9D–7R4D, –7R4D1, that is likely to exist or develop on FR 10350, March 8, 2007), and adding –7R4E, and –7R4E1 engines. products identified in this rulemaking the following new AD: This proposed AD would also add the action. Engine Manual Inspection Task and Sub Pratt & Whitney: Docket No. FAA–2007– Task Number references for these Regulatory Findings 27023; Directorate Identifier 98–ANE– inspections. We have determined that this 47–AD. Identifying the Part Nomenclatures and proposed AD would not have federalism (a) Comments Due Date implications under Executive Order Inspections Added The FAA must receive comments on this 13132. This proposed AD would not AD action by January 23, 2012. For reference, the part nomenclatures have a substantial direct effect on the and inspections added to the table in States, on the relationship between the (b) Affected ADs the compliance section of this proposed national Government and the States, or This AD supersedes AD 2007–05–17, AD are identified by two asterisks (**) on the distribution of power and Amendment 39–14978 (72 FR 10350, March that precede the part nomenclature. responsibilities among the various 8, 2007). Costs of Compliance levels of government. (c) Applicability For the reasons discussed above, I We estimate that 438 JT9D series certify that the proposed regulation: This AD applies to Pratt & Whitney (PW) engines are installed on airplanes of (1) Is not a ‘‘significant regulatory JT9D–3A, –7, –7A, –7H, –7AH, –7F, –7J, –20J, –59A, –70A, –7Q, –7Q3, –7R4D, U.S. registry and would be affected by action’’ under Executive Order 12866, –7R4D1, –7R4E, –7R4E1, –7R4E4, –7R4G2, this proposed AD. We also estimate that (2) Is not a ‘‘significant rule’’ under and –7R4H1 series turbofan engines. about 4 work hours per engine are the DOT Regulatory Policies and needed to perform the proposed actions, Procedures (44 FR 11034, February 26, (d) Unsafe Condition and that the average labor rate is $85 per 1979), This AD results from the need to require work hour. Since this is an added (3) Will not affect intrastate aviation enhanced inspection of selected critical life- inspection requirement that will be part in Alaska, and limited parts of JT9D series turbofan engines. of the normal maintenance cycle, no (4) Will not have a significant We are issuing this AD to prevent critical additional parts costs are involved. economic impact, positive or negative, life-limited rotating engine part failure, Based on these figures, we estimate the on a substantial number of small entities which could result in an uncontained engine total cost of the proposed AD to U.S. under the criteria of the Regulatory failure and damage to the airplane. operators to be $148,920. Flexibility Act. (e) Compliance Authority for This Rulemaking List of Subjects in 14 CFR Part 39 Comply with this AD within the compliance times specified, unless already Title 49 of the United States Code Air transportation, Aircraft, Aviation done. specifies the FAA’s authority to issue safety, Incorporation by reference, rules on aviation safety. Subtitle I, Safety. (f) Inspections section 106, describes the authority of The Proposed Amendment Within the next 30 days after the effective the FAA Administrator. Subtitle VII, date of this AD, add the following section to Aviation Programs, describes in more Accordingly, under the authority the Airworthiness Limitations Section (ALS) detail the scope of the Agency’s delegated to me by the Administrator, of your copy of the manufacturer’s authority. the FAA proposes to amend 14 CFR part Instructions for Continued Airworthiness We are issuing this rulemaking under 39 as follows: (ICA) and, for air carrier operations, to your the authority described in subtitle VII, continuous airworthiness air carrier part A, subpart III, section 44701, PART 39—AIRWORTHINESS maintenance program: ‘‘General requirements.’’ Under that DIRECTIVES ‘‘MANDATORY INSPECTIONS’’ section, Congress charges the FAA with 1. The authority citation for part 39 (1) Inspect the following life-limited parts promoting safe flight of civil aircraft in at each piece-part opportunity in accordance air commerce by prescribing regulations continues to read as follows: with the instructions provided in the for practices, methods, and procedures Authority: 49 U.S.C. 106(g), 40113, 44701. applicable manual provisions:

Engine manual part No. Inspect per Engine model (P/N) Part nomenclature manual section Inspection/check

3A/7/7A/7AH/7F/7H/7J/20/ *646028 (or the equiva- All Fan Hubs ...... 72–31–04 Inspection-02. 20J. lent customized versions, 770407 and 770408). All HPC Stage 5–15 Disks and Rear Compressor 72–35–00 Inspection-03. Drive Turbine Shafts. All HPT Stage 1–2 Disks and Hubs ...... 72–51–00 Inspection-03. **All HPT Stage 1 Disk Web Cooling Holes ...... 72–51–02 Inspection-06. All HPT Stage 2 Disk Web Tierod Holes ...... 72–51–02 Inspection-05. All LPT Stage 3–6 Disks and Hubs ...... 72–52–00 Inspection-03.

59A/70A ...... 754459 ...... All Fan Hubs ...... 72–31–00 Check-00. All HPC Stage 5–15 Disks and Rear Compressor 72–35–00 Check-00. Drive Turbine Shafts. All HPT Stage 1–2 Disks and Hubs ...... 72–51–00 Check-03.

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Engine manual part No. Inspect per Engine model (P/N) Part nomenclature manual section Inspection/check

...... All HPT Stage 1 Disk Web Cooling Holes ...... 72–51–02 Check-03. **All HPT Stage 2 Disk Tierod and Web Cooling 72–51–02 Check-04. Holes. All LPT Stage 3–6 Disks and Hubs ...... 72–52–00 Check-03.

7Q/7Q3 ...... 777210 ...... All Fan Hubs ...... 72–31–00 Inspection-03. All HPC Stage 5–15 Disks and Rear Compressor 72–35–00 Inspection-03. Drive Turbine Shafts. All HPT Stage 1–2 Disks and Hubs All HPT Stage 72–51–00 Inspection-03. 1 Disk Web Cooling Holes. 72–51–06 Inspection-03. **All HPT Stage 2 Disk Tierod and Web Cooling 72–51–07 Inspection-03. Holes. All LPT Stage 3–6 Disks and Hubs ...... 72–52–00 Inspection-03.

7R4 ALL ...... 785058, 785059, and All Fan Hubs ...... 72–31–00 Inspection/Check-03. 789328. **All Fan Hub Slots ...... 72–31–01 Inspection/Check-02. All HPC Stage 5–15 Disks and Rear Compressor 72–35–00 Inspection/Check 03. Drive Turbine Shafts. All HPT Stage 1–2 Disks and Hubs ...... 72–51–00 Inspection/Check 03. All LPT Stage 3–6 Disks and Hubs ...... 72–52–00 Inspection/Check 03 **All HPT Stage 2 Disk Tierod and Web Cooling 72–51–07 Inspection/Check-02. Holes.

7R4D/D1/E/E1 ...... 785058 and 785059 ...... All HPT Stage 1 Disk Web Cooling Holes ...... 72–51–06 Inspection/Check-02. **All HPT Stage 2 Disk Tierod and Web Cooling 72–51–07 Inspection/Check-02. Holes. * P/N 770407 and 770408 are customized versions of P/N 646028 engine manual. ** Two asterisks identify the part nomenclatures and inspections added to the table.

(2) For the purposes of these mandatory of the manufacturer’s ICA as specified in Issued in Burlington, Massachusetts, on inspections, piece-part opportunity means: paragraph (f) of this AD. For air carriers November 15, 2011. (i) The part is considered completely operating under part 121 of the Federal Peter A. White, disassembled when disassembly is in Aviation Regulations (14 CFR part 121), you Manager, Engine & Propeller Directorate, accordance with the disassembly instructions have met the requirements of this AD when Aircraft Certification Service. in the manufacturer’s engine shop manual; you modify your continuous airworthiness [FR Doc. 2011–30062 Filed 11–21–11; 8:45 am] and air carrier maintenance program as specified (ii) The part has accumulated more than in paragraph (f) of this AD. You do not need BILLING CODE 4910–13–P 100 cycles-in-service since the last piece-part to record each piece-part inspection as opportunity inspection, provided that the compliance to this AD, but you must part was not damaged or related to the cause maintain records of those inspections FEDERAL TRADE COMMISSION for its removal from the engine.’’ according to the regulations governing your (g) Except as provided in paragraph (h) of operation. For air carriers operating under 16 CFR Part 301 this AD, and notwithstanding contrary part 121, you may use either the system provisions in section 43.16 of the Federal established to comply with section 121.369 Regulations Under The Fur Products Aviation Regulations (14 CFR 43.16), these or an alternative accepted by your principal Labeling Act mandatory inspections shall be performed maintenance inspector if that alternative: only in accordance with the ALS of the (i) Includes a method for preserving and AGENCY: Federal Trade Commission. manufacturer’s ICA. retrieving the records of the inspections ACTION: Announcement of public (g) Alternative Methods of Compliance resulting from this AD; hearing. (AMOC) (ii) Meets the requirements of section SUMMARY: (1) You must perform these mandatory 121.369(c); and The Federal Trade inspections using the ALS of the ICA and the (iii) Maintains the records either Commission (‘‘FTC’’ or ‘‘Commission’’) applicable Engine Manual, unless you indefinitely or until the work is repeated. will hold a public hearing on December receive approval to use an AMOC under (2) These record keeping requirements 6, 2011, as part of the congressionally paragraph (h)(2) of this AD. Section 43.16 of apply only to the records used to document mandated review of its Fur Products the Federal Aviation Regulations (14 CFR the mandatory inspections required as a Name Guide. The hearing will allow 43.16) may not be used to approve alternative result of revising the ALS of the manufacturer’s ICA as specified in paragraph interested parties to present views on methods of compliance or adjustments to the whether the Commission should amend times in which these inspections must be (f) of this AD. These record keeping performed. requirements do not alter or amend the the Fur Products Name Guide. (2) The Manager, Engine Certification record keeping requirements for any other DATES: The hearing will be held on Office, has the authority to approve AD or regulatory requirement. Tuesday, December 6, 2011, from 9 a.m. alternative methods of compliance for this (i) Related Information to 1 p.m. at the FTC’s Satellite Building AD, if requested using the procedures found Conference Center, located at 601 New in 14 CFR 39.19. For more information about this AD, Jersey Avenue NW., Washington, DC contact Stephen Sheely, Aerospace Engineer, (h) Maintaining Records of the Mandatory Engine & Propeller Directorate, FAA, 12 New 20001. Inspections England Executive Park, Burlington, MA REGISTRATION INFORMATION: The hearing (1) You have met the requirements of this 01803; phone: (781) 238–7750; fax: (781) is open to the public, and there is no fee AD when you revise your copy of the ALS 238–7199; email: [email protected]. for attendance. If resources are available

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for broadcasting, this hearing will be Guide, it will hold a public hearing to ‘‘after holding public hearings.’’ 12 The available via a webcast (check the FTC consider the significant issues raised by Commission has done so twice, most Web site, http://www.ftc.gov, for a the comments it received in response to recently in 1967. webcast announcement). For admittance the ANPR. Accordingly, the C. ANPR and Comments on the Name to the Conference Center, all attendees Commission issues this Federal Register Guide will be required to show a valid photo Notice to announce the upcoming identification, such as a driver’s license. hearing and propose issues that On December 18, 2010, the President The FTC will accept pre-registration for attending parties should address. signed TFLA. The law directed the this hearing. Pre-registration is not This announcement first provides Commission to begin a review of the necessary to attend, but is encouraged background on the Fur Act and Rules, Name Guide and provide the so that we may better plan this event. To the Name Guide, and the ANPR and the opportunity to comment on the Name pre-register, please email your name and comments received in response. It then Guide within 90 days. Accordingly, the affiliation to [email protected]. When suggests issues for discussion at the Commission initiated a review of the you pre-register, we will collect your hearing. Name Guide by publishing the ANPR on name, affiliation, and your email March 14, 2011. The ANPR sought A. Fur Act and Rules address. This information will be used comment on the Name Guide generally to estimate how many people will The Fur Act prohibits misbranding and on whether the Commission should attend. We may use your email address and false advertising of fur products, alter the Name Guide’s fur names in to contact you with information about and requires labeling of most fur particular. As part of the Commission’s the hearing. products.5 Pursuant to the Act, the comprehensive regulatory review Under the Freedom of Information Commission promulgated the Fur Rules program, the ANPR also sought Act or other laws, we may be required to establish disclosure requirements that comment on the Fur Rules.13 to disclose to outside organizations the assist consumers in making informed The Commission received 15 information you provide. For additional purchasing decisions.6 Specifically, the comments in response to the ANPR,14 information, including routine uses of Fur Act and Rules require fur seven of which discussed the Name your information permitted by the manufacturers, dealers, and retailers to Guide.15 One of the seven urged the Privacy Act, see the Commission’s place labels on products made entirely Commission to add ‘‘sheepskin’’ as an Privacy Policy at http://www.ftc.gov/ftc/ or partly of fur disclosing: (1) The allowed name.16 The other six focused privacy.htm. The FTC Act and other animal’s name as listed in the Name on the Name Guide’s name for laws the Commission administers Guide; (2) the presence in the fur nyctereutes procyonoidos.17 Currently, permit the collection of this contact product of any used, bleached, dyed, or the Name Guide requires that fur information to consider and use for the otherwise artificially colored fur; (3) the industry members label this species above purposes. presence in the fur product of any paws, ‘‘Asiatic Raccoon.’’ The Humane Society FOR FURTHER INFORMATION CONTACT: tails, bellies, or waste fur; (4) the name of the United States (‘‘HSUS’’) objected Matthew Wilshire, (202) 326–2976, or Registered Identification Number of and asked the Commission to replace it Attorney, Division of Enforcement, the manufacturer or other party with ‘‘Raccoon Dog.’’ HSUS first Bureau of Consumer Protection, Federal responsible for the garment; and (5) the asserted that the ‘‘true English name’’ of Trade Commission, 600 Pennsylvania garment’s country of origin.7 In an animal should be the name ‘‘most Avenue, NW., Washington, DC 20580. addition, manufacturers must include widely accepted by the scientific 18 SUPPLEMENTARY INFORMATION: an item number or mark on the label for community.’’ To gauge scientific identification purposes.8 consensus, HSUS suggested that the I. Background Commission use the names specified by B. The Name Guide The FTC will hold a public hearing on the Integrated Taxonomic Information December 6, 2011, regarding whether to The Fur Act requires the Commission System (‘‘ITIS’’), ‘‘a partnership of amend its Fur Products Name Guide to maintain ‘‘a register setting forth the federal governmental agencies formed to (‘‘Name Guide’’), 16 CFR 301.0. This names of hair, fleece, and fur-bearing hearing is part of a review of the Name animals.’’ 9 The Act further requires 12 15 U.S.C. 69e(b). Guide, which is required by the Truth these names to ‘‘be the true English 13 For further discussion of the program, see www.ftc.gov/opa/2011/07/regreview.shtm. 1 names for the animals in question, or in in Fur Labeling Act (‘‘TFLA’’). On 14 The comments are available at http:// March 14, 2011, the Commission the absence of a true English name for www.ftc.gov/os/comments/furlabeling. published an Advance Notice of an animal, the name by which such 15 The Commission will respond to comments Proposed Rulemaking (‘‘ANPR’’) animal can be properly identified in the regarding Fur Rules other than the Name Guide at initiating the review,2 seeking comment United States.’’ 10 The Name Guide a later date. 16 on the Name Guide as well as all of the provides English names for fur- See Deckers Outdoor Corporation Comment at producing animals, listed by genus- 8–9. Commission’s regulations (‘‘Fur Rules’’) 17 Two of these comments also discussed issues under the Fur Products Labeling Act species. For example, the Name Guide unrelated to nyctereutes procyonoidos. First, the (‘‘Fur Act’’).3 requires covered entities to label vulpes Fur Information Council of America noted what it To implement any change to the fulva as fox.11 described as ‘‘factual and typographical errors’’ in The Commission first published the the Name Guide and requested that the Commission Name Guide, the Fur Act requires the remove names of certain prohibited species, such as Commission to hold a public hearing.4 Name Guide in 1952. The Name Guide dog and cat. See Fur Information Council of Although the Commission has not can only be amended under the Fur Act America Comment at 7–8. Second, the Humane determined whether to amend the Name Society of the United States objected to the Name 5 15 U.S.C. 69 et seq. Guide’s use of one common name for multiple animals and suggested updating several names that 1 6 16 CFR part 301. Public Law 111–313. ‘‘are no longer the accepted common name, appear 7 2 Federal Trade Commission: Advance notice of 15 U.S.C. 69b(2); 16 CFR 301.2(a). to have never been the accepted common name, or proposed rulemaking: request for comment, 76 FR 8 16 CFR 301.40. even appear to be trade names, and would not 13550 (Mar. 14, 2011). 9 15 U.S.C. 69e(a). properly inform the consumer.’’ Humane Society of 3 15 U.S.C. 69–69j. 10 Id. the United States Comment at 9. 4 15 U.S.C. 69e(b). 11 16 CFR 301.0. 18 HSUS comment at 7 (emphasis in original).

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satisfy the need for scientifically to determine an animal’s true English rights of way. This methodology credible taxonomic information.’’ 19 name; (2) whether using the name includes a land value per acre, an HSUS noted that ITIS lists the common ‘‘Asiatic Raccoon’’ to describe encumbrance factor, a rate of return, and name of nyctereutes procyonoidos as nyctereutes procyonoidos fur products an annual adjustment factor. The fee ‘‘Raccoon Dog,’’ and presented evidence accurately informs consumers about the schedule would include all adjustments that the scientific community refers to source, quality, and characteristics of described in the BLM rule adopting this the species by that name.20 Finally, those products; (3) what, if any, methodology, except the allocation of HSUS asserted that the name ‘‘Asiatic alternative name, including ‘‘Tanuki’’ or county land values into zones. In Raccoon’’ may confuse consumers ‘‘Magnut,’’ should the Name Guide addition, the Commission proposes to because the animal is also found in require for nyctereutes procyonoidos; (4) eliminate its current practice of Europe.21 whether the Name Guide should allow doubling the per-acre rental rate for In contrast, the Fur Information ‘‘Finnraccoon’’ for nyctereutes non-transmission line lands. Council of America (‘‘Fur Council’’) and procyonoidos raised in Finland; and (5) DATES: Comments are due January 6, the National Retail Federation (‘‘NRF’’) whether the Commission should 2012. supported retaining ‘‘Asiatic Raccoon.’’ modify, add, or delete other names. ADDRESSES: Comments, identified by The Fur Council asserted that the name By direction of the Commission. ‘‘Raccoon Dog’’ would mislead docket number, may be filed by the Donald S. Clark, consumers because nyctereutes following methods: • procyonoidos is no more closely related Secretary. Electronic Filing through http:// to domestic dogs than foxes, wolves, or [FR Doc. 2011–30050 Filed 11–21–11; 8:45 am] www.ferc.gov. Documents created coyotes.22 In addition, the Fur Council BILLING CODE 6750–01–P electronically using word processing stated that ‘‘[w]ere the Commission to software should be filed in native require the use of the term ‘raccoon applications or print-to-PDF format and dog,’ there would no longer be a market DEPARTMENT OF ENERGY not in a scanned format. for Asiatic/Finnraccoon fur, and • Mail/Hand Delivery: Those unable garments with this type of fur would be Federal Energy Regulatory to file electronically may mail or hand- eliminated.’’ 23 NRF concurred with the Commission deliver comments to: Federal Energy Fur Council’s view that nyctereutes Regulatory Commission, Secretary of the procyonoidos is ‘‘not a true-dog or dog- 18 CFR Part 11 Commission, 888 First Street NE., Washington, DC 20426. like canine,’’ and suggested retaining [Docket No. RM11–6–000] ‘‘Asiatic Raccoon’’ or changing it to Instructions: For detailed instructions ‘‘Tanuki’’ or ‘‘Magnut.’’ 24 Annual Charges for Use of on submitting comments and additional Finally, the Fur Council and Finnish Government Lands information on the rulemaking process, Fur Sales, supported by the Finnish see the Comment Procedures Section of Ministry for Foreign Affairs and AGENCY: Federal Energy Regulatory this document. Ministry of Agriculture and Forestry, Commission, DOE. FOR FURTHER INFORMATION CONTACT: suggested allowing the name ACTION: Notice of Proposed Rulemaking. Doug Foster, Office of the Executive ‘‘Finnraccoon’’ for nyctereutes Director, Federal Energy Regulatory procyonoidos raised in Finland. These SUMMARY: The Federal Power Act Commission, 888 First Street NE., commenters noted that calling such furs requires hydropower licensees to Washington, DC 20426, (202) 502– ‘‘Asiatic Raccoon’’ could mislead recompense the United States for the 6118, [email protected]. consumers because ‘‘finraccoons’’ are use, occupancy, and enjoyment of its Kimberly Ognisty, Office of General not from Asia and are raised under lands. The Commission assesses annual Counsel, Federal Energy Regulatory different conditions than those that charges for the use of Federal lands Commission, 888 First Street NE., generally exist in Asia.25 through Part 11 of its regulations. The Washington, DC 20426, (202) 502– Commission is proposing to revise the 8565, [email protected]. II. Issues for Discussion at the Hearing methodology used to compute these SUPPLEMENTARY INFORMATION: The Commission invites attendees to annual charges. Under the proposed share views on any aspect of the Name rule, the Commission would create a fee Notice of Proposed Rulemaking Guide at the hearing. The Commission schedule based on the U.S. Bureau of November 17, 2011. specifically requests views on: (1) The Land Management’s (BLM) methodology appropriateness of using the ITIS system for calculating rental rates for linear Table of Contents

Paragraph Nos.

I. Background ...... 2 II. Comments on Notice of Inquiry ...... 21 III. Proposed Rule ...... 44 A. Per-Acre Land Value ...... 47 B. Encumbrance Factor ...... 56 C. Rate of Return ...... 60 D. Annual Adjustment Factor ...... 62 IV. Regulatory Requirements ...... 64 A. Information Collection Statement ...... 64 B. Environmental Analysis ...... 65

19 Id. 22 Fur Council Comment at 5. 25 See, e.g., Fur Council Comment at 3–4; Finnish 20 Id. at 8–9. 23 Id. at 6. Fur Sales comment at 1–2. 21 Id. at 9. 24 NRF Comment at 4.

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Paragraph Nos.

C. Regulatory Flexibility Act ...... 66 D. Comment Procedures ...... 71 E. Document Availability ...... 75

1. The Federal Power Act (FPA) In other words, where hydropower 5. In 1987, the Commission adopted requires licensees using Federal lands to licensees use and occupy Federal lands use of a fee schedule developed by the recompense the United States for the for project purposes, they must BLM and Forest Service that identified use, occupancy, and enjoyment of its compensate the United States through per-acre rental rates by county for linear lands.1 The Commission has assessed payment of an annual fee, to be rights of way on Federal lands.11 BLM this portion of annual charges at rental established by the Commission.4 and Forest Service produced the fee rates established by the U.S. Bureau of 3. Over time, the Commission has schedule by taking a survey of market Land Management (BLM) (and adopted adopted a number of methodologies to values by county for the various types by the U.S. Forest Service), which are effectuate this statutory directive. This of land that the agencies had allowed to published annually in a fee schedule has included conducting project-by- be occupied by linear rights of way.12 that identifies per-acre rental rates by project appraisals,5 charging a single The range of per-acre land values was state and county for linear rights of way. national average land value per acre,6 divided into eight zones, and each zone Under the proposed rule, the and using a fee schedule for linear rights value was pegged to the highest raw Commission would create a fee of way developed jointly by the BLM value within that zone.13 The rental rate schedule based on the BLM and Forest Service.7 in the fee schedule was calculated by methodology promulgated in 2008 for 4. From 1937 to 1942, the multiplying the zone value by an calculating rental rates for linear rights Commission based annual charges for encumbrance factor of 70 percent,14 a of way. This methodology includes a the use of Federal lands by hydropower rate of return of 6.41 percent, and an land value per acre, an encumbrance licensees on individual land appraisals annual inflation adjustment factor. The factor, a rate of return, and an annual for each project.8 In 1942, the resulting fee schedule assigned one of adjustment factor. The Commission- Commission rejected this approach in eight rental rates to all counties.15 created fee schedule would base county favor of a single national average per- 6. BLM would use individual land land values on average per-acre values acre land value because it determined appraisals to substitute for the fee from the National Agricultural Statistics that project-by-project appraisals were schedule rental rate only if the resulting Service (NASS) Census, and would not more costly to administer than the value rent would be significantly higher than use the zone system adopted by the collected in rent, the values for that produced by the schedule.16 2008 BLM rule. All other adjustments to inundated lands would become 7. In adopting the 1987 BLM fee the formula components described in distorted, the values could only be schedule, the Commission found that the BLM rule would apply to the maintained with re-appraisals, and the methodology promulgated by BLM Commission’s creation of a fee disputes over values may lead to costly and Forest Service for linear rights of schedule.2 In addition, the Commission litigation.9 Eventually, the Commission way was the ‘‘best approximation proposes to eliminate its current also rejected the use of a single national average per-acre land value because the U.S. General Accounting Office Report No. RCED– practice of doubling the rental rate for 87–12 (November 1986). The single national non-transmission line lands. Inspector General of the Department of average land value per acre in 1942 was $50 per Energy concluded that this methodology acre, and, by 1976, the value was $150 per acre. 56 I. Background resulted in an under-collection of over FPC 3860. 2. Section 10(e)(1) of the Federal $15 million per year due to the use of 11 Order No. 469, FERC Stats. & Regs. ¶ 30,741 at Power Act (FPA) requires Commission outdated land values.10 30,584. 12 51 FR 44014 (Dec. 5, 1986). BLM explained that hydropower licensees using Federal the value of timber had not been included, and that lands to: 4 Pursuant to FPA section 17(a), 16 U.S.C. 810(a) the values were not for urban or suburban (2006), the fees collected for use of government pay to the United States reasonable annual residential areas, industrial parks, farms or lands are allocated as follows: 12.5 percent is paid orchards, recreation properties or other such types charges in an amount to be fixed by the into the Treasury of the United States, 50 percent of land. The agencies tried to avoid using attractive Commission * * * for recompensing [the is paid into the federal reclamation fund, and 37.5 public use areas such as lakeshores, streamsides, United States] for the use, occupancy, and percent is paid into the treasuries of the states in and scenic highways frontage. enjoyment of its lands or other property which particular projects are located. No part of the 13 The per-acre zone values were $50, $100, $200, * * * and in fixing such charges the fees discussed in this proposed rule is used to fund $300, $400, $500, $600, and $1000. the Commission’s operations. Commission shall seek to avoid increasing 14 The encumbrance factor adjusts the zone value 5 the price to the consumers of power by such See Revision of the Billing Procedures for to reflect the degree that a particular type of facility Annual Charges for Administering Part I of the encumbers the right-of-way area or excludes other charges, and any such charges may be Federal Power Act and to the Methodology for adjusted from time to time by the types of land uses. If the encumbrance factor is 100 Assessing Federal Land Use Charges, Order No. percent, the right-of-way facility (and its operation) Commission as conditions may require 469, FERC Stats. & Regs., Regulations Preambles ¶ 3 is encumbering the right-of-way area to the *** . 30,741, at 30,584 (1987). exclusion of all other uses. 6 Id. See also Order Prescribing Amendment to 15 The per-acre zone fee under the 1987 BLM fee 1 16 U.S.C. 803(e)(1) (2006). Section 11.21 of the Regulations Under the Federal schedule ranged from $2.24 to $44.87. By 2008, the 2 Update of Linear Right-of-Way Rent Schedule, Power Act, Order No. 560, 56 FPC 3860 (1976). per-acre zone fee under the 1987 BLM fee schedule, 73 FR 65040 (October 31, 2008) (codified at 43 CFR 7 Order No. 469, FERC Stats. & Regs. ¶ 30,741 at having been adjusted each year for inflation, ranged 2806.20–2806.23). 30,584. from $3.76 to $75.23. 3 16 U.S.C. 803(e)(1) (2006) (emphasis added). 8 See 56 FPC 3860 at 3863. 16 51 FR 44014 (Dec. 5, 1986). BLM would use Section 10(e)(1) also requires licensees to reimburse 9 See 56 FPC 3860 at 3863–64. individual appraisals only if it could be determined the United States for the costs of the administration 10 See Assessment of Charges under the that sufficient area within a right of way would, at of Part I of the FPA. Those charges are calculated Hydroelectric Program, DOE/IG Report No. 0219 a minimum, exceed the zone value by a factor of and billed separately from the land use charges, and (September 3, 1986); see also More Efforts Needed ten and the expected return was sufficient to are not the subject of this proposed rule. to Recover Costs and Increase Hydropower Charges, initiate a separate appraisal.

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available of the value of lands used for percentage of gross revenues from data. To determine a county per-acre transmission line rights-of-way.’’ 17 power sales or a rate per kilowatt hour, land value, BLM uses the average per Therefore, the Commission assessed the concluding that such methods would be acre land value from the ‘‘land and schedule rate for transmission line unreasonable because they would result buildings’’ category of the NASS rights of way on Federal lands, and in a royalty as though the occupied Census. The ‘‘land and buildings’’ doubled this rate for other project works Federal lands themselves were category is a combination of NASS on Federal lands (e.g., dams, producing power. The Commission Census land categories, and includes powerhouses, reservoirs) because, explained that this would overlook the irrigated and non-irrigated cropland, historically, appraisers had determined fact that power output is the result of pastureland, rangeland, woodland, and that the market value of transmission many factors (e.g., water rights, head, the ‘‘other’’ category, which includes line rights of way is roughly half of the project structures), and not just the roads, ponds, wasteland, and land market value of other land.18 acreage of the Federal lands involved.22 encumbered by non-commercial or non- 8. In the 1987 proceeding, the Finally, the Commission again rejected residential buildings. BLM consulted Commission found no merit to claims a proposal to use individual project with officials from NASS to arrive at an that charging fair market value for appraisals because such appraisals appropriate method for removing the Federal lands is prohibited by the FPA: would be too costly and result in time- value of irrigated cropland and land All increases in charges will result in some consuming litigation.23 encumbered by buildings because these impact on consumers. The statutory 10. From 1987 to 2008, the types of land are generally of higher provision bars the Commission from Commission assessed annual charges for value than the types of lands over which assessing unreasonable charges that would be the use, occupancy, and enjoyment of rights of way would be granted. This passed along to consumers. Reasonable government lands according to the BLM resulted in a reduction in the average annual charges are those that are fee schedule. Each year, BLM adjusted per-acre land value by 20 percent (a 13 proportionate to the value of the benefit percent reduction to remove all irrigated conferred. Therefore, a fair market approach the fee schedule for inflation, and each is consistent with the dictates of the Act. year the Commission published notice acres and a 7 percent reduction to Furthermore, as land values have not been of the updated schedule.24 remove all lands in the ‘‘other’’ adjusted in over ten years, an adjustment 11. In 2005, Congress passed the category, which includes all improved upwards is warranted and overdue.19 Energy Policy Act (EPAct) of 2005, land or land encumbered by buildings) The Commission also rejected the which required BLM ‘‘to update [the ‘‘to eliminate the value of all land that argument that it should intentionally set schedule] to revise the per acre rental could possibly be encumbered by low land charges based on the public fee zone value schedule * * * to reflect buildings or which could possibly have benefits provided by hydropower current values of land in each zone.’’ 25 been developed, improved, or 28 projects. The Commission explained Congress further ordered that ‘‘the irrigated.’’ that the public benefits provided by Secretary of Agriculture shall make the 14. In response to comments that the licensed projects are considered in the same revision for linear rights-of-way non-irrigated cropland category also licensing decision and these benefits are * * * on National Forest System land.’’ represented higher value lands and the quid pro quo for the ability to 12. On October 31, 2008, BLM issued therefore should be removed from the operate the project in a manner a final rule promulgating its updated ‘‘land and buildings’’ category, BLM consistent with the needs of society. In rental schedule for linear rights of way explained that in comparing the contrast, the purpose of the rental fee is to satisfy the congressional mandate in categories from the NASS Census data, to establish a fair market rate for the use EPAct 2005,26 and the Forest Service it found little difference in the mid- of government land.20 subsequently adopted the 2008 BLM fee western and western states between the 9. In adopting the 1987 BLM fee schedule.27 As had been the case with average per acre values of non-irrigated 29 schedule, the Commission rejected the methodology underlying the 1987 cropland and pastureland/rangeland. several other proposed methods of BLM fee schedule, the updated fee Furthermore, if the non-irrigated lands assessing annual charges for the use, schedule is based on the same formula, category were removed from the per- occupancy, and enjoyment of which has four components: (1) An acre average, the per-acre average would government lands by hydropower average per-acre land value by county undervalue Federal land holdings in the licensees. The Commission rejected a (grouped into zones); (2) an eastern U.S., including Forest Service proposal to use an agricultural land encumbrance factor reduction; (3) a rate lands, that have largely been acquired value index created by the U.S. of return; and (4) an annual adjustment from the private sector (primarily farm Department of Agriculture (USDA), factor for inflation. real estate) and would likely fall into the which used a state-by-state average 13. Under the updated 2008 BLM fee same land categories covered by the value per acre of farm lands and schedule, the per acre land value by NASS Census.30 buildings, concluding that this index county is based on the NASS Census 15. In response to comments objecting would require such major adjustments to the zone system, BLM explained that that it would be an inefficient measure 22 Id. at 30,589–90. it chose to retain the zone system of land value for hydropower projects.21 23 Id. at 30,590. because the 2005 congressional mandate The Commission also rejected a 24 See, e.g., Update of the Federal Energy directed it to revise the schedule to proposal to assess a fee based on the Regulatory Commission’s Fee Schedule for Annual reflect current land values in each zone. Charges for the Use of Government Lands, 73 FR BLM also explained that it considered 3626 (Jan. 22, 2008), FERC Stats. & Regs. ¶ 31,262 17 Order No. 469, FERC Stats. & Regs. ¶ 30,741 at (2008). using the midpoint of the zone value to 30,588 (emphasis added). 25 42 U.S.C. 15925 (2006). base its calculations instead of the 18 Id. at 30,589. 26 Update of Linear Right-of-Way Rent Schedule, upper limit. It chose not to do this 19 Id. (footnotes omitted). 73 FR 65040. because it would have been significantly 20 Id. at 30,587. 27 See Fee Schedule for Linear Rights-of-Way different from the methodology used in 21 Id. at 30,589. The potential adjustments Authorized on National Forest System Lands, 73 FR included accounting for farm buildings, for the 66591 (November 10, 2008). The Forest Service cleared, arable, level land that it represented, and noted it had given notice, in the preambles to 28 73 FR 65040 at 65043. for the fact that the index represented private and BLM’s proposed and final rules, that it would adopt 29 Id. at 64044. not federal lands. BLM’s revised fee schedule. 30 Id.

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the previous schedule (which used the which was based on its revised commenters suggested, and the upper zone amount) and its use would methodology, as it had done for every Commission is unaware of, any existing have generated significantly lower per annual update to the 1987 fee index other than the NASS Census to acre rent amounts, even though land schedule.37 Because of the land value determine per acre rental rates by values have generally increased. revisions and methodology adjustments county. Because of the larger range in values, in response to EPAct 2005, the 2008 fee 22. 2008 BLM Fee Schedule. The the 2008 fee schedule included twelve schedule resulted, in some cases, in Forest Service is the only commenter zones rather than eight. significantly higher annual charge that recommends straight-forward 16. BLM will update the per-acre land assessments of Commission licensees.38 adoption of the 2008 BLM fee schedule values by county every five years on a 19. On March 6, 2009, a group of for assessing annual charges for the use defined schedule that is linked to the licensees requested rehearing of the of Federal lands by hydropower NASS Census updates, which are also February 17 Notice, which the licensees. The Forest Service identified updated every five years. Therefore, the Commission denied.39 The licensees several advantages to adopting the BLM 2011–2015 fee schedules would be petitioned for review of the fee schedule, including: (1) Consistent based on the 2007 NASS Census data,31 Commission’s orders in the United application of linear rights-of-way rental adjusting in intermediary years with an States Court of Appeals for the District values among Federal agencies; (2) annual inflation adjustment factor, the of Columbia Circuit. On January 4, 2011, parity in rental rates for projects 2016–2020 fee schedules would be the Court granted the petition for review licensed or exempted from licensing based on the 2012 NASS Census, the and vacated the Commission’s February under the FPA; and (3) reduced 2021–2025 fee schedules would be 17 Notice.40 The DC Circuit found that administrative burden because BLM based on the 2017 NASS Census, and so the Commission is required by the maintains and updates the schedule on. Administrative Procedure Act to seek with periodic revisions to reflect 17. In promulgating the 2008 fee notice and comment on the changes in land values, treasury rates, schedule, BLM made additional changes methodology used to calculate annual and inflation. to the methodology underlying the fee charges because the Commission’s fee 23. Per-Acre Land Value. The Federal schedule. BLM reduced the schedule is based on the BLM fee Lands Group 41 believes that the NASS encumbrance factor from 70 percent to schedule, and BLM has made changes to Census land values should be reduced 50 percent after a review of public the methodology underlying its fee by 50 percent, instead of the 20 percent comments, industry practices in the schedule. reduction incorporated into the BLM fee private sector, and the Department of 20. On February 17, 2011, the schedule, to reflect the fact that lands Interior’s appraisal methodology for Commission issued a Notice of Inquiry used for hydropower projects rarely right-of-way facilities on Federal soliciting comments on proposed have any value for agricultural lands.32 BLM revised the fixed rate of methodologies for assessing annual purposes. The Federal Lands Group also return downward from 6.41 percent to charges for the use, occupancy, and recommends that the Commission use 5.27, which is the 10-year average enjoyment of Federal lands by actual county land values from the (1998–2008) of the 30-year and 20-year hydropower licensees. The Notice of NASS Census instead of the zone values Treasury bond yield rate.33 To stay Inquiry identified five requirements that created by BLM, which would result in current with inflationary or deflationary any proposed methodology should a more accurate valuation of the project trends, BLM will apply an annual satisfy, which are derived from the lands, with only minimal additional adjustment factor, which is currently 1.9 Commission’s statutory obligations burden on the Commission because it is percent, to the per-acre rental rate in the under the FPA and the Commission’s responsible for assessing Federal lands fee schedule.34 The annual adjustment past practice in implementing various charges for fewer than 250 projects. factor is based on the average annual methodologies. Any proposed 24. Similarly, Southern California change in the Implicit Price Deflator- methodology must: (1) apply uniformly Edison (SCE) generally supports use of Gross Domestic Product (IPD–GDP) for to all licensees; (2) avoid exorbitant the 2008 BLM fee schedule but believes the 10-year period immediately administrative costs; (3) not be subject that the 20 percent reduction in per-acre preceding the year that the NASS to review on an individual basis; (4) county land value does not properly Census data become available.35 The reflect reasonably accurate land account for the reduced value of vacant BLM rule makes clear that the fee valuations; and (5) avoid an land. SCE recommends the Commission schedule is the only basis for unreasonable increase in costs to use the pastureland average value per determining an annual rental fee for consumers. acre category from the NASS Census to 36 rights of way on Federal lands. II. Comments on Notice of Inquiry capture the value of vacant, unimproved 18. On February 17, 2009, the lands. In addition, SCE recommends the Commission issued notice (February 17 21. In response to the Notice of Commission adjust downward the land Notice) of the 2008 BLM fee schedule, Inquiry, comments were filed by eight values from the NASS Census because entities representing licensees, industry of the dramatic decrease in value that 31 There is an 18-month delay in NASS’s trade groups, and Federal agencies. No has occurred since the 2002 NASS publication of the census data. In BLM’s Census. administration of its formula, it provides another 37 Update of the Federal Energy Regulatory 25. Idaho Power Company (Idaho 18-month delay to allow notice of any changes in Commission’s Fees Schedule for Annual Charges applicable county values. for the Use of Government Lands, 74 FR 8184 (Feb. Power) believes that in order to 32 Id. at 65047. 24, 2009) FERC Stats. & Regs. ¶ 31,288 (2009). accurately reflect the fair market value 33 Id. at 65049. 38 However, a handful of licensees, in of Federal lands, the NASS Census land 34 Id. at 65050. geographical locations throughout the country, had and buildings category should be 35 The annual adjustment factor will be updated their rates reduced. reduced by an additional 26 percent for every ten years. 39 Update of the Federal Energy Regulatory 36 If lands are to be transferred out of federal Commission’s Fee Schedule for Annual Changes for a total reduction of 46 percent. ownership, BLM allows a right-of-way occupier to the Use of Government Lands, 129 FERC ¶ 61,095 submit an appraisal report to determine a one-time (2009). 41 The Federal Lands Group is a group of 16 rental payment for perpetual linear grants or 40 City of Idaho Falls, Idaho v. FERC, 629 F.3d private and municipal licensees that operate 37 easements. 222 (D.C. Cir. 2011). licensed projects in the western U.S.

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26. The National Hydropower 31. NHA also recommends that the 37. NHA believes that the hydropower Association (NHA) argues that any Commission allow an alternative land industry’s contributions to multiple use methodology based on an agricultural valuation method on a case-by-case of Federal lands should be reflected in index, without an adjustment to more basis to resolve anomalies that may the Commission’s valuation method by accurately capture the character of lands occur in the application of an index- significantly reducing the level of present at hydroelectric project, is based valuation system. encumbrance of hydropower projects on inherently flawed because the lands 32. PG&E objects to independent Federal lands. NHA states that typically present at hydroelectric appraisals on a case-by-case basis Commission-issued licenses reserve projects are steeply sloped, rocky, and because such a practice would be time authority for Federal land management remote. consuming and would result in agencies to authorize non-project uses 27. PG&E objects to the use of the exorbitant administrative costs, on Federal lands within the project NASS Census for per acre county land ultimately resulting in increased annual boundary, such as flood control, values because the land values reflect charge assessments to licensees for the navigation, and storage for water supply values from the beginning of the real administration of Part I of the FPA. and irrigation. NHA further states that estate bubble and may have improperly However, PG&E believes that it might be many projects significantly enhance the inflated the true value of the appropriate for the Commission to allow multiple use management of the lands government lands. PG&E states that an a licensee to challenge the application they occupy by providing recreational agricultural index overvalues of a uniform formula, if it results in an attractions such as fishing, boating, government lands used by hydroelectric inappropriate annual charge given the camping, and other activities, and many projects, and points out that the peculiar characteristics of particular licensees also provide funding to the Commission previously found, in Order projects. land managing agency in addition to the No. 469, that farm land values were 33. Encumbrance Factor. The Federal recreation facilities they construct, typically much higher than the value of Lands Group argues that the operate, and maintain. Federal land used for hydroelectric encumbrance factor should be 30 38. Non-Transmission Line Lands. projects. percent because, unlike other energy The Federal Lands Group, PG&E, Idaho 28. Individual Appraisals. The infrastructure, hydroelectric projects Power, NHA, and SCE object to the Federal Lands Group argues that the encumber Federal lands minimally, and Commission’s practice of automatically Commission should provide a limited substantially enhance the management doubling the linear rights-of-way fee for opportunity for a licensee, at its own objectives of the Federal lands non-transmission line project areas expense, to demonstrate through management agencies. because this practice does not recognize periodic, independent appraisals the that these other project areas are actual fair market value of Federal lands 34. Placer County also argues that the frequently used for non-hydroelectric at a project. Federal lands rental fee should be 29. Placer County also supports a reduced because hydropower licensees purposes, such as public recreation, mechanism for individual licensees to do not fully encumber the Federal lands private recreation (e.g., residential boat demonstrate, at their own expense, that within their projects, much of those docks), and general environmental the fair market value of the Federal lands remain available for other uses, preservation, and are accessible by the lands at a hydropower project are the Federal government retains general public for a variety of uses. substantially less than the annual significant rights in its lands, and PG&E also argues that, in the case of charges billed by the Commission. licensees use the Federal lands within government lands administered by the Placer County suggests that a licensee their projects to provide benefits to the Forest Service, the Forest Service could submit a land sales value public. Placer County suggests that the reserves to itself the right to use, or to appraisal performed by a state certified Commission adopt an encumbrance permit others to use, project lands for and licensed real estate appraiser. If that factor between 30 and 50 percent for all any purpose. PG&E suggests that the appraised value is substantially lower project areas occupying Federal lands. Commission charge some lesser factor than the assumed land value used to 35. SCE believes that a 50 percent than doubling for non-transmission line derive the Commission’s default annual encumbrance factor is the highest that is project areas. charges, then the Commission should appropriate for a hydropower facility, 39. Rate of Return and Annual adjust the charges. and that the Commission should Adjustment Factor. SCE recommends 30. Placer County proposes two consider a public benefit credit system use of the 30-year Treasury Bond rate alternative approaches to making this to offset the encumbrance factor when it rather than the 10-year average of the adjustment. First, the Commission could is determined a hydropower facility 30-year Treasury bond yield rate reassign the specific project to the BLM provides recreational and other benefits because the former is a more accurate fee schedule zone that corresponds to to the general public (e.g., recreational valuation of a long-range asset. SCE the appraised land value. Second, the activities, flood control, or water proposes that the Commission use the Commission could develop a project- storage). IPD–GDP to track inflation of land specific multiplier based on the 36. Idaho Power also believes an values annually. difference between the values yielded encumbrance factor of 100 percent for 40. 1987 Fee Schedule. PG&E by the default methodology and the non-transmission line lands is recommends the Commission continue individual assessment. For each inappropriate because Federal use of the 1987 BLM fee schedule, with subsequent year, the charge yielded by landowners such as BLM and Forest annual adjustments for inflation. PG&E the default methodology would be Service issue commercial permits and states that it recognizes that Congress multiplied by the same percentage. collect fees for the use of project lands, appeared to believe the BLM fee Under either of these proposals, and licensees are required to make schedule for linear rights of way did not licensees could be required to provide significant investment for the protection reflect current land values, but asserts an updated appraisal periodically in of Federal lands from natural and there is no indication in the statutory order to continue to be assessed a rate manmade impacts or enhancements to provision that Congress intended that other than that produced by the default Federal lands. Idaho Power believes an the Commission use the revised fee methodology. appropriate encumbrance factor is zero. schedules for hydroelectric projects, or

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that the use of the 1987 BLM fee values every five years. The 48. Using the county-by-county data schedule was inappropriate. encumbrance factor, which adjusts for is the ‘‘best approximation’’ of county 41. Income- or Generation-Based the degree to which an occupation of values of which the Commission is Methodologies. PG&E and NHA object to Federal lands precludes other uses, aware. This method would result in any methodology for assessing annual would be 50 percent. The rate of return, more accurate land valuations for all charges that would use an income- or which converts the per-acre land value licensees because under the zone generation-based methodology to into an annual rental value, would be system, every county is priced at the establish annual land use charges. 5.27 percent. Finally, the annual highest zone value (and thus the value 42. Phase-In of New Fee Schedule. adjustment factor, which adjusts the of every county is inflated). In addition, PG&E requests that the increase in rental rate to reflect inflationary or the use of NASS Census data, which is annual charges be phased in over a deflationary trends, would be 1.9 updated every five years, alleviates number of years thereby avoiding an percent, and would be adjusted every commenters’ concern that values are increase to the price of consumers of ten years. based on short-term anomalies in real power. 46. The Commission proposes to track estate prices. 43. Edison Electric Institute. The BLM’s timing for incorporating the 49. Several commenters disagree with Edison Electric Institute (EEI) endorses periodic updates to the NASS Census the use of an agricultural index as the the comments submitted by the Federal data. Therefore, the Commission’s basis for per-acre land values, arguing Lands Group, PG&E, SCE, Idaho Power, 2011–2015 fee schedules would be that the Commission has previously and NHA. EEI emphasizes the based on the 2007 NASS Census data,42 rejected use of an agricultural-based importance of such factors as the rural, adjusting in intermediary years with the index in Order No. 469.44 In Order No. unfarmed, undeveloped nature of annual adjustment factor, the 2016– 469, the Commission determined that hydropower project lands, the local 2020 fee schedules would be based on the BLM fee schedule, which was based nature of land values, the modest the 2012 NASS Census, the 2021–2025 on a survey of lands that had been encumbrance of Federal lands used by fee schedules would be based on the occupied by BLM and Forest Service hydropower facilities, changes in land 2017 NASS Census, and so on. The linear rights of way, was the best values from year to year, use of annual adjustment factor would be approximation of per-acre rental rates reasonable long-term discount rates, and revised every ten years, and the for linear rights of way. The the need for project-by-project encumbrance factor and rate of return Commission rejected use of the adjustments in fee assessments. would remain unchanged unless by agricultural index produced by the III. Proposed Rule future rulemaking. USDA at that time because the index overvalued the types of lands that are A. Per-Acre Land Value 44. The Commission proposes to used for hydropower purposes, adopt the 2008 BLM methodology for 47. The Commission proposes to provided values only for states and not creating a fee schedule of rental rates by adopt BLM’s practice of creating a per- by county, and required too many county to assess annual charges for the acre land value by using the ‘‘land and adjustments by the Commission to use, occupancy, and enjoyment of buildings’’ category from the NASS account for farm buildings, cleared and Federal lands by hydropower licensees. Census. The ‘‘land and buildings’’ arable land, and the private ownership Four components comprise the category is a combination of all the land of the lands.45 The Commission proposed formula: (1) An average per- categories in the NASS Census, and concluded that the administrative acre land value by county based on the includes croplands (irrigated and non- efficiencies provided by the 1987 BLM ‘‘land and buildings’’ category from the irrigated), pastureland/rangeland, fee schedule were superior to the many NASS Census; (2) an encumbrance woodland, and ‘‘other’’ (roads, ponds, adjustments the Commission would factor; (3) a rate of return; and (4) an wasteland, and land encumbered by have had to make to the USDA’s annual adjustment factor. The non-commercial/non-residential agricultural index. Commission proposes to use this buildings). The Commission would 50. This is no longer the case. BLM methodology to create its own schedule, apply a 20 percent reduction to remove has adopted use of the NASS Census for based on the NASS Census, without the value of irrigated farmland and determining per-acre land values by using the zone system incorporated into buildings from the ‘‘land and buildings’’ county and has incorporated reasonable the BLM fee schedule. Except for this category, but would avoid grouping the adjustments to the raw NASS Census difference, the Commission proposes to resulting land values into zones. Thus, data to more accurately value the types adopt all other aspects of the BLM under the BLM zone system, if the per- of lands used as Federal rights of way. methodology for producing a fee acre land value for County A, after the Unlike the previous agricultural index schedule to assess rental rates for the 20 percent reduction, is $3,500 and the created by USDA, the NASS Census use of Federal lands. In addition, the zone range is $3,000 to $5,000, then includes land values at the county level, Commission proposes to eliminate the County A’s per-acre land value for allowing differentiation within each current practice of doubling the fee purposes of the BLM formula would be state. schedule rate for non-transmission line $5,000. In contrast, under the proposed 51. In addition, BLM’s methodology lands. The proposed rule does not rule, the per-acre land value for County for producing the fee schedule provides include a graduated phase-in rate for the A would be $3,500, rather than for significant adjustments to the NASS new schedule. Thus, the Commission $5,000.43 Census land values to account for the would assess annual charges for the use same concerns the Commission had of Federal lands by multiplying the rate 42 There is an 18 month delay in NASS’s when considering use of the USDA publication of the census data. In BLM’s in its fee schedule by the number of administration of its formula it provides another 18 agricultural index. BLM uses the total Federal acres occupied by a licensee. month delay to allow notice of any changes in average ‘‘land and buildings’’ category 45. The per-acre land value would be applicable county values. from the NASS Census, which includes, based on the NASS Census, adjusted 43 After the other components of the BLM formula irrigated and non-irrigated croplands downward to remove the value of are applied (encumbrance factor reduction, rate of return, and adjustment for inflation), County A’s irrigated lands and buildings, and per-acre rent in 2011 under the Commission’s 44 FERC Stats. & Regs. ¶ 30,741 at 30,589. would be updated with current land proposed rule would be approximately $94. 45 Id.

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(but not the value of crops), Federal ownership, then the right to authorize other uses within a pasturelands, rangelands, woodlands, Commission would no longer collect right-of-way area.49 and interstitial lands, such as roads, annual charges for the use of those 58. Several commenters suggested the 46 ponds, wastelands, and lands Federal lands from that licensee. public benefits provided by hydropower encumbered by non-commercial or non- 55. The Commission recognizes that licensees should result in a reduced residential buildings. In consultation for some licensees regional land values encumbrance factor.50 However, the with NASS officials, BLM determined have increased dramatically, resulting public benefits required by a license that a 20 percent reduction to the in a significant increase in the rental average per-acre ‘‘land and buildings’’ cannot completely offset the rental fee rate for the use of Federal lands by category would remove the value of for use of Federal lands. Rather, the hydropower licensees. This is primarily irrigated croplands and lands public benefits, including aesthetics, the result of a shift from a methodology encumbered by buildings, which are recreation, environmental, fish and that used land values from 1987 to a generally not the types of lands used for wildlife, and others, are required by the linear rights of way or hydropower methodology that uses current market FPA in order to receive a license, not in projects. Because the Commission land values. Because the 2008 BLM exchange for occupying Federal lands. proposes to adopt the BLM fee schedule, methodology incorporates five year We acknowledge these public uses at the Commission would not be required updates to the per-acre county land many projects by discontinuing the values, it is not anticipated that such a to make these adjustments itself. practice of doubling the charges for non- large increase in annual charges for the Therefore, the NASS Census data and transmission line lands. However, use of Federal lands will occur again. BLM’s application of this data alleviates because hydropower projects located on the concerns the Commission once had B. Encumbrance Factor Federal lands do indeed make use of with USDA’s previous agricultural public property for which the FPA index. 56. The encumbrance factor is a requires us to set a reasonable fee, we 52. Several commenters object to use measure of the degree that a particular agree with BLM’s use of a 50 percent of the BLM fee schedule because recent type of facility encumbers the right-of- encumbrance factor. NASS Census data was gathered during way area or excludes other types of land a national real estate bubble. The uses.47 If the encumbrance factor is 100 59. The Commission’s practice has Commission recognizes that property percent, the right-of-way facility (and its been to charge the fee schedule rental values have increased significantly in operation) is encumbering the right-of- rate for transmission line lands and to some parts of the country in the last way area to the exclusion of all other double this rate for other project areas decade. One of the significant uses. Impacts could include visual, based on the theory that linear rights of advantages to the new BLM open space, wildlife, vegetative, way represent a lesser encumbrance methodology is that the land values will cultural, recreation, and other public than do rights of way over other project be updated every five years. Because land resources. The updated BLM areas. Most commenters request that the there is a delay in BLM’s adoption of the methodology reduces the encumbrance Commission discontinue this practice. NASS Census data, there will also be a factor from 70 percent to 50 percent. The 1987 fee schedule was developed delay in including these values into the 57. Several commenters believe that for linear rights of way on Federal lands, fee schedule. However, over time, all the encumbrance factor should be less which was based on a survey of market increases and decreases in land values values for the various types of land that will be reflected in the NASS Census than 50 percent, particularly because other uses are often authorized on the the Forest Service and BLM had allowed data and in the fee schedule. to be occupied by linear rights of way. 53. Several commenters believe that Federal lands. In promulgating the 2008 When the Commission adopted BLM’s licensees should have the opportunity, fee schedule, BLM revisited its survey of at their own expense, to submit the degrees of encumbrance presumed 1987 fee schedule, it recognized that the individual appraisals to demonstrate the by utility facilities and infrastructure, values identified in the BLM schedule NASS Census per-acre land values are and determined that 50 percent was were the ‘‘best approximation’’ available inaccurate. The Commission continues more reasonable than 70 percent of the value of lands used for to believe that individual land because lands often can be used for transmission linear rights of way. Thus, appraisals would be difficult to other purposes. BLM made this change it was reasonable at that time for the administer, would increase the costs of as a result of comments received on its Commission to assess transmission line administering Part I of the FPA, and proposed rule, a review of industry lands at this rate, but to double the rate would increase the potential for practices in the private sector, and a for non-linear project areas that disputes and litigation over annual review of the Department of Interior’s involved a more comprehensive charges. appraisal methodology for right-of-way occupation of Federal lands than a 54. Commenters argue that the facilities located on Federal lands.48 linear right of way. However, because Commission should allow individual However, BLM explained that the the NASS Census provides a per-acre appraisals because BLM allows for such degree to which Federal lands can be value for lands generally, and not an opportunity. This is not accurate. used for multiple purposes does not specifically for linear sections of land, The BLM rule makes clear that all reduce the rental rate to be assessed, there is no compelling reason to double entities with linear rights of way are to and clarified that grants issued for the underlying value represented in the be assessed a rental rate according to the rights-of-way facilities are non- NASS Census for non-linear lands. published fee schedule. The BLM rule exclusive, such that BLM reserves the Therefore, we agree with commenters allows appraisals to be submitted where and propose to discontinue this 46 an entity is making a one-time rental Annual charges for the use of Federal lands practice. payment for a perpetual right of way or would still be assessed if the lands transferred out easement on land that will be of federal ownership were subject to a power site classification under section 24 of the FPA. 16 U.S.C. 49 Id. transferred out of Federal ownership. If 818 (2006). 50 Idaho Power believes the encumbrance factor Federal lands within a licensee’s project 47 73 FR 65040 at 65047. should be zero, which would zero out the rental boundary were transferred out of 48 Id. rate as well.

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C. Rate of Return that the 2002 NASS Census data became size standard for hydroelectric 60. The BLM fee schedule adopts a available. This figure is 1.9 percent and generators, stating that a firm is small if, fixed rate of return of 5.27 percent, will be applied for each calendar year including its affiliates, it is primarily which is the most current 10-year through 2015. engaged in the transmission, generation, 63. BLM will recalculate the annual average (1998–2008) of the 30-year and and/or distribution of electric energy for index adjustment in 2014 based on the 20-year Treasury bond yield rate. This is sale and its total electric output for the average annual change in the IPD–GDP a reduction from the rate of return of preceding 12 months did not exceed from 2004 to 2013 (the 10-year period 57 6.41 percent under the 1987 fee four million megawatt hours. immediately preceding the year (2014) 67. Section 10(e)(1) of the FPA schedule, which was the 1-year when the 2012 NASS Census data will requires that the Commission fix a Treasury Securities ‘‘Constant Maturity’’ become available) and will apply it reasonable annual charge for the use, rate from June 30, 1986. The rate of annually to the fee schedule for years occupancy, and enjoyment of Federal return component used in the fee 2016 through 2025. The Commission lands by hydropower licensees.58 The schedule formula reflects the proposes to adopt BLM’s decadal Commission has issued 253 licenses relationship of income to property updates to the annual index adjustment. that occupy Federal lands to 135 value, as modified by any adjustments discrete licensees, who will be impacted IV. Regulatory Requirements to property value. BLM reviewed a by the proposed rule. The proposed rule number of appraisal reports that A. Information Collection Statement adopts a methodology promulgated by indicated the rate of return for land can 64. The Office of Management and BLM, based on the NASS Census data, vary from seven to twelve percent and to determine the annual charge for the is typically around ten percent. These Budget (OMB) regulations require OMB to approve certain information use of Federal lands. The methodology rates take into account certain risk for assessing this annual charge under considerations, and BLM chose to use a collection requirements imposed by 51 the existing rule is based on land values ‘‘safe rate of return,’’ such as the agency rule. The proposed regulations discussed above do not impose or alter from 1987, whereas the proposed rule prevailing rate on insured savings incorporates current land values, and accounts or guaranteed government existing reporting or recordkeeping requirements on applicable entities as would update those values every five securities. In its 2008 rule, BLM years. As a result, some of the 135 explained that a 10-year average is more defined by the Paperwork Reduction Act.52 As a result, the Commission is licensees may experience a one-time appropriate than a rate selected from increase in their annual charge for the one point in time, and that a periodic not submitting this proposed rule to OMB for review and approval. use of Federal lands. adjustment of the rate of return would 68. Nevertheless, based on a review of lead to uncertainty in rental fees, which B. Environmental Analysis the 135 licensees with Federal lands would have a negative impact on 65. The Commission is required to that will be impacted by the proposed utilities and customers and duplicate prepare an Environmental Assessment rule, we estimate that less than ten the changes reflected in the GDP index. or an Environmental Impact Statement percent are small entities under the SBA 61. SCE commented that the for any action that may have a definition. The 135 licensees represent Commission should use the 30-year significant adverse effect on the human utilities, cities, and private and public Treasury bond rate rather than the 10- environment.53 Commission actions companies in 30 states or territories. year average of the 30-year Treasury concerning annual charges are Many of the utilities which may seem to bond yield rate because use of the actual categorically exempted from the be under the four million megawatt 30-year rate is the most accurate preparation of an Environmental hours per year threshold are also valuation of a long-range asset. While Assessment or an Environmental Impact engaged in electricity production using the actual 30-year rate would be Statement.54 through other forms of generation, such more accurate, we agree with BLM’s as coal or natural gas, or also provide C. Regulatory Flexibility Act rationale that an annual adjustment of other utility services such as natural gas the rate of return would result in 66. The Regulatory Flexibility Act of or water delivery. Similarly, many unnecessary uncertainty with respect to 1980 (RFA) 55 generally requires a licensees that are small hydropower rental rates. Therefore, the Commission description and analysis of final rules generators are affiliated with a larger finds that BLM’s use of the 5.27 percent that will have a significant economic entity or entities in other industries. fixed rate of return is reasonable. impact on a substantial number of small Therefore, we estimate that less than ten D. Annual Adjustment Factor entities. The RFA mandates percent of the impacted licensees are consideration of regulatory alternatives actually small, unaffiliated entities who 62. The BLM fee schedule includes an that accomplish the stated objectives of are primarily engaged in hydropower annual adjustment factor, which is a proposed rule and that minimize any generation and whose total electrical currently 1.9 percent. The annual significant economic impact on a output through transmission, adjustment factor allows the rental rate substantial number of small entities. generation, or distribution is less than to stay current with inflationary or The Small Business Administration’s four million megawatt hours per year. deflationary trends. In its 2008 rule, (SBA) Office of Size Standards develops 69. Any impact on these small entities BLM explained that it will adjust the the numerical definition of a small would not be significant. Under the per-acre rent each calendar year based business.56 The SBA has established a proposed rule there may be a one-time on the average annual change in the increase for some licensees in the IPD–GDP for the 10-year period 51 5 CFR 1320.11 (2011). annual charge for the use of Federal immediately preceding the year that the 52 44 U.S.C. 3502(2)–(3) (2006). lands, but because the new methodology 53 NASS Census data becomes available. Regulations Implementing the National for calculating the annual charge will be Thus, the IPD–GDP will change every Environmental Policy Act of 1969, Order No. 486, 52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs. updated every five years, any future ten years. The annual adjustment factor Regulations Preambles 1986–1990 ¶ 30,783 (1987). is based on the average annual change 54 18 CFR 380.4(a)(11) (2011). 57 13 CFR 121.201, Sector 22, Utilities & n.1 in the IPD–GDP for the 10-year period 55 5 U.S.C. 601–612 (2006). (2011). immediately preceding the year (2004) 56 13 CFR 121.101 (2011). 58 16 U.S.C. 803(e)(1) (2006).

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increases or decreases will be document via the Internet through the Service Census, and to reflect changes incremental. In addition, small, Commission’s Home Page (http:// in the annual adjustment factor, as unaffiliated entities generally occupy www.ferc.gov) and in the Commission’s calculated by the U.S. Bureau of Land less Federal lands than larger projects Public Reference Room during normal Management. The Executive Director that generate more power. Therefore, as business hours (8:30 a.m. to 5 p.m. will publish the updated fee schedule in a class of licensees, small entities would Eastern time) at 888 First Street NE., the Federal Register. be less impacted by an annual charge for Room 2A, Washington, DC 20426. 4. Amend § 11.2 by deleting existing the use of Federal lands. Furthermore, 76. From the Commission’s Home paragraphs (c)(1) and (c)(2). this proposed rule does not incur any Page on the Internet, this information is 5. Amend § 11.2 by redesignating additional compliance or recordkeeping available on eLibrary. The full text of paragraph (b) as new paragraph (a), and costs on any licensees occupying this document is available on eLibrary by redesignating paragraphs (d) and (e) Federal lands. Consequently, the in PDF and Microsoft Word format for as new paragraphs (b) and (c), proposed rule should not impose a viewing, printing, and/or downloading. respectively. significant economic impact on small To access this document in eLibrary, [FR Doc. 2011–30110 Filed 11–21–11; 8:45 am] type the docket number excluding the entities. BILLING CODE 6717–01–P 70. Based on this understanding, the last three digits of this document in the Commission certifies that the proposed docket number field. rule will not have a significant 77. User assistance is available for ENVIRONMENTAL PROTECTION economic impact on a substantial eLibrary and the Commission’s Web site AGENCY number of small entities. Accordingly, during normal business hours from the no regulatory flexibility analysis is Commission’s Online Support at (202) 40 CFR Part 52 required. 502–6652 (toll free at 1–(866) 208–3676) or email at [email protected], [EPA–R09–OAR–2011–0875; FRL–9495–1] D. Comment Procedures or the Public Reference Room at (202) 71. The Commission invites interested 502–8371, TTY (202) 502–8659. Email Revisions to the California State persons to submit comments on the the Public Reference Room at Implementation Plan, South Coast Air matters and issues proposed in this [email protected]. Quality Management District notice to be adopted, including any List of Subjects in 18 CFR Part 11 AGENCY: Environmental Protection related matters or alternative proposals Agency (EPA). that commenters may wish to discuss. Dams, Electric power, Indians-lands, ACTION: Proposed rule. Comments are due January 6, 2012. Public lands, Reporting and Comments must refer to Docket No. recordkeeping requirements. SUMMARY: EPA is proposing to approve RM11–6–000, and must include the By direction of the Commission. revisions to the South Coast Air Quality commenter’s name, the organization Commissioner Spitzer is not participating. Management District portion of the they represent, if applicable, and their Nathaniel J. Davis, Sr., California State Implementation Plan address in their comments. Deputy Secretary. (SIP). These revisions concern 72. The Commission encourages particulate matter (PM) emissions from comments to be filed electronically via In consideration of the foregoing, the Commission proposes to amend Part 11, paved and unpaved roads and livestock the eFiling link on the Commission’s operations and aggregate and related web site at http://www.ferc.gov. The Chapter I, Title 18, Code of Federal Regulations, as follows: operations. We are approving local rules Commission accepts most standard that regulate these emission sources word processing formats. Documents PART 11—ANNUAL CHARGES UNDER under the Clean Air Act as amended in created electronically using word PART I OF THE FEDERAL POWER ACT 1990 (CAA or the Act). We are taking processing software should be filed in comments on this proposal and plan to native applications or print-to-PDF 1. The authority citation for part 11 follow with a final action. format and not in a scanned format. continues to read as follows: DATE: Any comments must arrive by Commenters filing electronically do not Authority: 16 U.S.C. 791a–825r; 42 U.S.C. December 22, 2011. need to make a paper filing. 7101–7352. 73. Commenters that are not able to ADDRESSES: Submit comments, file comments electronically must send § 11.2 [Amended] identified by docket number EPA–R09– an original of their comments to: 2. Amend § 11.2 by deleting OAR–2011–0875, by one of the Federal Energy Regulatory Commission, paragraph (a). following methods: Secretary of the Commission, 888 First 3. Amend § 11.2 by revising paragraph 1. Federal eRulemaking Portal: Street NE., Washington, DC 20426. (b) to read as follows: http://www.regulations.gov. Follow the 74. All comments will be placed in (b) Pending further order of the on-line instructions. the Commission’s public files and may Commission, annual charges for the use 2. Email: [email protected]. be viewed, printed, or downloaded of government lands will be payable in 3. Mail or deliver: Andrew Steckel remotely as described in the Document advance, and will be set on the basis of (Air-4), U.S. Environmental Protection Availability section below. Commenters an annual schedule of rental fees for Agency Region IX, 75 Hawthorne Street, on this proposal are not required to linear rights-of-way as set out in San Francisco, CA 94105–3901. serve copies of their comments on other Appendix A of this part. Annual charges Instructions: All comments will be commenters. for transmission line rights of way and included in the public docket without other project lands will be equal to the change and may be made available E. Document Availability per-acre charges established by the online at http://www.regulations.gov, 75. In addition to publishing the full above schedule. The Commission, by its including any personal information text of this document in the Federal designee the Executive Director, will provided, unless the comment includes Register, the Commission provides all update its fee schedule to reflect Confidential Business Information (CBI) interested persons an opportunity to changes in land values established by or other information whose disclosure is view and/or print the contents of this the U.S. National Agricultural Statistics restricted by statute. Information that

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you consider CBI or otherwise protected at EPA Region IX, 75 Hawthorne Street, Table of Contents should be clearly identified as such and San Francisco, California. While all I. The State’s Submittal should not be submitted through documents in the docket are listed at A. What rules did the State submit? http://www.regulations.gov or email. http://www.regulations.gov, some B. Are there other versions of these rules? http://www.regulations.gov is an information may be publicly available C. What is the purpose of the submitted ‘‘anonymous access’’ system, and EPA only at the hard copy location (e.g., rule and rule revision? will not know your identity or contact copyrighted material, large maps), and II. EPA’s Evaluation and Action information unless you provide it in the some may not be publicly available in A. How is EPA evaluating the rules? body of your comment. If you send either location (e.g., CBI). To inspect the B. Do the rules meet the evaluation criteria? email directly to EPA, your email hard copy materials, please schedule an C. EPA Recommendations To Further address will be automatically captured appointment during normal business Improve the Rules and included as part of the public hours with the contact listed in the FOR D. Public Comment and Final Action comment. If EPA cannot read your FURTHER INFORMATION CONTACT section. III. Statutory and Executive Order Reviews comment due to technical difficulties FOR FURTHER INFORMATION CONTACT: I. The State’s Submittal and cannot contact you for clarification, EPA may not be able to consider your Christine Vineyard, EPA Region IX, A. What rules did the State submit? comment. (415) 947–4125, [email protected]. Table 1 lists the rules addressed by Docket: Generally, documents in the this proposal with the dates that they docket for this action are available SUPPLEMENTARY INFORMATION: were adopted by the local air agency electronically at http:// Throughout this document, ‘‘we,’’ ‘‘us’’ and submitted by the California Air www.regulations.gov and in hard copy and ‘‘our’’ refer to EPA. Resources Board.

TABLE 1—SUBMITTED RULES

Local agency Rule No. Rule title Adopted Submitted

SCAQMD ...... 1157 PM10 Emission Reduction from Aggregate 09/06/2006 05/17/2010 and Related Operations. SCAQMD ...... 1186 PM10 Emissions from Paved and Unpaved 07/11/2008 12/23/2008 Roads and Livestock Operations.

On June 8, 2010 and April 20, 2009, PM emissions. Rule 1157 reduces (BACT), in serious PM nonattainment EPA determined that the submittals for fugitive dust PM10 emissions from areas (see CAA sections 189(a)(1) and SCAQMD Rule 1157 and Rule 1186, aggregate and related operations 189(b)(1)). The SCAQMD regulates a PM respectively, met the completeness including loading and unloading nonattainment area classified as serious criteria in 40 CFR part 51, Appendix V, activities, process equipment, open (see 40 CFR part 81), so Rules 1157 and which must be met before formal EPA storage piles, unpaved and paved roads 1186 must fulfill BACM. review. inside the facilities, and track out. Guidance and policy documents that Amended Rule 1186 controls PM from we use to evaluate enforceability and B. Are there other versions of these paved and unpaved public roads, and RACM or BACM requirements rules? livestock operations. The rule was consistently include the following: There is no previous version of Rule amended to require submission of data 1. ‘‘Issues Relating to VOC Regulation 1157 in the SIP, although the SCAQMD to demonstrate that the street sweeper Cutpoints, Deficiencies, and adopted an earlier version of this rule performance has not been affected by Deviations; Clarification to on January 7, 2005 which was not requirements in the SIP-approved rule; Appendix D of November 24, 1987 submitted to us. Rule 1157 was and also to establish a process by which Federal Register Notice,’’ (Blue amended on September 6, 2006, and aftermarket parts suppliers may qualify Book), notice of availability CARB submitted it to us on May 17, to sell replacement parts while published in the May 25, 1988 2010. We approved an earlier version of maintaining the original equipment Federal Register. Rule 1186 into the SIP on November 14, certification. EPA’s technical support 2. ‘‘Guidance Document for Correcting 2005 (70 FR 69081). The SCAQMD documents (TSDs) have more Common VOC & Other Rule adopted a revision to the SIP-approved information about these rules. Deficiencies,’’ EPA Region 9, version on July 11, 2008 and CARB II. EPA’s Evaluation and Action August 21, 2001 (the Little submitted it to us on December 23, Bluebook). 2008. A. How is EPA evaluating the rules? 3. ‘‘State Implementation Plans; General C. What is the purpose of the submitted Generally, SIP rules must be Preamble for the Implementation of rule and rule revision? enforceable (see section 110(a) of the Title I of the Clean Air Act Act) and must not relax existing Amendments of 1990,’’ 57 FR 13498 PM contributes to effects that are requirements (see sections 110(l) and (April 16, 1992); 57 FR 18070 (April harmful to human health and the 193). In addition, SIP rules must 28, 1992). environment, including premature implement Reasonably Available 4. ‘‘State Implementation Plans for mortality, aggravation of respiratory and Control Measures (RACM), including Serious PM–10 Nonattainment cardiovascular disease, decreased lung Reasonably Available Control Areas, and Attainment Date function, visibility impairment, and Technology (RACT), in moderate PM Waivers for PM–10 Nonattainment damage to vegetation and ecosystems. nonattainment areas, and Best Available Areas Generally; Addendum to the Section 110(a) of the CAA requires Control Measures (BACM), including General Preamble for the States to submit regulations that control Best Available Control Technology Implementation of Title I of the

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Clean Air Act Amendments of • Does not have Federalism SUMMARY: In this document, the 1990,’’ 59 FR 41998 (August 16, implications as specified in Executive Commission seeks comment on a 1994). Order 13132 (64 FR 43255, August 10, proposed requirement that each 5. ‘‘PM–10 Guideline Document,’’ EPA 1999); television station’s public inspection 452/R–93–008, April 1993. • Is not an economically significant file be made available in an online 6. ‘‘Fugitive Dust Background Document regulatory action based on health or public file to be hosted on the and Technical Information safety risks subject to Executive Order Commission’s Web site. Document for Best Available 13045 (62 FR 19885, April 23, 1997); DATES: Comments for this proceeding Control Measures,’’ EPA 450/2–92– • Is not a significant regulatory action are due on or before December 22, 2011; 004, September 1992. subject to Executive Order 13211 (66 FR reply comments are due on or before 28355, May 22, 2001); January 6, 2012. Written PRA comments B. Do the rules meet the evaluation • Is not subject to requirements of on the proposed information collection criteria? section 12(d) of the National requirements contained herein must be We believe these rules are consistent Technology Transfer and Advancement submitted by the public, Office of with the relevant policy and guidance Act of 1995 (15 U.S.C. 272 note) because Management and Budget (OMB), and regarding enforceability, RACM, BACM, application of those requirements would other interested parties on or before and SIP relaxations. The TSDs have be inconsistent with the Clean Air Act; January 23, 2012. more information on our evaluation. and ADDRESSES: You may submit comments, • Does not provide EPA with the C. Public Comment and Final Action identified by MB Docket Nos. 00–168 discretionary authority to address and 00–44, by any of the following Because EPA believes the submitted disproportionate human health or methods: rules fulfill all relevant requirements, environmental effects with practical, Federal eRulemaking Portal: http:// we are proposing to fully approve them appropriate, and legally permissible www.regulations.gov. Follow the as described in section 110(k)(3) of the methods under Executive Order 12898 instructions for submitting comments. Act. We will accept comments from the (59 FR 7629, February 16, 1994). Federal Communications public on this proposal for the next 30 In addition, this proposed action does Commission’s Electronic Comment days. Unless we receive convincing new not have Tribal implications as Filing System (ECFS) Web Site: http:// information during the comment period, specified by Executive Order 13175 (65 fjallfoss.fcc.gov/ecfs/. Follow the we intend to publish a final approval FR 67249, November 9, 2000), because instructions for submitting comments. action that will incorporate these rules the SIP is not approved to apply in Mail: Filings can be sent by hand or into the federally enforceable SIP. Indian country located in the State, and messenger delivery, by commercial III. Statutory and Executive Order EPA notes that it will not impose overnight courier, or by first-class or Reviews substantial direct costs on Tribal overnight U.S. Postal Service mail. All governments or preempt Tribal law. filings must be addressed to the Under the Clean Air Act, the Commission’s Secretary, Office of the List of Subjects in 40 CFR Part 52 Administrator is required to approve a Secretary, Federal Communications SIP submission that complies with the Environmental protection, Air Commission. provisions of the Act and applicable pollution control, Intergovernmental People With Disabilities: Contact the Federal regulations. 42 U.S.C. 7410(k); relations, Particulate matter, Reporting FCC to request reasonable 40 CFR 52.02(a). Thus, in reviewing SIP and recordkeeping requirements. accommodations (accessible format submissions, EPA’s role is to approve Authority: 42 U.S.C. 7401 et seq. documents, sign language interpreters, State choices, provided that they meet CART, etc.) by email: [email protected] the criteria of the Clean Air Act. Dated: November 4, 2011. or phone: (202) 418–0530 or TTY: (202) Accordingly, this proposed action Jared Blumenfeld, 418–0432. merely proposes to approve State law as Regional Administrator, Region IX. In addition to filing comments with meeting Federal requirements and does [FR Doc. 2011–30156 Filed 11–21–11; 8:45 am] the Secretary, a copy of any comments not impose additional requirements BILLING CODE 6560–50–P on the Paperwork Reduction Act beyond those imposed by State law. For proposed information collection that reason, this proposed action: requirements contained herein should • Is not a ‘‘significant regulatory be submitted to the Federal FEDERAL COMMUNICATIONS action’’ subject to review by the Office Communications Commission via email COMMISSION of Management and Budget under to [email protected] and to Nicholas A. Executive Order 12866 (58 FR 51735, 47 CFR Part 73 Fraser, Office of Management and October 4, 1993); Budget, via email to Nicholas_A._ • Does not impose an information [MB Docket Nos. 00–168; 00–44; FCC 11– [email protected] or via fax at (202) collection burden under the provisions 162] 395–5167. For detailed instructions for of the Paperwork Reduction Act (44 submitting comments and additional U.S.C. 3501 et seq.); Standardized and Enhanced information on the rulemaking process, • Is certified as not having a Disclosure Requirements for see the supplementary information significant economic impact on a Television Broadcast Licensee Public section of this document. substantial number of small entities Interest Obligations; Extension of the FOR FURTHER INFORMATION CONTACT: For under the Regulatory Flexibility Act (5 Filing Requirement for Children’s additional information on this U.S.C. 601 et seq.); Television Programming Report (FCC proceeding, contact Holly Saurer, • Does not contain any unfunded Form 398) [email protected] of the Media mandate or significantly or uniquely AGENCY: Federal Communications Bureau, Policy Division, (202) 418– affect small governments, as described Commission. 2120. For additional information in the Unfunded Mandates Reform Act concerning the Paperwork Reduction ACTION: Proposed rule. of 1995 (Pub. L. 104–4); Act information collection requirements

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contained in this document, send an GSA Web page: http://www.reginfo.gov/ 47 CFR 73.3526 and 73.3527 require email to [email protected] or contact Cathy public/do/PRAMain, (2) look for the that licensees and permittees of Williams at (202) 418–2918. section of the Web page called commercial and noncommercial AM, SUPPLEMENTARY INFORMATION: This is a ‘‘Currently Under Review,’’ (3) click on FM and TV stations maintain a file for summary of the Commission’s Further the downward-pointing arrow in the public inspection at its main studio or Notice of Proposed Rulemaking, FCC ‘‘Select Agency’’ box below the at another accessible location in its 11–162, adopted and released on ‘‘Currently Under Review’’ heading, (4) community of license. The contents of October 27, 2011. The full text is select ‘‘Federal Communications the file vary according to type of service available for public inspection and Commission’’ from the list of agencies and status. The contents include, but are copying during regular business hours presented in the ‘‘Select Agency’’ box, not limited to, copies of certain in the FCC Reference Center, Federal (5) click the ‘‘Submit’’ button to the applications tendered for filing, a Communications Commission, 445 12th right of the ‘‘Select Agency’’ box, and (6) statement concerning petitions to deny Street SW., CY–A257, Washington, DC when the list of FCC ICRs currently filed against such applications, copies of 20554. This document will also be under review appears, look for the OMB ownership reports, statements certifying available via ECFS at http://fjallfoss.fcc. control number of this ICR as show in compliance with filing announcements gov/ecfs/. Documents will be available the Supplementary Information section in connection with renewal electronically in ASCII, Word 97, and/ below (or its title if there is no OMB applications, a list of donors supporting or Adobe Acrobat. The complete text control number) and then click on the specific programs, and a list of may be purchased from the ICR Reference Number. A copy of the community issues addressed by the Commission’s copy contractor, 445 12th FCC submission to OMB will be station’s programming. These rules also specify the length of Street SW., Room CY–B402, displayed. time, which varies by document type, Washington, DC 20554. Alternative OMB Control Number: 3060–0214. that each record must be retained in the formats are available for people with Title: Sections 73.3526 and 73.3527, public file. The public and FCC use the disabilities (Braille, large print, Local Public Inspection Files; Sections data to evaluate information about the electronic files, audio format), by 76.1701 and 73.1943, Political Files. licensee’s performance and to ensure sending an email to [email protected] or Form Number: Not applicable. Type of Review: Revision of a that station is addressing issues calling the Commission’s Consumer and concerning the community to which it Governmental Affairs Bureau at (202) currently approved collection. Respondents/Affected Parties: is licensed to serve. 418–0530 (voice), (202) 418–0432 Business or other for-profit entities; Not The proposed information collection (TTY). for-profit institutions; Individuals or requirements consist of: Pursuant to This document contains proposed households. proposed 47 CFR 73.1943(d), television information collection requirements. As Number of Respondents and station licensees or applicants must part of its continuing effort to reduce Responses: 25,422 respondents; 59,833 place all of the contents of its political paperwork burden and as required by responses. file on the Commission’s Web site. the Paperwork Reduction Act (PRA) of Estimated Time per Response: 1 hour Pursuant to proposed 47 CFR 1995 (44 U.S.C. 3501–3520), the Federal to 104 hours. 73.3526(b), commercial television Communications Commission invites Frequency of Response: On occasion station licensees or applicants must the general public and other Federal reporting requirement; Recordkeeping place the contents of their public agencies to comment on the following requirement; Third party disclosure inspection file as required by 47 CFR information collections. Public and requirement. 73.3526(e) on the Commission’s Web agency comments are due January 23, Obligation To Respond: Required to site, with the exception of letters and 2012. obtain or retain benefits. The statutory emails from the public as required by 47 Comments should address: (a) authority for this collection of CFR 73.3526(e)(9), which will be Whether the proposed collection of information is contained in 47 U.S.C. retained at the station. A station must information is necessary for the proper 151, 152, 154(i), 303, 307 and 308. also link to the public inspection file performance of the functions of the Total Annual Burden: 2,158,909 hosted on the Commission’s Web site Commission, including whether the hours. from the home page of its own Web site, information shall have practical utility; Total Annual Costs: $801,150.00. if the station has a Web site. The (b) the accuracy of the Commission’s Privacy Act Impact Assessment: The Commission will automatically link the burden estimates; (c) ways to enhance PIA is in progress. following items to the electronic version the quality, utility, and clarity of the Nature and Extent of Confidentiality: of all licensee and applicant public information collected; and (d) ways to Respondents may request materials or inspection files, to the extent that the minimize the burden of the collection of information submitted to the Commission has these items information on the respondents, Commission be withheld from public electronically: authorizations, including the use of automated inspection under 47 CFR 0.459 of the applications, contour maps; ownership collection techniques or other forms of Commission’s rules. reports and related materials; portions information technology. In addition, Needs and Uses: The Commission is of the Equal Employment Opportunity pursuant to the Small Business seeking approval for this proposed file held by the Commission; the public Paperwork Relief Act of 2002, Public information collection from the Office of and broadcasting; Children’s television Law 107–198, see 44 U.S.C. 3506(c)(4), Management and Budget (OMB). On programming reports; and DTV we seek specific comment on how we October 27, 2011, the Commission transition education reports. In the might ‘‘further reduce the information released a Notice of Proposed event that the online public file does not collection burden for small business Rulemaking, MB Docket Nos. 00–168 reflect such required information, the concerns with fewer than 25 and 00–44; FCC 11–162. This licensee will be responsible for posting employees.’’ rulemaking proposed information such material. To view or obtain a copy of this collection requirements that support the Pursuant to proposed 47 CFR information collection request (ICR) Commission’s public file rules that are 73.3526(e)(18), commercial television submitted to OMB: (1) Go to this OMB/ codified at 47 CFR 73.3526 and 73.3527. stations must include in their public file

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a copy of every agreement or contract Nature and Extent of Confidentiality: Privacy Act Impact Assessment: No involving sharing agreements for the Respondents may request materials or impact(s). station, including local news sharing information submitted to the Needs and Uses: The Commission is agreements and shared services Commission be withheld from public seeking approval for this proposed agreements, whether the agreement inspection under 47 CFR 0.459 of the information collection from the Office of involves stations in the same markets or Commission’s rules. Management and Budget (OMB). On in differing markets, with confidential Privacy Impact Assessment(s): The October 27, 2011, the Commission or proprietary information redacted PIA is in progress. released a Notice of Proposed where appropriate. Needs and Uses: The Commission is Rulemaking, MB Docket Nos. 00–168 Pursuant to proposed 47 CFR seeking approval for this proposed and 00–44; FCC 11–162. This 73.3526(e)(19), commercial television information collection from the Office of rulemaking proposed information stations must include in their public file Management and Budget (OMB). On collection requirements that support the a list of all sponsorship identifications October 27, 2011, the Commission Commission’s station identification that must be announced on-air pursuant released a Notice of Proposed announcements that are codified at 47 to 47 CFR 73.1212. Rulemaking, MB Docket Nos. 00–168 CFR 73.1201. 47 CFR 73.1201(a) Pursuant to proposed 47 CFR and 00–44; FCC 11–162. This requires television broadcast licensees 73.3527(b) non-commercial educational rulemaking proposed information to make broadcast station identification television station licensees or applicants collection requirements that will change announcements at the beginning and must place the contents of their public the availability of record disclosures ending of each time of operation, and inspection file as required by 47 CFR under 47 CFR 73.1212. 47 CFR hourly, as close to the hour as feasible, 73.3527(e) on the Commission’s Web 73.1212(e) states that, when an entity at a natural break in program offerings. site, with the exception of letters and rather than an individual sponsors the Television and Class A television emails from the public as required by 47 broadcast of matter that is of a political broadcast stations may make these CFR 73.3527(e)(9), which will be or controversial nature, the licensee is announcements visually or aurally. retained at the station. A station must required to retain a list of the executive The proposed information collection also link to the public inspection file officers, or board of directors, or requirements consist of: Pursuant to hosted on the Commission’s Web site executive committee, etc., of the proposed 47 CFR 73.1201(b)(3), three from the home page of its own Web site, organization paying for such matter in times a week, the station identification if the station has a Web site. The its public file. for television stations must include a Commission will automatically link the The proposed information collection notice stating that the station’s public following items to the electronic version requirements consist of: Pursuant to the file is available for viewing at the FCC’s of all licensee and applicant public changes proposed 47 CFR 73.1212(e) Web site. At least one of the inspection files, to the extent that the and 47 CFR 73.3526(e)(19), this list, announcements must occur between the Commission has these items which could contain personally hours of 6 p.m. and midnight. electronically: contour maps; ownership identifiable information, would be The Commission is seeking OMB reports and related materials; portions located in a public file to be located on approval for the proposed information of the Equal Employment Opportunity the Commission’s Web site instead of collection requirements. file held by the Commission; and the being maintained in the public file at public and broadcasting. In the event the station. Burden estimates for this Summary of the Notice of Proposed that the online public file does not change are included in OMB Control Rulemaking reflect such required information, the Number 3060–0214. I. Introduction OMB Control Number: 3060–0466. licensee will be responsible for posting 1. In this Further Notice of Proposed Title: Sections 73.1201, 74.783 and such material. Rulemaking we take steps to modernize 74.1283, Station Identification. OMB Control Number: 3060–0174. the way television broadcasters inform Title: Sections 73.1212, 76.1615 and Form Number: Not applicable. the public about how they are serving 76.1715, Sponsorship Identification. Type of Review: Revision of a their communities. We seek comment Form Number: N/A. currently approved collection. Type of Review: Revision of a Respondents/Affected Parties: on the proposals set forth below. Our currently approved collection. Business or other for-profit entities; Not goals in this proceeding are to make Respondents/Affected Parties: for-profit institutions. information concerning broadcast Business or other for profit entities; Number of Respondents and service more accessible to the public by Individuals or households. Responses: 24,158 respondents; 24,158 taking advantage of current technology, Number of Respondents and responses. thereby improving dialogue between Responses: 22,761 respondents and Estimated Time per Response: 0.166– broadcast stations and the communities 1,831,610 responses. 1 hour. they serve, and if possible reduce the Estimated Time per Response: .0011 Frequency of Response: On occasion compliance burdens on broadcasters. to .2011 hours. reporting requirement; Recordkeeping This item also seeks to further the goal Frequency of Response: requirement; Third party disclosure of modernizing the Commission’s Recordkeeping requirement; Third party requirement. processes and expeditiously disclosure; On occasion reporting Obligation To Respond: Required to transitioning from paper to digital requirement. obtain or maintain benefits. The technology in order to create efficiencies Total Annual Burden: 242,633 hours. statutory authority for this collection of and reduce costs both for government Total Annual Cost: $33,828. information is contained in 47 U.S.C. and the private sector. Obligation To Respond: Required to 151, 152, 154(i), 303, 307 and 308. 2. Specifically, we propose to largely obtain or retain benefits. The statutory Total Annual Burden: 23,324 hours. replace the decades-old requirement authority for this collection is contained Total Annual Costs: None. that commercial and noncommercial in sections 4(i), 317 and 507 of the Nature and Extent of Confidentiality: television stations maintain a paper Communications Act of 1934, as No need for confidentiality required public file at their main studios with a amended. with this collection of information. requirement to submit documents for

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inclusion in an online public file to be information regarding how a television adopted in the Report and Order have hosted by the Commission. We seek broadcast station serves the public never gone into effect.5 comment on ways to streamline the interest easier to understand and more 5. In June 2011, a working group information required to be kept in the accessible will not only promote including Commission staff, scholars file, such as by excluding letters and discussion between the licensee and its and consultants released ‘‘The emails from the public. We also propose community, but will lessen the need for Information Needs of Communities’’ that we should require that sponsorship government involvement in ensuring (‘‘INC Report’’), a comprehensive report identification, now disclosed only on- that a station is meeting its public on the current state of the media air, also be disclosed in the online interest obligation.’’ The Commission landscape.6 The INC Report discussed public file, and propose to require tentatively concluded to require both the need to empower citizens to disclosure online of shared services television stations to use a standardized ensure that broadcasters serve their agreements. We seek comment on what form to report on how they serve the communities in exchange for the use of steps we can implement in the future to public interest. The Commission also public spectrum, and also the need to make the online public file standardized tentatively concluded to require remove unnecessary burdens on and database compatible, further television licensees to make the broadcasters who aim to serve their improving the usefulness of the data. contents of their public inspection files, communities. The INC Report provided The new proposals that the Commission including the standardized form, several recommendations relevant to host the online public file and that the available on their stations’ Internet Web this proceeding, including eliminating online file largely replace the paper file sites or, alternatively, on the Web site of unnecessary paperwork and moving at the main studio will meet the their state broadcasters association. In toward an online system for public longstanding goals of this proceeding, to 2007, the Commission adopted a Report disclosures in order to ensure greater improve public access to information and Order implementing these public access. The INC Report also about how broadcasters are serving their proposals.3 recommended requiring that when communities, while at the same time 4. Following the release of the Report broadcasters allow advertisers to dictate significantly reducing compliance and Order, the Commission received content, they disclose the ‘‘pay-for- burdens on the stations. We propose to petitions for reconsideration from play’’ arrangements online as well as on limit these reforms to television several industry petitioners and public the air in order to create a permanent, licensees at this time given that this interest advocates. The industry searchable record of these arrangements proceeding has always been limited to petitioners raised a number of issues and afford easy access by consumers, television broadcasters. We will regarding the standardized form and the competitors and watchdog groups to consider at a later date whether to apply online posting requirement, generally this information. The Report also similar reforms to radio licensees. contending that the requirements were suggested that governments at all levels overly complex and burdensome. Public collect and publish data in forms that II. Background interest advocates argued that the make it easy for citizens, entrepreneurs, 3. One of a television broadcaster’s political file 4 should be included in the software developers, and reporters to fundamental public interest obligations online public file requirement rather access and analyze information in order is to air programming responsive to the than exempted as provided in the to enable mechanisms that can present needs and interests of its community of Report and Order, and that the the data in more useful formats, and license. Broadcasters are afforded standardized form should be designed noted that greater transparency by considerable flexibility in how they to facilitate the downloading and government and media companies can meet that obligation, but they must aggregation of data for researchers. In help reduce the cost of reporting, maintain a public inspection file, which addition, five parties appealed the empower consumers, and foster gives the public access to information Report and Order, and the cases were innovation. about the station’s operations and consolidated in the United States Court 6. In the Order on Reconsideration, enables members of the public to engage of Appeals for the DC Circuit. The DC we conclude, in light of the in an active dialogue with broadcast Circuit granted a petition to hold the reconsideration petitions we received licensees regarding broadcast service. proceeding in abeyance while we with respect to the Report and Order Among other things, the public review the petitions for reconsideration. and the comments and replies thereto, inspection file must contain an issues/ Challenging the rules in a third forum, that the best course of action is to vacate programs list, which describes the several parties opposed the information the rules adopted in the Report and ‘‘programs that have provided the collection contained in the Report and Order and develop a new record upon station’s most significant treatment of Order at the Office of Management and which we can evaluate our public file community issues during the preceding Budget (‘‘OMB’’) under the Paperwork and standardized form requirements. In three month period.’’ 1 The original Reduction Act. Because of the multiple this FNPRM we seek comment on some Notice of Proposed Rulemaking in this petitions for reconsideration, the of the proposals the parties put forth on proceeding grew out of a prior Notice of Commission has not transmitted the reconsideration and other ideas as well Inquiry, which explored the public information collection to OMB for its to improve public access to information interest obligations of broadcast approval, and therefore the rules about how broadcasters are serving their television stations as they transitioned to digital.2 In the 2000 NPRM, the 3 In the Matter of Standardized and Enhanced 5 See also 47 CFR 73.3526, effective date nt. 2; 47 Disclosure Requirements for Television Broadcast CFR 73.3526, effective date note; 47 CFR 73.1201, Commission concluded that ‘‘making Licensee Public Interest Obligations, Report and effective date note 2. Order, 73 FR 13452 (2007) (‘‘Report and Order’’); 6 ‘‘The Information Needs of Communities: The 1 47 CFR 73.3526(e)(12). In the Matter of Standardized and Enhanced Changing Media Landscape in a Broadband Age,’’ 2 Standardized and Enhanced Disclosure Disclosure Requirements for Television Broadcast by Steven Waldman and the Working Group on Requirements for Television Broadcast Licensee Licensee Public Interest Obligations, Erratum, 73 FR Information Needs of Communities (June 2011), Public Interest Obligations, Notice of Proposed 30316 (2007). available at http://www.fcc.gov/infoneedsreport. As Rulemaking, 65 FR 62683 (2000) (‘‘NPRM’’); In the 4 Sections 73.3526(e)(6), 73.3527(e)(5) and noted in the INC Report, the views of the report ‘‘do Matter of Public Interest Obligations of TV 73.1943 of the Commission’s rules require that not necessarily represent the views of the Federal Broadcast Licensees, Notice of Inquiry, 65 FR 4211 stations keep as part of the public inspection files Communications Commission, its Commissioners (1999)(‘‘NOI’’). a ‘‘political file.’’ or any individual Bureaus or Offices.’’ Id. at 362.

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communities while minimizing the otherwise available on the final action taken on the station’s next burdens placed upon broadcasters. We Commission’s Web site, and their license renewal application); also invite commenters to suggest any retention periods, are: • Letters and emails from the public other changes that would promote these • FCC Authorizations (as required by (as required by 73.3526(e)(9)) (retain goals and modernize the provision of 73.3526(e)(1), 73.3527(e)(1)) (retain until three years from receipt); data to the public. We note that we are replaced); • Material relating to FCC only addressing the online public file • Applications and related materials investigations and complaints (as requirement in this FNPRM. Due to the (as required by 73.3526(e)(2), required by 73.3526(e)(10), complexity of the issues surrounding 73.3527(e)(2)) (retain until final action 73.3527(e)(11)) (retain until notified in the replacement of the issues/programs taken on the application); 10 writing that the material may be list with a standardized form, we intend • Contour Maps (as required by discarded); to promptly issue a separate Notice of 73.3526(e)(4), 73.3527(e)(3)) (retain as • Issues/Programs lists (as required Inquiry in a new docket seeking long as they reflect current, accurate by 73.3526(e)(11)(i), 73.3527(e)(8)) comment on the standardized form. We information regarding the station); (retain until notified in writing that the ask commenters to limit the comments • Ownership reports and related material may be discarded); filed in this docket to those related to materials (as required by 73.3526(e)(5), • Donor lists for non-commercial the online posting requirement. 73.3527(e)(4)) (retain until a new, educational channels (‘‘NCEs’’) (as complete ownership report is filed with required by 73.3527(e)(9)) (retain for III. Further Notice of Proposed the FCC); 11 two years from the date of the broadcast Rulemaking • Portions of the Equal Employment of the specific program reported); 7. In this FNPRM, we seek input on Opportunity file (as required by • Records concerning children’s how to create a modernized online 73.3526(e)(7), 73.3527(e)(6)) (retain until programming commercial limits (as public file requirement that increases final action taken on the station’s next required by 73.3526(e)(11)(ii)) (retain public accessibility while taking into license renewal application); until final action taken on the station’s account and reducing where possible • The Public and Broadcasting next license renewal application); the burdens placed on broadcasters. manual (as required by 73.3526(e)(8), • Local public notice certifications First, we propose to largely replace the 73.3527(e)(7)) (retain most recent and announcements (as required by paper public file requirement with an version indefinitely); 73.3526(e)(13), 73.3527(e)(10)) (retain online public file to be hosted by the • Children’s television programming for as long as the application to which Commission. We then seek comment on reports (Form 398) (as required by it refers); 13 • ways to streamline the information 73.3526(e)(11)(iii)) (retain until final Time brokerage agreements (as required to be kept in the file, and action taken on the station’s next license required by 73.3526(e)(14)) (retain for as whether new items, such as sponsorship renewal application); long as contract or agreement in force); • identifications and shared services • DTV transition education reports Must-carry or retransmission agreements, should be disclosed online. (Form 388) (as required by consent elections (for commercial We also seek comment on what steps we 73.3526(e)(11)(iv), 73.3527(e)(13)) stations) or must-carry requests can implement in the future to make the (retain one year after last filed).12 (noncommercial stations) (as required online public file standardized and The following items are only available by 73.3526(e)(15), 73.3527(e)(12)) (retain database compatible. at the station: for duration of election or request • Citizen agreements (as required by period); A. Placing the Public File Online • 73.3526(e)(3)) (retain for term of Joint sales agreements (as required 8. The Commission first adopted a agreement); by 73.3526(e)(16)) (retain for as long as public inspection file rule more than 40 • contract or agreement in force); Political file (as required by • years ago. The public file requirement 73.3526(e)(6), 73.3527(e)(5)) (retain for Class A TV continuing eligibility grew out of Congress’ 1960 amendment two years); documentation (as required by of sections 309 and 311 of the • 73.3526(e)(17)) (retain indefinitely); Portions of the Equal Employment • Communications Act of 1934 (the Opportunity file (as required by A list of chief executive officers or ‘‘Act’’).7 Finding that Congress, in 73.3526(e)(7), 73.3527(e)(6)) (retain until members of the executive committee of enacting these provisions, was guarding an entity sponsoring or furnishing ‘‘the right of the general public to be 10 Applications for a new construction permit broadcast material concerning political informed, not merely the rights of those granted pursuant to a waiver showing and matter or matter involving the who have special interests,’’ 8 the applications for assignment or transfer of license discussion of controversial issues of granted pursuant to a waiver showing must be Commission adopted the public public importance (as required by retained for as long as the waiver is in effect. In 14 inspection file requirement to ‘‘make addition, license renewal applications granted on a 73.1212(e)) (retain for two years). information to which the public already short-term basis must be retained until final action 10. In the Report and Order the has a right more readily available, so has been taken on the license renewal application Commission required television stations filed immediately following the shortened license that the public will be encouraged to that have Internet Web sites to place term. See 47 CFR 73.3526((e)(2), 73.3527(e)(2). their public inspection files on their play a more active part in dialogue with 11 See also 47 CFR 73.3613 (specifying the broadcast licensees.’’ 9 contracts, instruments and documents required to stations’ Web sites and to make these 9. A station’s public file is currently be filed with the FCC). files available to the public without composed of both items that have to be 12 Stations only need to retain these quarterly charge. As an alternative, the filed with the Commission and items reports in their files for one year, and they must Commission determined that stations only be included through the quarter in which the could place their public inspection files that are only available in the public file station concludes its DTV transition education at the station. The items that have to be campaign. See 47 CFR 73.3526(e)(11)(iv), filed with the Commission or are 73.3527(e)(13). While almost all full-power 13 See also 47 CFR 73.3580(h) (directing television stations successfully transitioned to placement of certifications and announcements into digital technology in 2009 and no longer need to the public file). 7 47 U.S.C. 309 and 311. retain these files, a few of these stations are not yet 14 This rule allows for the required list to be 8 Report and Order in Docket No. 14864 at 1666. operating at full power and continue to be required retained instead at the network headquarters where 9 Id. at 1667. to include Form 388 in their files. the broadcast is originated by the network.

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on their state broadcasters association’s will mitigate broadcasters’ concerns. for broadcasters and centralize (‘‘SBA’’) Web site, where permitted by Given the wide-spread availability of information for the public. Under this the SBA to do so. Several petitioners internet access and our goal of limiting mechanism, broadcasters would be opposed this requirement, finding it costs for broadcasters, we also believe responsible for uploading only those costly and overly burdensome. that continuing to require a complete items not otherwise filed with the 11. We continue to believe that paper public file is largely unnecessary Commission or available on the making all station public files available and that the costs of such a duplicative Commission’s Web site. We expect that online is beneficial to the public, and requirement cannot be justified. in order to upload information into its online public file, stations will need to necessary to provide meaningful access 1. Commission Hosting of Online Public log in, likely with their FCC Registration to the information in the 21st century. File The evolution of the Internet and the Numbers. We seek comment on this spread of Internet access has made it 12. Several participants in this proposal. easier to post material online, made it proceeding have expressed concern 14. We believe that requiring easier for consumers to read material about the costs required for broadcasters broadcasters to upload the required online, and increased the public policy to create and host their own online items to their online public files housed efficacy of disclosure requirements. As public file. A few reconsideration on the Commission Web site will not be the Commission noted in the Report and petitioners suggested that the unduly burdensome. With the exception Order, by making the file available Commission should instead host the of those categories discussed below, through the Internet, we hope to public file on its Web site, arguing that stations will be required to upload only those types of documents currently facilitate access to the file information such a solution would be less maintained in their public files and and foster increased public participation burdensome to licensees, and would ensure that the online file contains all in the licensing process. The also be more efficient, since many required information. Thus, for information provided in the public file public file items are already filed with example, if a station does not have time is beneficial to consumers who wish to the Commission. For instance, the brokerage agreements, joint sales weigh in on a station’s license renewal. Named State Broadcasters Association agreements, or citizen agreements, there We note that the Commission rarely argued in its petition for reconsideration would be nothing in these categories for denies license renewal applications due that the costs of hosting online public the station to upload, and the station to the licensee’s failure to meet its files should be borne by the would merely have to indicate that the public interest programming obligation. Commission instead of individual category was not applicable. Stations Easy access to public file information stations, estimating that this will save that do have such agreements must only will also assist the Commission, broadcasters over $24 million in first- update them when the agreements Congress, and researchers as they year costs, and almost $14 million in change, or remove them when the fashion public policy recommendations annual costs thereafter. 13. We tentatively agree that the paper agreements expire. Stations will also be relating to broadcasting and other media public file requirement should be expected to maintain their online public issues. Therefore, we tentatively largely eliminated, and replaced with an files actively, making sure they contain conclude that television broadcasters online public file requirement hosted on information as required by the public should be required to make most of the the Commission’s Web site. We believe file rules and removing of items that are required documents in their public it will be more efficient for the public no longer required to be retained under inspection files available online, in lieu and less burdensome for broadcasters to our rules. Broadcasters have raised of maintaining all of the documents in have all or most of their public files concerns about inclusion of some of the paper files or electronic format available available in a centralized location. items listed above, such as the political at their main studios. Currently, the Pursuant to this approach, a member of file and letters and emails from the public has access to public inspection the public could enter a station’s call public. We seek comment on specific files only by visiting the main studio— sign and access an electronic version of issues related to those items below. which may not be convenient—during the public file, making the 15. We also propose that stations will regular business hours. Making the Commission’s Web site a one-stop shop need to retain electronic copies for back- information available online will for information about broadcast up purposes of all of the public file provide 24-hour access from any television stations. This would be easier items to prepare for the unlikely event location, without requiring a visit to the for the public than searching for that the Commission’s online public file station, thereby greatly increasing individual stations’ Web sites, which database were to become unavailable or public access to information on actions would have been required under the disabled. We do not believe that these a station has taken to meet its public Report and Order. Because more than a electronic copies should be made interest obligation. The Internet is an third of the required contents of the generally available as an alternative to effective and cost-efficient method of public file have to be filed with the the Commission-hosted online public maintaining contact with, and Commission in our Consolidated file. Therefore, we propose that such distributing information to, broadcast DataBase System (‘‘CDBS’’) under electronic copies need only be available viewers. We understand the concerns current rules, we propose that we will to the Commission, and not the public, that broadcasters have presented import and update any information that unless the online public file becomes regarding the costs necessary to create must already be filed with the unavailable or disabled for any reason, and host an online public file. We Commission electronically in CDBS to in which case stations must make their believe that technological advances in each station’s public file, which will be the intervening years since this part of a database of all television contained in the filing. As with paper public files, requirement was contemplated, along station public files on the Commission’s the Commission staff would not review the material with changes to the proposed placed in each station’s online public file for Web site.15 This will create efficiencies requirements that are discussed below, purposes of determining compliance with Commission rules on a routine basis. Thus, the in particular the Commission’s proposal 15 A successful upload of a station’s public file on purpose of online hosting would simply be to to expend its resources and assume the the Commission’s Web site would not be provide the public with ready access to the burden of hosting of the public files, considered agency approval of the material material.

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copies available to the general public in grandfathering all prior paper filings. agencies must ensure that members of whatever format they choose. Should We do not agree with this proposal. the public who are disabled and who copies of any items in the public file be Pursuant to this approach, only items are seeking information or services from more readily available? For instance, created after the adoption of the online a Federal agency ‘‘have access to and due to the short seven-day deadline to public file requirement would be use of information and data that is request equal opportunity appearances, required to be uploaded, not items comparable to the access to and use of and the importance of candidates currently in the paper files. As the information and data by such having prompt access to the political previously stated, we believe that the members of the public who are not file, particularly in the days leading up one-time electronic scanning and individuals with disabilities.’’ 18 The to an election, should additional steps uploading of existing documents, both Commission’s Web site complies with be taken to ensure that access to the from the current licensee and any prior this law. We invite comment on this political file is maintained? Should we licensee, would not be unduly matter. require that stations make the back-up burdensome and that adopting a 2. Application of Online Posting Rule to political file information available to grandfathering approach would be Specific Public File Components candidates, their representatives, and confusing to those seeking access to the the public at their stations, in whatever information.16 Those viewing an online 19. Political File. In the Report and format they prefer, at least in the short public file might remain unaware of the Order, the Commission excluded the term as we gain experience with the existence of documents in the paper political file from the Web site posting files being hosted by the FCC? We note public file. Moreover, such an approach requirement, determining that the that whatever requirement we would necessitate the continued burden of placing a station’s political ultimately adopt, stations can continue maintenance of a robust paper file, file online outweighed the benefit of to make the public file available locally diminishing the benefits of the online posting this information, which is most if they choose to do so. We believe that file in terms of improved public access heavily used by candidates and their once all public file documents are to information. We seek comment on representatives. In a petition for available electronically, it will not be this view. reconsideration of the Report and Order, burdensome to keep electronic copies at 18. Accessibility. In the Report and CLC et al. asked the Commission to the station. We also consider it likely Order, the Commission determined that reconsider the exclusion, contending that broadcasters would retain television licensees must make their that the decision focused exclusively on electronic copies of such documents in Web site public files accessible to the interests of the candidates and broadcasters and not the public, the ordinary course of business. We seek people with disabilities. Many researchers, and public interest comment on this proposal, including Petitioners asked for clarification of this organizations that also need to access estimates of any burden imposed by this requirement. The INC Report noted that the files. In response, NAB argued that requirement. We also seek comment on the recently passed Twenty-First the Commission correctly determined to how long such copies should be Century Communications and Video exempt stations’ political files from the maintained. Should copies be retained Accessibility Act will help ensure that Web site posting requirement, as this for the same length of time that each people with disabilities will have access approach is consistent with the item must be retained under our to new media. The Public Interest Commission’s prior exemption of existing rules? Public Airwaves Coalition (‘‘PIPAC’’) political files from the requirement that 16. Two petitioners on has requested that the Commission reconsideration suggested that stations make copies of documents in require broadcasters to ensure that the broadcasters should be permitted to the public file available to persons that portions of their Web sites that host the limit online public file access to viewers call the station. More recently, PIPAC public file are accessible to people with within a station’s geographic coverage has argued that placing political file disabilities. Because the Commission is area. We see no reason to limit online information online will reduce the proposing to host all online public files, access to the public file, and seek burden on broadcasters, who often we do not believe that such a comment on this tentative conclusion. receive multiple daily in-person requirement will be necessary for these As we noted in the Report and Order, requests to access this information purposes.17 We intend to ensure that the we believe it entirely consistent with during an election season. Congressional intent in adopting section online public files, like the rest of the 20. We propose that the political file 309 of the Act to embrace a public file Commission’s Web site, are accessible to should not be exempted from the online requirement that enhances the ability of people with disabilities. Under section public file requirement. We agree with both those within and those beyond a 508 of the Rehabilitation Act, federal CLC et al. that the public is entitled to station’s service area to participate in ready access to these important files. 16 We recognize that an implementation plan Since exempting the political file in the licensing process. Additionally, needs to be developed to enable all television allowing access to people within and stations to post their public file documents in an 2007, we have learned that the vast outside the station’s service area creates orderly manner, possibly with rolling majority of television stations handle no additional burden; indeed, limiting it implementation dates. The Bureau, on delegated political advertising transactions authority, will develop an implementation schedule electronically, through emails and a to local residents would require taking and provide any necessary guidance regarding additional steps to screen those seeking implementation issues at the appropriate time. variety of software applications. As a access to a particular file. In addition, 17 While we do not address any Web site result, requiring them to make this limiting access to those in a geographic accessibility requirements at this time, we information publicly available online area would prevent local residents from encourage broadcasters to provide the information appears to impose far less of a burden currently available on their Web site in an accessing the information while they are accessible manner, as well as provide information than previously thought. We emphasize, temporarily outside the region. about accessible programming, such as that with however, that the online political file 17. Transition. A reconsideration video description, as part of their efforts to meet the would serve as a source of information petitioner proposed reducing the burden public interest obligation. Station Web sites can be to candidates, buyers, viewers, and a primary source of information for consumers and on licensees by limiting the online providing information, particularly about accessible others, but that the actual purchase of public file to material generated after programming, in an accessible manner would be any new rules become effective, thereby beneficial to viewers. 18 See 29 U.S.C. 794d(1)(A)(ii).

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advertising time and the receipt of equal a defamatory or obscene letter. In the communications from the online time requests would continue to be 2007 Report and Order the Commission disclosure requirement. Alternatively, handled by the station. We seek determined that stations would not be should we allow or require stations to comment on these proposals and the required to post letters from the public redact personally identifiable relative burdens and benefits that on their online public files, due to the information before posting online? broadcasters would face under this burden and cost. The Commission did, While we propose that the online public requirement. We also seek comment however, require that public comments file should largely replace the paper about the logistics of making this file sent by email to the station be placed in public file, we seek comment on available online. Our rules currently the station’s online public file, as the PIPAC’s proposal to require require that records should be placed in costs of posting correspondence already broadcasters to continue to retain copies the political file ‘‘as soon as possible’’ in electronic form would be less of such letters at the station for public and ‘‘as soon as possible means burdensome on the station than viewing in a paper file or an electronic immediately absent unusual uploading paper comments to electronic database at their main studios. We circumstances.’’ 19 We tentatively form. Several reconsideration envision that such a requirement would conclude that stations should similarly petitioners asked that we also exempt be limited to correspondence, and be required to upload the same records email from the posting requirement, would not require any other public file to their online political file arguing that requiring their inclusion information be publicly available at the ‘‘immediately absent unusual raises privacy concerns. They asserted station. Would such a correspondence circumstances.’’ Immediacy is necessary that posting emails from children online file requirement be limited enough in with respect to the political file because may result in violations of the scope to justify any additional burdens? a candidate has only seven days from Children’s Online Privacy Protection We also seek comment on PIPAC’s the date of his opponent’s appearance to Act, which prohibits posting children’s proposal to require stations to report request equal opportunities for that personally identifiable information quarterly on how many letters they have appearance. We also seek comment on online. These petitioners also argued received. What would be the benefits of methods and procedures that can be that the Commission oversimplified the requiring stations to count and report implemented to enable the near real- costs of such a requirement, since how many letters they have received? time upload of political file documents station personnel would need to review What would be the burdens of such a during periods of heightened activity. and redact all emails to strip them of requirement? Should we consider Can the Commission assist in making personally identifiable information requiring a brief description of the tools available to enable such immediate before posting them. The public interest letter(s) received? We seek comment on uploads and make such immediate community responded that privacy these and any other suggestions or filing as non-burdensome as possible? concerns could be ameliorated through proposals that would make letters and 21. Finally, we note that the public the use of warnings to posters that their emails from the public more easily file rule requires licensees to keep ‘‘a submissions would become part of the accessible while at the same time complete and orderly’’ political file. public file, and that an online form addressing privacy concerns. We also Accordingly, we would expect licensees could be used that conceals personal seek comment on whether stations to upload any political file information information. More recently, PIPAC should have to retain comments left by to the online file in an organized recommended that the Commission the public on social media pages, like manner so that the political file does not eliminate letters and email from the Facebook. Should those be considered become difficult to navigate due to the online public file requirement. They ‘‘written comments and suggestions sheer number of filings. For an online suggest that in order to alert members of received from the public regarding political file to be useful, candidates the public to letters and emails, stations operation of the station’’? We tentatively and members of the public must be able should instead be required to disclose conclude that such information should to easily find information that they seek. the total number of letters available at not be required to be maintained in the Should the Commission create federal, the station and provide a notice that correspondence file. We seek comment state, and local subfolders for each these materials are available for public on this tentative conclusion. We also station’s political file? Should we allow viewing at the main studio consistent seek comment on whether any other stations to create additional subfolders with existing paper public file rules. contents of the public file raise similar within the political file? For instance, privacy concerns, such as donor lists should stations be able to create 23. We propose that letters and emails subdivisions within federal, state and from the public should not be required that NCEs must include in the public local races, to reflect individual political to be placed online. We agree that the file, as required by 73.3527(e)(9). races? We seek comment on any other privacy and burden concerns discussed 24. Contour maps. Maps showing methods of organization that would above are significant enough to merit stations’ service contours are available make the information more easily their exclusion. Letters and emails from on the Commission’s Web site, and are accessible, and also lessen the number the public that are currently included in derived from information provided by of questions that broadcasters would the public file, like the rest of the file’s stations in the CDBS. Stations are also have to field about the contents and contents, are already publicly available. required to include contour maps in organization of the political file. We recognize that making this their public files; unlike the ones 22. Letters From the Public. A station information available online would available on the Commission’s Web site, must currently retain in its paper public make it much more readily accessible to these include the station’s service file all letters and emails from the the public, but such increased contours and/or main studio and public regarding operation of the station accessibility may not be expected by transmitter location. In their petition for unless the letter writer has requested viewers who communicate with their reconsideration of the Report and Order, that the letter not be made public or the stations and may actually make some the Joint Broadcasters asked whether the licensee feels that it should be excluded viewers less inclined to write to their availability of contour maps on the due to the nature of its content, such as stations. We seek comment on whether Commission’s Web site is sufficient. We the concerns discussed above justify our believe that the contour maps available 19 See 47 CFR 73.1943(c). proposal to exempt such on the Commission’s Web site are

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sufficient as they provide necessary the subject of an indecency propose today to fulfill the online information regarding a station’s service investigation or complaint. The public file requirement, does not contours, and seek comment on this petitioner argued that posting materials include main station information. issue. We discuss requiring information related to an indecency investigation Further, the Commission does not about a station’s main studio in section online would be inappropriate, since it require the reporting of a station’s main 3 below. is inconsistent with the purpose of the studio. We believe this information will 25. The Public and Broadcasting Commission’s indecency regime, which help members of the public to engage in manual. We propose to eliminate the is to protect children. They argued that an active dialogue with broadcast requirement that stations make available because children have easy access to an licensees regarding its service, which is ‘‘The Public and Broadcasting’’ manual online public file, but not to a station’s one of the goals of this proceeding, and in their public files. ‘‘The Public and paper public file, any material related to will also assist in the identification of Broadcasting’’ is a consumer manual indecency investigations should be broadcasters that are engaging in shared that provides an overview of the available in a station’s paper public file services arrangements. We therefore Commission’s regulation of broadcast only. We think it is important that propose that in the Commission- radio and television licensees. This material relating to indecency maintained online public file, the manual is already available on the investigations not be excluded from the station’s main studio address and Commission’s Web site. As we look to online public file, given its relevance to telephone number be displayed. For centralize all public inspection files, we the renewal process. We do not believe stations with a main studio waiver, we no longer believe it will be necessary for that making this information available propose that the location of the local file every station’s electronic public file to in the public file portion of the Web site and the required toll free number contain this manual, nor will stations will increase the risk to children, since should be listed. We seek comment on need to keep a copy at the station. the Commission already posts materials this proposal, as well as whether we Instead, we propose to make ‘‘The related to indecency investigations on should require the posting of an email Public and Broadcasting’’ prominently its Web site. We seek comment on this address that will serve as a station available within the public file portion proposal. We also seek comment on contact for the public file. of the Commission’s Web site once it is whether the FCC should post published 30. Sponsorship Identifications. created. We seek comment on this sanctions, including forfeiture orders, Section 317 of the Communications Act proposal. notices of violation, notices of apparent requires that broadcasters disclose to 26. Issues/programs lists. All liability, and citations, in a station’s their listeners or viewers if a matter has broadcasters must currently include in online public file. If so, should licensees been aired in exchange for money, their public files issues/programs lists be required to upload their responses, if services, or other valuable covering the current license term, which any, to these FCC actions? We believe consideration. The Commission’s are a lists of programs that have that this is the sort of information that sponsorship identification rules provided the stations’ most significant the public would want to find in currently require that stations provide treatment of community issues during reviewing a licensee’s public file, and is an on-air disclosure when content is the preceding quarter. In the 2007 a natural extension of the requirement paid for, furnished, or sponsored by an Report and Order, we noted the to retain FCC correspondence. We note outside party. The INC Report discussed deficiencies of the issues/programs lists, that parties could seek confidential examples of ‘‘pay-for-play’’ and replaced the requirement with a treatment of particular information in arrangements at local TV stations, where standardized disclosure form, subject to the filings, if necessary. ‘‘advertisers have been allowed to final OMB approval, as discussed above. dictate, shape or sculpt news or As noted above, we have vacated the 3. Potential Items To Be Added to the editorial content.’’ The INC Report 2007 Report and Order. Although the Online Public File Requirement expressed concern that this practice issues/programs list required under the 28. The INC Report noted the could have negative implications for the current rules provides some information importance of making online disclosure community’s trust in local TV. The INC to the public and establishes a record of a pillar of media policy and the public’s Report recommended that the some of a station’s community-oriented need to have a more granular Commission require that the on-air programming, we continue to believe understanding of how broadcasters use disclosures for such ‘‘pay-for-play’’ that it suffers from several drawbacks their stations and serve the public. arrangements, which are already and intend to promptly a Notice of Given that we seek to modernize public required to be disclosed on-air, be Inquiry to seek further input on a new disclosure requirements, we also seek available online, perhaps as part of the standardized form. We propose that comment on adding main studio public file, in order to create a broadcasters should be required to post information, sponsorship identification permanent, searchable record of which to their online public file, on a quarterly information, and any sharing stations use these arrangements and to basis, their issues/programs lists agreements to a station’s online public afford easy access by consumers and required under current rules, until the file. While we seek to avoid unduly watchdog groups to this information. Commission replaces the issues/ burdening broadcasters, we do not PIPAC has recently recommended that, programs list with a new standardized believe that this modest expansion of when a broadcaster airs news or form, which we seek to address in an the public file will be burdensome and information programming that would expedited fashion. We seek comment on we believe that this information will be require an on-air disclosure of a sponsor this proposal. useful to the public. under the FCC sponsorship 27. FCC investigations and 29. Main Studio Information. As identification rules, the licensee should complaints. Stations are required to discussed above, stations are currently also post that information in its online maintain in their public file material required to include contour maps in public file. relating to a Commission investigation their public files, which must include 31. With the exception of sponsored or complaint. A petition for the station’s service contours and/or political advertising and certain issue reconsideration of the Report and Order main studio and transmitter location. advertising, the Commission only suggested excluding from a station’s The contour maps available on the requires that the sponsorship online public file any material that is Commission’s Web site, which we identification announcement occur once

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during the programming and remain on section 317 and our rules more transparency: in standardized, machine the screen long enough to be read or accessible. We seek comment on this readable and structured formats.’’ heard by an average viewer.20 Section proposal, including how long 34. We agree that some of the 317 requires stations to announce broadcasters should be required to information in the public file would be sponsorship information during the retain this information. of much greater benefit to the public if programming, and the implementing 32. Sharing Agreements. PIPAC has made available in a structured or rule has long had an additional public recently recommended that sharing database-friendly format that can be file recordkeeping component for agreements among licensees, such as aggregated, manipulated, and more political and controversial issue local news sharing and shared services easily analyzed. That is our ultimate announcements.21 The Commission has agreements, should be available in the goal. We recognize, however, that explained that such recordkeeping public file. Sharing agreements are converting the files to this format will furthers the rule’s underlying purpose. contracts between licensees where one take time and money. We tentatively Given the fleeting nature of all licensee provides certain station-related conclude that we should not delay the disclosures, we believe it would also be services to another station, including benefits of having the public file useful to include such on-air disclosures administrative, sales, and/or available online, and therefore propose in television broadcasters’ online public programming support, in order to obtain to not require broadcasters to alter the file obligations, by requiring stations to certain efficiencies.22 PIPAC notes that form of documents already in existence list such sponsors in their online public the INC Report found that some stations prior to posting them to the online file. Requiring a list of sponsors will are outsourcing their news production public file at this time. However, we create an accessible record of such or engaging in other forms of seek comment here on issues we should sponsorships, and will allow interested cooperative newsgathering. PIPAC consider in the implementation of such parties to keep track of the number and argues that unless such agreements are an advanced database. Would the extent of such sponsorships. We believe available online it will be extremely investment and effort to establish a that such a list will further a central difficult for members of the public, or searchable database yield improvement principle of the rule, which is that the Commission, to learn about such from simply having the broadcasters ‘‘listeners are entitled to know by whom agreements, which affect control of the post the documents online in their they are being persuaded.’’ We seek station and production of local news current format? What steps would need comment on this proposal, and on our and other programming. We note that to be taken in order to ensure the authority to impose such a requirement. the Commission already requires the uploading of searchable documents by We also seek input on how burdensome disclosure of certain sharing the broadcasters could be accomplished this requirement would be for agreements, such as time brokerage and in a non-burdensome way? We believe broadcasters. This information must joint sales agreements. We seek that further consideration of the issue already be collected and disclosed on comment on whether disclosure of these may lead to creation of more useful the air. What additional burden would similar agreements would serve the tools to analyze the information be involved in listing the sponsors of public interest, and whether stations produced in the online public file. We such disclosures in the online public should be required to disclose such seek comment, however, on whether file? While the INC Report only suggests items in their online public file. We broadcasters should be required to the online disclosure of sponsorship seek comment on whether such upload any electronic documents in identification of news programming, we agreements should be subject to the their existing format to the extent do not propose to limit disclosure to same redaction allowances that are feasible. For example, to the extent that certain types of programming, but to made available to joint sales agreements a required filing already exists in a include all sponsorships that require a and time brokerage agreements. We also searchable format—such as Microsoft special on-air disclosure. However, seek comments on the burdens of Word ‘‘.doc’’ format or non-copy protect sponsorship identification adopting such a requirement. text-searchable ‘‘pdf’’ format for text announcements which are exempted 4. Format filings, or ‘‘native formats’’ such as under current rules, such as in spreadsheets in Microsoft ‘‘.xml’’ format situations involving commercial 33. The INC Report finds that for non-text filings—should product advertisements where it’s clear information ‘‘needs to be put out in broadcasters be expected to upload the that the product is a sponsorship, will standardized, machine-readable, filing in that format to the extent not need to be included in the online structured formats that make it easy for technically feasible? We believe that disclosures. We are only proposing to programmers to create new applications requiring broadcasters to do so could make disclosures currently required by that can present the data in more useful increase usability and facilitate text formats, or combine one agency’s searches. Should we require that 20 Political broadcast matter or any broadcast information with another,’’ and that matter involving the discussion of a controversial documents created after the effective issue of public importance longer than five minutes ‘‘data releases should include an date of rules adopted in this proceeding ‘‘for which any film, record, transcription, talent, Application Programming Interface be posted in a searchable format? Would script, or other material or service of any kind is (API) that allows the data to be shared such a requirement be unduly furnished * * * to a station as inducement for the easily with other computers and broadcasting of such matter’’ requires a sponsorship burdensome? To the extent documents identification announcement both at the beginning applications.’’ With respect to are filed in a non-searchable format, and the conclusion of the broadcast programming broadcasters’ public files in particular, should the Commission digitize the containing the announcement. 47 CFR 73.1212(d). the INC Report states that ‘‘[o]nline documents and perform optical 21 47 U.S.C. 317(a)(1); 47 CFR 73.1212(e). See also disclosure should be done according to character recognition (‘‘OCR’’)? Given KGVO Broadcasting Inc., 9 FCC Rcd 6396 (1994). the principles advocated by experts on Section 315(e) of the Act includes a similar that native and primary electronic requirement to place a list of executives of a formats are more reliable than OCR, we sponsoring entity in the political file for certain 22 Some sharing agreements can affect at the believe that it will be in every station’s political matter. 47 U.S.C. 315(e)(2)(G). This matter Commission’s attribution rules, which define what best interests to provide documents in includes, among other things, a national legislative interests are counted for purposes of applying the issue of public importance. See 47 U.S.C. Commission’s broadcast ownership rules. See native and primary electronic formats to 315(e)(1)(B)(iii). generally 47 CFR 73.3555. the extent feasible.

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35. We also seek comment on what 38. PIPAC proposes that a link to the serving their communities, we intend to metadata should be made available in online public file appear on a look at the many factors involved in the online public file. Should users be broadcaster’s home page, along with effective enhanced disclosure. This will able to access when each item was contact information for people with ensure that the rules serve their uploaded to the file? Should we also disabilities to use if they have concerns. intended purpose without posing an make available metadata about who They note that for a person with undue burden on industry. There are uploaded the item? Are there concerns disabilities already struggling with an two key criteria for the success of such about metadata disclosures for inaccessible site, the burden of an approach. confidential or privileged information? searching through several pages or 42. First, acknowledging the potential If so, what steps should the Commission levels becomes an insurmountable difficulty of quantifying benefits and and stations take to manage these barrier. We tentatively agree that burdens, we need to determine whether concerns? stations that have Web sites should be the proposed disclosure rules will required to place a link to the public file significantly benefit the public. Second, B. Announcements and Links on their home page, not just to assist the we seek to maximize the benefits to the 36. In the 2007 Report and Order, the disabled community, but to assist all public from our proposed rules while Commission determined that viewers members of the public who are looking taking into consideration the burden of should be notified of the existence, for more information about a licensee. compliance on broadcasters. These costs location, and accessibility of the We seek comment on PIPAC’s proposal and benefits can have many dimensions, station’s public file, as this would that stations also list on their home page including cost implications for industry, increase viewer awareness and help contact information for people with public interest benefits to viewers, and promote the ongoing dialogue between disabilities. What types of contact other less tangible benefits. a station and the viewers it is licensed information would be most useful? 43. To address the first criterion, we to serve. Therefore, the Commission seek comment on the best ways to required that licensees provide such C. Radio ensure that the forms of disclosure notice on-air twice daily during the 39. Given this proceeding’s genesis in discussed in this FNPRM will actually regular station identification the DTV transition, the Report and benefit the public. While most of the announcements required under our Order was limited to television stations. information to be included in the online rules, with at least one announcement to The Commission later sought comment public file is largely the same as be aired between 6 p.m. and midnight. on implementing an online public file information already being provided in Reconsideration petitioners argued that requirement for analog and digital radio the paper file, we seek comment on the twice daily announcements were stations in the Further Notice of value and use of the potential items to excessive. Public television stations Proposed Rulemaking in the Digital be added to the online public file, as argued that television station Audio Broadcasting proceeding.23 discussed above. Further, we seek identifications are very limited in 40. This FNPRM, like all other items comment on any considerations length, and that the Report and Order in this docket, is directed toward regarding the manner in which our did not provide a reason for changing television broadcasters. We may proposals could be implemented that course from the tentative conclusion consider requiring radio licensees to would increase the number of people made in the NPRM that the Commission abide by similar reforms to their public who will benefit from such rules, and should not require announcements. file requirements at a later date. We the nature of these benefits. In They proposed that the Commission believe, however, that there are benefits particular, we seek comment on the best reduce this requirement to a few times to requiring television licensees to ways to ensure that information is more a week, at most. implement enhanced disclosure readily accessible to the public. While 37. We continue to believe that requirements first. Television stations we believe that the proposed rules will viewers should be notified of the have been significantly more involved increase its accessibility, by replacing existence, location, and accessibility of in considering these issues, from the the paper version of the public file with the station’s public file; if most viewers NOI in 1999 through the 2007 Report an online version, we seek further are unaware of the existence of the and Order. Further, it may ease the suggestions for increasing accessibility. public file or how to access it, its initial implementation of a Commission- 44. To address the second criterion, usefulness will be greatly diminished. hosted online public file if we begin the we seek comment on the nature and We seek comment on how best to process with the much smaller number magnitude of the costs and benefits of achieve this goal. Would requiring on- of television licensees than with all our new streamlined proposals. We air announcements a few times a week broadcasters. Finally, we foresee that recognize that these may vary by be sufficient? Should we dictate day there may be some radio-specific broadcaster, and seek comment on part requirements for certain concerns that we will need to address possible differential impacts, including announcements to be sure a large prior to implementing an online public size and type of broadcaster. We seek number of viewers are reached? We file requirement on radio stations. We specific information about whether, propose that stations be required to thus tentatively conclude not to include how, and by how much broadcasters announce the existence, location, and radio licensees in this proceeding. may be impacted differently in terms of accessibility of the station’s public file the costs and benefits of our proposed three times a week as part of the station IV. Cost/Benefit Analysis rules. We also seek comment on the identification. We also propose that the 41. In proposing rules to ensure that most cost-effective approach for notice state that the station’s public file the public has adequate access to modifying existing policies and is available for inspection and that information about how broadcasters are practices to achieve the goals of this consumers can view it at the proceeding. Commission’s Web site, and that at least 23 See Digital Audio Broadcasting Systems and 45. To the extent possible, we request one of the announcements must occur Their Impact on the Terrestrial Radio Broadcast comment that will enable us to balance Service, Second Report and Order, First Order on between the hours of 6 p.m. and Reconsideration and Second Further Notice of the positive benefits of these proposed midnight. We seek comment on these Proposed Rulemaking, 22 FCC Rcd 10344, 10391 disclosure rules with the costs that they proposals. (2007). may impose on broadcasters. We

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recognize that costs and benefits will paper public file, we believe that the requested on this IRFA. Comments must vary depending on the specific costs of uploading these files to the be identified as responses to the IRFA documents and format we require online public file will be less and must be filed by the deadlines for broadcasters to submit for inclusion in burdensome than originally anticipated. comments. The Commission will send a an online public file to be hosted by the 47. We seek to weigh the costs of an copy of the FNPRM, including this Commission. A rule that documents online public file requirement against IRFA, to the Chief Counsel for Advocacy may be uploaded in any format will the benefits to the public of Internet of the Small Business Administration likely impose minimal burdens on accessibility of the information. It is (‘‘SBA’’). In addition, the FNPRM and broadcasters as compared to a beneficial for the community to have IRFA (or summaries thereof) will be requirement that only documents in Internet access to information it may not published in the Federal Register. standardized formats will be accepted, otherwise be able to obtain. Making 1. Need for, and Objectives of, the as at least some broadcasters may need information available in the online Proposed Rule Changes to recreate or reformat their documents public file will educate consumers on prior to submission. The benefit the issues that they might not otherwise 50. One of a television broadcaster’s public reaps from access to information know about, absent an ability to visit a fundamental public interest obligations about how broadcasters are serving their station to inspect the public file, and is to air programming responsive to the communities will similarly vary will assist consumers in educating needs and interests of its community of depending on the specific documents themselves about the licensee and its license. Broadcasters are afforded and formats we require broadcasters to programming. Making this information considerable flexibility in how they submit. Information that is submitted in readily accessible will also assist the meet that obligation. Among other non-standardized formats will be useful Commission and Congress in things, they are required to maintain a to members of the public who are formulating public policy about public inspection file, which gives the interested in only one or a few broadcasting and other media issues. As public access to information about the television stations. Researchers, discussed in previous Orders, the station’s operations. The FNPRM seeks however, need access to standardized Commission has found that each of the to make information regarding how a data that are aggregable and searchable items required to be placed in the public television broadcast station serves the in order for the data to be useful in their file is important, and needs to be public interest easier to understand and analyses of industry performance. We accessible to the public. Internet access more accessible. request that commenters provide to such information improves public 51. The FNPRM seeks comment on specific data and information, such as access and reduces some burdens on rule changes that would: • actual or estimated dollar figures for broadcasters. As discussed throughout Replace the requirement that each specific cost or benefit addressed, the FNPRM, we seek comment on television stations maintain a paper including a description of how the data further ways to relieve burdens on public file at their main studios with a or information was calculated or broadcasters in creating the online requirement to submit documents for obtained and any supporting public file requirement. Should we inclusion in an online public file, documentation or other evidentiary consider creating different requirements including the political file, to be hosted support. All comments will be for small television broadcasters? by the Commission; considered and given appropriate • Reduce the number of documents weight. Vague or unsupported B. Announcements that television stations would be assertions regarding costs or benefits 48. Finally, we seek to quantify the required to upload to an online public generally can be expected to receive less costs and benefits associated with file, by automatically linking to weight and be less persuasive than more notifying the public of the existence, information already collected by the specific and supported statements. location, and accessibility of the Commission; • Streamline the information required A. Online Public File station’s public file. The benefits of such a requirement, increasing viewer to be kept in the file, such as by 46. While it may be difficult to awareness and helping promote the excluding letters and emails from the quantify the benefits of an online public ongoing dialogue between a station and public; file requirement, we seek comment on • the viewers they are licensed to serve, Require that sponsorship ways to do so. Is there a way to quantify are difficult to quantify, but we seek identification, now disclosed only on- the value of improving the quality of comment on how to do so. We also seek air, should also be disclosed online, and information presented to consumers? comment on the projected costs of such require disclosure of online shared We also seek comment on the costs, announcements. Would requiring three services agreements; and which should be much more • announcements a week be a justifiable Make the online public file quantifiable. We received cost data from burden on broadcasters? Is the amount standardized and searchable, further the commenters and petitioners in of the burden affected by the time of day improving the usefulness of the data. response to the NPRM and discussed them in the Report and Order. Given the that the announcement is made? 2. Legal Basis technological advances since these V. Procedural Matters 52. The proposed action is authorized estimates were created, the fact that the pursuant to sections 1, 2, 4(i), 303, and A. Regulatory Flexibility Analysis Commission is contemplating becoming 405 of the Communications Act, 47 the host of the online public file 49. As required by the Regulatory U.S.C. 151, 152, 154(i), 303, and 405. requirement, and that we are proposing Flexibility Act of 1980, as amended to modify the required materials to be (‘‘RFA’’), the Commission has prepared 3. Description and Estimate of the posted to the file, we seek updated cost this present Initial Regulatory Number of Small Entities to Which the estimates. Because most of the items Flexibility Analysis (‘‘IRFA’’) Proposed Rules Will Apply that we are seeking to include in the concerning the possible significant 53. The RFA directs agencies to online public file are already available economic impact on small entities by provide a description of and, where in an electronic format, and because we the policies and rules proposed in the feasible, an estimate of the number of are proposing to largely eliminate the FNRPM Written public comments are small entities that may be affected by

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the proposed rules, if adopted. The RFA revenue of NCE stations that would 5. Steps Taken To Minimize Significant generally defines the term ‘‘small permit it to determine how many such Economic Impact on Small Entities, and entity’’ as having the same meaning as stations would qualify as small entities. Significant Alternatives Considered 55. In addition, an element of the the terms ‘‘small business,’’ ‘‘small 57. The RFA requires an agency to definition of ‘‘small business’’ is that the organization,’’ and ‘‘small governmental describe any significant alternatives that entity not be dominant in its field of jurisdiction.’’ In addition, the term it has considered in reaching its ‘‘small business’’ has the same meaning operation. We are unable at this time to proposed approach, which may include as the term ‘‘small business concern’’ define or quantify the criteria that the following four alternatives (among under the Small Business Act. A small would establish whether a specific others): (1) the establishment of business concern is one which: (1) Is television station is dominant in its field differing compliance or reporting independently owned and operated; (2) of operation. Accordingly, the estimate requirements or timetables that take into is not dominant in its field of operation; of small businesses to which rules may account the resources available to small and (3) satisfies any additional criteria apply do not exclude any television entities; (2) the clarification, established by the SBA. Below, we station from the definition of a small consolidation, or simplification of provide a description of such small business on this basis and are therefore compliance or reporting requirements entities, as well as an estimate of the over-inclusive to that extent. Also, as number of such small entities, where noted, an additional element of the under the rule for small entities; (3) the feasible. definition of ‘‘small business’’ is that the use of performance, rather than design, 54. Television Broadcasting. The SBA entity must be independently owned standards; and (4) an exemption from defines a television broadcasting station and operated. We note that it is difficult coverage of the rule, or any part thereof, as a small business if such station has at times to assess these criteria in the for small entities. no more than $14.0 million in annual context of media entities and our 58. The FNPRM seeks to minimize receipts. Business concerns included in estimates of small businesses to which reporting requirements on all television this industry are those ‘‘primarily they apply may be over-inclusive to this broadcasters, by having the Commission engaged in broadcasting images together extent. host the online public file. The previous with sound.’’ 24 The Commission has Report and Order in this proceeding, 4. Description of Projected Reporting, estimated the number of licensed which has been vacated, required Recordkeeping, and Other Compliance commercial television stations to be stations to host their own public file. Requirements 1,390. According to Commission staff Having the Commission host the public review of the BIA Kelsey Inc. Media 56. Certain rule changes proposed in file will ease the administrative burdens Access Pro Television Database (BIA) as the FNPRM would affect reporting, on all broadcasters. More than a third of of January 31, 2011, 1,006 (or about 78 recordkeeping, or other compliance the required contents of the public file percent) of an estimated 1,298 requirements. Television broadcasters have to be filed with the Commission, commercial television stations in the are currently required to maintain a and the FNPRM proposes to import and United States have revenues of $14 copy of their public inspection files at update information that must already be million or less and, thus, qualify as their main studios. The FNPRM filed with the Commission small entities under the SBA definition. proposes to replace that requirement automatically, creating efficiencies for The Commission has estimated the with a requirement to submit broadcasters. Accordingly, since no number of licensed noncommercial documents for inclusion in an online significant economic impact is imposed educational (‘‘NCE’’) television stations public file, including the political file, by the proposed rules on small entities, to be 391. We note, however, that, in to be hosted on the Commission’s Web no discussion of alternatives is assessing whether a business concern site. Items in the public file that must warranted. qualifies as small under the above also be filed with the Commission, 59. Overall, in proposing rules definition, business (control) affiliations including FCC authorizations, governing an online public file must be included. Our estimate, applications and related materials, requirement, we believe that we have therefore, likely overstates the number contour maps, ownership reports and appropriately balanced the interests of of small entities that might be affected related materials, portions of the equal the public against the interests of the by our action, because the revenue employment opportunity file, the public entities who will be subject to the rules, figure on which it is based does not and broadcasting manual, children’s including those that are smaller entities. television programming reports (Form include or aggregate revenues from 6. Federal Rules That May Duplicate, affiliated companies. The Commission 398), and DTV transition education reports (Form 388), will be Overlap, or Conflict With the Proposed does not compile and otherwise does Rule not have access to information on the automatically imported into the station’s online public file. Television 60. None. stations will only be responsible for 24 Id. This category description continues, ‘‘These B. Paperwork Reduction Act Analysis establishments operate television broadcasting uploading and maintaining items that studios and facilities for the programming and are not required to be filed with the 61. This document contains proposed transmission of programs to the public. These Commission under any other rule. The information collection requirements. establishments also produce or transmit visual programming to affiliated broadcast television FNPRM also proposes to exclude some The Commission, as part of its stations, which in turn broadcast the programs to items from the online public file continuing effort to reduce paperwork the public on a predetermined schedule. requirement, such as letters and emails burdens, invites the general public and Programming may originate in their own studios, from the public, and proposes to add the Office of Management and Budget from an affiliated network, or from external sources.’’ Separate census categories pertain to other items to the online public file (OMB) to comment on the information businesses primarily engaged in producing requirement, such as whether collection requirements contained in programming. See Motion Picture and Video sponsorship identification, now this document, as required by the Production, NAICS code 512110; Motion Picture disclosed only on-air, should also be Paperwork Reduction Act of 1995. In and Video Distribution, NAICS Code 512120; Teleproduction and Other Post-Production disclosed online, and whether to require addition, pursuant to the Small Services, NAICS Code 512191; and Other Motion disclosure of online shared services Business Paperwork Relief Act of 2002, Picture and Video Industries, NAICS Code 512199. agreements. we seek specific comment on how we

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might ‘‘further reduce the information • Electronic Filers: Comments may be sections 1, 2, 4(i), 303, and 307 of the collection burden for small business filed electronically using the Internet by Communications Act, 47 U.S.C. 151, concerns with fewer than 25 accessing the ECFS: http:// 152, 154(i), 303, and 307, this Further employees.’’ fjallfoss.fcc.gov/ecfs2/. Notice of Proposed Rulemaking is • Paper Filers: Parties who choose to adopted. C. Ex Parte Rules file by paper must file an original and 68. It is further ordered that the 62. Permit-But-Disclose. This one of each filing. If more than one Commission’s Consumer and proceeding will be treated as a ‘‘permit- docket or rulemaking number appears in Governmental Affairs Bureau, Reference but-disclose’’ proceeding subject to the the caption of this proceeding, filers Information Center, shall send a copy of Commission’s ex parte rules. Persons must submit two additional copies for this Further Notice of Proposed making ex parte presentations must file each additional docket or rulemaking Rulemaking, including the Initial a copy of any written presentation or a number. Regulatory Flexibility Analysis, to the memorandum summarizing any oral Filings can be sent by hand or Chief Counsel for Advocacy of the Small presentation within two business days messenger delivery, by commercial Business Administration. overnight courier, or by first-class or after the presentation (unless a different List of Subjects 47 CFR Part 73 deadline applicable to the Sunshine overnight U.S. Postal Service mail. All period applies). Persons making oral ex filings must be addressed to the Television. parte presentations are reminded that Commission’s Secretary, Office of the Federal Communications Commission memoranda summarizing the Secretary, Federal Communications Marlene H. Dortch, Commission. presentation must (1) list all persons Æ Secretary. attending or otherwise participating in All hand-delivered or messenger- the meeting at which the ex parte delivered paper filings for the Proposed Rules presentation was made, and (2) Commission’s Secretary must be For the reasons discussed in the summarize all data presented and delivered to FCC Headquarters at 445 preamble, the Federal Communications arguments made during the 12th St. SW., Room TW–A325, Commission proposes to amend 47 part presentation. If the presentation Washington, DC 20554. The filing hours 73 as follows: consisted in whole or in part of the are 8 a.m. to 7 p.m. All hand deliveries presentation of data or arguments must be held together with rubber bands PART 73—RADIO BROADCAST already reflected in the presenter’s or fasteners. Any envelopes must be SERVICES written comments, memoranda or other disposed of before entering the building. Æ Commercial overnight mail (other 1. The Authority citation for Part 73 filings in the proceeding, the presenter continues to read as follows: may provide citations to such data or than U.S. Postal Service Express Mail and Priority Mail) must be sent to 9300 Authority: 47 U.S.C. 154, 303, 334, 336 and arguments in his or her prior comments, 339. memoranda, or other filings (specifying East Hampton Drive, Capitol Heights, the relevant page and/or paragraph MD 20743. 2. Section 73.1201 is amended by Æ U.S. Postal Service first-class, numbers where such data or arguments revising paragraph (b)(3) to read as Express, and Priority mail must be can be found) in lieu of summarizing follows: addressed to 445 12th Street SW., them in the memorandum. Documents Washington DC 20554. § 73.1201 Station identification. shown or given to Commission staff 64. Availability of Documents. * * * * * during ex parte meetings are deemed to Comments, reply comments, and ex (b) be written ex parte presentations and parte submissions will be available for must be filed consistent with rule * * * * * public inspection during regular (3) Three times a week, the station 1.1206(b). In proceedings governed by business hours in the FCC Reference rule 1.49(f) or for which the identification for television stations Center, Federal Communications must include a notice stating that the Commission has made available a Commission, 445 12th Street, SW., CY– method of electronic filing, written ex station’s public file is available for A257, Washington, DC 20554. These viewing at the FCC’s Web site. At least parte presentations and memoranda documents will also be available via summarizing oral ex parte one of the announcements must occur ECFS. Documents will be available between the hours of 6 p.m. and presentations, and all attachments electronically in ASCII, Microsoft Word, thereto, must be filed through the midnight. and/or Adobe Acrobat. 3. Section 73.1212 is amended by electronic comment filing system 65. Accessibility Information. To revising paragraph (e) to read as follows: available for that proceeding, and must request information in accessible be filed in their native format (e.g., .doc, formats (braille, large print, electronic § 73.1212 Sponsorship Identification; list .xml, .ppt, searchable .pdf). Participants files, audio format), send an email to retention; related requirements. in this proceeding should familiarize [email protected] or call the FCC’s * * * * * themselves with the Commission’s ex Consumer and Governmental Affairs (e) The announcement required by parte rules. Bureau at (202) 418–0530 (voice), (202) this section shall, in addition to stating D. Filing Requirements 418–0432 (TTY). the fact that the broadcast matter was 66. Additional Information. For sponsored, paid for or furnished, fully 63. Comments and Replies. Pursuant additional information on this and fairly disclose the true identity of to §§ 1.415 and 1.419 of the proceeding, contact Holly Saurer of the the person or persons, or corporation, Commission’s rules, interested parties Media Bureau, Policy Division, (202) committee, association or other may file comments and reply comments 418–7283, or via email at unincorporated group, or other entity by on or before the dates indicated on the [email protected]. whom or on whose behalf such payment first page of this document. Comments is made or promised, or from whom or may be filed using the Commission’s VI. Ordering Clauses on whose behalf such services or other Electronic Comment Filing System 67. Accordingly, it is ordered that, valuable consideration is received, or by (‘‘ECFS’’). pursuant to the authority contained in whom the material or services referred

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to in paragraph (d) of this section are (b) Location of the file. The public in differing markets, with confidential furnished. Where an agent or other inspection file shall be located as or proprietary information redacted person or entity contracts or otherwise follows: where appropriate. makes arrangements with a station on (1) For radio licensees, a hard copy of (19) Sponsorship identifications. For behalf of another, and such fact is the public inspection file shall be commercial television stations, a list of known or by the exercise of reasonable maintained at the main studio of the all sponsorship identifications that must diligence, as specified in paragraph (b) station. For television licensees, letters be announced on-air pursuant to 47 CFR of this section, could be known to the and emails from the public, as required 73.1212. station, the announcement shall by paragraph (e)(9) of this section, shall * * * * * disclose the identity of the person or be maintained at the main studio of the 6. Section 73.3527 is amended by persons or entity on whose behalf such station. An applicant for a new station revising paragraph (b) to read as follows: agent is acting instead of the name of or change of community shall maintain such agent. Where the material its file at an accessible place in the § 73.3527 Local public inspection file of broadcast is political matter or matter proposed community of license or at its noncommercial educational stations. involving the discussion of a proposed main studio. * * * * * controversial issue of public importance (2) A television station licensee or (b) Location of the file. The public and a corporation, committee, applicant shall place the contents of its inspection file shall be located as association or other unincorporated public inspection file required by follows: group, or other entity is paying for or paragraph (e) of this section on the (1) For radio licensees, a hard copy of furnishing the broadcast matter, the Commission’s Web site, with the the public inspection file shall be station shall, in addition to making the exception of letters and emails from the maintained at the main studio of the announcement required by this section, public as required by paragraph (e)(9) of station. For television licensees, letters require that a list of the chief executive this section, which will be retained at and emails from the public, as required officers or members of the executive the station in the manner discussed in by paragraph (e)(9) of this section, shall committee or of the board of directors of paragraph (1) of this section. A station be maintained at the main studio of the the corporation, committee, association must link to the public inspection file station. An applicant for a new station or other unincorporated group, or other hosted on the Commission’s Web site or change of community shall maintain entity shall be made available for public from the home page of its own Web site, its file at an accessible place in the inspection at the location specified if the station has a Web site. proposed community of license or at its under § 73.3526. If the broadcast is (3) The Commission will proposed main studio. originated by a network, the list may, automatically link the following items instead, be retained at the headquarters to the electronic version of all licensee (2) A television station licensee or office of the network or at the location and applicant public inspection files, to applicant shall place the contents of its where the originating station maintains the extent that the Commission has public inspection file on the its public inspection file under these items electronically: Commission’s Web site, with the § 73.3526. Such lists shall be kept and Authorizations, applications, contour exception of letters and emails from the made available for a period of two years. maps; ownership reports and related public, which will be retained at the * * * * * materials; portions of the Equal station in the manner discussed in 4. Section 73.1943 is amended by Employment Opportunity file held by paragraph (1) of this section. A station adding paragraph (d) to read as follows: the Commission; the public and must link to the public inspection file broadcasting; Children’s television hosted on the Commission’s Web site § 73.1943 Political file. programming reports; and DTV from the home page of its own Web site, * * * * * transition education reports. In the if the station has a Web site. (d) Location of the file. A television event that the online public file does not (3) The Commission will station licensee or applicant must also reflect such required information, the automatically link the following items place all of the contents of its political licensee will be responsible for posting to the electronic version of all licensee file on the Commission’s Web site. This such material. and applicant public inspection files, to electronic political file must be updated the extent that the Commission has * * * * * in the same manner as paragraph (c) of these items electronically: Contour this section. (e) * * * (18) Sharing agreements. For maps; ownership reports and related 5. Section 73.3526 is amended by materials; portions of the Equal revising paragraph (b) and adding commercial television stations, a copy of every agreement or contract involving Employment Opportunity file held by paragraphs (e)(18) and (e)(19) to read as the Commission; and the public and follows: sharing agreements for the station, including local news sharing broadcasting. § 73.3526 Local public inspection file of agreements and shared services commercial stations. agreements, whether the agreement [FR Doc. 2011–30009 Filed 11–21–11; 8:45 am] * * * * * involves stations in the same markets or BILLING CODE 6712–01–P

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Notices Federal Register Vol. 76, No. 225

Tuesday, November 22, 2011

This section of the FEDERAL REGISTER the collection of information unless it Description of Respondents: Business contains documents other than rules or displays a currently valid OMB control or other for-profit; Farms; State, Local or proposed rules that are applicable to the number. Tribal Government. public. Notices of hearings and investigations, Number of Respondents: 28,244. committee meetings, agency decisions and Animal and Plant Health Inspection Frequency of Responses: rulings, delegations of authority, filing of Service Recordkeeping; Reporting: On occasion. petitions and applications and agency Total Burden Hours: 512,147. statements of organization and functions are Title: Domestic Quarantines. examples of documents appearing in this OMB Control Number: 0579–0088. Animal and Plant Health Inspection section. Summary of Collection: Under the Service Plant Protection Act (7 U.S.C. 7701– Title: Bovine Spongiform 7772) the Secretary of Agriculture is Encephalopathy; Importation of DEPARTMENT OF AGRICULTURE authorized to prohibit or restrict the Animals and Animal Products. importation, entry, or movement of OMB Control Number: 0579–0234. Submission for OMB Review; plants and plant pests to prevent the Comment Request Summary of Collection: The Animal introduction of plant pests into the Health Protection Act (AHPA) of 2002 is November 16, 2011. United States or their dissemination the primary Federal law governing the The Department of Agriculture has within the United States. Plant protection of animal health. The law submitted the following information Protection and Quarantine, a program gives the Secretary of Agriculture broad collection requirement(s) to OMB for within USDA’s Animal and Plant Health authority to detect, control, or eradicate review and clearance under the Inspection Service, (APHIS) is pests or diseases of livestock or poultry. Paperwork Reduction Act of 1995, responsible for implementing this Act The AHPA is contained in Title X, Public Law 104–13. Comments and does so through the enforcement of Subtitle E, Sections 10401–18 of Public regarding (a) Whether the collection of its domestic quarantine regulations Law 107–171, May 13, 2002, the Farm information is necessary for the proper contained in Title 7 of the Code of Security and Rural Investment Act of performance of the functions of the Federal Regulations, CFR part 301. 2002. The Animal and Plant Health agency, including whether the Administering these regulations often Inspection Service (APHIS) regulates the information will have practical utility; requires APHIS to collect information importation of animals and animal (b) the accuracy of the agency’s estimate from a variety of individuals who are products into the United States to guard of burden including the validity of the involved in growing, packing, handling, against the introduction of animal methodology and assumptions used; (c) transporting, plants and plant products. diseases. The regulations in 9 CFR parts ways to enhance the quality, utility and The information collected from these 91, 93, 94, 95 and 96 govern the clarity of the information to be individuals is vital to helping ensure importation of certain animals, birds, collected; (d) ways to minimize the that injurious plant diseases and insect poultry, meat, other animal products burden of the collection of information pests do not spread within the United and byproducts, hay, and straw into the on those who are to respond, including States. Information to be collected is United States in order to prevent the through the use of appropriate necessary to determine compliance with introduction of diseases, such as bovine automated, electronic, mechanical, or domestic quarantines. Federal/State spongiform encephalopathy (BSE), a other technological collection domestic quarantines are necessary to chronic degenerative disease that affects techniques or other forms of information regulate the movement of articles from the central nervous system of cattle. technology should be addressed to: Desk infested areas to noninfested area. Need and Use of the Information: Officer for Agriculture, Office of Collecting information requires the use APHIS will collect the information to Information and Regulatory Affairs, of a number of forms and documents. prevent BSE incursion into the United Office of Management and Budget APHIS will collect information using States using the following: (1) Import (OMB), various forms and documents. Permit Application (VS Form 16–3); (2) [email protected] or Need and Use of the Information: Certificate for Inedible Processed fax (202) 395–5806 and to Departmental APHIS will collect information by Animal Origin Materials and Products Clearance Office, USDA, OCIO, Mail interviewing growers and shippers at from BSE-Free Regions; (3) Cooperative Stop 7602, Washington, DC 20250– the time the inspections are being agreements with foreign facilities that 7602. Comments regarding these conducted and by having growers and process and store regulated materials information collections are best assured shippers of exported plants and plant and products destined for import into of having their full effect if received products complete an application for a the United States; (4) Certification within 30 days of this notification. transit permit. Information is collected Statement for Products from BSE Copies of the submission(s) may be from the growers, packers, shippers, and Minimal Risk Regions and Japan, and obtained by calling (202) 720–8958. exporters of regulated articles to ensure Inedible Processed Animal Proteins of An agency may not conduct or that the articles, when moved from a Non-Ruminant Origin from BSE- sponsor a collection of information quarantined area, do not harbor Affected Regions; (5) Seals; (6) unless the collection of information injurious plant diseases and insect Notification of designation of person displays a currently valid OMB control pests. The information obtained will be authorized to break seals; (7) number and the agency informs used to determine compliance with Agreements with slaughter facilities potential persons who are to respond to regulations and for issuance of forms, concerning the use of seals on the collection of information that such permits, certificates, and other required conveyances transporting animals from persons are not required to respond to documents. BSE Minimal Risk Regions; (8) Form for

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animals imported for immediate The regulations implementing FSA’s L. Street NW., 2nd Floor Conference slaughter (VS Form 17–33); Certification Guaranteed Loan Program and IA can be Suite, Washington, DC 20230–0001. statement for ruminants. Failure to found in 7 CFR part 762. FOR FURTHER INFORMATION CONTACT: collect this information would make it This notice announces that FSA is no Barbara K. Atrostic, Designated Federal impossible for APHIS to effectively longer accepting applications under the Official, Department of Commerce, U.S. prevent BSE-contaminated animal Interest Assistance Program due to a Census Bureau, Center for Economic products from entering the United lack of funding. However, guaranteed Studies Room 2K135, 4600 Silver Hill States. loans will still be available without Road, Washington, DC 20233, telephone Description of Respondents: Business interest assistance. (301) 763–6442. For TTY callers, please or other for-profit; Federal Government. This notice does not invalidate use the Federal Relay Service 1 (800) Number of Respondents: 5,949. existing interest assistance agreements. 877–8339. Frequency of Responses: Reporting: Existing agreements will be honored, SUPPLEMENTARY INFORMATION: Members On occasion. claims will be paid as agreed, and all of the FESAC are appointed by the Total Burden Hours: 70,324. eligible servicing options can be Secretary of Commerce. The Committee pursued. For further information on provides scientific and technical Ruth Brown, specific applications and loans, current Departmental Information Collection expertise, as appropriate, to the guaranteed loan borrowers should Directors of the BEA, the Census Clearance Officer. contact their FSA State or county office; [FR Doc. 2011–30051 Filed 11–21–11; 8:45 am] Bureau, and the Commissioner of the potential guaranteed loan applicants Department of Labor’s BLS, on BILLING CODE 3410–34–P should contact their lender. FSA office statistical methodology and other locations can be found at http:// technical matters related to the www.fsa.usda.gov. A notice will be DEPARTMENT OF AGRICULTURE collection, tabulation, and analysis of published in the Federal Register federal economic statistics. The announcing the date FSA will resume Farm Service Agency Committee has been established in accepting applications for the Interest accordance with the Federal Advisory Funding for the Guaranteed Loan Assistance Program if funding becomes Committee Act (Title 5, United States Interest Assistance Program; Farm available. Code, Appendix 2, and Section10). Loan Programs Signed on November 17, 2011. The meeting is open to the public, Bruce Nelson, and a brief period is set aside for public AGENCY: Farm Service Agency, USDA. Administrator, Farm Service Agency. comments and questions. Persons with ACTION: Notice. [FR Doc. 2011–30107 Filed 11–21–11; 8:45 am] extensive questions or statements must submit them in writing at least three SUMMARY: BILLING CODE 3410–05–P This notice announces that days before the meeting to the the Farm Service Agency (FSA) is no Designated Federal Official named longer accepting applications for DEPARTMENT OF COMMERCE above. If you plan to attend the meeting, guaranteed loans with interest please register by Monday, December 5, assistance because of a lack of program Bureau of the Census 2011. You may access the online funding. registration form with the following DATES: Effective Date: November 22, Federal Economic Statistics Advisory link: http://www.regonline.com/fesac_ 2011. Committee Meeting dec2011_meeting. Seating is available to the public on a first-come, first-served FOR FURTHER INFORMATION CONTACT: AGENCY: Bureau of the Census, basis. Randi Sheffer, (202) 720–3889. Persons Department of Commerce. with disabilities who require alternative This meeting is physically accessible ACTION: Notice of Public Meeting. means for communication (Braille, large to people with disabilities. Requests for sign language interpretation or other print, audio tape, etc.) should contact SUMMARY: The Bureau of the Census the USDA Target Center at (202) 720– (U.S. Census Bureau) is giving notice of auxiliary aids should also be directed to 2600 (voice and TDD). a meeting of the Federal Economic the Designated Federal Official as soon as known, and preferably two weeks SUPPLEMENTARY INFORMATION: The Statistics Advisory Committee (FESAC). prior to the meeting. Consolidated Farm and Rural The Committee will advise the Directors Development Act of 1972 (Pub. L. 92– of the Economics and Statistics Dated: November 15, 2011. 419, CONACT), as amended, authorizes Administration’s (ESA) two statistical Robert M. Groves, FSA’s Guaranteed Loan Program. The agencies, the Bureau of Economic Director, Bureau of the Census. program provides lenders with a Analysis (BEA) and the Census Bureau, [FR Doc. 2011–30129 Filed 11–21–11; 8:45 am] guarantee of up to 95 percent of and the Commissioner of the BILLING CODE 3510–07–P principal and interest on the loan. The Department of Labor’s Bureau of Labor FSA guarantee permits lenders to make Statistics (BLS) on statistical agricultural credit available to farmers methodology and other technical DEPARTMENT OF COMMERCE who would be unable to obtain matters related to the collection, sufficient credit to fund their farming tabulation, and analysis of federal Bureau of Industry and Security economic statistics. Last minute changes operations without the guarantee. Regulations and Procedures Technical Pursuant to section 351 of the CONACT to the agenda are possible, which could prevent giving advance public notice of Advisory Committee; Notice of Open (7 U.S.C. 1999) FSA also subsidizes 4 Meeting percent of the interest rate on schedule adjustments. guaranteed loans to qualifying DATE: December 9, 2011. The meeting The Regulations and Procedures borrowers under its Interest Assistance will begin at approximately 9 a.m. and Technical Advisory Committee (RPTAC) Program. Interest assistance is subject to adjourn at approximately 5 p.m. will meet December 7, 2011, 9 a.m., additional eligibility criteria beyond ADDRESSES: The meeting will be held at Room 3884, in the Herbert C. Hoover that required for the initial guarantee. the Bureau of Economic Analysis, 1441 Building, 14th Street between

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Constitution and Pennsylvania Avenues that the laminated woven sacks subject Laminated woven sacks are bags or NW., Washington, DC. The Committee to this inquiry are not circumventing the sacks consisting of one or more plies of advises the Office of the Assistant antidumping and countervailing duty fabric consisting of woven Secretary for Export Administration on orders on laminated woven sacks from polypropylene strip and/or woven implementation of the Export the People’s Republic of China (‘‘PRC’’), polyethylene strip, regardless of the Administration Regulations (EAR) and as provided in section 781(d) of the width of the strip; with or without an provides for continuing review to Tariff Act of 1930, as amended (‘‘the extrusion coating of polypropylene and/ update the EAR as needed. Act’’).1 or polyethylene on one or both sides of the fabric; laminated by any method Agenda DATES: Effective Date: November 22, 2011. either to an exterior ply of plastic film Public Session such as biaxially-oriented FOR FURTHER INFORMATION CONTACT: polypropylene (‘‘BOPP’’) or to an 1. Opening remarks by the Chairman. Jamie Blair-Walker, Office 9, Import 2. Opening remarks by Bureau of exterior ply of paper that is suitable for Administration, International Trade high quality print graphics; 6 printed Industry and Security. Administration, U.S. Department of 3. Export Enforcement update. with three colors or more in register; 4. Regulations update. Commerce, 14th Street and Constitution with or without lining; whether or not 5. Working group reports. Avenue NW., Washington, DC, 20230; closed on one end; whether or not in 6. Automated Export System (AES) telephone (202) 482–2615. roll form (including sheets, lay-flat update. SUPPLEMENTARY INFORMATION: tubing, and sleeves); with or without 7. Presentation of papers or comments handles; with or without special closing by the Public. Background features; not exceeding one kilogram in The open session will be accessible On January 26, 2011, pursuant to weight. Laminated woven sacks are via teleconference to 20 participants on sections 781(c) and (d) of the Act, and typically used for retail packaging of a first come, first serve basis. To join the 19 CFR 351.225(i) and (j), Petitioners 2 consumer goods such as pet foods and conference, submit inquiries to Ms. submitted requests for the Department bird seed. Yvette Springer at to initiate and conduct both a minor Effective July 1, 2007, laminated [email protected] no later alterations inquiry and a later- woven sacks are classifiable under than November 30, 2011. developed merchandise anti- Harmonized Tariff Schedule of the A limited number of seats will be circumvention inquiry to determine United States (‘‘HTSUS’’) subheadings available for the public session. whether laminated woven sacks printed 6305.33.0050 and 6305.33.0080. Reservations are not accepted. To the with two colors in register and with the Laminated woven sacks were previously extent that time permits, members of the use of a screening process are classifiable under HTSUS subheading public may present oral statements to circumventing the Orders.3 On March 6305.33.0020. If entered with plastic the Committee. The public may submit 25, 2011, Petitioners withdrew their coating on both sides of the fabric written statements at any time before or request for the Department to initiate a consisting of woven polypropylene strip after the meeting. However, to facilitate minor alterations anti-circumvention and/or woven polyethylene strip, the distribution of public presentation inquiry pursuant to 781(c) of the Act laminated woven sacks may be materials to the Committee members, and 19 CFR 351.225(i).4 On April 28, classifiable under HTSUS subheadings the Committee suggests that presenters 2011, the Department initiated a later- 3923.21.0080, 3923.21.0095, and forward the public presentation developed merchandise anti- 3923.29.0000. If entered not closed on materials prior to the meeting to Ms. circumvention inquiry.5 one end or in roll form (including Springer via email. On May 3, July 18, and September 2, sheets, lay-flat tubing, and sleeves), For more information, call Yvette 2011, the Department issued various laminated woven sacks may be Springer at (202) 482–2813. questionnaires to interested parties. On classifiable under other HTSUS Dated: November 16, 2011 July 15, 2011, the Department held a subheadings including 3917.39.0050, Yvette Springer, meeting with Petitioners to discuss the 3921.90.1100, 3921.90.1500, and Committee Liaison Officer. anti-circumvention inquiry. 5903.90.2500. If the polypropylene strips and/or polyethylene strips making [FR Doc. 2011–30052 Filed 11–21–11; 8:45 am] Scope of the Orders up the fabric measure more than 5 BILLING CODE 3510–JT–P The merchandise covered by the millimeters in width, laminated woven orders is laminated woven sacks. sacks may be classifiable under other DEPARTMENT OF COMMERCE HTSUS subheadings including 1 See Notice of Antidumping Duty Order: 4601.99.0500, 4601.99.9000, and International Trade Administration Laminated Woven Sacks From the People’s 4602.90.0000. Although HTSUS Republic of China, 73 FR 45941 (August 7, 2008); subheadings are provided for [A–570–916;C–570–917] see also Laminated Woven Sacks From the People’s Republic of China: Countervailing Duty Order, 73 convenience and customs purposes, the Laminated Woven Sacks From the FR 45955 (August 7, 2008), (collectively, ‘‘Orders’’). written description of the scope of this People’s Republic of China: Negative 2 The Laminated Woven Sacks Committee and its order is dispositive. individual members, Coating Excellence Preliminary Determination of International, LLC and Polytex Fibers Corporation, Scope of the Anti-Circumvention Circumvention of the Antidumping and (collectively, ‘‘Petitioners’’). Inquiry Countervailing Duty Orders 3 See Petitioners’ Requests for Circumvention Inquiries dated January 21, 2011 and February 4, The merchandise subject to the anti- AGENCY: Import Administration, 2011. circumvention inquiry is laminated International Trade Administration, 4 See Petitioners’ Partial Withdrawal of Request Department of Commerce. For Determination of Circumvention (Printed Ink 6 ‘‘Paper suitable for high quality print graphics,’’ Colors) dated March 25, 2011. as used herein, means paper having an ISO Preliminary Determination 5 See Laminated Woven Sacks From the People’s brightness of 82 or higher and a Sheffield Republic of China: Initiation of Anti-Circumvention Smoothness of 250 or less. Coated free sheet is an The Department of Commerce (‘‘the Inquiry, 76 FR 23791 (April 28, 2011) (‘‘Initiation example of a paper suitable for high quality print Department’’) preliminarily determines Notice’’). graphics.

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woven sacks produced with two ink circumvention of an antidumping or by the order by evaluating whether the colors printed in register and a countervailing duty order when general physical characteristics of the screening process (‘‘screening-process merchandise is developed after an merchandise under consideration are sacks’’). Petitioners allege that Chinese investigation is initiated (‘‘later- the same as subject merchandise producers of screening-process sacks developed merchandise’’). In covered by the order,12 whether the have adapted the screening process to conducting later-developed expectations of the ultimate purchasers create graphics that appear to have three merchandise anti-circumvention of the merchandise under consideration or more distinct colors visible, although inquiries, under section 781(d)(1) of the are no different than the expectations of they are produced using only two inks Act, the Department first determines the ultimate purchasers of subject and a screen. Petitioners contend that whether the merchandise under merchandise,13 whether the ultimate such graphics would normally be consideration is ‘‘later-developed.’’ 8 To use of the subject merchandise and the printed using three inks printed in do so, the Department examines merchandise under consideration are register at three different print stations, whether the merchandise at issue was the same,14 whether the channels of which would then make them subject commercially available at the time of trade of both products are the same,15 merchandise. However, by adapting the the initiation of the LTFV and whether there are any differences in screening process, Petitioners state that investigation.9 We define commercial the advertisement and display of both Chinese producers of screening-process availability as ‘‘present in the products.16 The Department, after taking sacks are able to produce similar commercial market or fully developed, into account any advice provided by the graphics while only using two inks, thus i.e., tested and ready for commercial United States International Trade making merchandise that is out of scope production, but not yet in the Commission (‘‘ITC’’), under section and not subject to antidumping and commercial market.’’ 10 In other words, 781(e) of the Act, may include such countervailing duties. the Department normally considers: (1) imported merchandise within the scope The screening process at issue, as Whether it was possible, at all, to of an order at any time an order is in described by interested parties, only manufacture the product in question; effect. uses two ink colors printed in register and (2) if the technology existed, Commercial Availability Analysis at two different print stations. However, whether the product was available in the artwork, by use of a screen, allows the market.11 In determining the commercial for different shades of a single color to If the Department determines that availability of the screening-process appear on the bag. Thus, when printed, such merchandise was not sacks at issue in this inquiry, the Department first examined whether it the screening-process sacks appear to commercially available at the time of was possible to produce the have been printed with more than two the initiation of the LTFV investigation, merchandise. The Department then colored inks because more than two and is thus later-developed, the examined if there was evidence of the distinct colors are visible on the Department will consider whether the screening-process sacks being finished product. As an example of the later-developed merchandise is covered commercially available in the market screening-process sacks, the Department prior to the initiation of the LTFV placed on the record of both 8 See Later-Developed Merchandise Anticircumvention Inquiry of the Antidumping investigation. proceedings five laminated woven sacks As noted by the ITC, the developing imported by Shapiro: Two individual Duty Order on Petroleum Wax Candles from the People’s Republic of China: Affirmative Final nature of the industry at the time of the Manna Pro Horse Feed sacks, two Determination of Circumvention of the LTFV investigation could have had individual Red Head Deer Corn sacks, Antidumping Duty Order, 71 FR 59075 (October 6, tempered the demand for screening- and one Manna Pro Calf-Manna sack.7 2006) (‘‘Candles Anticircumvention Final’’) and accompanying Issues and Decision Memorandum at process sacks.17 Therefore, the Negative Preliminary Determination of Comment 4; see also Erasable Programmable Read Department examined whether the Circumvention Only Memories from Japan; Final Scope Ruling, 57 technology needed to produce FR 11599 (April 6, 1992) (‘‘EPROMs from Japan’’); screening-process sacks existed prior to For the reasons described below, we Electrolytic Manganese Dioxide from Japan; Final the LTFV investigation as part of these preliminarily determine that the Scope Ruling, 57 FR 395 (January 6, 1992)(‘‘EMD from Japan’’); Portable Electronic Typewriters from preliminary results. Based on the record screening-process sacks are not later- Japan, 55 FR 47358 (November 13, 1990). evidence, the Department finds that the developed merchandise because they 9 See Candles Anticircumvention Final, 71 FR at technology for producing screening- were commercially available at the time 59077 and Comment 4, affirmed by Target Corp. v. process sacks was available prior to the of the initiation of the less-than-fair- United States, 626 F. Supp. 2d 1285 (CIT 2009), and Target Corp. v. United States, 609 F.3d 1352, 1358– LTFV investigation. From 2005–2007, value (‘‘LTFV’’) investigation on 1360 (Fed. Cir. 2010) (‘‘Target Corp. III’’) (holding all interested parties providing laminated woven sacks from the PRC. that Commerce’s interpretation of later-developed information and comments for this Therefore, we also preliminarily as turning on whether the merchandise was record purchased the technology to use determine that the screening-process commercially available at the time of the investigation is reasonable). a screening process in production of sacks are not circumventing the Orders 10 See Target Corp. III, 609 F.3d at 1358; see also laminated woven sacks, although the within the meaning of section 781(d) of Candles Anti-circumvention Final at Comment 4. number of inks that were printed on the the Act. 11 See Anticircumvention Inquiry of the laminated woven sacks varied for Antidumping Duty Order on Petroleum Wax Applicable Statute Candles from the People’s Republic of China: different products (i.e., included the use Section 781(d)(1) of the Act provides Affirmative Preliminary Determination of of only two inks as well as the use of that the Department may find Circumvention of the Antidumping Duty Order, 71 FR 32033, 32038 (June 2, 2006), unchanged in 12 See section 781(d)(1)(A) of the Act. Candles Anticircumvention Final; see also EPROMs 13 See section 781(d)(1)(B) of the Act. 7 See Memo to the File from Jamie Blair-Walker from Japan, 57 FR at 11602–3 (examining whether 14 regarding Anti-circumvention Inquiry of Laminated the technology to develop the new product existed See section 781(d)(1)(C) of the Act. Woven Sacks from the People’s Republic of China at the time of the original investigation); Television 15 See section 781(d)(1)(D) of the Act. on the subject of Meeting with Counsel for the Receiving Sets, Monochrome and Color, from Japan: 16 See section 781(d)(1)(E) of the Act. Laminated Woven Sacks Committee and its Final Scope Ruling, 56 FR 66841 (December 26, 17 See Laminated Woven Sacks from China, individual members, Coating Excellence 1991) (noting that LCD TV technology did not exist Investigation Nos. 701–TA–450 and 731–TA–1122 International, LLC and Polytex Fibers Corporation, at the time the original product descriptions were (Preliminary), ITC Publication 3942 (August 2007) dated July 15, 2011. developed). (‘‘ITC Preliminary Determination’’) at 31.

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three or more).18 Furthermore, all LTFV investigation.25 Finally, as initiation of the LTFV investigation and parties agree that the screening demonstrated by an affidavit supplied are therefore not later-developed technology used on laminated woven by Commercial Packaging, the screening merchandise. Furthermore, because the sacks was not new at the time of the process has been used to produce Department has preliminarily initiation of the LTFV investigation.19 graphics on laminated woven sacks determined that the screening-process prior to the LTFV investigation.26 With regard to whether the screening- sacks are not later-developed Therefore, the above information on the process sacks were available in the merchandise, the Department does not record demonstrates that sacks market at the time of the LTFV need to consider the criteria in section produced with a screening process and 781(d) of the Act to determine if the investigation, in response to the two inks were commercially available screening-process sacks are subject initiation of this anti-circumvention prior to the LTFV investigation. merchandise.30 Therefore, we inquiry, Shapiro submitted evidence of Finally, parties provided affidavits on preliminarily determine that, because at least one sale destined for the United the record stating that using only two the sacks are not later-developed States of the screening-process sacks. inks and a screening process reduces the merchandise, they do not circumvent Specifically, Shapiro provided an cost of production.27 Although the Orders. invoice, packing list, bill-of-lading, Petitioners contend that, despite the use purchase order, and approved screen of only two print stands and fewer inks, Public Comment artwork associated with the 2005 sale of the development of the artwork and the Interested parties may submit case the Manna Pro Horse Feed Sack.20 The time needed to readjust the machinery briefs and/or written comments no later purchase order references the use of could possibly increase the production than 30 days after the date of reverse printing with two inks: Red PMS costs of screening-process sacks versus publication of these preliminary results 186 and Blue PMS 072.21 The subject merchandise, the Department of review.31 Rebuttal briefs and rebuttals corresponding artwork, signed and finds that if the customer seeks a to written comments, limited to issues approved for production on February simpler graphic, the use of only two raised in such briefs or comments may 15, 2005, in conjunction with the inks and a screening process is a viable be filed no later than five days after the related paperwork discussed above option to produce a less complex and deadline for filing case briefs.32 Parties demonstrates the use of a screen in possibly more affordable image.28 who submit case briefs or rebuttal briefs production.22 Shapiro’s supplier’s use As demonstrated above, the screening in this proceeding are requested to of the screening process in combination technology existed prior to the LTFV submit with each argument: (1) A with two inks in production of investigation and had been applied to statement of the issue; (2) a brief laminated woven sacks beginning in laminated woven sacks since 2005 summary of the argument; and (3) a 2005 was also confirmed in an affidavit (including with the use of only two table of authorities.33 Case briefs and from the Assistant Vice-President of inks). Thus, the Department finds that it rebuttal briefs must be submitted on Purchasing at Manna Pro, the customer was possible to produce screening- both proceedings. that coordinates the design of, and buys, process sacks prior to the LTFV Interested parties, who wish to the Manna Pro Horse Feed Sack from investigation and concludes that the request a hearing, or to participate if one Shapiro.23 Shapiro also stated that it screening-process sacks were is requested, must submit a written sold 147,842.50 lbs. of the Manna Pro commercially available, i.e., tested and request to the Assistant Secretary for Horse Feed Sack prior to the date of ready for commercial production prior Import Administration within 30 days initiation of the LTFV investigation.24 to the LTFV investigation. after the date of publication of this Although Shapiro states that it Summary of Analysis notice, pursuant to 19 CFR 351.310. Requests should contain the party’s permanently changed the design of the After analyzing the above factors, the art work to accommodate the use of only name, address, and telephone number, Department has made a preliminary the number of participants, and a list of two inks and a screening process with determination that the screening- respect to the specific sacks on this the issues to be discussed. At the process sacks are not later-developed hearing, each party may make an record after the publication of the merchandise.29 The agreement of all preliminary determination in the LTFV affirmative presentation only on issues parties that the technology was available raised in that party’s case brief and may investigation, Shapiro demonstrated prior to the initiation of the LTFV that it used two inks and a screening make rebuttal presentations only on investigation coupled with the fact that arguments included in that party’s process for some of the designs at least Shapiro demonstrated the sale of occasionally prior to the initiation of the rebuttal brief. If a hearing is requested, screening-process sacks to the United we will notify those parties that States has led to the Department’s requested a hearing of a hearing date 18 See Commercial Packaging’s Supplemental preliminary determination that the Questionnaire Response dated September 16, 2011 and time. at 2; see also Response of the Laminated Woven screening-process sacks were Sacks Committee to the Department’s Questionnaire commercially available prior to the Final Determination of September 2, 2011 dated September 16, 2011 at The final determination with respect 4; see also Shapiro’s Supplemental Questionnaire 25 See Shapiro’s Supplemental Questionnaire to this anti-circumvention inquiry will Response dated September 16, 2011 at 2. Response dated July 28, 2011 at 1. be issued no later than February 16, 19 See Commercial Packaging’s Supplemental 26 See Commercial Packaging’s Comments on Questionnaire Response dated September 16, 2011 Petitioners’ Submission Dated May 17, 2011 dated 2012, including the results of the at 3; see also Petitioners’ Questionnaire Response June 2, 2011 at 9 and Exhibit 2. dated May 18, 2011 at 12; see also Shapiro’s 27 See Shapiro’s Comments on Initiation dated 30 See Electroytic Manganese Dioxide from Japan; Supplemental Questionnaire Response dated May 19, 2011 at Exhibit 3. Preliminary Scope Ruling, 56 FR 56977 (Nov 7, September 16, 2011 at 2. 28 See Commercial Packaging’s Comments on 1991) (‘‘if a product is developed before an 20 See Shapiro’s Comments on Initiation dated Petitioners’ Submission Dated May 17, 2011 dated antidumping case is initiated, the later-developed May 19, 2011 at Exhibit 1. June 2, 2011 at Exhibit 2. product provision is clearly inapplicable’’) 21 See Id. 29 See Candles Anticircumvention Final, 71 FR at unchanged in final EMD from Japan. 22 See Id. and at Exhibit 2. 59075 at Comment 4; see also EPROMs from Japan; 31 See 19 CFR 351.309(c)(1)(ii). 23 See Id. at Exhibit 3. EMD from Japan; Portable Electronic Typewriters 32 See 19 CFR 351.309(d). 24 See Id. at 2. from Japan, 55 FR 47358 (November 13, 1990). 33 See 19 CFR 351.309(c) and (d).

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Department’s analysis of any written November 7, 2011 (hereinafter, the Scope of Investigations 1 comments. This preliminary negative Supplement to the AD/CVD Petitions, The product covered by these circumvention determination is the Supplement to the AD India investigations is certain steel pipe from published in accordance with section Petition, the Supplement to the AD India, Oman, the UAE, and Vietnam. 781(d) of the Act and 19 CFR 351.225. Oman Petition, the Supplement to the For a full description of the scopes of Dated: November 15, 2011. AD United Arab Emirates Petition, and the investigations, see Appendix I Paul Piquado, the Supplement to the AD Vietnam (Scope of the Oman, the UAE, and Assistant Secretary for Import Petition). On November 4, 2011, the Vietnam Investigations) and Appendix Administration. Department issued a request for II (Scope of the India AD Investigation) [FR Doc. 2011–30164 Filed 11–21–11; 8:45 am] additional information and clarification of this notice. regarding the scope of the petitions, and BILLING CODE 3510–DS–P Petitioners’ response to this request was Comments on Scope of Investigations included in the Supplement to the AD/ During our review of the Petitions, we DEPARTMENT OF COMMERCE CVD Petitions. On November 8, 2011, discussed the scope with Petitioners to Petitioners agreed to modified scope ensure that it is an accurate reflection of International Trade Administration language. See the November 10, 2011 the products for which the domestic memorandum from Steve Bezirganian [A–533–852, A–523–801, A–520–805, A–552– industry is seeking relief. Moreover, as 811] through Richard Weible to the File. discussed in the preamble to the On November 8, 2011, the Department Department’s regulations (Antidumping Circular Welded Carbon-Quality Steel requested additional clarification on Duties; Countervailing Duties; Final Pipe From India, the Sultanate of issues involving industry support. Rule, 62 FR 27296, 27323 (May 19, Oman, the United Arab Emirates, and Petitioners filed a response to this 1997)), we are setting aside a period for the Socialist Republic of Vietnam: request on November 10, 2011 interested parties to raise issues Initiation of Antidumping Duty (hereinafter, the Second Supplement to regarding product coverage. Interested Investigations the AD/CVD Petitions). On November 8, parties that wish to submit comments on the scope should do so by December AGENCY: Import Administration, 2011, the Department requested additional information regarding India 5, 2011, twenty calendar days from the International Trade Administration, signature date of this notice. All Department of Commerce. and Vietnam. Petitioners filed responses to these requests on November 10, 2011 comments must be filed on the records DATES: Effective Date: November 22, (hereinafter, the Second Supplement to of the India, Oman, the UAE, and 2011. the AD India Petition and the Second Vietnam antidumping duty FOR FURTHER INFORMATION CONTACT: Supplement to the AD Vietnam Petition, investigations and the India, Oman, the Steve Bezirganian, Robert James (India, respectively). In accordance with UAE, and Vietnam countervailing duty the United Arab Emirates, and section 732(b) of the Tariff Act of 1930, investigations. All comments and Vietnam), or Angelica Mendoza (Oman), as amended (the Act), Petitioners allege submissions to the Department must be AD/CVD Operations, Office 7, Import that imports of certain steel pipe from filed electronically using Import Administration, International Trade India, Oman, the UAE, and Vietnam are Administration’s Antidumping Administration, U.S. Department of being, or are likely to be, sold in the Countervailing Duty Centralized Commerce, 14th Street and Constitution United States at less than fair value, Electronic Service System (IA Avenue NW., Washington, DC 20230, at within the meaning of section 731 of the ACCESS).2 An electronically filed (202) 482–1131, (202) 482–0649, or Act, and that such imports are document must be received successfully (202) 482–3019, respectively. materially injuring, or threatening in its entirety by the Department’s SUPPLEMENTARY INFORMATION: material injury to, an industry in the electronic records system, IA ACCESS, United States. by the time and date noted above. The Petitions Documents excepted from the electronic The Department finds that Petitioners submission requirements must be filed On October 26, 2011, the Department filed the Petitions on behalf of the manually (i.e., in paper form) with the of Commerce (the Department) received domestic industry because Petitioners Import Administration’s APO/Dockets petitions concerning imports of circular are interested parties as defined in Unit, Room 1870, U.S. Department of welded carbon-quality steel pipe section 771(9)(C) of the Act and have Commerce, 14th Street and Constitution (certain steel pipe) from India, the demonstrated sufficient industry Avenue NW., Washington, DC 20230, Sultanate of Oman (Oman), the United support with respect to the antidumping and stamped with the date and time of Arab Emirates (UAE), and the Socialist duty investigations that Petitioners are receipt by the deadline noted above. Republic of Vietnam (Vietnam) filed in requesting that the Department initiate proper form on behalf of Allied Tube (see ‘‘Determination of Industry Support Comments on Product Characteristics and Conduit, JMC Steel Group, for the Petitions’’ section below). for Antidumping Duty Questionnaires Wheatland Tube Company, and United States Steel Corporation (collectively, Period of Investigation Interested parties may submit Petitioners). See Circular Welded comments regarding the appropriate The period of investigation (POI) for Carbon-Quality Steel Pipe from India, characteristics of certain steel pipe to be India, Oman, and the UAE is October 1, Oman, the UAE, and Vietnam: reported in response to the 2010, through September 30, 2011. The Antidumping and Countervailing Duty POI for Vietnam is April 1, 2011, 2 Petitions, filed on October 26, 2011 See http://www.gpo.gov/fdsys/pkg/FR–2011–07– through September 30, 2011. See 19 06/pdf/2011–16352.pdf for details of the (hereinafter, the Petitions). On CFR 351.204(b)(1). Department’s Electronic Filing Requirements, November 1, 2011, the Department which went into effect on August 5, 2011. issued requests for additional Information on help using IAACCESS can be found 1 Petitioners refiled the Supplement to the AD/ at https://iaaccess.trade.gov/help.aspx and a information and clarification of certain CVD Petitions on November 9, 2011, to include a handbook can be found at https://iaaccess.trade. areas of the Petitions. Petitioners filed statement that the business proprietary document gov/help/Handbook%20on%20Electronic%20 responses to these requests on ‘‘may be released under APO.’’ Filling%20Procedures.pdf.

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Department’s antidumping constitutes a domestic like product in 732(c)(4)(A) of the Act, we considered questionnaires. We base the product order to define the industry. While both the industry support data contained in characteristics used for defining models the Department and the ITC must apply the Petitions with reference to the and model matching on meaningful the same statutory definition regarding domestic like product as defined in the commercial differences among products. the domestic like product (see section ‘‘Scope of Investigations,’’ in Appendix In addition, interested parties may 771(10) of the Act), they do so for I of this notice. To establish industry comment on the order in which the different purposes and pursuant to a support, Petitioners provided their characteristics should be used in model separate and distinct authority. In shipments of the domestic like product matching. Generally, the Department addition, the Department’s in 2010, and compared their shipments attempts to list the characteristics in determination is subject to limitations of to the estimated total shipments of the descending order of importance. On the time and information. Although this domestic like product for the entire day of publication of this notice, the may result in different definitions of the domestic industry. Because total Department will post its proposal on the like product, such differences do not industry production data for the Import Administration Web site at render the decision of either agency domestic like product for 2010 is not http://ia.ita.doc.gov/ia-highlights-and- contrary to law. See USEC, Inc. v. reasonably available and Petitioners news.html. In order to consider the United States, 132 F. Supp. 2d 1, 8 (CIT have established that shipments are a suggestions of interested parties in 2001), citing Algoma Steel Corp., Ltd. v. reasonable proxy for production data, developing and issuing the antidumping United States, 688 F. Supp. 639, 644 we have relied upon the shipment data duty questionnaires, we must receive (CIT 1988), aff’d 865 F.2d 240 (Fed. Cir. provided by Petitioners for purposes of comments by December 9, 2011. All 1989). measuring industry support. For further such comments must be filed on the Section 771(10) of the Act defines the discussion, see India AD Checklist, records of the India, Oman, the UAE, domestic like product as ‘‘a product Oman AD Checklist, UAE AD Checklist, and Vietnam antidumping duty which is like, or in the absence of like, and Vietnam AD Checklist, at investigations. All comments and most similar in characteristics and uses Attachment II. submissions to the Department must be with, the article subject to an Our review of the data provided in the filed electronically using IA ACCESS, as investigation under this title.’’ Thus, the Petitions, supplemental submissions, referenced above. reference point from which the and other information readily available domestic like product analysis begins is to the Department indicates that Determination of Industry Support for ‘‘the article subject to an investigation’’ Petitioners have established industry the Petitions (i.e., the class or kind of merchandise to support. First, the Petitions established Section 732(b)(1) of the Act requires be investigated, which normally will be support from domestic producers that a petition be filed on behalf of the the scope as defined in the petition). accounting for more than 50 percent of domestic industry. Section 732(c)(4)(A) With regard to the domestic like the total shipments 3 of the domestic of the Act provides that a petition meets product, Petitioners do not offer a like product and, as such, the this requirement if the domestic definition of domestic like product Department is not required to take producers or workers who support the distinct from the scope of the further action in order to evaluate petition account for: (i) At least 25 investigations. Based on our analysis of industry support (e.g., polling). See percent of the total production of the the information submitted on the section 732(c)(4)(D) of the Act and India domestic like product; and (ii) more record, we have determined that certain AD Checklist, Oman AD Checklist, UAE than 50 percent of the production of the steel pipe constitutes a single domestic AD Checklist, and Vietnam AD domestic like product produced by that like product and we have analyzed Checklist, at Attachment II. Second, the portion of the industry expressing industry support in terms of that domestic producers have met the support for, or opposition to, the domestic like product. For a discussion statutory criteria for industry support petition. Moreover, section 732(c)(4)(D) of the domestic like product analysis in under section 732(c)(4)(A)(i) of the Act of the Act provides that, if the petition this case, see Antidumping Duty because the domestic producers who does not establish support of domestic Investigation Initiation Checklist: support the Petitions account for at least producers or workers accounting for Circular Welded Carbon-Quality Steel 25 percent of the total shipments of the more than 50 percent of the total Pipe from India (India AD Checklist), domestic like product. See India AD production of the domestic like product, Antidumping Duty Investigation Checklist, Oman AD Checklist, UAE AD the Department shall: (i) Poll the Initiation Checklist: Circular Welded Checklist, and Vietnam AD Checklist, at industry or rely on other information in Carbon-Quality Steel Pipe from Oman Attachment II. Finally, the domestic order to determine if there is support for (Oman AD Checklist), Antidumping producers have met the statutory criteria the petition, as required by Duty Investigation Initiation Checklist: for industry support under section subparagraph (A); or (ii) determine Circular Welded Carbon-Quality Steel 732(c)(4)(A)(ii) of the Act because the industry support using a statistically Pipe from the UAE (UAE AD Checklist), domestic producers who support the valid sampling method to poll the and Antidumping Duty Investigation Petitions account for more than 50 industry. Initiation Checklist: Circular Welded percent of the shipments of the Section 771(4)(A) of the Act defines Carbon-Quality Steel Pipe from Vietnam domestic like product produced by that the ‘‘industry’’ as the producers as a (Vietnam AD Checklist) at Attachment portion of the industry expressing whole of a domestic like product. Thus, II, Analysis of Industry Support for the support for, or opposition to, the to determine whether a petition has the Petitions Covering Circular Welded Petitions. See India AD Checklist, Oman requisite industry support, the statute Carbon-Quality Steel Pipe, on file AD Checklist, UAE AD Checklist, and directs the Department to look to electronically via IA ACCESS. Access to producers and workers who produce the IA ACCESS is available in the Central 3 As mentioned above, Petitioners have domestic like product. The International Records Unit (CRU), Room 7046 of the established that shipments are a reasonable proxy Trade Commission (ITC), which is main Department of Commerce for production data. Section 351.203(e)(1) of the Department’s regulations states ‘‘production levels responsible for determining whether building. may be established by reference to alternative data ‘‘the domestic industry’’ has been In determining whether Petitioners that the Secretary determines to be indicative of injured, must also determine what have standing under section production levels.’’

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Vietnam AD Checklist, each at upon which the Department based its stated sales and delivery terms, Attachment II. Accordingly, the decision to initiate these investigations Petitioners made deductions for Department determines that the on imports of certain steel pipe from movement expenses estimated from U.S. Petitions were filed on behalf of the India, Oman, the UAE, and Vietnam. customs data for comparable domestic industry within the meaning The sources of data for the deductions merchandise, and a deduction for of section 732(b)(1) of the Act. See India and adjustments relating to U.S. price distributor mark-up. For the U.S. prices AD Checklist, Oman AD Checklist, UAE and normal value (including the factors based on AUVs, the values were already AD Checklist, and Vietnam AD of production (FOPs) for Vietnam) are reported at a free-along-side ship foreign Checklist, each at Attachment II. discussed in the country-specific port price, so no additional adjustment The Department finds that Petitioners initiation checklists. See India AD for international movement expenses filed the Petitions on behalf of the Checklist, Oman AD Checklist, the UAE was necessary. Petitioners did not claim domestic industry because they are AD Checklist, and the Vietnam AD any adjustment for foreign inland freight interested parties as defined in section Checklist, at their respective ‘‘Less Than expenses. See Volume II of the Petitions 771(9)(C) of the Act and they have Fair Value Allegation’’ sections. at II–2 and Exhibits II–B–1, II–I–3, and demonstrated sufficient industry Export Price II–1–4; Supplement to the AD India support with respect to the antidumping Petition at 3 and Attachment 2; and duty investigations they are requesting Vietnam Second Supplement to the AD India the Department initiate. See India AD For Vietnam, Petitioners calculated Petition, at 2–3 and Attachment 1. See Checklist, Oman AD Checklist, UAE AD U.S. price based on one offer for sale of also India AD Checklist for additional Checklist, and Vietnam AD Checklist, certain steel pipe produced in Vietnam details. each at Attachment II. and on two average unit values (AUVs) Oman Allegations and Evidence of Material of products imported from Vietnam that Injury and Causation are representative of subject For Oman, Petitioners calculated U.S. 4 Petitioners allege that the U.S. merchandise. For the U.S. price based price based on two offers for sale of industry producing the domestic like on an offer for sale, consistent with the certain steel pipe produced in Oman product is being materially injured, or is stated sales and delivery terms, and on two AUVs of products imported threatened with material injury, by Petitioners made deductions for from Oman. For the U.S. prices based on reason of the imports of the subject movement expenses estimated from U.S. offers for sale, consistent with the stated merchandise sold at less than normal customs data for comparable sales and delivery terms, Petitioners value (NV). In addition, Petitioners merchandise, and a deduction for made deductions for movement allege that subject imports exceed the distributor mark-up. For the U.S. prices expenses estimated from U.S. customs negligibility threshold provided for based on AUVs, the values were already data for comparable merchandise, and a under section 771(24)(A) of the Act. on a free-along-side ship foreign port deduction for distributor mark-up. For Petitioners contend that the industry’s price, so no additional adjustment for the U.S. prices based on AUVs, the injured condition is illustrated by international movement expenses was values were already on a free-along-side reduced market share; reduced necessary. Petitioners did not claim any ship foreign port price, so no additional production, shipments, capacity, and adjustment for foreign inland freight adjustment for international movement capacity utilization; reduced expenses. See Volume II of the Petitions expenses was necessary. Petitioners did at I–15, Exhibit II–B–1, Exhibit II–V–2, employment, hours worked, and wages not claim any adjustment for foreign Exhibit II–V–3, and Supplement to the paid; underselling and price depression inland freight expenses. See Volume II AD Vietnam Petition at 4. See also or suppression; decline in financial of the Petitions at II–4 through II–5 and Vietnam AD Checklist for additional performance; lost sales and revenue; Exhibits II–B–1, II–O–3–A and II–O–3– details. and increase in the volume of imports B and Supplement to the AD Oman and import penetration despite overall India Petition at 3–7 and Attachments 3 and declining demand. See India AD 4. See also AD Oman Checklist for For India, Petitioners based U.S. price additional details. Checklist, Oman AD Checklist, UAE AD on one offer for sale of certain steel pipe Checklist, and Vietnam AD Checklist, at produced by Zenith Birla India Limited, The UAE Attachment III, Analysis of Allegations which they also refer to as Zenith Steel For the UAE, the Petitioners based and Evidence of Material Injury and Pipes and Industries Ltd., a company U.S. price on two AUVs of products Causation for the Petitions Covering excluded from the current antidumping imported from the UAE. For one of the Circular Welded Carbon-Quality Steel duty order on welded steel pipe and AUVs, we corrected the calculation for Pipe from India, Oman, the UAE, and tube from India (see the Respondent an error in the data provided by Vietnam. We have assessed the Selection section of the notice, below), Petitioners. See UAE AD Checklist at allegations and supporting evidence and on one AUV of products imported ‘‘Less Than Fair Value Allegation’’ regarding material injury, threat of from India. For the U.S. price based on section. For the U.S. prices based on material injury, and causation, and we an offer for sale, consistent with the have determined that these allegations AUVs, the values were already on a free- are properly supported by adequate 4 The AUVs are the average U.S. Customs value along-side ship foreign port price, so no evidence and meet the statutory for imports from the country under a specific additional adjustment for international requirements for initiation. See India Harmonized Tariff Schedule of the United States movement expenses was necessary. (HTSUS) number, based on public U.S. Bureau of Petitioners did not claim any AD Checklist, Oman AD Checklist, UAE the Census data for the anticipated POI. For AD Checklist, and Vietnam AD Vietnam, they are comparable to the normal value adjustment for foreign inland freight Checklist, at Attachment III. based on constructed value, and for India, Oman, expenses. See Volume II of the Petitions and the United Arab Emirates, they are comparable at II–7 to II–8 and Exhibits II–U–3 and Allegations of Sales at Less Than Fair to the home market price information provided for II–U–4, Supplement to the AD UAE Value the normal value calculated for those countries. See the India AD Checklist, the Oman AD Checklist, the Petition at 3–4 and Attachments 1 and The following is a description of the UAE AD Checklist, and the Vietnam AD Checklist 2. See also UAE AD Checklist for allegations of sales at less than fair value for more details. additional details.

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Normal Value employing similar methods of rectangular pipe and tube from the converting raw steel into finished steel People’s Republic of China. See Volume Vietnam pipe. See Supplement to the AD II of the Petitions at II–13 (citing Light- Petitioners state that the Department Vietnam Petition, at 6. Walled Rectangular Pipe and Tube has long treated the Vietnam as a non- Petitioners valued steel coils, zinc, From the People’s Republic of China: market economy (‘‘NME’’) country. See and the by-product offset based on Preliminary Results of the 2008–2009 Volume II of the Petitions at II–8. reasonably available, public surrogate Antidumping Duty Administrative In accordance with section country data, specifically, Indian import Review, 75 FR 27308 (May 14, 2010)). 771(18)(C)(i) of the Act, the statistics from the Global Trade Atlas Petitioners determined natural gas presumption of NME status remains in (GTA). See Volume II of the Petitions at costs using the natural gas consumption effect until revoked by the Department. II–11 through II–13 and Exhibit II–V–4– rates derived from one U.S. producer’s The presumption of NME status for B–1 through Exhibit II–V–B–3, experience. See Volume II of the Vietnam has not been revoked by the Supplement to the AD Vietnam Petition Petitions at II–14. Petitioners valued Department and, therefore, remains in at 8, and Second Supplement to the AD natural gas using the 2009/2010 annual effect for purposes of the initiation of Vietnam Petition at Attachment 2. report of GAIL. See Supplement to the this investigation. Accordingly, the NV Petitioners excluded from these import AD Vietnam Petition at 8. of the product is appropriately based on statistics values from countries FOPs valued in a surrogate market- previously determined by the Valuation of Factory Overhead, Selling, economy country in accordance with Department to be NME countries. General and Administrative Expenses, section 773(c) of the Act. In the course Petitioners also excluded imports from and Profit of this investigation, all parties, Indonesia, the Republic of Korea and Petitioners calculated surrogate including the public, will have the Thailand, as the Department has financial ratios (overhead, SG&A, and opportunity to provide relevant previously excluded prices from these profit) from the annual financial information related to the issues of countries because they maintain broadly statement of one Indian producer of Vietnam’s NME status and the granting available, non-industry-specific export welded pipe: the 2010–2011 Annual of separate rates to individual exporters. subsidies. Finally, imports that were Report of Surya Roshni Limited (Surya). Petitioners claim that India is an labeled as originating from an See Volume I of the Petitions at II–14 appropriate surrogate country because it ‘‘unspecified’’ country were excluded and II–15 and Exhibit II–V–4–F. is a market economy that is at a from the average value, because the Petitioners state that the majority of comparable level of economic Department could not be certain that Surya’s sales revenue is derived from development to Vietnam. Petitioners they were not from either an NME the sale of welded pipe. Furthermore, also believe that India is a significant country or a country with generally they state that like the petitioner whose producer of merchandise under available export subsidies. See FOP data was used, Surya buys the consideration. See Volume II of the Supplement to the AD Vietnam Petition major input, steel coils, rather than Petitions at II–8 through II–10. Based on at 8. producing the steel. See Volume I of the the information provided by Petitioners, Valuation of Direct and Indirect Labor Petition at II–15. We find that we believe that it is appropriate to use Petitioners’ use of Surya as the source India as a surrogate country for Petitioners determined labor costs for the surrogate financial expenses to initiation purposes. If the Department using the labor consumption rates be acceptable for purposes of initiation. initiates this investigation, interested derived from one U.S. producer. See parties will have the opportunity to Volume II of the Petitions at II–14. Exchange Rates submit comments regarding surrogate Petitioners valued labor using the wage Petitioners made Indian rupee/U.S. country selection and, pursuant to 19 rate used in Certain Frozen Warmwater dollar (USD) conversions based on CFR 351.301(c)(3)(i), will be provided Shrimp from the Socialist Republic of average exchange rates for the POI, an opportunity to submit publicly Vietnam, 76 FR 20627 (April 13, 2011). based on Federal Reserve exchange available information to value FOPs The Department recalculated wages to rates. See Volume II of the Petitions at within 40 days from the date of comport with the methodology II–V–4 and Exhibit II–V–4. publication of the preliminary announced on June 21, 2011. See determination. Antidumping Methodologies in India, Oman, and the UAE Proceedings Involving Non-Market For India, Oman, and the UAE, the Valuation of Raw Materials and By- Economies: Valuing the Factor of Petitioners calculated NV for certain Product Production: Labor, 76 FR 36092 (June steel pipe using information they were Petitioners calculated normal value 21, 2011). The recalculation also uses able to obtain about home market prices. based on consumption rates values for steel workers rather than For India, Petitioners based normal experienced by one U.S. producer. shrimp farmers. See Vietnam AD value on a price quote for a single Petitioners assert that the experience of Checklist at Attachment V. product. Because the price quote was on that U.S. producer is applicable to that an ex-factory basis, no adjustments were of Vietnamese producers because that Valuation of Energy needed. See Volume II of the Petitions U.S. producer, like the vast majority of Petitioners determined electricity at Exhibits II–A–1, II–A–2 and II–I–1, producers in Vietnam, is a non- costs using the electricity consumption and Second Supplement to the AD India integrated producer which does not rates, in kilowatt hours, derived from Petition at 2–3 and Attachment 1; see manufacture the steel coils from which one U.S. producer’s experience. See also India AD Checklist at the ‘‘Less the subject steel pipe is produced, but Volume II of the Petitions at II–10 Than Fair Value Allegation’’ section. instead buys the steel and converts it through II–11 and II–14. Petitioners For Oman, Petitioners provided ex- into subject pipe. As a result, Petitioners valued electricity using the Indian factory price quotes for two products. state, standard pipe is essentially a electricity rate reported by the Central Prices included packing, but petitioners commodity product, produced to Electric Authority of the Government of noted no adjustment for packing was published specifications by many non- India, the source used in a recent needed because the U.S. prices also integrated standard pipe producers, all administrative review of light walled include packing and because there is no

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significant difference in packing determine whether imports of certain named entities, and during the between markets. See Volume II of the steel pipe from India, Oman, the UAE, investigation will examine whether Petitions at Exhibits II–A–1, II–A–2, and and Vietnam are being, or are likely to Zenith Birla India Limited is properly II–O–1 and Supplement to the AD be, sold in the United States at less than considered the successor-in-interest to Oman Petition at 3; see also Oman AD fair value. In accordance with section Zenith Steel Pipes and Industries Ltd. 733(b)(1)(A) of the Act, unless Checklist at the ‘‘Less Than Fair Value Oman and the UAE Allegation’’ section. postponed, we will make our For the UAE, the Petitioners provided preliminary determinations no later Petitioners identified two exporters/ price quotes for two products. Because than 140 days after the date of these producers in Oman and five exporters/ the price quotes were on an ex-factory initiations. producers in the UAE. See Volume I of basis, no adjustments were needed. See the Petitions, at Exhibit I–4. We are Targeted Dumping Allegations Volume II of the Petitions at II–6 and unaware of any other exporters/ Exhibits II–A–1, II–A–2, and II–U–1; see On December 10, 2008, the producers. Following standard practice also UAE AD Checklist at the ‘‘Less Department issued an interim final rule in antidumping investigations involving Than Fair Value Allegation’’ section. for the purpose of withdrawing 19 CFR market economy countries, the 351.414(f) and (g), the regulatory Department intends to select Fair Value Comparisons provisions governing the targeted respondents for Oman and the UAE Based on the data provided by dumping analysis in antidumping duty based on U.S. Customs and Border Petitioners, there is reason to believe investigations, and the corresponding Protection (CBP) data for U.S. imports that imports of certain steel pipe from regulation governing the deadline for under the following Harmonized Tariff India, Oman, the UAE, and Vietnam are targeted dumping allegations, 19 CFR Schedule of the United States (HTSUS) being, or are likely to be, sold in the 351.301(d)(5). See Withdrawal of the numbers: 7306.30.10.00, 7306.30.50.25, United States at less than fair value. Regulatory Provisions Governing 7306.30.50.32, 7306.30.50.40, Based on a comparison of U.S. prices Targeted Dumping in Antidumping 7306.30.50.55, 7306.30.50.85, and and NV calculated in accordance with Duty Investigations, 73 FR 74930 7306.30.50.90. These HTSUS numbers section 773(c) of the Act, the estimated (December 10, 2008). The Department closely match the subject merchandise, dumping margins for certain steel pipe stated that ‘‘{w}ithdrawal will allow the and are those used by Petitioners to from Vietnam range from 20.47 percent Department to exercise the discretion calculate aggregate import totals.6 We to 27.96 percent. See Vietnam AD intended by the statute and, thereby, intend to release the CBP data under Checklist at ‘‘Estimated Margins’’ develop a practice that will allow Administrative Protective Order (APO) section; see also Supplement to the AD interested parties to pursue all statutory to all parties with access to information Vietnam Petition at Attachment 5–A. avenues of relief in this area.’’ See id. at protected by APO within five days of Based on a comparison of U.S. prices 74931. publication of this Federal Register and NV calculated in accordance with In order to accomplish this objective, notice and make our decision regarding section 773(a)(4) of the Act, the if any interested party wishes to make respondent selection within 20 days of estimated dumping margins for certain a targeted dumping allegation in any of publication of this notice. The steel pipe from India range from 22.88 these investigations pursuant to section Department invites comments regarding percent to 48.43 percent. See India AD 777A(d)(1)(B) of the Act, such the CBP data and respondent selection Checklist at ‘‘Estimated Margins’’ allegations are due no later than 45 days within seven days of publication of this section; see also Supplement to the AD before the scheduled date of the Federal Register notice. India Petition at Attachment 3. country-specific preliminary Based on a comparison of U.S. prices determination. Vietnam and NV calculated in accordance with For the Vietnam investigation, the Respondent Selection section 773(a)(4) of the Act, the Department will request quantity and estimated dumping margins for certain India value information from the ten known steel pipe from Oman range from 2.89 At the time of the filing of the petition exporters/producers identified with to 19.33 percent. See Oman AD for this case, there was an existing complete contact information in the Checklist at ‘‘Estimated Margins’’ antidumping duty order on welded steel Petitions. The quantity and value data section; see also Supplement to the AD pipe and tube from India. See received from NME exporters/producers Oman Petition at Attachment 1. Antidumping Duty Order; Certain will be used as the basis to select the Based on a comparison of U.S. prices Welded Carbon Steel Standard Pipes mandatory respondents. and NV calculated in accordance with and Tubes from India, 51 FR 17384 For antidumping investigations section 773(a)(4) of the Act, the (May 12, 1986). Therefore, the scope of involving NME countries such as estimated dumping margins for certain this investigation covers merchandise Vietnam, the Department requires that steel pipe from the UAE range from 6.23 manufactured and/or exported by respondents submit a response to both percent to 11.71 percent. See the UAE Zenith Steel Pipes and Industries Ltd., the quantity and value questionnaire AD Checklist at ‘‘Estimated Margins’’ and any successors-in-interest to that and the separate-rate application by the section; see also Supplement to the AD company, which is the only company respective deadlines in order to receive UAE Petition at Attachment 2. excluded from the 1986 order known to consideration for separate-rate status. Initiation of Antidumping exist.5 Petitioners have referred to See Circular Welded Austenitic Investigations Zenith Steel Pipes and Industries Ltd. Stainless Pressure Pipe from the and Zenith Birla India Limited People’s Republic of China: Initiation of Based upon the examination of the Antidumping Duty Investigation, 73 FR Petitions on certain steel pipe from interchangeably. Therefore, we intend to issue the questionnaire to both of these 10221, 10225 (February 26, 2008); India, Oman, the UAE, and Vietnam, the Initiation of Antidumping Duty Department finds that the Petitions meet 5 Gujarat Steel Tubes Ltd. was also excluded from Investigation: Certain Artist Canvas the requirements of section 732 of the the 1986 order, but the company is not known to Act. Therefore, we are initiating exist at the time of this initiation. See Supplement 6 See, e.g., Supplement to the AD/CVD Petitions antidumping duty investigations to to the AD India Petition at 2. at Attachment 3.

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From the People’s Republic of China, 70 the Department requires that Vietnam Preliminary Determinations by the ITC FR 21996, 21999 (April 28, 2005). On respondents submit a response to both The ITC will preliminarily determine, the date of the publication of this the quantity and value questionnaire no later than 45 days after the date the initiation notice in the Federal Register, and the separate-rate application by the Petitions were filed, whether there is a the Department will post the quantity respective deadlines in order to receive reasonable indication that imports of and value questionnaire along with the consideration for separate-rate status. certain steel pipe from India, Oman, the filing instructions on the Department’s The quantity and value questionnaire UAE, and Vietnam are materially Web site at http://ia.ita.doc.gov/ia- will be available on the Department’s injuring, or threatening material injury highlights-and-news.html, and a Web site at http://ia.ita.doc.gov/ia- to a U.S. industry. A negative ITC response to the quantity and value highlights-and-news.html on the date of determination with respect to any questionnaire is due no later than the publication of this initiation notice country will result in the investigation December 6, 2011. Also, the Department in the Federal Register. being terminated for that country; will send the quantity and value otherwise, these investigations will questionnaire to those Vietnamese Use of Combination Rates in an NME Investigation proceed according to statutory and companies identified in Volume I of the regulatory time limits. Petitions, at Exhibit I–4. The Department will calculate Notification to Interested Parties Interested parties must submit combination rates for certain applications for disclosure under APO respondents that are eligible for a Interested parties must submit in accordance with 19 CFR 351.305. separate rate in this investigation. The applications for disclosure under APO Instructions for filing such applications Separate Rates and Combination Rates in accordance with 19 CFR 351.305(b). may be found on the Department’s Web Bulletin states: On January 22, 2008, the Department site at http://ia.ita.doc.gov/apo. published Antidumping and {w}hile continuing the practice of assigning Separate Rates separate rates only to exporters, all separate Countervailing Duty Proceedings: Documents Submission Procedures; In order to obtain separate-rate status rates that the Department will now assign in its NME investigations will be specific to APO Procedures, 73 FR 3634 (January in NME investigations, exporters and 22, 2008). Parties wishing to participate producers must submit a separate-rate those producers that supplied the exporter during the period of investigation. Note, in these investigations should ensure status application. See Policy Bulletin however, that one rate is calculated for the that they meet the requirements of these 05.1: Separate-Rates Practice and exporter and all of the producers which procedures (e.g., the filing of letters of Application of Combination Rates in supplied subject merchandise to it during the appearance as discussed at 19 CFR Antidumping Investigations involving period of investigation. This practice applies 351.103(d)). Non-Market Economy Countries (April both to mandatory respondents receiving an Any party submitting factual 5, 2005) (Separate Rates and individually calculated separate rate as well information in an AD proceeding must as the pool of non-investigated firms Combination Rates Bulletin), available certify to the accuracy and completeness on the Department’s Web site at receiving the weighted-average of the individually calculated rates. This practice is of that information. See section 782(b) http://ia.ita.doc.gov/policy/bull05– of the Act. Parties are hereby reminded 1.pdf. Based on our experience in referred to as the application of ‘‘combination rates’’ because such rates apply to specific that revised certification requirements processing the separate-rate applications combinations of exporters and one or more are in effect for company/government in previous antidumping duty producers. The cash-deposit rate assigned to officials as well as their representatives investigations, we have modified the an exporter will apply only to merchandise in all segments of any AD/CVD application for this investigation to both exported by the firm in question and proceedings initiated on or after March make it more administrable and easier produced by a firm that supplied the exporter 14, 2011. See Certification of Factual for applicants to complete. See, e.g., during the period of investigation. Information to Import Administration Initiation of Antidumping Duty During Antidumping and Investigation: Certain New Pneumatic See Separate Rates and Combination Rates Bulletin, at 6 (emphasis added). Countervailing Duty Proceedings: Off-the-Road Tires From the People’s Interim Final Rule, 76 FR 7491 Republic of China, 72 FR 43591, 43594– Distribution of Copies of the Petitions (February 10, 2011) (Interim Final Rule) 95 (August 6, 2007). The specific In accordance with section (amending 19 CFR 351.303(g)(1) & (2)). requirements for submitting the The formats for the revised certifications separate-rate application in this 732(b)(3)(A) of the Act and 19 CFR 351.202(f), copies of the public versions are provided at the end of the Interim investigation are outlined in detail in Final Rule. The Department intends to the application itself, which will be of the Petitions have been provided to the representatives of the Governments reject factual submissions in any available on the Department’s Web site proceeding segments initiated on or at http://ia.ita.doc.gov/ia-highlights- of India, Oman, the UAE, and Vietnam. Because of the large number of after March 14, 2011, if the submitting and-news.html on the date of party does not comply with the revised publication of this initiation notice in producers/exporters identified in the Petitions, the Department considers the certification requirements. the Federal Register. The separate-rate This notice is issued and published service of the public version of the application will be due 60 days after pursuant to section 777(i) of the Act. publication of this initiation notice. For Petitions to the foreign producers/ exporters and producers who submit a exporters satisfied by the delivery of the Dated: November 15, 2011. separate rate status application and public versions of the Petitions to the Paul Piquado, subsequently are selected as mandatory Governments of India, Oman, the UAE, Assistant Secretary for Import respondents, these exporters and and Vietnam, consistent with 19 CFR Administration. producers will no longer be eligible for 351.203(c)(2). Appendix I consideration for separate rate status ITC Notification unless they respond to all parts of the Scope of the Oman, the United Arab questionnaire as mandatory We have notified the ITC of our Emirates, and Vietnam Investigations respondents. As noted in the initiations, as required by section 732(d) These investigations cover welded ‘‘Respondent Selection’’ section above, of the Act. carbon-quality steel pipes and tube, of

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circular cross-section, with an outside The scope of these investigations does 1.900 inch O.D. and 0.095 inch wall diameter (‘‘O.D.’’) not more than 16 not include: (a) Pipe suitable for use in thickness (gage 13); inches (406.4 mm), regardless of wall boilers, superheaters, heat exchangers, 1.900 inch O.D. and 0.109 inch wall thickness, surface finish (e.g., black, refining furnaces and feedwater heaters, thickness (gage 12); galvanized, or painted), end finish whether or not cold drawn; (b) finished 2.375 inch O.D. and 0.047 inch wall (plain end, beveled end, grooved, electrical conduit; (c) finished thickness (gage 18); threaded, or threaded and coupled), or scaffolding; 7 (d) tube and pipe hollows 2.375 inch O.D. and 0.055 inch wall industry specification (e.g., American for redrawing; (e) oil country tubular thickness (gage 17); Society for Testing and Materials goods produced to API specifications; (f) 2.375 inch O.D. and 0.065 inch wall International (‘‘ASTM’’), proprietary, or line pipe produced to only API thickness (gage 16); other) generally known as standard specifications; and (g) mechanical 2.375 inch O.D. and 0.072 inch wall pipe, fence pipe and tube, sprinkler tubing, whether or not cold-drawn. thickness (gage 15); pipe, and structural pipe (although However, products certified to ASTM 2.375 inch O.D. and 0.095 inch wall subject product may also be referred to mechanical tubing specifications are not thickness (gage 13); as mechanical tubing). Specifically, the excluded as mechanical tubing if they 2.375 inch O.D. and 0.109 inch wall term ‘‘carbon quality’’ includes products otherwise meet the standard sizes (e.g., thickness (gage 12); in which: (a) Iron predominates, by outside diameter and wall thickness) of 2.375 inch O.D. and 0.120 inch wall weight, over each of the other contained standard, structural, fence and sprinkler thickness (gage 11); elements; (b) the carbon content is 2 pipe. Also, products made to the 2.875 inch O.D. and 0.109 inch wall percent or less, by weight; and (c) none following outside diameter and wall thickness (gage 12); of the elements listed below exceeds the thickness combinations, which are 2.875 inch O.D. and 0.134 inch wall quantity, by weight, as indicated: recognized by the industry as typical for thickness (gage 10); (i) 1.80 percent of manganese; fence tubing, would not be excluded 2.875 inch O.D. and 0.165 inch wall (ii) 2.25 percent of silicon; from the scope based solely on their thickness (gage 8); (iii) 1.00 percent of copper; being certified to ASTM mechanical 3.500 inch O.D. and 0.109 inch wall (iv) 0.50 percent of aluminum; tubing specifications: thickness (gage 12); (v) 1.25 percent of chromium; 1.315 inch O.D. and 0.035 inch wall 3.500 inch O.D. and 0.148 inch wall (vi) 0.30 percent of cobalt; thickness (gage 20); thickness (gage 9); (vii) 0.40 percent of lead; 3.500 inch O.D. and 0.165 inch wall (viii) 1.25 percent of nickel; 1.315 inch O.D. and 0.047 inch wall thickness (gage 18); thickness (gage 8); (ix) 0.30 percent of tungsten; 4.000 inch O.D. and 0.148 inch wall (x) 0.15 percent of molybdenum; 1.315 inch O.D. and 0.055 inch wall thickness (gage 17); thickness (gage 9); (xi) 0.10 percent of niobium; 4.000 inch O.D. and 0.165 inch wall (xii) 0.41 percent of titanium; 1.315 inch O.D. and 0.065 inch wall thickness (gage 8); (xiii) 0.15 percent of vanadium; thickness (gage 16); (xiv) 0.15 percent of zirconium. 1.315 inch O.D. and 0.072 inch wall 4.500 inch O.D. and 0.203 inch wall Subject pipe is ordinarily made to thickness (gage 15); thickness (gage 7). ASTM specifications A53, A135, and 1.315 inch O.D. and 0.083 inch wall The pipe subject to these A795, but can also be made to other thickness (gage 14); investigations are currently classifiable specifications. Structural pipe is made 1.315 inch O.D. and 0.095 inch wall in Harmonized Tariff Schedule of the primarily to ASTM specifications A252 thickness (gage 13); United States (‘‘HTSUS’’) statistical and A500. Standard and structural pipe 1.660 inch O.D. and 0.047 inch wall reporting numbers 7306.19.1010, may also be produced to proprietary thickness (gage 18); 7306.19.1050, 7306.19.5110, specifications rather than to industry 1.660 inch O.D. and 0.055 inch wall 7306.19.5150, 7306.30.1000, specifications. Fence tubing is included thickness (gage 17); 7306.30.5025, 7306.30.5032, in the scope regardless of certification to 1.660 inch O.D. and 0.065 inch wall 7306.30.5040, 7306.30.5055, a specification listed in the exclusions thickness (gage 16); 7306.30.5085, 7306.30.5090, 1.660 inch O.D. and 0.072 inch wall below, and can also be made to the 7306.50.1000, 7306.50.5050, and thickness (gage 15); ASTM A513 specification. Sprinkler 7306.50.5070. However, the product 1.660 inch O.D. and 0.083 inch wall pipe is designed for sprinkler fire description, and not the HTSUS thickness (gage 14); suppression systems and may be made classification, is dispositive of whether 1.660 inch O.D. and 0.095 inch wall to industry specifications such as ASTM the merchandise imported into the thickness (gage 13); A53 or to proprietary specifications. United States falls within the scope of 1.660 inch O.D. and 0.109 inch wall the investigations. These products are generally made to thickness (gage 12); standard O.D. and wall thickness 1.900 inch O.D. and 0.047 inch wall Appendix II combinations. Pipe multi-stenciled to a thickness (gage 18); Scope of the India AD Investigation standard and/or structural specification 1.900 inch O.D. and 0.055 inch wall and to other specifications, such as thickness (gage 17); This investigation covers welded American Petroleum Institute (‘‘API’’) 1.900 inch O.D. and 0.065 inch wall carbon-quality steel pipes and tube, of API–5L specification, is also covered by thickness (gage 16); circular cross-section, with an outside the scope of these investigations when 1.900 inch O.D. and 0.072 inch wall diameter (‘‘O.D.’’) not more than 16 it meets the physical description set thickness (gage 15); inches (406.4 mm), regardless of wall forth above, and also has one or more thickness, surface finish (e.g., black, of the following characteristics: is 32 7 Finished scaffolding is defined as component galvanized, or painted), end finish feet in length or less; is less than 2.0 parts of a final, finished scaffolding that enters the (plain end, beveled end, grooved, inches (50mm) in outside diameter; has United States unassembled as a ‘‘kit.’’ A ‘‘kit’’ is threaded, or threaded and coupled), or understood to mean a packaged combination of a galvanized and/or painted (e.g., component parts that contain, at the time of industry specification (e.g., American polyester coated) surface finish; or has importation, all the necessary component parts to Society for Testing and Materials a threaded and/or coupled end finish. fully assemble a final, finished scaffolding. International (‘‘ASTM’’), proprietary, or

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other) generally known as standard length or less; is less than 2.0 inches 1.900 inch O.D. and 0.065 inch wall pipe, fence pipe and tube, sprinkler (50mm) in outside diameter; has a thickness (gage 16); pipe, and structural pipe (although galvanized and/or painted (e.g., 1.900 inch O.D. and 0.072 inch wall subject product may also be referred to polyester coated) surface finish; or has thickness (gage 15); as mechanical tubing). Specifically, the a threaded and/or coupled end finish. term ‘‘carbon quality’’ includes products The scope of this investigation does 1.900 inch O.D. and 0.095 inch wall in which: (a) Iron predominates, by not include: (a) Pipe suitable for use in thickness (gage 13); weight, over each of the other contained boilers, superheaters, heat exchangers, 1.900 inch O.D. and 0.109 inch wall elements; (b) the carbon content is 2 refining furnaces and feedwater heaters, thickness (gage 12); whether or not cold drawn; (b) finished percent or less, by weight; and (c) none 2.375 inch O.D. and 0.047 inch wall of the elements listed below exceeds the electrical conduit; (c) finished thickness (gage 18); quantity, by weight, as indicated: scaffolding; 8 (d) tube and pipe hollows (i) 1.80 percent of manganese; for redrawing; (e) oil country tubular 2.375 inch O.D. and 0.055 inch wall (ii) 2.25 percent of silicon; goods produced to API specifications; (f) thickness (gage 17); (iii) 1.00 percent of copper; line pipe produced to only API 2.375 inch O.D. and 0.065 inch wall (iv) 0.50 percent of aluminum; specifications; and (g) mechanical thickness (gage 16); (v) 1.25 percent of chromium; tubing, whether or not cold-drawn. (vi) 0.30 percent of cobalt; However, products certified to ASTM 2.375 inch O.D. and 0.072 inch wall (vii) 0.40 percent of lead; mechanical tubing specifications are not thickness (gage 15); (viii) 1.25 percent of nickel; excluded as mechanical tubing if they 2.375 inch O.D. and 0.095 inch wall (ix) 0.30 percent of tungsten; otherwise meet the standard sizes (e.g., thickness (gage 13); (x) 0.15 percent of molybdenum; outside diameter and wall thickness) of 2.375 inch O.D. and 0.109 inch wall (xi) 0.10 percent of niobium; standard, structural, fence and sprinkler (xii) 0.41 percent of titanium; pipe. Also, products made to the thickness (gage 12); (xiii) 0.15 percent of vanadium; following outside diameter and wall 2.375 inch O.D. and 0.120 inch wall (xiv) 0.15 percent of zirconium. thickness combinations, which are thickness (gage 11); At the time of the filing of the petition recognized by the industry as typical for for this case, there was an existing 2.875 inch O.D. and 0.109 inch wall fence tubing, would not be excluded thickness (gage 12); antidumping duty order on welded steel from the scope based solely on their pipe and tube from India. See being certified to ASTM mechanical 2.875 inch O.D. and 0.134 inch wall Antidumping Duty Order; Certain tubing specifications: thickness (gage 10); Welded Carbon Steel Standard Pipes 1.315 inch O.D. and 0.035 inch wall 2.875 inch O.D. and 0.165 inch wall and Tubes from India, 51 FR 17384 thickness (gage 20); thickness (gage 8); (May 12, 1986). Therefore, the scope of 1.315 inch O.D. and 0.047 inch wall this investigation covers merchandise 3.500 inch O.D. and 0.109 inch wall thickness (gage 18); thickness (gage 12); manufactured and/or exported by 1.315 inch O.D. and 0.055 inch wall Zenith Steel Pipes and Industries Ltd., thickness (gage 17); 3.500 inch O.D. and 0.148 inch wall and any successors-in-interest to that 1.315 inch O.D. and 0.065 inch wall thickness (gage 9); company, which is the only company thickness (gage 16); 3.500 inch O.D. and 0.165 inch wall excluded from the 1986 order known to 1.315 inch O.D. and 0.072 inch wall thickness (gage 8); exist. thickness (gage 15); Subject pipe is ordinarily made to 1.315 inch O.D. and 0.083 inch wall 4.000 inch O.D. and 0.148 inch wall ASTM specifications A53, A135, and thickness (gage 14); thickness (gage 9); A795, but can also be made to other 1.315 inch O.D. and 0.095 inch wall 4.000 inch O.D. and 0.165 inch wall specifications. Structural pipe is made thickness (gage 13); thickness (gage 8); primarily to ASTM specifications A252 1.660 inch O.D. and 0.047 inch wall and A500. Standard and structural pipe thickness (gage 18); 4.500 inch O.D. and 0.203 inch wall may also be produced to proprietary 1.660 inch O.D. and 0.055 inch wall thickness (gage 7). specifications rather than to industry thickness (gage 17); The pipe subject to this investigation 1.660 inch O.D. and 0.065 inch wall specifications. Fence tubing is included is currently classifiable in Harmonized in the scope regardless of certification to thickness (gage 16); 1.660 inch O.D. and 0.072 inch wall Tariff Schedule of the United States a specification listed in the exclusions (‘‘HTSUS’’) statistical reporting numbers below, and can also be made to the thickness (gage 15); 1.660 inch O.D. and 0.083 inch wall 7306.19.1010, 7306.19.1050, ASTM A513 specification. Sprinkler 7306.19.5110, 7306.19.5150, pipe is designed for sprinkler fire thickness (gage 14); 1.660 inch O.D. and 0.095 inch wall 7306.30.1000, 7306.30.5025, suppression systems and may be made thickness (gage 13); 7306.30.5032, 7306.30.5040, to industry specifications such as ASTM 1.660 inch O.D. and 0.109 inch wall 7306.30.5055, 7306.30.5085, A53 or to proprietary specifications. thickness (gage 12); These products are generally made to 7306.30.5090, 7306.50.1000, 1.900 inch O.D. and 0.047 inch wall 7306.50.5050, and 7306.50.5070. standard O.D. and wall thickness thickness (gage 18); combinations. Pipe multi-stenciled to a However, the product description, and 1.900 inch O.D. and 0.055 inch wall not the HTSUS classification, is standard and/or structural specification thickness (gage 17); and to other specifications, such as dispositive of whether the merchandise imported into the United States falls American Petroleum Institute (‘‘API’’) 8 Finished scaffolding is defined as component API–5L specification, is also covered by parts of a final, finished scaffolding that enters the within the scope of the investigation. the scope of this investigation when it United States unassembled as a ‘‘kit.’’ A ‘‘kit’’ is [FR Doc. 2011–30162 Filed 11–21–11; 8:45 am] understood to mean a packaged combination of meets the physical description set forth component parts that contain, at the time of BILLING CODE 3510–DS–P above, and also has one or more of the importation, all the necessary component parts to following characteristics: is 32 feet in fully assemble a final, finished scaffolding.

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DEPARTMENT OF COMMERCE (Third Review), and Pure Magnesium subheadings 8104.11.00, 8104.19.00, From China, 76 FR 69284 (November 8, 8104.20.00, 8104.30.00, 8104.90.00, International Trade Administration 2011). 3824.90.11, 3824.90.19 and 9817.00.90. [A–570–832] Scope of the Order Although the HTSUS subheadings are provided for convenience and customs Continuation of Antidumping Duty Merchandise covered by the order is purposes, our written description of the pure magnesium regardless of Order: Pure Magnesium From the scope is dispositive.1 People’s Republic of China chemistry, form or size, unless expressly excluded from the scope of the order. Continuation of the Order AGENCY: Import Administration, Pure magnesium is a metal or alloy International Trade Administration, containing by weight primarily the As a result of these determinations by Department of Commerce. element magnesium and produced by the Department and the ITC that SUMMARY: As a result of the decomposing raw materials into revocation of the AD order on pure determinations by the Department of magnesium metal. Pure primary magnesium would be likely to lead to a Commerce (the ‘‘Department’’) and the magnesium is used primarily as a continuation or recurrence of dumping, International Trade Commission (the chemical in the aluminum alloying, and material injury to an industry in the ‘‘ITC’’) that revocation of the desulfurization, and chemical reduction United States, pursuant to section antidumping duty (‘‘AD’’) order on pure industries. In addition, pure magnesium 751(d)(2) of the Act, the Department magnesium from the People’s Republic is used as an input in producing hereby orders the continuation of the of China (‘‘PRC’’) would be likely to magnesium alloy. Pure magnesium AD order on pure magnesium from the lead to continuation or recurrence of encompasses products (including, but PRC. U.S. Customs and Border dumping and of material injury to an not limited to, butt ends, stubs, crowns Protection will continue to collect cash industry in the United States, the and crystals) with the following primary deposits at the rates in effect at the time Department is publishing this notice of magnesium contents: of entry for all imports of subject (1) Products that contain at least continuation of the AD order. merchandise. The effective date of the 99.95% primary magnesium, by weight DATES: Effective Date: November 22, continuation of the order will be the 2011. (generally referred to as ‘‘ultra pure’’ magnesium); date of publication in the Federal FOR FURTHER INFORMATION CONTACT: (2) Products that contain less than Register of this notice of continuation. Brooke Kennedy or Eugene Degnan, AD/ 99.95% but not less than 99.8% primary Pursuant to section 751(c)(2) of the Act, CVD Operations, Import magnesium, by weight (generally the Department intends to initiate the Administration, International Trade referred to as ‘‘pure’’ magnesium); and next five-year review of the order not Administration, U.S. Department of (3) Products that contain 50% or later than 30 days prior to the fifth Commerce, 14th Street and Constitution greater, but less than 99.8% primary anniversary of the effective date of Avenue NW., Washington, DC 20230; magnesium, by weight, and that do not continuation. telephone: (202) 482–3818 or (202) 482– conform to ASTM specifications for 0414. This five-year (sunset) review and this alloy magnesium (generally referred to notice are in accordance with section SUPPLEMENTARY INFORMATION: On June 1, as ‘‘off-specification pure’’ magnesium). 751(c) of the Act and published 2011, the Department initiated the third ‘‘Off-specification pure’’ magnesium sunset review of the AD order on pure is pure primary magnesium containing pursuant to section 777(i)(1) of the Act. magnesium from the PRC pursuant to magnesium scrap, secondary Dated: November 14, 2011. section 751(c) of the Tariff Act of 1930, magnesium, oxidized magnesium or Paul Piquado, as amended (‘‘Act’’). See Initiation of impurities (whether or not intentionally Assistant Secretary for Import Five-Year ‘‘Sunset’’ Review, 76 FR added) that cause the primary Administration. 31588 (June 1, 2011). magnesium content to fall below 99.8% [FR Doc. 2011–30017 Filed 11–21–11; 8:45 am] As a result of its review, the by weight. It generally does not contain, Department determined that revocation individually or in combination, 1.5% or BILLING CODE 3510–DS–P of the AD order on pure magnesium more, by weight, of the following from the PRC would be likely to lead to alloying elements: aluminum, a continuation or recurrence of manganese, zinc, silicon, thorium, dumping, and, therefore, notified the zirconium and rare earths. ITC of the magnitude of the margins Excluded from the scope of the order likely to prevail should the order be are alloy primary magnesium (that revoked. See Pure Magnesium From the meets specifications for alloy People’s Republic of China: Final magnesium), primary magnesium Results of Expedited Third Sunset anodes, granular primary magnesium 1 The Department has made two scope rulings Review of the Antidumping Duty Order, (including turnings, chips and powder) regarding the subject merchandise. On November 9, 2006, the Department issued a scope ruling, finding 76 FR 62040 (October 6, 2011). having a maximum physical dimension that alloy magnesium extrusion billets produced in On October 19, 2011, the ITC (i.e., length or diameter) of one inch or Canada by Timminco, Ltd. from pure magnesium of determined, pursuant to section 751(c) less, secondary magnesium (which has Chinese origin are not within the scope of order. of the Act, that revocation of the pure primary magnesium content of less See Memorandum regarding Final Ruling in the existing AD order on pure magnesium than 50% by weight), and remelted Scope Inquiry on Russian and Chinese Magnesium from the PRC would be likely to lead to magnesium whose pure primary Processed in Canada, dated November 9, 2006. On a continuation or recurrence of material magnesium content is less than 50% by December 4, 2006, the Department issued a scope injury to an industry in the United ruling, finding that pure magnesium produced in weight. France using pure magnesium from the PRC is States within a reasonably foreseeable Pure magnesium products covered by within the scope of the order. See Memorandum time. See USITC Publication 4274 the order are currently classifiable regarding Final Ruling in the Scope Inquiry on (October 2011), Pure Magnesium from under Harmonized Tariff Schedule of Chinese Magnesium Processed in France, dated China: Investigation No. 731–TA–696 the United States (‘‘HTSUS’’) December 4, 2006.

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DEPARTMENT OF COMMERCE domestic industry because they are Consultations interested parties as defined in section Pursuant to section 702(b)(4)(A)(ii) of International Trade Administration 771(9)(C) of the Act, and Petitioners the Act, on October 27, 2011, the [C–533–853, C–523–802, C–520–806, and C– have demonstrated sufficient industry Department invited representatives of 552–810] support with respect to the Petitions the Indian, Omani, UAE, and (see ‘‘Determination of Industry Support Vietnamese governments to consult Circular Welded Carbon-Quality Steel for the Petitions’’ section below). with respect to the Petitions. Pipe From India, the Sultanate of Period of Investigation On November 9, 2011, the Indian Oman, the United Arab Emirates, and government asked the Department to the Socialist Republic of Vietnam: The period of investigation is January postpone initiation of the investigation Initiation of Countervailing Duty 1, 2010, through December 31, 2010. so that the Department could hold Investigations Scope of Investigations consultations with representatives of the Indian government after November 15, AGENCY: Import Administration, The products covered by these 2011. See Letter from Embassy of India International Trade Administration, investigations are certain steel pipe from to the Department of Commerce Department of Commerce. India, Oman, the UAE, and Vietnam. For a full description of the scope of the (November 9, 2011). On November 10, DATES: Effective Date: November 22, 2011, the Department advised the 2011. investigations, see ‘‘Scope of the Investigations,’’ in Appendix I of this Indian government that we were FOR FURTHER INFORMATION CONTACT: notice. statutorily obligated to initiate an Joshua Morris, AD/CVD Operations, investigation or dismiss the Petitions no Import Administration, International Comments on Scope of Investigations later than November 15, 2011, and Trade Administration, U.S. Department During our review of the Petitions, we could only extend this period under of Commerce, 14th Street and discussed the scope with Petitioners to section 702(b)(4)(A)(ii) of the Act in Constitution Avenue NW., Washington, ensure that it is an accurate reflection of circumstances where the Department DC 20230; telephone: (202) 482–1779. the products for which the domestic finds that the Petitions alone do not SUPPLEMENTARY INFORMATION: industry is seeking relief. Moreover, as establish support of domestic producers discussed in the preamble to the or workers accounting for more than 50 The Petitions Department’s regulations, we are setting percent of the total production of the On October 26, 2011, the Department aside a period for interested parties to domestic like product and, as a result, of Commerce (‘‘Department’’) received raise issues regarding product coverage. the Department is required to poll or petitions filed in proper form by Allied See Antidumping Duties; Countervailing otherwise determine support for the Tube and Conduit, JMC Steel Group, Duties; Final Rule, 62 FR 27296, 27323 Petitions by the industry. Since the Wheatland Tube, and United States (May 19, 1997). Interested parties that Department was not faced with those Steel Corporation (collectively, wish to submit comments on the scope circumstances, the Indian government ‘‘Petitioners’’), who are domestic should do so by December 5, 2011, was notified that we would be available producers of circular welded carbon- twenty calendar days from the signature to meet with them after initiation. See quality steel pipe (‘‘certain steel pipe’’). date of this notice. All comments must Letter from Nancy Decker to the See Petitions for the Imposition of be filed on the records of the India, Embassy of India (November 10, 2011). Antidumping and Countervailing Duties Oman, the UAE, and Vietnam On November 15, 2011, the Indian on Circular Welded Carbon-Quality antidumping duty investigations and government submitted comments Steel Pipe from India, Oman, the United the India, Oman, the UAE, and Vietnam objecting to the allegations made by Arab Emirates, and Vietnam, dated countervailing duty (‘‘CVD’’) Petitioners and arguing that we should not initiate a CVD investigation. See October 26, 2011 (hereinafter, ‘‘the investigations. All comments and Memorandum to File (November 15, Petitions’’). In response to the submissions to the Department must be 2011). On November 15, 2011, we sent Department’s requests, Petitioners filed electronically using Import a response to the Indian government. provided timely information Administration’s Antidumping and See Letter from Nancy Decker to the supplementing the Petitions on Countervailing Duty Centralized November 7, 2011 (hereinafter, the Embassy of India (November 15, 2011). Electronic Service System (‘‘IA The Omani government was unable to ‘‘Supplement to the AD/CVD ACCESS’’). An electronically filed participate in consultations prior to Petitions’’), November 9, 2011, and document must be received successfully initiation. November 10, 2011. in its entirety by the Department’s Consultations with the Vietnamese In accordance with section 702(b)(1) electronic records system, IA ACCESS, and UAE governments were held in of the Tariff Act of 1930, as amended by the time and date noted above. Washington, DC, on November 7, 2011, (‘‘the Act’’), Petitioners allege that Documents excepted from the electronic and November 14, 2011, respectively. manufacturers, producers, or importers submission requirements must be filed See Ex-Parte Memorandum on of certain steel pipe from India, the manually (i.e., in paper form) with the Consultations regarding the Petition for Sultanate of Oman (‘‘Oman’’), the Import Administration’s APO/Dockets Imposition of Countervailing Duties on United Arab Emirates (‘‘the UAE’’), and Unit, Room 1870, U.S. Department of Circular Welded Carbon-Quality Steel the Socialist Republic of Vietnam Commerce, 14th Street and Constitution Pipe from the Socialist Republic of (‘‘Vietnam’’), receive countervailable Avenue NW., Washington, DC 20230, Vietnam (November 15, 2011); and Ex- subsidies within the meaning of section and stamped with the date and time of Parte Memorandum on Consultations 1 701 of the Act, and that such imports receipt by the deadline noted above. regarding the Petition for Imposition of are materially injuring, or threatening Countervailing Duties on Circular 1 material injury to, the domestic industry See http://www.gpo.gov/fdsys/pkg/FR–2011–07– Welded Carbon-Quality Steel Pipe from producing certain steel pipe in the 06/pdf/2011–16352.pdf for details of the Department’s Electronic Filing Requirements, United States. which went into effect on August 5, 2011. handbook can be found at https://iaaccess.trade. The Department finds that Petitioners Information on help using IA ACCESS can be found gov/help/Handbook%20on%20Electronic%20 filed the Petitions on behalf of the at https://iaaccess.trade.gov/help.aspx and a Filling%20Procedures.pdf.

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the United Arab Emirates (November 14, Section 771(10) of the Act defines the discussion, see India CVD Checklist, 2011). All memoranda are on file domestic like product as ‘‘a product Oman CVD Checklist, UAE CVD electronically via IA ACCESS. Access to which is like, or in the absence of like, Checklist, and Vietnam CVD Checklist, IA ACCESS is available in the Central most similar in characteristics and uses at Attachment II. Records Unit (‘‘CRU’’), Room 7046, of with, the article subject to an Our review of the data provided in the the main Department of Commerce investigation under this title.’’ Thus, the Petitions, supplemental submissions, building. reference point from which the and other information readily available domestic like product analysis begins is to the Department indicates that Determination of Industry Support for ‘‘the article subject to an investigation’’ Petitioners have established industry the Petitions (i.e., the class or kind of merchandise to support. First, the Petitions established Section 702(b)(1) of the Act requires be investigated, which normally will be support from domestic producers that a petition be filed on behalf of the the scope as defined in the petition). accounting for more than 50 percent of domestic industry. Section 702(c)(4)(A) With regard to the domestic like the total shipments 2 of the domestic of the Act provides that a petition meets product, Petitioners do not offer a like product and, as such, the this requirement if the domestic definition of domestic like product Department is not required to take producers or workers who support the distinct from the scope of the further action in order to evaluate petition account for: (i) At least 25 investigations. Based on our analysis of industry support (e.g., polling). See percent of the total production of the the information submitted on the Section 702(c)(4)(D) of the Act and India domestic like product; and (ii) more record, we have determined that certain CVD Checklist, Oman CVD Checklist, than 50 percent of the production of the steel pipe constitutes a single domestic UAE CVD Checklist, and Vietnam CVD domestic like product produced by that like product and we have analyzed Checklist, at Attachment II. Second, the portion of the industry expressing industry support in terms of that domestic producers have met the support for, or opposition to, the domestic like product. For a discussion statutory criteria for industry support petition. Moreover, section 702(c)(4)(D) of the domestic like product analysis in under section 702(c)(4)(A)(i) of the Act of the Act provides that, if the petition this case, see Countervailing Duty because the domestic producers who does not establish support of domestic Investigation Initiation Checklist: support the Petitions account for at least producers or workers accounting for Circular Welded Carbon-Quality Steel 25 percent of the total shipments of the more than 50 percent of the total Pipe from India (‘‘India CVD domestic like product. See India CVD production of the domestic like product, Checklist’’), Countervailing Duty Checklist, Oman CVD Checklist, UAE the Department shall: (i) Poll the Investigation Initiation Checklist: CVD Checklist, and Vietnam CVD industry or rely on other information in Circular Welded Carbon-Quality Steel Checklist, at Attachment II. Finally, the order to determine if there is support for Pipe from Oman (‘‘Oman CVD domestic producers have met the the petition, as required by Checklist’’), Countervailing Duty statutory criteria for industry support subparagraph (A); or (ii) determine Investigation Initiation Checklist: under section 702(c)(4)(A)(ii) of the Act industry support using a statistically Circular Welded Carbon-Quality Steel because the domestic producers who valid sampling method to poll the Pipe from the United Arab Emirates support the Petitions account for more industry. (‘‘UAE CVD Checklist’’), and than 50 percent of the shipments of the Section 771(4)(A) of the Act defines Countervailing Duty Investigation domestic like product produced by that the ‘‘industry’’ as the producers as a Initiation Checklist: Circular Welded portion of the industry expressing whole of a domestic like product. Thus, Carbon-Quality Steel Pipe from the support for, or opposition to, the to determine whether a petition has the Socialist Republic of Vietnam Petitions. See India CVD Checklist, requisite industry support, the statute (‘‘Vietnam CVD Checklist’’) at Oman CVD Checklist, UAE CVD directs the Department to look to Attachment II, Analysis of Industry Checklist, and Vietnam CVD Checklist, producers and workers who produce the Support for the Petitions Covering at Attachment II. Accordingly, the domestic like product. The International Circular Welded Carbon-Quality Steel Department determines that the Trade Commission (‘‘ITC’’), which is Pipe, on file electronically in the CRU Petitions were filed on behalf of the responsible for determining whether via IA ACCESS. domestic industry within the meaning ‘‘the domestic industry’’ has been In determining whether Petitioners of section 702(b)(1) of the Act. See India injured, must also determine what have standing under section CVD Checklist, Oman CVD Checklist, constitutes a domestic like product in 702(c)(4)(A) of the Act, we considered UAE CVD Checklist, and Vietnam CVD order to define the industry. While both the industry support data contained in Checklist, at Attachment II. the Department and the ITC must apply the Petitions with reference to the The Department finds that Petitioners the same statutory definition regarding domestic like product as defined in the filed the Petitions on behalf of the the domestic like product (see section ‘‘Scope of Investigations,’’ in Appendix domestic industry because they are 771(10) of the Act), they do so for I of this notice. To establish industry interested parties as defined in section different purposes and pursuant to a support, Petitioners provided their 771(9)(C) of the Act and they have separate and distinct authority. In shipments of the domestic like product demonstrated sufficient industry addition, the Department’s in 2010, and compared their shipments support with respect to the determination is subject to limitations of to the estimated total shipments of the countervailing duty investigations they time and information. Although this domestic like product for the entire are requesting the Department initiate. may result in different definitions of the domestic industry. Because total See India CVD Checklist, Oman CVD like product, such differences do not industry production data for the Checklist, UAE CVD Checklist, and render the decision of either agency domestic like product for 2010 is not contrary to law. See USEC, Inc. v. reasonably available and Petitioners 2 As mentioned above, Petitioners have United States, 132 F. Supp. 2d 1, 8 (CIT have established that shipments are a established that shipments are a reasonable proxy 2001) (citing Algoma Steel Corp., Ltd. v. reasonable proxy for production data, for production data. Section 351.203(e)(1) of the Department’s regulations states ‘‘production levels United States, 688 F. Supp. 639, 644 we have relied upon the shipment data may be established by reference to alternative data (CIT 1988)), aff’d 865 F.2d 240 (Fed. Cir. provided by Petitioners for purposes of that the Secretary determines to be indicative of 1989). measuring industry support. For further production levels.’’

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Vietnam CVD Checklist, at Attachment 701(a) of the Act; and (2) is Intermediates, Spare Parts and II. accompanied by information reasonably Packing Material available to Petitioner(s) supporting the 2. Exemption from Payment of CST on Injury Test allegations. The Department has Purchases of Capital Goods and Because India, Oman, the UAE, and examined the Petitions on certain steel Raw Materials, Components, Vietnam all are a ‘‘Subsidies Agreement pipe from India, Oman, the UAE, and Consumables, Intermediates, Spare country’’ within the meaning of section Vietnam and finds that it complies with Parts and Packing Material 701(b) of the Act, section 701(a)(2) of the requirements of section 702(b) of the 3. Exemption from Electricity Duty the Act applies to this investigation. Act. Therefore, in accordance with and Cess thereon on the Sale or Accordingly, the ITC must determine section 702(b) of the Act, we are Supply to the SEZ Unit whether imports of the subject initiating CVD investigations to 4. SEZ Income Tax Exemption merchandise from India, Oman, the determine whether manufacturers, Scheme (Section 10A) UAE, and Vietnam materially injure, or producers, or exporters of certain steel 5A. Discounted Land and Related threaten material injury to, a U.S. pipe in India, Oman, the UAE, and Fees in an SEZ industry. Vietnam receive countervailable 5B. Land Provided at Less Than Allegations and Evidence of Material subsidies. For a discussion of evidence Adequate Remuneration in an SEZ L. Input Programs Injury and Causation supporting our initiation determination, see India CVD Initiation Checklist, 1. Provision of Hot-Rolled Steel by the Petitioners allege that imports of the Oman CVD Initiation Checklist, UAE Steel Authority of India For Less subject merchandise are benefitting CVD Initiation Checklist, and Vietnam Than Adequate Remuneration from countervailable subsidies and that CVD Initiation Checklist. (‘‘LTAR’’) such imports are causing, or threaten to 2. Provision of Captive Mining Rights cause, material injury to the U.S. I. India 3. Captive Mining Rights of Coal industry producing the domestic like We are including in our investigation 4. Provision of High-Grade Ore for product. In addition, Petitioners allege the following programs alleged in the LTAR that subject imports exceed the Petitions to have provided M. State Government of Maharashtra negligibility threshold provided for countervailable subsidies to producers (‘‘SGOM’’) Programs under section 771(24)(A) of the Act. and exporters of the subject 1. Sales Tax Program Petitioners contend that the industry’s merchandise in India: 2. Value-Added Tax Refunds under injured condition is illustrated by SGOM Package Scheme reduced market share; reduced A. Export Oriented Unit Schemes 3. Electricity Duty Scheme under 1. Duty-free import of all types of production, shipments, capacity, and Package Scheme Incentives 1993 goods, including capital goods and capacity utilization; reduced 4. Octroi Refunds raw materials employment, hours worked, and wages 5. Octroi Loan Guarantees 2. Reimbursement of Central Sales paid; underselling and price depression 6. Infrastructure Assistance for Mega Tax (‘‘CST’’) paid on goods or suppression; decline in financial Projects manufactured in India performance; lost sales and revenue; 7. Provision of Land for LTAR 3. Duty drawback on fuel procured 8. Investment Subsidies and increase in the volume of imports from domestic oil companies For further information explaining why and import penetration despite overall 4. Exemption from income tax under the Department is investigating these declining demand. See India CVD Section 10A and 10B of Income Tax programs, see India CVD Initiation Initiation Checklist, Oman CVD Act Initiation Checklist, UAE CVD Initiation 5. Exemption from payment of Central Checklist. Checklist, and Vietnam CVD Initiation Excise Duty on goods manufactured II. Oman Checklist, at ‘‘Analysis of Allegations in India and procured from a We are including in our investigation and Evidence of Material Injury and Domestic Tariff Area the following programs alleged in the Causation for the Petitions Covering 6. Reimbursement of CST on goods Petitions to have provided Circular Welded Carbon-Quality Steel manufactured in India and countervailable subsidies to producers Pipe from India, Oman, the UAE, and procured from a Domestic Tariff and exporters of the subject Vietnam’’ in Attachment III. We have Area assessed the allegations and supporting B. Export Promotion Capital Goods merchandise in Oman: evidence regarding material injury, Scheme A. Tariff Exemptions on Imported threat of material injury, and causation, C. Duty Exemption/Remission Schemes Equipment, Machinery, Raw and we have determined that these D. Pre-shipment and Post-shipment Materials and Packaging Materials allegations are properly supported by Export Financing B. Government Provision of Goods and adequate evidence and meet the E. Market Development Assistance Services for LTAR statutory requirements for initiation. See F. Market Access Initiative 1. Land and Buildings for LTAR India CVD Initiation Checklist, Oman G. Government of India Loan 2. Electricity, Water, and Natural Gas CVD Initiation Checklist, UAE CVD Guarantees for LTAR Initiation Checklist, and Vietnam CVD H. Status Certificate Program C. Preferential Loans Initiation Checklist, at Attachment III. I. Steel Development Fund Loans 1. Soft Loans for Industrial Projects J. Research and Technology Scheme 2. Post-Shipment Financing Loans Initiation of Countervailing Duty Under Empowered Committee 3. Pre-Shipment Export Credit Investigations Mechanism with Steel Development Guarantees Section 702(b) of the Act requires the Fund Support For further information explaining why Department to initiate a CVD proceeding K. Special Economic Zones (‘‘SEZ’’) the Department is investigating these whenever an interested party files a Programs programs, see Oman CVD Initiation petition on behalf of an industry that: 1. Duty-Free Importation of Capital Checklist. (1) Alleges the elements necessary for an Goods and Raw Materials, We are not including in our imposition of a duty under section Components, Consumables, investigation the following programs

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alleged to benefit producers and C. Grant Programs Commerce, 14th Street and Constitution exporters of the subject merchandise in 1. Export Promotion Program Avenue NW., Washington, DC 20230, Oman: 2. New Product Development Program and stamped with the date and time of A. Profit/Income Tax Exemption D. Tax Programs receipt by the deadline noted above. We B. Export Credit Insurance 1. Import Duty Exemptions for intend to make our decision regarding Imported Raw Materials for For further information explaining why respondent selection within 20 days of Exported Goods publication of this Federal Register the Department is not investigating 2. Income Tax Preferences for these programs, see Oman CVD notice. Encouraged Industries Interested parties must submit Initiation Checklist. 3. Income Tax Preferences for FIEs applications for disclosure under APO III. UAE 4. Exemption of Import Duties on in accordance with 19 CFR 351.305(b). Imports of Fixed Assets, Spare Parts Instructions for filing such applications We are including in our investigation and Accessories for Industrial the following programs alleged in the may be found on the Department’s Web Zones site at http://ia.ita.doc.gov/apo. Petitions to have provided 5. Income Tax Preferences for countervailable subsidies to producers Enterprises in Industrial Zones Distribution of Copies of the Petitions and exporters of the subject 6. Tax Refund for Reinvestment by In accordance with section merchandise in the UAE: FIEs 702(b)(4)(A)(i) of the Act and 19 CFR A. Profit Tax Exemptions 7. Import Duty Preferences for FIEs 351.202(f), copies of the public version B. Tariff Exemptions on Imported 8. Duty Exemptions on Goods for the of the Petitions have been provided to Equipment, Spare Parts, and Creation of Fixed Assets for representatives of the Governments of Building Materials Encouraged Projects India, Oman, the UAE, and Vietnam. C. Government Provision of Goods and 9. Income Tax Preferences for Because of the large number of Services for LTAR Exporters producers/exporters identified in the 1. Electricity for LTAR For further information explaining why Petitions, the Department considers the 2. Water for LTAR the Department is investigating these service of the public version of the 3. Land and/or Buildings for LTAR programs, see Vietnam CVD Initiation Petitions to the foreign producers/ D. Preferential Lending Checklist. exporters satisfied by the delivery of the 1. Preferential Export Lending Respondent Selection public versions of the Petitions to the 2. Dubai Commodity Receipts Governments of India, Oman, the UAE, For further information explaining why For these investigations, the and Vietnam, consistent with 19 CFR the Department is investigating these Department expects to select 351.203(c)(2). programs, see UAE CVD Initiation respondents based on U.S. Customs and ITC Notification Checklist. Border Protection (‘‘CBP’’) data for U.S. We are not including in our imports during the period of We have notified the ITC of our investigation the following program investigation under the following initiation, as required by section 702(d) alleged to benefit producers and Harmonized Tariff Schedule of the of the Act. United States (‘‘HTSUS’’) numbers: exporters of the subject merchandise in Preliminary Determinations by the ITC the UAE: 7306.30.10.00, 7306.30.50.25, 7306.30.50.32, 7306.30.50.40, The ITC will preliminarily determine, A. Gas for LTAR 7306.30.50.55, 7306.30.50.85, and no later than 45 days after the date the For further information explaining why 7306.30.50.90. These HTSUS numbers Petitions were filed, whether there is a the Department is not investigating this closely match the subject merchandise, reasonable indication that imports of program, see UAE CVD Initiation and are those used by Petitioners to certain steel pipe from India, Oman, the Checklist. calculate aggregate import totals.3 We UAE, and Vietnam are materially IV. Vietnam intend to release the CBP data under injuring, or threatening material injury Administrative Protective Order to a U.S. industry. A negative ITC We are including in our investigation (‘‘APO’’) to all parties with access to determination with respect to any the following programs alleged in the information protected by APO within country will result in the investigation Petitions to have provided five days of publication of this Federal being terminated for that country; countervailable subsidies to producers Register notice. Interested parties may otherwise, these investigations will and exporters of the subject submit comments regarding the CBP proceed according to statutory and merchandise in Vietnam: data and respondent selection within regulatory time limits. A. Policy Lending seven calendar days of publication of Notification to Interested Parties 1. Preferential Lending for Exporters this notice. Comments should be filed 2. Preferential Lending to the Steel electronically using IA ACCESS. An Interested parties must submit Industry electronically filed document must be applications for disclosure under APO B. Government Provision of Goods and received successfully in its entirety by in accordance with 19 CFR 351.305(b). Services for LTAR the Department’s electronic records On January 22, 2008, the Department 1. Land Rent Reduction or Exemption system, IA ACCESS, by the time and published Antidumping and for Exporters date noted above. Documents excepted Countervailing Duty Proceedings: 2. Land Rent Reduction or Exemption from the electronic submission Documents Submission Procedures; for Foreign-Invested Enterprises requirements must be filed manually APO Procedures, 73 FR 3634 (January (‘‘FIEs’’) (i.e., in paper form) with the Import 22, 2008). Parties wishing to participate 3. Land Preferences for Enterprises in Administration’s APO/Dockets Unit, in these investigations should ensure Encouraged Industries or Industrial Room 1870, U.S. Department of that they meet the requirements of these Zones procedures (e.g., the filing of letters of 4. Provision of Water LTAR in 3 See, e.g., Supplement to the AD/CVD Petitions appearance as discussed at 19 CFR Industrial Zones at Attachment 3. 351.103(d)).

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Any party submitting factual (xi) 0.10 percent of niobium; being certified to ASTM mechanical information in a CVD proceeding must (xii) 0.41 percent of titanium; tubing specifications: certify to the accuracy and completeness (xiii) 0.15 percent of vanadium; 1.315 inch O.D. and 0.035 inch wall of that information. See section 782(b) (xiv) 0.15 percent of zirconium. thickness (gage 20) of the Act. Parties are hereby reminded Subject pipe is ordinarily made to 1.315 inch O.D. and 0.047 inch wall that revised certification requirements ASTM specifications A53, A135, and thickness (gage 18) are in effect for company/government A795, but can also be made to other 1.315 inch O.D. and 0.055 inch wall officials as well as their representatives specifications. Structural pipe is made thickness (gage 17) 1.315 inch O.D. and 0.065 inch wall in all segments of any AD/CVD primarily to ASTM specifications A252 thickness (gage 16) proceedings initiated on or after March and A500. Standard and structural pipe 1.315 inch O.D. and 0.072 inch wall 14, 2011. See Certification of Factual may also be produced to proprietary Information to Import Administration thickness (gage 15) specifications rather than to industry 1.315 inch O.D. and 0.083 inch wall During Antidumping and specifications. Fence tubing is included Countervailing Duty Proceedings: thickness (gage 14) in the scope regardless of certification to 1.315 inch O.D. and 0.095 inch wall Interim Final Rule, 76 FR 7491 a specification listed in the exclusions (February 10, 2011) (Interim Final Rule) thickness (gage 13) below, and can also be made to the 1.660 inch O.D. and 0.047 inch wall (amending 19 CFR 351.303(g)(1) and ASTM A513 specification. Sprinkler thickness (gage 18) (2)). The formats for the revised pipe is designed for sprinkler fire 1.660 inch O.D. and 0.055 inch wall certifications are provided at the end of suppression systems and may be made thickness (gage 17) the Interim Final Rule. The Department to industry specifications such as ASTM 1.660 inch O.D. and 0.065 inch wall intends to reject factual submissions in A53 or to proprietary specifications. thickness (gage 16) any proceeding segments initiated on or These products are generally made to 1.660 inch O.D. and 0.072 inch wall after March 14, 2011, if the submitting standard O.D. and wall thickness thickness (gage 15) party does not comply with the revised combinations. Pipe multi-stenciled to a 1.660 inch O.D. and 0.083 inch wall certification requirements. standard and/or structural specification thickness (gage 14) This notice is issued and published and to other specifications, such as 1.660 inch O.D. and 0.095 inch wall pursuant to section 777(i) of the Act. American Petroleum Institute (‘‘API’’) thickness (gage 13) Dated: November 15, 2011. API–5L specification, is also covered by 1.660 inch O.D. and 0.109 inch wall Paul Piquado, the scope of these investigations when thickness (gage 12) Assistant Secretary for Import it meets the physical description set 1.900 inch O.D. and 0.047 inch wall Administration. forth above, and also has one or more thickness (gage 18) of the following characteristics: is 32 1.900 inch O.D. and 0.055 inch wall Appendix I feet in length or less; is less than 2.0 thickness (gage 17) Scope of the Investigations inches (50mm) in outside diameter; has 1.900 inch O.D. and 0.065 inch wall a galvanized and/or painted (e.g., thickness (gage 16) These investigations cover welded polyester coated) surface finish; or has 1.900 inch O.D. and 0.072 inch wall carbon-quality steel pipes and tube, of a threaded and/or coupled end finish. thickness (gage 15) circular cross-section, with an outside 1.900 inch O.D. and 0.095 inch wall diameter (‘‘O.D.’’) not more than 16 The scope of these investigations does not include: (a) Pipe suitable for use in thickness (gage 13) inches (406.4 mm), regardless of wall 1.900 inch O.D. and 0.109 inch wall thickness, surface finish (e.g., black, boilers, superheaters, heat exchangers, refining furnaces and feedwater heaters, thickness (gage 12) galvanized, or painted), end finish 2.375 inch O.D. and 0.047 inch wall whether or not cold drawn; (b) finished (plain end, beveled end, grooved, thickness (gage 18) electrical conduit; (c) finished threaded, or threaded and coupled), or 2.375 inch O.D. and 0.055 inch wall scaffolding; 4 (d) tube and pipe hollows industry specification (e.g., American thickness (gage 17) Society for Testing and Materials for redrawing; (e) oil country tubular 2.375 inch O.D. and 0.065 inch wall International (‘‘ASTM’’), proprietary, or goods produced to API specifications; (f) thickness (gage 16) other) generally known as standard line pipe produced to only API 2.375 inch O.D. and 0.072 inch wall pipe, fence pipe and tube, sprinkler specifications; and (g) mechanical thickness (gage 15) pipe, and structural pipe (although tubing, whether or not cold-drawn. 2.375 inch O.D. and 0.095 inch wall subject product may also be referred to However, products certified to ASTM thickness (gage 13) as mechanical tubing). Specifically, the mechanical tubing specifications are not 2.375 inch O.D. and 0.109 inch wall term ‘‘carbon quality’’ includes products excluded as mechanical tubing if they thickness (gage 12) in which: (a) Iron predominates, by otherwise meet the standard sizes (e.g., 2.375 inch O.D. and 0.120 inch wall weight, over each of the other contained outside diameter and wall thickness) of thickness (gage 11) elements; (b) the carbon content is 2 standard, structural, fence and sprinkler 2.875 inch O.D. and 0.109 inch wall percent or less, by weight; and (c) none pipe. Also, products made to the thickness (gage 12) of the elements listed below exceeds the following outside diameter and wall 2.875 inch O.D. and 0.134 inch wall quantity, by weight, as indicated: thickness combinations, which are thickness (gage 10) (i) 1.80 percent of manganese; recognized by the industry as typical for 2.875 inch O.D. and 0.165 inch wall (ii) 2.25 percent of silicon; fence tubing, would not be excluded thickness (gage 8) (iii) 1.00 percent of copper; from the scope based solely on their 3.500 inch O.D. and 0.109 inch wall (iv) 0.50 percent of aluminum; thickness (gage 12) (v) 1.25 percent of chromium; 4 Finished scaffolding is defined as component 3.500 inch O.D. and 0.148 inch wall (vi) 0.30 percent of cobalt; parts of a final, finished scaffolding that enters the thickness (gage 9) (vii) 0.40 percent of lead; United States unassembled as a ‘‘kit.’’ A ‘‘kit’’ is 3.500 inch O.D. and 0.165 inch wall understood to mean a packaged combination of (viii) 1.25 percent of nickel; component parts that contain, at the time of thickness (gage 8) (ix) 0.30 percent of tungsten; importation, all the necessary component parts to 4.000 inch O.D. and 0.148 inch wall (x) 0.15 percent of molybdenum; fully assemble a final, finished scaffolding. thickness (gage 9)

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4.000 inch O.D. and 0.165 inch wall Written comments on this application administration of deuterium oxide via a thickness (gage 8) should be submitted to the Chief, gastric tube followed by serial blood 4.500 inch O.D. and 0.203 inch wall Permits, Conservation and Education sampling to assess energy transfer from thickness (gage 7) Division, at the address listed above. mother to pup during nursing; (5) the The pipe subject to these Comments may also be submitted by addition of a second male (currently a investigations are currently classifiable facsimile to (301) 713–0376, or by email juvenile at ASLC) for breeding purposes; in Harmonized Tariff Schedule of the to [email protected]. and (6) two additional mortalities of United States (‘‘HTSUS’’) statistical Please include the File No. in the captive sea lions for the duration of the reporting numbers 7306.19.1010, subject line of the email comment. permit. 7306.19.1050, 7306.19.5110, Those individuals requesting a public In compliance with the National 7306.19.5150, 7306.30.1000, hearing should submit a written request Environmental Policy Act of 1969 (42 7306.30.5025, 7306.30.5032, to the Chief, Permits, Conservation and U.S.C. 4321 et seq.), an initial 7306.30.5040, 7306.30.5055, Education Division at the address listed determination has been made that the 7306.30.5085, 7306.30.5090, above. The request should set forth the activities proposed are consistent with 7306.50.1000, 7306.50.5050, and specific reasons why a hearing on this the Preferred Alternative in the Final 7306.50.5070. However, the product application would be appropriate. Programmatic Environmental Impact description, and not the HTSUS FOR FURTHER INFORMATION CONTACT: Statement for Steller Sea Lion and classification, is dispositive of whether Amy Sloan or Tammy Adams, (301) Northern Fur Seal Research (NMFS the merchandise imported into the 713–2289. 2007), and that issuance of the permit United States falls within the scope of SUPPLEMENTARY INFORMATION: The would not have a significant adverse the investigations. subject amendment to Permit No. impact on the human environment. [FR Doc. 2011–30158 Filed 11–21–11; 8:45 am] 14334–01 is requested under the Concurrent with the publication of BILLING CODE 3510–DS–P authority of the Marine Mammal this notice in the Federal Register, Protection Act of 1972, as amended (16 NMFS is forwarding copies of this U.S.C. 1361 et seq.), the regulations application to the Marine Mammal DEPARTMENT OF COMMERCE governing the taking and importing of Commission and its Committee of Scientific Advisors. National Oceanic and Atmospheric marine mammals (50 CFR part 216), the Administration Endangered Species Act of 1973, as Dated: November 14, 2011. amended (16 U.S.C. 1531 et seq.), and P. Michael Payne, RIN 0648–XP18 the regulations governing the taking, Chief, Permits, Conservation and Education importing, and exporting of endangered Division, Office of Protected Resources, Marine Mammals; File No. 14334 and threatened species (50 CFR parts National Marine Fisheries Service. AGENCY: National Marine Fisheries 222–226). [FR Doc. 2011–30154 Filed 11–21–11; 8:45 am] Service (NMFS), National Oceanic and Permit No. 14334–01, issued on BILLING CODE 3510–22–P Atmospheric Administration (NOAA), March 21, 2011 (76 FR 18724), Commerce. authorizes the permit holder to ACTION: Notice; receipt of application for investigate reproductive physiology of DEPARTMENT OF COMMERCE permit amendment. adult Steller sea lions (Eumetopias jubatus; permanently captive, eastern United States Patent and Trademark SUMMARY: Notice is hereby given that stock) and survival, growth, and Office the Alaska SeaLife Center (ASLC), 301 physiology of captive-bred offspring. Railway Avenue, Seward, AK 99664 (Dr. They may also deploy biotelemetry Submission for OMB Review; Ian Dutton, Responsible Party), has instruments on the captives to develop Comment Request applied for an amendment to Scientific and validate methods for monitoring The United States Patent and Research Permit No. 14334–01. wild Steller sea lions. The permit Trademark Office (USPTO) will submit DATES: Written, telefaxed, or emailed authorizes four mortalities of captive to the Office of Management and Budget comments must be received on or before animals over the duration of the permit (OMB) for clearance the following December 22, 2011. and two mortalities have occurred to proposal for collection of information ADDRESSES: The application and related date. The permit expires on August 31, under the provisions of the Paperwork documents are available for review by 2014. Reduction Act (44 U.S.C. Chapter 35). selecting ‘‘Records Open for Public The permit holder is requesting the Agency: United States Patent and Comment’’ from the Features box on the permit be amended to allow for the Trademark Office (USPTO). Applications and Permits for Protected following: (1) The addition of a Title: Fastener Quality Act Insignia Species home page, https:// respiratory stimulant drug administered Recordal Process. apps.nmfs.noaa.gov, and then selecting prior to anesthesia (in addition to Form Number(s): PTO–1611. File No. 14334 from the list of available during anesthesia, as currently Agency Approval Number: 0651– applications. permitted) to mitigate breath holding 0028. These documents are also available and decreased heart rate; (2) an increase Type of Request: Revision of a upon written request or by appointment in the number of pups/juveniles currently approved collection. in the following office(s): authorized for research from six to nine, Burden: 24 hours annually. Permits, Conservation and Education to allow for an increased sample size for Number of Respondents: 95 responses Division, Office of Protected Resources, the permitted research due to per year. NMFS, 1315 East-West Highway, Room acquisition of three new females in the Average Hours per Response: The 13705, Silver Spring, MD 20910; phone breeding program; (3) the use of USPTO expects that it will take the (301) 427–8401; fax (301) 713–0376; and additional fecal markers (berries, rice, public approximately 15 minutes (0.25 Alaska Region, NMFS, P.O. Box food coloring, and sesame seeds) to hours) to gather the necessary 21668, Juneau, AK 99802–1668; phone provide individually identifiable fecal information, create the document, and (907) 586–7221; fax (907) 586–7249. samples for hormone analysis; (4) submit the completed request.

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Needs and Uses: Under Section 5 of Dated: November 17, 2011. COMMODITY FUTURES TRADING the Fastener Quality Act of 1999 (FQA), Susan K. Fawcett, COMMISSION 15 U.S.C. 5401 et seq., certain industrial Records Officer, USPTO, Office of the Chief fasteners must bear an insignia Information Officer. Sunshine Act Meetings identifying the manufacturer. It is also [FR Doc. 2011–30063 Filed 11–21–11; 8:45 am] mandatory for manufacturers of TIME AND DATE: 10 a.m., Friday, BILLING CODE 3510–16–P fasteners covered by the FQA to submit December 2, 2011. an application to the USPTO for PLACE: 1155 21st St., NW., Washington, recordal of the insignia on the Fastener DC, 9th Floor Commission Conference Room. Insignia Register. COMMODITY FUTURES TRADING STATUS: Closed. The procedures for the recordal of COMMISSION fastener insignia under the FQA are set MATTERS TO BE CONSIDERED: Surveillance forth in 15 CFR 280.300 et seq. The Sunshine Act Meetings and Enforcement Matters. In the event purpose of requiring both the insignia that the times or dates of these or any and the recordation is to ensure that future meetings change, an TIME AND DATE: 10 a.m., Friday, certain fasteners can be traced to their announcement of the change, along with December 9, 2011. manufacturers and to protect against the the new time and place of the meeting sale of mismarked, misrepresented, or PLACE: 1155 21st St., NW., Washington, will be posted on the Commission’s counterfeit fasteners. DC, 9th Floor Commission Conference Web site at http://www.cftc.gov. The public uses this information Room. CONTACT PERSON FOR MORE INFORMATION: collection to comply with the insignia Sauntia S. Warfield, (202) 418–5084. STATUS: recordal provisions of the FQA. An Closed. Sauntia S. Warfield, applicant may choose to use either the MATTERS TO BE CONSIDERED: Surveillance Assistant Secretary of the Commission. Application for Recordal of Insignia or and Enforcement Matters. In the event Renewal/Reactivation of Recordal that the times or dates of these or any [FR Doc. 2011–30264 Filed 11–18–11; 4:15 pm] Under the Fastener Quality Act (PTO– future meetings change, an BILLING CODE 6351–01–P 1611) or prepare requests for recordal announcement of the change, along with using a separate document that includes the new time and place of the meeting the information required by 15 CFR COMMODITY FUTURES TRADING will be posted on the Commission’s COMMISSION 280.310(b)(1)–(8). Web site at http://www.cftc.gov. The USPTO uses the information in Sunshine Act Meetings this collection to record, renew, or CONTACT PERSON FOR MORE INFORMATION: reactivate insignias under the FAQ and Sauntia S. Warfield, (202) 418–5084. TIME AND DATE: 10 a.m., Friday, to maintain the Fastener Insignia Sauntia S. Warfield, December 2, 2011. Register, which is open to public Assistant Secretary of the Commission. PLACE: 1155 21st St., NW., Washington, inspection. The public may download DC, 9th Floor Commission Conference [FR Doc. 2011–30261 Filed 11–18–11; 4:15 pm] the Fastener Insignia Register from the Room. BILLING CODE 6351–01–P USPTO Web site. STATUS: Closed. Affected Public: Businesses or other MATTERS TO BE CONSIDERED: Surveillance for-profits. and Enforcement Matters. In the event Frequency: On occasion. COMMODITY FUTURES TRADING that the times or dates of these or any Respondent’s Obligation: Required to COMMISSION future meetings change, an obtain or retain benefits. Sunshine Act Meetings announcement of the change, along with OMB Desk Officer: Nicholas A. Fraser, the new time and place of the meeting email: _ _ TIME AND DATE: 10 a.m., Friday, will be posted on the Commission’s Nicholas A. [email protected]. Web site at http://www.cftc.gov. Once submitted, the request will be December 16, 2011. CONTACT PERSON FOR MORE INFORMATION: publicly available in electronic format PLACE: 1155 21st St., NW., Washington, Sauntia S. Warfield, (202) 418–5084. through the Information Collection DC, 9th Floor Commission Conference Review page at http://www.reginfo.gov. Room. Sauntia S. Warfield, Paper copies can be obtained by: Assistant Secretary of the Commission. • STATUS: Closed. Email: [FR Doc. 2011–30265 Filed 11–18–11; 2:37 pm] [email protected]. MATTERS TO BE CONSIDERED: Surveillance BILLING CODE 6351–01–P Include ‘‘0651–0028 copy request’’ in and Enforcement Matters. In the event the subject line of the message. • that the times or dates of these or any Mail: Susan K. Fawcett, Records future meetings change, an COMMODITY FUTURES TRADING Officer, Office of the Chief Information announcement of the change, along with COMMISSION Officer, United States Patent and the new time and place of the meeting Sunshine Act Meetings Trademark Office, P.O. Box 1450, will be posted on the Commission’s Alexandria, VA 22313–1450. Web site at http://www.cftc.gov. Written comments and TIME AND DATE: 10 a.m., Friday, recommendations for the proposed CONTACT PERSON FOR MORE INFORMATION: December 23, 2011. information collection should be sent on Sauntia S. Warfield, (202) 418–5084. PLACE: 1155 21st St., NW., Washington, or before December 22, 2011 to Nicholas DC, 9th Floor Commission Conference A. Fraser, OMB Desk Officer, via email Sauntia S. Warfield, Room. to [email protected], or Assistant Secretary of the Commission. STATUS: Closed. by fax to (202) 395–5167, marked to the [FR Doc. 2011–30262 Filed 11–18–11; 4:15 pm] MATTERS TO BE CONSIDERED: Surveillance attention of Nicholas A. Fraser. BILLING CODE 6351–01–P and Enforcement Matters. In the event

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that the times or dates of these or any DEPARTMENT OF DEFENSE requirements of section 155 of Public future meetings change, an Law 104–164 dated July 21, 1996. announcement of the change, along with Office of the Secretary FOR FURTHER INFORMATION CONTACT: Ms. the new time and place of the meeting B. English, DSCA/DBO/CFM, (703) 601– will be posted on the Commission’s [Transmittal Nos. 11–36] 3740. Web site at http://www.cftc.gov. The following is a copy of a letter to 36(b)(1) Arms Sales Notification the Speaker of the House of CONTACT PERSON FOR MORE INFORMATION: Representatives, Transmittals 11–36 Sauntia S. Warfield, (202) 418–5084. AGENCY: Department of Defense, Defense Security Cooperation Agency. with attached transmittal, policy Sauntia S. Warfield, justification, and Sensitivity of ACTION: Notice. Assistant Secretary of the Commission. Technology. [FR Doc. 2011–30263 Filed 11–18–11; 4:15 pm] SUMMARY: The Department of Defense is Dated: November 17, 2011. BILLING CODE 6351–01–P publishing the unclassified text of a Aaron Siegel, section 36(b)(1) arms sales notification. Alternate OSD Federal Register Liaison This is published to fulfill the Officer, Department of Defense.

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Transmittal No. 11–36 Other ...... $ 25 million 9X–2 SIDEWINDER Block II All-Up- Round Missiles, 8 CATM–9X–2 Captive Notice of Proposed Issuance of Letter of TOTAL ...... $ 52 million Air Training Missiles, 4 CATM–9X–2 Offer Pursuant to Section 36(b)(1) of the Arms Export Control Act, as amended Block II Missile Guidance Units, 2 AIM– (iii) Description and Quantity or 9X–2 Block II Tactical Guidance Units, Quantities of Articles or Services under (i) Prospective Purchaser: Malaysia. 2 Dummy Air Training Missiles, Consideration for Purchase: 20 AIM– (ii) Total Estimated Value: containers, missile support and test equipment, provisioning, spare and * as defined in Section 47(6) of the Arms Export Major Defense Equipment* .. $ 27 million Control Act. repair parts, personnel training and

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training equipment, publications and The prime contractor will be classified up to Secret. Performance and technical data, U.S. Government and Raytheon Missile Systems Company in operating logic of the counter- contractor technical assistance and Tucson, Arizona. There are no known countermeasures circuits are classified other related logistics support. offset agreements in connection with Secret. The hardware, software, and (iv) Military Department: Navy (AAD). this potential sale. data identified are classified to protect (v) Prior Related Cases, if any: None. Implementation of this proposed sale vulnerabilities, design and performance (vi) Sales Commission, Fee, etc., Paid, will require travel of U.S. Government parameters and similar critical Offered, or Agreed to be Paid: None. or contractor representatives to Malaysia information. (vii) Sensitivity of Technology on a temporary basis for program 3. If a technologically advanced Contained in the Defense Article or technical support and management adversary were to obtain knowledge of Defense Services Proposed to be Sold: oversight. See Annex attached. There will be no adverse impact on the specific hardware and software (viii) Date Report Delivered to U.S. defense readiness as a result of this elements, the information could be used Congress: 8 November 2011. proposed sale. to develop countermeasures that might reduce weapon system effectiveness or Policy Justification Transmittal No. 11–36 be used in the development of a system Malaysia—AIM–9X–2 SIDEWINDER Notice of Proposed Issuance of Letter of with similar or advanced capabilities. Missiles Offer Pursuant to Section 36(b)(1) of the [FR Doc. 2011–30092 Filed 11–21–11; 8:45 am] The Government of Malaysia has Arms Export Control Act BILLING CODE 5001–06–P requested a possible sale of 20 AIM–9X– Annex Item No. vii 2 SIDEWINDER Block II All-Up-Round Missiles, 8 CATM–9X–2 Captive Air (vii) Sensitivity of Technology: DEPARTMENT OF DEFENSE Training Missiles, 4 CATM–9X–2 Block 1. The AIM–9X–2 SIDEWINDER Office of the Secretary II Missile Guidance Units, 2 AIM–9X–2 Block II Missile represents a substantial Block II Tactical Guidance Units, 2 increase in missile acquisition and Dummy Air Training Missiles, kinematics performance over the AIM– [Transmittal Nos. 11–40] containers, missile support and test 9M and replaces the AIM–9X–1 Block I equipment, provisioning, spare and missile configuration. The missile 36(b)(1) Arms Sales Notification repair parts, personnel training and includes a high off bore-sight seeker, training equipment, publications and enhanced countermeasure rejection AGENCY: Department of Defense, Defense technical data, U.S. Government and capability, low drag/high angle of attack Security Cooperation Agency. airframe and the ability to integrate the contractor technical assistance and ACTION: Notice. other related logistics support. The Helmet Mounted Cueing System. The software algorithms are the most estimated cost is $52 million. SUMMARY: The Department of Defense is sensitive portion of the AIM–9X–2 This proposed sale will contribute to publishing the unclassified text of a missile. The software continues to be the foreign policy and national security section 36(b)(1) arms sales notification. modified via a pre-planned product of the United States by helping to This is published to fulfill the improvement (P3I) program in order to improve the security of a friendly requirements of section 155 of Public improve its counter-countermeasures country that has been, and continues to Law 104–164 dated July 21, 1996. be, an important force for political capabilities. No software source code or stability and economic progress in East algorithms will be released. FOR FURTHER INFORMATION CONTACT: Ms. Asia. 2. The AIM–9X–2 will result in the B. English, DSCA/DBO/CFM, (703) 601– The Royal Malaysian Air Force is transfer of sensitive technology and 3740. modernizing its fighter aircraft to better information. The equipment, hardware, The following is a copy of a letter to support its own air defense needs. The and documentation are classified the Speaker of the House of proposed sale of AIM–9X–2 missiles Confidential. The software and Representatives, Transmittals 11–40 will enhance Malaysia’s interoperability operational performance are classified with attached transmittal and policy with the U.S. and among other South Secret. The seeker/guidance control justification. East Asian nations, making it a more section and the target detector are valuable partner in an increasingly Confidential and contain sensitive state- Dated: November 17, 2011. important area of the world. of-the-art technology. Manuals and Aaron Siegel, The proposed sale of this weapon technical documentation that are Alternate OSD Federal Register Liaison system will not alter the basic military necessary or support operational use Officer, Department of Defense. balance in the region. and organizational management are BILLING CODE 5001–06–P

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BILLING CODE 5001–06–C Other ...... $74 million Excess Defense Articles (grant EDA Transmittal No. 11–40 notification submitted separately) to TOTAL ...... $74 million include: aircraft ferry, spare and repair Notice of Proposed Issuance of Letter of * as defined in Section 47(6) of the Arms parts, support equipment, personnel Offer Pursuant to Section 36(b)(1) of the Export Control Act. training and training equipment, Arms Export Control Act, as amended publications and technical data, U.S. (iii) Description and Quantity or Government and contractor engineering (i) Prospective Purchaser: Peru. Quantities of Articles or Services under and logistics support services, and other (ii) Total Estimated Value: Consideration for Purchase: related elements of logistics support. modification and refurbishment of two (iv) Military Department: Air Force Major Defense Equipment * .. $ 0 million C–130E aircraft being provided as (SLC).

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(v) Prior Related Cases, if any: None. aging aircraft and enhance its capacity DEPARTMENT OF DEFENSE (vi) Sales Commission, Fee, etc., Paid, to support humanitarian efforts in the Offered, or Agreed to be Paid: None. region. Peru occupies a strategic Office of the Secretary (vii) Sensitivity of Technology location in South America, and the sale Contained in the Defense Article or of refurbishment support for its EDA [Transmittal Nos. 11–41] Defense Services Proposed to be Sold: grant C–130 aircraft will improve Peru’s None. efforts in conducting maritime 36(b)(1) Arms Sales Notification (viii) Date Report Delivered to interdiction operations, improve its Congress: 8 November 2011. ability to execute counter-narcotics and AGENCY: Department of Defense, Defense Policy Justification counterterrorism capabilities, and Security Cooperation Agency. ensure Peru’s overall ability to maintain ACTION: Peru—Refurbishment of Two C–130E the integrity of its borders. Additionally, Notice. Aircraft this transfer will enhance the Peruvian The Government of Peru has Military’s ability to support SUMMARY: The Department of Defense is requested a possible sale for the Humanitarian Assistance and Disaster publishing the unclassified text of a modification and refurbishment of two Relief (HA/DR) efforts. Peru, which section 36(b)(1) arms sales notification. C–130E aircraft being provided as already has C–130 and L–100 aircraft in This is published to fulfill the Excess Defense Articles (grant EDA its inventory, will have no difficulty requirements of section 155 of Public notification submitted separately) to absorbing these additional aircraft into Law 104–164 dated July 21, 1996. include: aircraft ferry, spare and repair its armed forces. FOR FURTHER INFORMATION CONTACT: Ms. parts, support equipment, personnel The proposed sale of this equipment training and training equipment, B. English, DSCA/DBO/CFM, (703) 601– and support will not alter the basic 3740. publications and technical data, U.S. military balance in the region. Government and contractor engineering The prime contractor for the The following is a copy of a letter to and logistics support services, and other refurbishment is undetermined at this the Speaker of the House of related elements of logistics support. time. There are no known offset Representatives, Transmittals 11–41 The estimated cost is $74 million. agreements proposed in connection with attached transmittal and policy This proposed sale will contribute to with this potential sale. justification. the foreign policy and national security Implementation of this proposed sale of the United States by helping to Dated: November 17, 2011. will not require the assignment of any improve the security of a friendly Aaron Siegel, additional U.S. Government and country that has been, and continues to Alternate OSD Federal Register Liaison contractor representatives to Peru. be, a close partner in countering illicit Officer, Department of Defense. There will be no adverse impact on drug trafficking, a force for economic BILLING CODE 5001–06–P progress in South America, and a U.S. defense readiness as a result of this proponent of hemispheric cooperation. proposed sale. This proposed sale will enable the [FR Doc. 2011–30093 Filed 11–21–11; 8:45 am] Peruvian Air Force to modernize its BILLING CODE 5001–06–P

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BILLING CODE 5001–06–C TOTAL ...... $ 100 million Support Services, U.S. Government and Transmittal No. 11–41 contractor technical and logistics (iii) Description and Quantity or personnel services and other related Notice of Proposed Issuance of Letter of Quantities of Articles or Services under elements of program support. Offer Pursuant to Section 36(b)(1) of the Consideration for Purchase: continuing (iv) Military Department: Navy (GGT). Arms Export Control Act, as amended logistics support, contractor (v) Prior Related Cases, if any: (i) Prospective Purchaser: Kuwait. maintenance, and technical services in numerous cases dating back to 1995. (ii) Total Estimated Value: support of the F/A–18 aircraft to include (vi) Sales Commission, Fee, etc., Paid, Contractor Engineering Technical Offered, or Agreed to be Paid: None. Major Defense Equipment * .. $ 0 million Services/Contractor Maintenance Other ...... $ 100 million Services, Hush House Maintenance * as defined in Section 47(6) of the Arms Export Support Services, and Liaison Office Control Act.

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(vii) Sensitivity of Technology DEPARTMENT OF DEFENSE (c) Accessibility to the Meeting Contained in the Defense Article or Defense Services Proposed to be Sold: Office of the Secretary Pursuant to 5 U.S.C. 552b and 41 CFR None. 102–3.140 through 102–3.165, and the Defense Audit Advisory Committee availability of space, this meeting is (viii) Date Report Delivered to (DAAC); Notice of Meeting open to the public. Seating is on a first- Congress: 8 November 2011. come basis. Members of the public who AGENCY: Under Secretary of Defense Policy Justification wish to attend the meeting must contact (Comptroller), Department of Defense Mr. Christopher Hamrick at the number Kuwait—Technical/Logistics Support (DoD). listed in this Federal Register notice no for F/A–18 Aircraft SUMMARY: Under the provisions of the later than noon on Friday, December 2, Federal Advisory Committee Act of 2011, to arrange a Pentagon escort. The Government of Kuwait has 1972 (5 U.S.C., Appendix, as amended), Public attendees are required to arrive at requested a possible sale of continuing the Government in the Sunshine Act of the Pentagon Metro Entrance by 1 p.m. logistics support, contractor 1976 (5 U.S.C. 552b, as amended), and and complete security screening by 1:15 maintenance, and technical services in 41 CFR 102–3.150, the Department of p.m. Security screening requires two support of the F/A–18 aircraft to include Defense announces the following forms of identification: (1) A Contractor Engineering Technical Federal advisory committee meeting of government-issued photo I.D., and (2) Services/Contractor Maintenance the Defense Audit Advisory Committee any type of secondary I.D. which Services, Hush House Maintenance (DAAC) will be held. verifies the individual’s name (i.e. debit Support Services, and Liaison Office DATES: Friday, December 9, 2011 card, credit card, work badge, social Support Services, U.S. Government and beginning at 2 p.m. and ending at 4 p.m. security card). Special contractor technical and logistics ADDRESSES: Pentagon, Room 3E754, Accommodations: Individuals requiring personnel services and other related Washington, DC (escort required, see special accommodation to access the elements of program support. The SUPPLEMENTARY INFORMATION). public meeting should contact Mr. estimated cost is $100 million. Hamrick at least five business days prior FOR FURTHER INFORMATION CONTACT: The to the meeting to ensure appropriate This proposed sale will contribute to Committee’s Designated Federal Officer arrangements can be made. the foreign policy and national security (DFO) is Sandra Gregory, Office of the of the United States by helping to Under Secretary of Defense (d) Procedures for Providing Written improve the security of a friendly (Comptroller) (OUSD(C)), 1100 Defense Comments country which has been, and continues Pentagon, Room 3D150, Washington, DC Pursuant to 41 CFR 102–3.105(j) and to be, an important force for political 20301–1100, [email protected], 102–3.140, and section 10(a)(3) of the stability and economic progress in the (703) 614–3310. For meeting Federal Advisory Committee Act of information please contact Christopher Middle East. 1972, the public or interested Hamrick, OUSD(C), 1100 Defense The Government of Kuwait needs this organizations may submit written Pentagon, Room 3D150, Washington, DC logistics support, contractor comments to the Committee about its 20301–1100, maintenance, and technical services to mission and topics pertaining to this [email protected], (703) public session. maintain the operational capabilities of 614–4819. its aircraft. Written comments are accepted until SUPPLEMENTARY INFORMATION: The contractor maintenance and the date of the meeting, however, training technical services will not alter (a) Purpose written comments should be received by the basic military balance in the region. The mission of the DAAC is to the Designated Federal Officer at least five business days prior to the meeting The principal contractors will be The provide the Secretary of Defense, date so that the comments may be made Boeing Company in St. Louis, Missouri; through the Under Secretary of Defense available to the Committee members for Kay and Associates in Buffalo Grove, (Comptroller)/Chief Financial Officer, independent advice and their consideration prior to the meeting. Illinois; Industrial Acoustics Company Written comments should be submitted in Winchester, United Kingdom; and recommendations on DoD financial management to include financial to the Designated Federal Officer listed General Dynamics in Fairfax, Virginia. in this notice. Email submissions should There are no known offset agreements reporting processes, systems of internal controls, audit processes, and processes be in one of the following formats proposed in connection with this (Adobe Acrobat, WordPerfect, or Word potential sale. for monitoring compliance with relevant laws and regulations. format). Implementation of this proposed sale Please note: since the committee will not require the assignment of any (b) Agenda operates under the provisions of the U.S. Government or contractor 2 p.m. Opening Remarks Federal Advisory Committee Act, as representatives to Kuwait. 2:15 p.m. Comments from Under amended, all written comments will be There will be no adverse impact on Secretary of Defense (Comptroller) treated as public documents and will be U.S. defense readiness as a result of this 2:45 p.m. 13 Oct Secretary of Defense made available for public inspection, up proposed sale. Memorandum to and including being posted on the OUSD(C) Web site. [FR Doc. 2011–30094 Filed 11–21–11; 8:45 am] 3:15 p.m. Overview of the November Dated: November 17, 2011. BILLING CODE 5001–06–P Financial Improvement and Audit Readiness Plan Status Report Aaron Siegel, 3:30 p.m. Proposed DoD Financial Alternate OSD Federal Register Liaison Management Professional Officer, Department of Defense. Certification [FR Doc. 2011–30130 Filed 11–21–11; 8:45 am] 3:45 p.m. Conclusion BILLING CODE 5001–06–P

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DEPARTMENT OF DEFENSE CA 95814. Please refer to Identification to provide oral and written comments Number SPK–2005–00938 in any on the Westbrook project through the Department of the Army; Corps of correspondence. EIS drafting process. Affected federal, Engineers FOR FURTHER INFORMATION CONTACT: Mr. state, and local agencies, Indian tribes, James T. Robb, (916) 557–7610, email: and other interested private Intent To Prepare an Environmental organizations and parties are invited to Impact Statement for the Proposed DLL–CESPK–RD–EIS– [email protected]. participate. Significant issues to be Westbrook Project, Corps Permit analyzed in depth in the EIS include Application Number SPK–2005–00938 SUPPLEMENTARY INFORMATION: Interested impacts to waters of the United States, parties are invited to submit written AGENCY: Department of the Army, U.S. including vernal pools and other comments on the permit application on wetlands; agricultural resources; Army Corps of Engineers, DOD. or before November 14, 2011. Scoping ACTION: Notice of intent. cultural resources; threatened and comments should be submitted within endangered species; transportation; air the next 45 days, but may be submitted SUMMARY: The U.S. Army Corps of quality; surface water and groundwater; at any time prior to publication of the Engineers, Sacramento District, (Corps) hydrology and water quality; Draft EIS. received a Department of the Army The USACE will evaluate alternatives socioeconomic effects; and aesthetics. The applicant reports that the project permit application from Westpark S.V. including the no action alternative, the area supports suitable habitat for certain 400, LLC (Applicant) to fill proposed action alternative, and other federally listed branchiopods, including approximately 9.6 acres of waters of the on-site and off-site alternatives. No the threatened vernal pool fairy shrimp United States to construct the proposed project alternatives have been defined to (Branchinecta lynchi) and endangered Westbrook Project in Placer County, CA, date. The proposed project and the Conservancy fairy shrimp (Branchinecta in June 2011. The Corps, as the lead alternatives to its proposed size, design, conservatio) and vernal pool tadpole agency responsible for compliance with and location will be developed through shrimp (Lepidurus packardi). The the National Environmental Policy Act the EIS process. (NEPA), determined that the proposed The proposed project would result in suitable habitat for branchiopods within project may result in significant impacts direct impacts to approximately 9.6 the project area includes vernal pools to the environment, and that the acres of waters of the United States and and depressional seasonal wetlands preparation of an Environmental Impact would avoid approximately 2.9 acres of (including depressional areas within Statement (EIS) is required. these waters of the United States. wetland swales). The Applicant proposes to implement Waters of the U.S. on-site include two The Applicant reports that there are a moderate scale, mixed-use, mixed- intermittent streams, seasonal wetlands, historic properties within the Westbrook density master planned community. The wetland swales, and vernal pools. project area. The Corps will review this Westbrook Project, as proposed, would The proposed site for the Westbrook information, determine eligibility and include a mixture of land uses, community is in unincorporated Placer initiate the appropriate state and tribal including new residential County, CA, immediately west of the consultations as required under Section neighborhoods, elementary school, City of Roseville’s existing city limits. 106 of the NHPA as outlined in the parks and several neighborhood serving The proposed project site is Corps’ Interim Guidance to 33 CFR part retail centers. The Westbrook Project approximately 6 miles west of Interstate 325 Appendix C. would involve approximately 146 acres 80 and State Route 65, 10 miles It is anticipated that the Draft EIS will of low-density residential, 84 acres of northeast of the City of Sacramento, 10 be made available to the public between medium-density residential 28 acres miles east of State Route 99, 5 miles November 2012 and May 2013. high-density residential and 43 acres of west of downtown Roseville, and 4 commercial land uses. Other proposed Brenda S. Bowen, miles east of the Sutter County line. The Army Federal Register Liaison Officer. land uses include a 10-acre elementary proposed project site is bordered on the [FR Doc. 2011–30088 Filed 11–21–11; 8:45 am] school site, approximately 16 acres for west by Fiddyment Road and is three neighborhood parks, and approximately 1.2 miles north of BILLING CODE 3720–58–P approximately 37 acres of open space Baseline Road. The property to the for the preservation of natural resources north was previously authorized for areas. development under permit SPK–2002– DEPARTMENT OF EDUCATION The proposed project site is 00666 (Westpark/Fiddyment Ranch) or approximately 400 acres and contains Notice of Proposed Information is under review in the case of Creekview Collection Requests approximately 13 acres of waters of the (SPK–2006–00650). The property to the United States. The project, as proposed, south, directly adjacent to Baseline AGENCY: Department of Education. would result in direct impacts to Road, is currently under review (Sierra ACTION: Comment request. approximately 9.6 acres of waters of the Vista Specific Plan, SPK–2006–01050 United States. These acreages do not and Placer Vineyards, SPK–1999– SUMMARY: The Department of Education include indirect impacts from the 00737). The proposed project site was (the Department), in accordance with proposed action or impacts anticipated once a part of the Sierra Vista Specific the Paperwork Reduction Act of 1995 to result from offsite infrastructure that Plan area, but the landowners at the (PRA) (44 U.S.C. 3506(c)(2)(A)), may be determined to be required as time withdrew their application for a provides the general public and Federal part of the project through the Section 404 permit and the area was agencies with an opportunity to Environmental Impact Statement (EIS) dropped from analysis under the Sierra comment on proposed and continuing process. Vista EIS in 2008. A new permit collections of information. This helps ADDRESSES: To submit comments on application was received for the the Department assess the impact of its this notice or for questions about the proposed Westbrook project on June 9, information collection requirements and proposed action and the Draft EIS, 2011. minimize the reporting burden on the please contact James T. Robb, 650 The Corps’ public involvement public and helps the public understand Capitol Mall, Room 5–200, Sacramento, program includes several opportunities the Department’s information collection

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requirements and provide the requested Total Estimated Number of Annual DATES: Interested persons are invited to data in the desired format. The Director, Responses: 80. submit comments on or before January Information Collection Clearance Total Estimated Annual Burden 23, 2012. Division, Privacy, Information and Hours: 320. ADDRESSES: Comments regarding burden Records Management Services, Office of Abstract: The Rehabilitative Service and/or the collection activity Management, invites comments on the Administration (RSA)–2 collects requirements should be electronically proposed information collection expenditure and service data from State mailed to [email protected] or requests as required by the Paperwork vocational rehabilitation agencies under mailed to U.S. Department of Education, Reduction Act of 1995. Title I of the Rehabilitation Act of 1973, 400 Maryland Avenue SW., LBJ, DATES: Interested persons are invited to as amended in order for the RSA to Washington, DC 20202–4537. Please submit comments on or before January manage, administer, and evaluate note that written comments received in 23, 2012. vocational rehabilitation programs. response to this notice will be Copies of the proposed information ADDRESSES: considered public records. Comments regarding burden collection request may be accessed from and/or the collection activity SUPPLEMENTARY INFORMATION: Section http://edicsweb.ed.gov, by selecting the 3506 of the Paperwork Reduction Act of requirements should be electronically ‘‘Browse Pending Collections’’ link and mailed to [email protected] or 1995 (44 U.S.C. Chapter 35) requires by clicking on link number 4753. When that Federal agencies provide interested mailed to U.S. Department of Education, you access the information collection, 400 Maryland Avenue SW, LBJ, parties an early opportunity to comment click on ‘‘Download Attachments’’ to on information collection requests. The Washington, DC 20202–4537. Please view. Written requests for information note that written comments received in Director, Information Collection should be addressed to U.S. Department Clearance Division, Regulatory response to this notice will be of Education, 400 Maryland Avenue considered public records. Information Management Services, SW., LBJ, Washington, DC 20202–4537. Office of Management, publishes this SUPPLEMENTARY INFORMATION: Section Requests may also be electronically 3506 of the Paperwork Reduction Act of notice containing proposed information mailed to [email protected] or faxed collection requests at the beginning of 1995 (44 U.S.C. chapter 35) requires that to (202) 401–0920. Please specify the Federal agencies provide interested the Departmental review of the complete title of the information information collection. The Department parties an early opportunity to comment collection and OMB Control Number on information collection requests. The of Education is especially interested in when making your request. public comment addressing the Director, Information Collection Individuals who use a Clearance Division, Regulatory following issues: (1) Is this collection telecommunications device for the deaf necessary to the proper functions of the Information Management Services, (TDD) may call the Federal Information Office of Management, publishes this Department; (2) will this information be Relay Service (FIRS) at 1–800–877– processed and used in a timely manner; notice containing proposed information 8339. collection requests at the beginning of (3) is the estimate of burden accurate; [FR Doc. 2011–30132 Filed 11–21–11; 8:45 am] (4) how might the Department enhance the Departmental review of the BILLING CODE 4000–01–P information collection. The Department the quality, utility, and clarity of the of Education is especially interested in information to be collected; and (5) how might the Department minimize the public comment addressing the DEPARTMENT OF EDUCATION following issues: (1) Is this collection burden of this collection on the necessary to the proper functions of the Notice of Proposed Information respondents, including through the use Department; (2) will this information be Collection Requests of information technology. processed and used in a timely manner; Dated: November 17, 2011. AGENCY: Department of Education. (3) is the estimate of burden accurate; Darrin King, (4) how might the Department enhance ACTION: Comment Request. Director, Information Collection Clearance the quality, utility, and clarity of the Division, Privacy, Information and Records SUMMARY: The Department of Education information to be collected; and (5) how Management Services, Office of Management. (the Department), in accordance with might the Department minimize the the Paperwork Reduction Act of 1995 Office of Elementary and Secondary burden of this collection on the (PRA) (44 U.S.C. 3506(c)(2)(A)), Education respondents, including through the use provides the general public and Federal of information technology. Type of Review: Extension. agencies with an opportunity to Title of Collection: Impact Aid Dated: November 17, 2011. comment on proposed and continuing Application for Section 8002 Darrin King, collections of information. This helps Assistance. Director, Information Collection Clearance the Department assess the impact of its OMB Control Number: 1810–0036. Division, Privacy, Information and Records information collection requirements and Agency Form Number(s): N/A. Management Services, Office of Management. minimize the reporting burden on the Frequency of Responses: Annually. Office of Special Education and public and helps the public understand Affected Public: State, Local or Tribal Rehabilitative Services the Department’s information collection Government. requirements and provide the requested Total Estimated Number of Annual Type of Review: Revision. data in the desired format. The Director, Responses: 250. Title of Collection: Annual Vocational Information Collection Clearance Total Estimated Annual Burden Rehabilitation Program/Cost Report. Division, Privacy, Information and Hours: 1,625. OMB Control Number: 1820–0017. Records Management Services, Office of Abstract: The U.S. Department of Agency Form Number(s): RSA–2. Management, Office of Management, Education (ED) is requesting approval Frequency of Responses: Annually. invites comments on the proposed for the Application for Assistance under Affected Public: Business or other for- information collection requests as Section 8002 of Title VIII of the profit; State, Local or Tribal required by the Paperwork Reduction Elementary and Secondary Education Government. Act of 1995. Act. This application is for a grant

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program otherwise known as Impact DATES: Interested persons are invited to least four years within eight years of Aid Payments for Federal Property. submit comments on or before January completing the program for which the Local Educational Agencies that have 23, 2012. TEACH Grant was awarded. The lost taxable property due to Federal ADDRESSES: Comments regarding burden TEACH Grant program regulations are activities request financial assistance by and/or the collection activity required to ensure accountability of the completing an annual application. requirements should be electronically program participants, both institutions Regulations for Section 8002 of the mailed to [email protected] or and student recipients, for proper Impact Aid Program are found at 34 CFR mailed to U.S. Department of Education, program administration, to determine 222, Subpart B. ED is requesting 400 Maryland Avenue SW., LBJ, eligibility to receive program benefits renewal of its three-year clearance Washington, DC 20202–4537. Please and to prevent fraud and abuse of under the same collection number. note that written comments received in program funds. The regulations include Copies of the proposed information response to this notice will be both recordkeeping and reporting collection request may be accessed from considered public records. requirements. The recordkeeping by the http://edicsweb.ed.gov, by selecting the SUPPLEMENTARY INFORMATION: Section school allows for review of compliance ‘‘Browse Pending Collections’’ link and 3506 of the Paperwork Reduction Act of with the regulations during on-site by clicking on link number 4726. When 1995 (44 U.S.C. Chapter 35) requires institution reviews. The Department you access the information collection, that Federal agencies provide interested uses the required reporting to allow for click on ‘‘Download Attachments’’ to parties an early opportunity to comment close-out of institutions that are no view. Written requests for information on information collection requests. The longer participating or who lose should be addressed to U.S. Department Director, Information Collection eligibility to participate in the program. of Education, 400 Maryland Avenue Clearance Division, Regulatory Copies of the proposed information SW., LBJ, Washington, DC 20202–4537. Information Management Services, collection request may be accessed from Requests may also be electronically Office of Management, publishes this http://edicsweb.ed.gov, by selecting the mailed to [email protected] or faxed notice containing proposed information ‘‘Browse Pending Collections’’ link and to (202) 401–0920. Please specify the collection requests at the beginning of by clicking on link number 4752. When complete title of the information the Departmental review of the you access the information collection, collection and OMB Control Number information collection. The Department click on ‘‘Download Attachments’’ to when making your request. of Education is especially interested in view. Written requests for information should be addressed to U.S. Department Individuals who use a public comment addressing the following issues: (1) Is this collection of Education, 400 Maryland Avenue telecommunications device for the deaf SW., LBJ, Washington, DC 20202–4537. (TDD) may call the Federal Information necessary to the proper functions of the Department; (2) will this information be Requests may also be electronically Relay Service (FIRS) at 1–800–877– mailed to [email protected] or faxed 8339. processed and used in a timely manner; (3) is the estimate of burden accurate; to (202) 401–0920. Please specify the [FR Doc. 2011–30136 Filed 11–21–11; 8:45 am] (4) how might the Department enhance complete title of the information BILLING CODE 4000–01–P the quality, utility, and clarity of the collection and OMB Control Number information to be collected; and (5) how when making your request. Individuals who use a might the Department minimize the DEPARTMENT OF EDUCATION telecommunications device for the deaf burden of this collection on the (TDD) may call the Federal Information respondents, including through the use Notice of Proposed Information Relay Service (FIRS) at 1–800–877– of information technology. Collection Requests 8339. Dated: November 17, 2011. [FR Doc. 2011–30135 Filed 11–21–11; 8:45 am] AGENCY: Department of Education. Darrin King, BILLING CODE 4000–01–P ACTION: Comment Request. Director, Information Collection Clearance Division, Privacy, Information and Records Management Services, Office of Management. SUMMARY: The Department of Education DEPARTMENT OF EDUCATION Federal Student Aid (the Department), in accordance with Notice of Submission for OMB Review the Paperwork Reduction Act of 1995 Type of Review: Extension. (PRA) (44 U.S.C. 3506(c)(2)(A)), Title of Collection: Teacher Education AGENCY: Department of Education. provides the general public and Federal Assistance for College and Higher ACTION: Comment Request. agencies with an opportunity to Education Grant (TEACH) Eligibility SUMMARY: comment on proposed and continuing Regulations. The Director, Information collections of information. This helps OMB Control Number: 1845–0084. Collection Clearance Division, Privacy, the Department assess the impact of its Agency Form Number(s): N/A. Information and Records Management information collection requirements and Total Estimated Number of Annual Services, Office of Management, invites minimize the reporting burden on the Responses: 233,276. comments on the submission for OMB public and helps the public understand Total Estimated Annual Burden review as required by the Paperwork the Department’s information collection Hours: 32,739. Reduction Act of 1995 (Pub. L. 104–13). requirements and provide the requested Abstract: The Teacher Education DATES: Interested persons are invited to data in the desired format. The Director, Assistance for College and Higher submit comments on or before Information Collection Clearance Education (TEACH) Grant program is a December 22, 2011. Division, Privacy, Information and non-need-based grant program that ADDRESSES: Written comments should Records Management Services, Office of provides up to $4,000 per year to be addressed to the Office of Management, invites comments on the students who are enrolled in an eligible Information and Regulatory Affairs, proposed information collection program and who agree to teach in a Attention: Education Desk Officer, requests as required by the Paperwork high-need field, at a low-income Office of Management and Budget, 725 Reduction Act of 1995. elementary or secondary school for at 17th Street, NW., Room 10222, New

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Executive Office Building, Washington, fund a coordinating center to support pursuant to section 4(f) of the Federal DC 20503, be faxed to (202) 395–5806 or these TPSID grantees as well as other Power Act (FPA), proposing to study the emailed to programs around the country that are feasibility of the Susitna-Watana [email protected] with a working to transition students with Hydroelectric Project (project) to be cc: to [email protected]. Please note cognitive disabilities into higher located on the Susitna River, near that written comments received in education. One of the Coordinating Cantwell, in Matanuska-Susitna response to this notice will be Center’s roles is to develop an Borough, Alaska. The sole purpose of a considered public records. evaluation system for the TPSID preliminary permit, if issued, is to grant SUPPLEMENTARY INFORMATION: Section programs. The proposed data collection the permit holder priority to file a 3506 of the Paperwork Reduction Act of system is part of that evaluation effort license application during the permit 1995 (44 U.S.C. Chapter 35) requires and involves establishment of a uniform term. A preliminary permit does not that the Office of Management and dataset across the initial 27 sites (and authorize the permit holder to perform Budget (OMB) provide interested potentially up to 31 additional IHEs) to any land-disturbing activities or Federal agencies and the public an early ensure consistency in collection of otherwise enter upon lands or waters opportunity to comment on information information comprised by the owned by others without the owners’ collection requests. The OMB is previously listed 11 Government express permission. particularly interested in comments Performance and Results Act measures. The proposed project would consist of which: (1) Evaluate whether the The system will collect program data at the following: (1) A 700-foot-high, either proposed collection of information is the institution and individual level from 2,500-foot-long concrete faced, necessary for the proper performance of TPSID program staff via an online, rockfilled, or 2,630-foot-long roller the functions of the agency, including secure, data management system. compacted concrete or earth core rockfilled dam; (2) a reservoir with whether the information will have Copies of the information collection normal surface area of 22,500 acres and practical utility; (2) Evaluate the submission for OMB review may be 2,500,000 acre-feet of usable storage accuracy of the agency’s estimate of the accessed from the RegInfo.gov Web site capacity at elevation 2000 feet mean sea burden of the proposed collection of at http://www.reginfo.gov/public/do/ level; (3) three intakes at invert information, including the validity of PRAMain or from the Department’s Web elevation of 1,800 feet equipped with the methodology and assumptions used; site at http://edicsweb.ed.gov, by three 18-foot-wide by 28-foot-high fixed (3) Enhance the quality, utility, and selecting the ‘‘Browse Pending wheel intake gates with trashracks; (4) a clarity of the information to be Collections’’ link and by clicking on 36-foot-diameter, 3,700-foot-long collected; and (4) Minimize the burden link number 4706. When you access the information collection, click on diversion tunnel to be used during of the collection of information on those construction; (5) three turbine/generator who are to respond, including through ‘‘Download Attachments ‘‘to view. Written requests for information should units with a total capacity of 600 the use of appropriate automated, megawatts; (6) a 1,500-foot-long tailrace electronic, mechanical, or other be addressed to U.S. Department of Education, 400 Maryland Avenue SW., tunnel; (7) a 24-foot-wide gravel road technological collection techniques or from either the existing Denali Highway other forms of information technology. LBJ, Washington, DC 20202–4537. Requests may also be electronically or from a road spur leading off the Dated: November 16, 2011. mailed to the Internet address railroad at Gold Creek or Chulitna rail Darrin King, [email protected] or faxed to (202) stops along the Alaska Railroad; (8) three 230-kilovolt transmission lines, Director, Information Collection Clearance 401–0920. Please specify the complete each either 35 to 39 miles or 65 miles Division, Privacy, Information and Records title of the information collection and Management Services, Office of Management. in length, connecting to either the OMB Control Number when making existing Anchorage-Fairbanks Intertie Office of Postsecondary Education your request. near Gold Creek, Chulitna, or Cantwell Individuals who use a Type of Review: New. along the Denali Highway; and (9) telecommunications device for the deaf Title of Collection: Transition and appurtenant facilities. The estimated (TDD) may call the Federal Information Postsecondary Programs for Students annual generation of the project would Relay Service (FIRS) at 1–800–877– with Intellectual Disabilities Evaluation be 2,600 gigawatt-hours. System. 8339. Applicant Contact: Ms. Sara Fisher- OMB Control Number: Pending. [FR Doc. 2011–30134 Filed 11–21–11; 8:45 am] Goad, Executive Director, Alaska Energy Agency Form Number(s): N/A. BILLING CODE 4000–01–P Authority, 813 West Northern Light Frequency of Responses: Annually. Boulevard, Anchorage, AK 99503; Affected Public: Not-for-Profit phone: (907) 771–3000. Institutions. DEPARTMENT OF ENERGY FERC Contact: Kim Nguyen; phone: Total Estimated Number of Annual (202) 502–6105. Responses: 56. Federal Energy Regulatory Deadline for filing comments, motions Total Estimated Annual Burden Commission to intervene, competing applications Hours: 1087. (without notices of intent), or notices of Abstract: On October 2010, the Office [Project No. 14241–001] intent to file competing applications: 60 of Postsecondary Education (OPE) Alaska Energy Authority; Notice of days from the issuance of this notice. awarded 27 Institutes of Higher Preliminary Permit Application Competing applications and notices of Education (IHE) grants to fund the Accepted for Filing and Soliciting intent must meet the requirements of 18 creation of Transition Programs for Comments, Motions To Intervene, and CFR 4.36. Comments, motions to Students with Intellectual Disabilities Competing Applications intervene, notices of intent, and (TPSIDs) (model demonstrations) in 23 competing applications may be filed states. On October 27, 2011, and electronically via the Internet. See 18 OPE also awarded a grant to the supplemented on November 11, 2011, CFR 385.2001(a)(1)(iii) and the Institute for Community Inclusion at the the Alaska Energy Authority filed an instructions on the Commission’s Web University of Massachusetts Boston to application for a preliminary permit, site http://www.ferc.gov/docs-filing/

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efiling.asp. Commenters can submit call (866) 208–3676 or TTY, (202) 502– consider these comments in brief comments up to 6,000 characters, 8659. determining the appropriate action to be without prior registration, using the Any questions regarding this taken, but the filing of a comment alone eComment system at http:// application should be directed to M.L. will not serve to make the filer a party www.ferc.gov/docs-filing/ Gutierrez, Director, Regulatory Affairs, to the proceeding. The Commission’s ecomment.asp. You must include your Gulf South Pipeline Company, LP, 9 rules require that persons filing name and contact information at the end Greenway Plaza, Suite 2800, Houston, comments in opposition to the project of your comments. For assistance, Texas 77046, or by calling (713) 479– provide copies of their protests only to please contact FERC Online Support at 8252 (telephone) or (713) 479–1745 the party or parties directly involved in [email protected] or toll (fax), [email protected]. the protest. free at 1–866–208–3676, or for TTY, Pursuant to Section 157.9 of the Persons who wish to comment only (202) 502–8659. Although the Commission’s rules, 18 CFR 157.9, on the environmental review of this Commission strongly encourages within 90 days of this Notice the project should submit an original and electronic filing, documents may also be Commission staff will either: complete two copies of their comments to the paper-filed. To paper-file, mail an its environmental assessment (EA) and Secretary of the Commission. original and seven copies to: Kimberly place it into the Commission’s public Environmental commenters will be D. Bose, Secretary, Federal Energy record (eLibrary) for this proceeding, or placed on the Commission’s Regulatory Commission, 888 First Street issue a Notice of Schedule for environmental mailing list, will receive NE., Washington, DC 20426. Environmental Review. If a Notice of copies of the environmental documents, Schedule for Environmental Review is More information about this project, and will be notified of meetings issued, it will indicate, among other including a copy of the application, can associated with the Commission’s milestones, the anticipated date for the be viewed or printed on the ‘‘eLibrary’’ environmental review process. Commission staff’s issuance of the final link of Commission’s Web site at Environmental commenters will not be environmental impact statement (FEIS) http://www.ferc.gov/docs-filing/ required to serve copies of filed or EA for this proposal. The filing of the elibrary.asp. Enter the docket number documents on all other parties. EA in the Commission’s public record (P–14214–001) in the docket number However, the non-party commenters for this proceeding or the issuance of a field to access the document. For will not receive copies of all documents Notice of Schedule for Environmental assistance, contact FERC Online filed by other parties or issued by the Review will serve to notify federal and Support. Commission (except for the mailing of state agencies of the timing for the environmental documents issued by the Dated: November 16, 2011. completion of all necessary reviews, and Commission) and will not have the right Kimberly D. Bose, the subsequent need to complete all to seek court review of the federal authorizations within 90 days of Secretary. Commission’s final order. the date of issuance of the Commission [FR Doc. 2011–30128 Filed 11–21–11; 8:45 am] Motions to intervene, protests and BILLING CODE 6717–01–P staff’s FEIS or EA. There are two ways to become comments may be filed electronically involved in the Commission’s review of via the internet in lieu of paper; see, 18 CFR 385.2001(a) (1) (iii) and the DEPARTMENT OF ENERGY this project. First, any person wishing to obtain legal status by becoming a party instructions on the Commission’s Web Federal Energy Regulatory to the proceedings for this project site under the ‘‘e-Filing’’ link. The Commission should, on or before the comment date Commission strongly encourages stated below, file with the Federal electronic filings. Comment Date: December 7, 2011. [Docket No. CP12–16–000] Energy Regulatory Commission, 888 First Street NE., Washington, DC 20426, Dated: November 16, 2011. Gulf South Pipeline Company, LP; a motion to intervene in accordance Kimberly D. Bose, Notice of Application with the requirements of the Secretary. Commission’s Rules of Practice and [FR Doc. 2011–30127 Filed 11–21–11; 8:45 am] Take notice that on November 7, Procedure (18 CFR 385.214 or 385.211) 2011, Gulf South Pipeline Company, LP and the Regulations under the NGA (18 BILLING CODE 6717–01–P (Gulf South), filed in Docket No. CP12– CFR 157.10). A person obtaining party 16–000, an application pursuant to status will be placed on the service list DEPARTMENT OF ENERGY section 7(b) of the Natural Gas Act maintained by the Secretary of the (NGA) and Part 157 of the Commission’s Commission and will receive copies of Federal Energy Regulatory regulations, requesting authorization to all documents filed by the applicant and Commission abandon by sale to the City of Pensacola by all other parties. A party must submit d/b/a Energy Services of Pensacola 14 copies of filings made with the Combined Notice of Filings (ESP) approximately 34.39 miles of Commission and must mail a copy to mainline, lateral, and appurtenant the applicant and to every other party in Take notice that the Commission has facilities off of its Index 301 at the end the proceeding. Only parties to the received the following Natural Gas of its interstate system in Florida, all as proceeding can ask for court review of Pipeline Rate and Refund Report filings: more fully set forth in the application Commission orders in the proceeding. Filings Instituting Proceedings which is on file with the Commission However, a person does not have to and open to public inspection. This intervene in order to have comments Docket Numbers: RP12–142–000. filing may also be viewed on the considered. The second way to Applicants: CenterPoint Energy Gas Commission’s Web site at http://www. participate is by filing with the Transmission Company, LLC. ferc.gov using the ‘‘eLibrary’’ link. Enter Secretary of the Commission, as soon as Description: Housekeeping Filing— the docket number, excluding the last possible, an original and two copies of Nov 2011 to be effective 1/1/2012. three digits, in the docket number field comments in support of or in opposition Filed Date: 11/10/2011. to access the document. For assistance, to this project. The Commission will Accession Number: 20111110–5043.

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Comment Date: 5 p.m. ET on 11/22/ Accession Number: 20111114–5379. DEPARTMENT OF ENERGY 2011. Comment Date: 5 p.m. ET on 11/28/ Docket Numbers: RP12–143–000. 2011. Federal Energy Regulatory Commission Applicants: Southern Natural Gas Docket Numbers: RP12–150–000. Company, L.L.C. Applicants: Eastern Shore Natural Gas Combined Notice of Filings #1 Description: Misc Compliance Filing 3 Company. (Res Charge Credit) to be effective 10/ Description: Storage Tracker 11–2011 Take notice that the Commission 20/2011. to be effective 11/1/2011. received the following electric corporate Filed Date: 11/10/2011. Filed Date: 11/14/2011. filings: Accession Number: 20111110–5130. Accession Number: 20111114–5411. Docket Numbers: EC12–27–000. Comment Date: 5 p.m. ET on 11/22/ Applicants: Dynegy Danskammer, 2011. Comment Date: 5 p.m. ET on 11/28/ 2011. L.L.C., Dynegy Roseton, L.L.C. Docket Numbers: RP12–144–000. Description: Dynegy Danskammer, Applicants: Tennessee Gas Pipeline Docket Numbers: RP12–151–000. L.L.C. and Dynegy Roseton, L.L.C., Company, L.L.C. Applicants: Discovery Gas Application For Approval Under Description: TGP Name Change to Transmission LLC. Section 203 of the Federal Power Act TGP LLC to be effective 11/10/2011. Description: 2012 HMRE Filing to be and Request for Shortened Notice Filed Date: 11/10/2011. effective 1/1/2012. Period and Expedited Consideration. Accession Number: 20111110–5158. Filed Date: 11/15/2011. Filed Date: 11/08/2011. Comment Date: 5 p.m. ET on 11/22/ Accession Number: 20111115–5052. Accession Number: 20111108–5156. 2011. Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. ET on 11/29/ Docket Numbers: RP12–145–000. on Monday, November 28, 2011. 2011. Applicants: TransColorado Gas Any person desiring to intervene or Take notice that the Commission Transmission Company LLC. protest in any of the above proceedings received the following electric rate Description: 2011–11–11 Fuel Gas must file in accordance with Rules 211 filings: Reimbursement to be effective 12/12/ and 214 of the Commission’s Docket Numbers: ER11–3262–005. 2011 under RP12–145 Filing Type: 570. Regulations (18 CFR 385.211 and Applicants: Trans Bay Cable LLC. Filed Date: 11/14/2011. 385.214) on or before 5 p.m. Eastern Description: Compliance Filing to Accession Number: 20111114–5016. time on the specified comment date. Supersede Paper Filing and 4–8 Tariff to Comment Date: 5 p.m. ET on 11/28/ Protests may be considered, but be effective 4/8/2011. 2011. intervention is necessary to become a Filed Date: 11/08/2011. Docket Numbers: RP12–146–000. party to the proceeding. Accession Number: 20111108–5041. Applicants: Mojave Pipeline Comment Date: 5 p.m. ET on 11/29/ Filings in Existing Proceedings Company, LLC. 2011. Description: EBB Notice Categories to Docket Numbers: RP12–51–001. Docket Numbers: ER11–3262–006. be effective 12/14/2011 under RP12– Applicants: Gulf Crossing Pipeline Applicants: Trans Bay Cable LLC. 146. Filing Type: 570. Company LLC. Description: Compliance Filing to Filed Date: 11/14/2011. Description: Amendment to RP12–51– Supersede 6–30 Tariff to be effective 6/ Accession Number: 20111114–5243. 000 to be effective 11/1/2011. 30/2011. Comment Date: 5 p.m. ET on 11/28/ Filed Date: 11/14/2011. Filed Date: 11/08/2011. 2011. Accession Number: 20111114–5162. Accession Number: 20111108–5042. Docket Numbers: RP12–147–000. Comment Date: 5 p.m. ET on 11/28/ Comment Date: 5 p.m. ET on 11/29/ Applicants: Destin Pipeline Company, 2011. 2011. L.L.C. Docket Numbers: ER11–3576–002; Description: Annual Revenue Any person desiring to protest in any the above proceedings must file in ER11–3401–003; ER10–3138–002. Crediting Report of Destin Pipeline Applicants: Denver City Energy Company, L.L.C. accordance with Rule 211 of the Commission’s Regulations (18 CFR Associates, L.P., Golden Spread Electric Filed Date: 11/10/2011. Cooperative, Inc., Golden Spread Accession Number: 20111110–5177. 385.211) on or before 5 p.m. Eastern time on the specified comment date. Panhandle Wind Ranch, LLC,GS Comment Date: 5 p.m. ET on 11/22/ Electric Generating Cooperative, Inc. 2011. The filings are accessible in the Commission’s eLibrary system by Description: Golden Spread Electric Docket Numbers: RP12–148–000. clicking on the links or querying the Cooperative, Inc. et al. submits Notice of Applicants: Southern Natural Gas docket number. Change in Status. Company, L.L.C. eFiling is encouraged. More detailed Filed Date: 11/08/2011. Description: Southern Natural Gas information relating to filing Accession Number: 20111108–5154. Company, L.L.C. 2011 Opertional Comment Date: 5 p.m. ET on 11/29/ requirements, interventions, protests, Transactions Report. 2011. and service can be found at: http:// Filed Date: 11/14/2011. www.ferc.gov/docs-filing/efiling/filing- Docket Numbers: ER11–3957–003. Accession Number: 20111114–5276. req.pdf. For other information, call (866) Applicants: Consumers Energy Comment Date: 5 p.m. ET on 11/28/ 208–3676 (toll free). For TTY, call (202) Company. 2011. 502–8659. Description: Amended Facilities Docket Numbers: RP12–149–000. Agreement with MPLP to be effective 8/ Applicants: Eastern Shore Natural Gas Dated: November 15, 2011. 29/2011. Company. Nathaniel J. Davis, Sr., Filed Date: 11/08/2011. Description: Storage Tracker 10–2011 Deputy Secretary. Accession Number: 20111108–5109. to be effective 10/1/2011. [FR Doc. 2011–30066 Filed 11–21–11; 8:45 am] Comment Date: 5 p.m. ET on 11/29/ Filed Date: 11/14/2011. BILLING CODE 6717–01–P 2011.

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Docket Numbers: ER11–4374–002. Docket Numbers: ER12–365–000. Docket Numbers: ER12–21–001. Applicants: Portland General Electric Applicants: Rock Island Clean Line Applicants: Agua Caliente Solar, LLC. Company. LLC. Description: Supplement to Description: Volume 12 Corrected Description: Application of Rock Application for Market-Based Rate Amendment Filing to be effective 10/24/ Island Clean Line LLC for Authorization Authority to be effective 12/5/2011. 2011. to Sell Transmission Services at Filed Date: 11/10/2011. Filed Date: 11/08/2011. Negotiated Rates and for Related Relief. Accession Number: 20111110–5175. Accession Number: 20111108–5076. Filed Date: 11/08/2011. Comment Date: 5 p.m. ET on 11/25/ Comment Date: 5 p.m. ET on 11/29/ Accession Number: 20111108–5159. 2011. 2011. Comment Date: 5 p.m. ET on 11/29/ Docket Numbers: ER12–224–001. 2011. Docket Numbers: ER12–214–001. Applicants: Stream Energy Columbia, Applicants: ALLETE, Inc., Midwest The filings are accessible in the LLC. Independent Transmission System Commission’s eLibrary system by Description: Amendment to MBR Operator, Inc. clicking on the links or querying the Application to be effective 10/27/2011. Description: 11–08–11 ALLETTE docket number. Filed Date: 11/14/2011. Attachment GG Amendment to be Any person desiring to intervene or Accession Number: 20111114–5202. effective 1/1/2012. protest in any of the above proceedings Comment Date: 5 p.m. ET on 11/25/ Filed Date: 11/08/2011. must file in accordance with Rules 211 2011. Accession Number: 20111108–5117. and 214 of the Commission’s Docket Numbers: ER12–225–001. Comment Date: 5 p.m. ET on 11/29/ Regulations (18 CFR 385.211 and Applicants: Stream Energy New 2011. 385.214) on or before 5 p.m. Eastern Jersey, LLC. time on the specified comment date. Docket Numbers: ER12–22–001. Description: Amendment to MBR Protests may be considered, but Application to be effective 10/27/2011. Applicants: Endure Energy, L.L.C. intervention is necessary to become a Description: Amendment to pending Filed Date: 11/14/2011. party to the proceeding. Accession Number: 20111114–5203. normal to be effective 11/8/2011. eFiling is encouraged. More detailed Comment Date: 5 p.m. ET on 11/25/ Filed Date: 11/08/2011. information relating to filing 2011. Accession Number: 20111108–5004. requirements, interventions, protests, Docket Numbers: ER12–240–001. Comment Date: 5 p.m. ET on 11/29/ service, and qualifying facilities filings 2011. Applicants: PPL Energy Supply, LLC. can be found at: http://www.ferc.gov/ Description: PPL Energy Supply Docket Numbers: ER12–361–000. docs-filing/efiling/filing-req.pdf. For Amendment Filing to be effective 11/29/ Applicants: South Carolina Electric & other information, call (866) 208–3676 2011. Gas Company. (toll free). For TTY, call (202) 502–8659. Filed Date: 11/10/2011. Description: Compliance filing to Dated: November 9, 2011. Accession Number: 20111110–5162. docket #ER10–516, ER10–1268, ER10– Nathaniel J. Davis, Sr., Comment Date: 5 p.m. ET on 11/21/ 855 to be effective 11/7/2011. 2011. Filed Date: 11/08/2011. Deputy Secretary. Docket Numbers: ER12–381–000. Accession Number: 20111108–5001. [FR Doc. 2011–30067 Filed 11–21–11; 8:45 am] Applicants: California Independent Comment Date: 5 p.m. ET on 11/29/ BILLING CODE 6717–01–P System Operator Corporation. 2011. Description: 2011–11–10 CAISO Docket Numbers: ER12–362–000. DEPARTMENT OF ENERGY Amendment 2 to ICAOA with SRP to be Applicants: Southern California effective 12/31/9998. Edison Company. Federal Energy Regulatory Filed Date: 11/10/2011. Description: LGIA, Pacific Wind Commission Accession Number: 20111110–5098. Project, Pacific Wind LLC to be effective Comment Date: 5 p.m. ET on 12/1/ 11/9/2011. Combined Notice of Filings #1 2011. Filed Date: 11/08/2011. Docket Numbers: ER12–382–000. Accession Number: 20111108–5003. Take notice that the Commission received the following electric rate Applicants: PJM Interconnection, Comment Date: 5 p.m. ET on 11/29/ L.L.C. 2011. filings: Docket Numbers: ER11–4070–001. Description: Original Service Docket Numbers: ER12–363–000. Applicants: RITELine Illinois, LLC, Agreement No. 3094; Queue No. V4–067 Applicants: Volunteer Energy RITELine Indiana, LLC. to be effective 10/11/2011. Services, Inc. Description: RITELine Indiana Filed Date: 11/10/2011. Description: Baseline refile to be Compliance Filing to be effective 10/17/ Accession Number: 20111110–5103. effective 11/8/2011. 2011. Comment Date: 5 p.m. ET on 12/1/ Filed Date: 11/08/2011. Filed Date: 11/14/2011. 2011. Accession Number: 20111108–5038. Accession Number: 20111114–5331. Docket Numbers: ER12–383–000. Comment Date: 5 p.m. ET on 11/29/ Comment Date: 5 p.m. ET on 12/5/ Applicants: TBG Cogen Partners. 2011. 2011. Description: Revised Market-Based Docket Numbers: ER12–364–000. Docket Numbers: ER11–4706–001. Rate Tariff to be effective 11/11/2011. Applicants: Rockland Wind Farm Applicants: Viridity Energy, Inc. Filed Date: 11/10/2011. LLC. Description: Supplement to MBR Accession Number: 20111110–5114. Description: Compliance Filing to be Application of Viridity Energy, Inc. to Comment Date: 5 p.m. ET on 12/1/ effective 10/17/2011. be effective 11/28/2011. 2011. Filed Date: 11/08/2011. Filed Date: 11/14/2011. Docket Numbers: ER12–384–000. Accession Number: 20111108–5116. Accession Number: 20111114–5325. Applicants: Calpine Bethlehem, LLC. Comment Date: 5 p.m. ET on 11/29/ Comment Date: 5 p.m. ET on 12/5/ Description: Revised Market-Based 2011. 2011. Rate Tariff to be effective 11/11/2011.

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Filed Date: 11/10/2011. Filed Date: 11/10/2011. The filings are accessible in the Accession Number: 20111110–5117. Accession Number: 20111110–5159. Commission’s eLibrary system by Comment Date: 5 p.m. ET on 12/1/ Comment Date: 5 p.m. ET on 12/1/ clicking on the links or querying the 2011. 2011. docket number. Docket Numbers: ER12–385–000. Docket Numbers: ER12–393–000. Any person desiring to intervene or Applicants: CES Marketing V, L.P. Applicants: CPN Bethpage 3rd protest in any of the above proceedings Description: Revised Market-Based Turbine, Inc. must file in accordance with Rules 211 Rate Tariff to be effective 11/11/2011. Description: Revised Market-Based and 214 of the Commission’s Filed Date: 11/10/2011. Rate Tariff to be effective 11/11/2011. Regulations (18 CFR 385.211 and Accession Number: 20111110–5119. Filed Date: 11/10/2011. 385.214) on or before 5 p.m. Eastern Comment Date: 5 p.m. ET on 12/1/ Accession Number: 20111110–5160. time on the specified comment date. 2011. Comment Date: 5 p.m. ET on 12/1/ Protests may be considered, but Docket Numbers: ER12–386–000. 2011. intervention is necessary to become a Applicants: Calpine Mid-Atlantic Docket Numbers: ER12–394–000. party to the proceeding. Marketing, LLC. Applicants: Bethpage Energy Center 3, eFiling is encouraged. More detailed Description: Revised Market-Based LLC. information relating to filing Rate Tariff to be effective 11/11/2011. Description: Revised Market-Based requirements, interventions, protests, Filed Date: 11/10/2011. Rate Tariff to be effective 11/11/2011. service, and qualifying facilities filings Accession Number: 20111110–5127. Filed Date: 11/10/2011. can be found at: http://www.ferc.gov/ Comment Date: 5 p.m. ET on 12/1/ Accession Number: 20111110–5168. docs-filing/efiling/filing-req.pdf. For 2011. Comment Date: 5 p.m. ET on 12/1/ other information, call (866) 208–3676 Docket Numbers: ER12–387–000. 2011. (toll free). For TTY, call (202) 502–8659. Applicants: Nissequogue Cogen Docket Numbers: ER12–395–000. Dated: November 15, 2011. Partners. Applicants: Northern States Power Nathaniel J. Davis, Sr., Description: Revised Market-Based Company, a Minnesota Corporation. Deputy Secretary. _ _ Rate Tariff to be effective 11/11/2011. Description: 2011–11–11 Tm-1 [FR Doc. 2011–30113 Filed 11–21–11; 8:45 am] Filed Date: 11/10/2011. Comp_Filing to be effective 1/1/2011. BILLING CODE 6717–01–P Accession Number: 20111110–5134. Filed Date: 11/14/2011. Comment Date: 5 p.m. ET on 12/1/ Accession Number: 20111114–5012. 2011. Comment Date: 5 p.m. ET on 12/5/ DEPARTMENT OF ENERGY Docket Numbers: ER12–388–000. 2011. Applicants: Calpine Newark, LLC. Docket Numbers: ER12–396–000. Federal Energy Regulatory Description: Revised Market-Based Applicants: Midwest Independent Commission Rate Tariff to be effective 11/11/2011. Transmission System Operator, Inc. Filed Date: 11/10/2011. Description: GRE-Amended JPZ_RS Combined Notice of Filings #2 Accession Number: 20111110–5137. 28 to be effective 1/1/2012. Take notice that the Commission Comment Date: 5 p.m. ET on 12/1/ Filed Date: 11/14/2011. received the following electric rate 2011. Accession Number: 20111114–5014. filings: Docket Numbers: ER12–389–000. Comment Date: 5 p.m. ET on 12/5/ 2011. Docket Numbers: ER08–375–005. Applicants: KIAC Partners. Applicants: Southern California Description: Revised Market-Based Docket Numbers: ER12–397–000. Edison Company. Rate Tariff to be effective 11/11/2011. Applicants: Midwest Independent Description: Southern California Filed Date: 11/10/2011. Transmission System Operator, Inc. Edison Company’s (SCE) Refund Report, Accession Number: 20111110–5140. Description: G491 Amended LGIA in Compliance with the October 6, 2011, Comment Date: 5 p.m. ET on 12/1/ (11–11–11) to be effective 11/15/2011. Rehearing Order. 2011. Filed Date: 11/14/2011. Filed Date: 11/15/2011. Docket Numbers: ER12–390–000. Accession Number: 20111114–5024. Accession Number: 20111115–5032. Applicants: Zion Energy LLC. Comment Date: 5 p.m. ET on 12/5/ Comment Date: 5 p.m. ET on 12/6/ Description: Revised Market-Based 2011. 2011. Rate Tariff to be effective 11/11/2011. Docket Numbers: ER12–398–000. Docket Numbers: ER11–4219–000; Filed Date: 11/10/2011. Applicants: Southwestern Electric ER11–4253–000. Accession Number: 20111110–5145. Power Company. Applicants: Wolverine Power Supply Comment Date: 5 p.m. ET on 12/1/ Description: 20111111 AEPSC and Cooperative, Inc., Michigan Electric 2011. Bentonville Sub I Letter Agreement to Transmission Company. Docket Numbers: ER12–391–000. be effective 12/17/2010. Description: Wolverine Power Supply Applicants: Calpine Philadelphia Inc. Filed Date: 11/14/2011. Cooperative, Inc et al submits responses Description: Revised Market-Based Accession Number: 20111114–5026. to FERC’s 9/30/11 Deficiency Letter that Rate Tariff to be effective 11/11/2011. Comment Date: 5 p.m. ET on 12/5/ addresses the three amended and Filed Date: 11/10/2011. 2011. restated wires-to-wires interconnection Accession Number: 20111110–5146. Docket Numbers: ER12–399–000. agreements w/City of Grand Haven Comment Date: 5 p.m. ET on 12/1/ Applicants: Interstate Power and Board of Light & Power. 2011. Light Company. Filed Date: 10/31/2011. Docket Numbers: ER12–392–000. Description: IPL and Exergy—LBA Accession Number: 20111101–0008. Applicants: PJM Interconnection, Agreement to be effective 11/14/2011. Comment Date: 5 p.m. ET on 11/21/ L.L.C. Filed Date: 11/14/2011. 2011. Description: Original Service Accession Number: 20111114–5168. Docket Numbers: ER12–400–000. Agreement No. 3098—Queue Position Comment Date: 5 p.m. ET on 12/5/ Applicants: PJM Interconnection, S61 to be effective 10/11/2011. 2011. L.L.C.

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Description: Original Service Filed Date: 11/14/2011. DEPARTMENT OF ENERGY Agreement No. 3099; Queue No. W3– Accession Number: 20111114–5265. 154 to be effective 10/12/2011. Comment Date: 5 p.m. ET on 12/5/ Federal Energy Regulatory Filed Date: 11/14/2011. 2011. Commission Accession Number: 20111114–5170. Docket Numbers: ER12–407–000. Combined Notice of Filings #3 Comment Date: 5 p.m. ET on 12/5/ Applicants: Duke Energy Carolinas, 2011. LLC. Take notice that the Commission Docket Numbers: ER12–401–000. Description: Dallas PPA Filing to be received the following electric corporate Applicants: Interstate Power and effective 1/1/2012. filings: Light Company. Filed Date: 11/14/2011. Docket Numbers: EC12–29–000. Description: IPL and Bethel Wind— Accession Number: 20111114–5298. Applicants: Bluegrass Generation LBA Agreement to be effective 11/14/ Comment Date: 5 p.m. ET on 12/5/ Company, L.L.C., Louisville Gas & 2011. 2011. Electric Company, Kentucky Utilities Filed Date: 11/14/2011. Company. Accession Number: 20111114–5171. Docket Numbers: ER12–408–000. Description: Section 203 Application Comment Date: 5 p.m. ET on 12/5/ Applicants: Duke Energy Carolinas, of Bluegrass Generation Company, 2011. LLC. Description: Forest City PPA Filing to L.L.C., et al. Docket Numbers: ER12–402–000. be effective 1/1/2012. Filed Date: 11/14/2011. Applicants: Interstate Power and Accession Number: 20111114–5470. Light Company. Filed Date: 11/14/2011. Accession Number: 20111114–5301. Comment Date: 5 p.m. ET on 12/5/ Description: IPL and Rippey Wind— 2011. LBA Agreement to be effective 11/14/ Comment Date: 5 p.m. ET on 12/5/ Take notice that the Commission 2011. 2011. received the following electric rate Filed Date: 11/14/2011. Docket Numbers: ER12–409–000. Accession Number: 20111114–5178. Applicants: Puget Sound Energy, Inc. filings: Comment Date: 5 p.m. ET on 12/5/ Description: Cancellation of OATT, Docket Numbers: ER12–411–000. 2011. Ninth Revised Vol &, Tariff ID 54 to be Applicants: Puget Sound Energy, Inc. Docket Numbers: ER12–403–000. effective 11/14/2011. Description: Temporary Operational Applicants: Interstate Power and Filed Date: 11/14/2011. Support Program Agreement to be Light Company. Accession Number: 20111114–5324. effective 10/1/2011. Description: IPL and Vienna Wind— Comment Date: 5 p.m. ET on 12/5/ Filed Date: 11/15/2011. LBA Agreement to be effective 11/14/ 2011. Accession Number: 20111115–5005. 2011. Comment Date: 5 p.m. ET on 12/6/ Docket Numbers: ER12–410–000. 2011. Filed Date: 11/14/2011. Applicants: Puget Sound Energy, Inc. Accession Number: 20111114–5188. Description: OATT, Tenth Revised Docket Numbers: ER12–412–000. Applicants: PJM Interconnection, Comment Date: 5 p.m. ET on 12/5/ Volume No 7 to be effective 11/14/2011. L.L.C. 2011. Filed Date: 11/14/2011. Description: Request of PJM Docket Numbers: ER12–404–000. Accession Number: 20111114–5415. Interconnection, L.L.C. For Limited Applicants: Interstate Power and Comment Date: 5 p.m. ET on 12/5/ Tariff Waiver, Shortened Comment Light Company. 2011. Description: IPL and Wellsburg Period, And Expedited Commission The filings are accessible in the Action. Wind—LBA Agreement to be effective Commission’s eLibrary system by 11/14/2011. Filed Date: 11/14/2011. clicking on the links or querying the Accession Number: 20111114–5462. Filed Date: 11/14/2011. docket number. Accession Number: 20111114–5198. Comment Date: 5 p.m. ET on 11/21/ Any person desiring to intervene or Comment Date: 5 p.m. ET on 12/5/ 2011. protest in any of the above proceedings 2011. Docket Numbers: ER12–413–000. must file in accordance with Rules 211 Docket Numbers: ER12–405–000. Applicants: Xcel Energy Services Inc. and 214 of the Commission’s Description: Notice of Cancellation of Applicants: PJM Interconnection, Regulations (18 CFR 385.211 and L.L.C., American Electric Power Service Xcel Energy Services Inc, et al. under 385.214) on or before 5 p.m. Eastern ER12–413. Corporation. time on the specified comment date. Description: AEPSC submits SA No. Filed Date: 11/14/2011. Protests may be considered, but Accession Number: 20111114–5465. 1336—29th Revised ILDSA among intervention is necessary to become a AEPSC & Buckeye to be effective 10/6/ Comment Date: 5 p.m. ET on 12/5/ party to the proceeding. 2011. 2011. eFiling is encouraged. More detailed Take notice that the Commission Filed Date: 11/14/2011. information relating to filing received the following electric Accession Number: 20111114–5223. requirements, interventions, protests, reliability filings: Comment Date: 5 p.m. ET on 12/5/ service, and qualifying facilities filings 2011. can be found at: http://www.ferc.gov/ Docket Numbers: RD11–13–000. Docket Numbers: ER12–406–000. docs-filing/efiling/filing-req.pdf. For Applicants: North American Electric Applicants: PJM Interconnection, other information, call (866) 208–3676 Reliability Corporation. L.L.C., Monongahela Power Company, (toll free). For TTY, call (202) 502–8659. Description: Petition of the North The Potomac Edison Company, West American Electric Reliability Penn Power Company. Dated: November 15, 2011. Corporation for Approval of a Proposed Description: Monongahela Power Co, Nathaniel J. Davis, Sr., Modification to the Glossary of Terms et al. submits Compliance Filing per Deputy Secretary. Used in Reliability Standards Definition Order in ER10–1152 to be effective [FR Doc. 2011–30112 Filed 11–21–11; 8:45 am] of ‘‘Protection System’’. 9/17/2010. BILLING CODE 6717–01–P Filed Date: 03/30/2011.

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Accession Number: 20110330–5244. Take notice that the Commission Regulations (18 CFR 385.211 and Comment Date: 5 p.m. ET on 12/15/ received the following electric rate 385.214) on or before 5 p.m. Eastern 2011. filings: time on the specified comment date. The filings are accessible in the Docket Numbers: ER10–3058–001; Protests may be considered, but Commission’s eLibrary system by ER10–3059–001; ER10–3065–001; intervention is necessary to become a clicking on the links or querying the ER10–3066–001. party to the proceeding. docket number. Applicants: Pinelawn Power, LLC. eFiling is encouraged. More detailed Any person desiring to intervene or Description: Supplemental information relating to filing protest in any of the above proceedings Information of J-POWER North America requirements, interventions, protests, must file in accordance with Rules 211 Holdings Co., Ltd. service, and qualifying facilities filings and 214 of the Commission’s Filed Date: 11/15/2011. can be found at: http://www.ferc.gov/ Regulations (18 CFR 385.211 and Accession Number: 20111115–5111. docs-filing/efiling/filing-req.pdf. For 385.214) on or before 5 p.m. Eastern Comment Date: 5 p.m. ET on 12/6/ other information, call (866) 208–3676 time on the specified comment date. 2011. (toll free). For TTY, call (202) 502–8659. Protests may be considered, but Docket Numbers: ER12–414–000. Dated: November 15, 2011. intervention is necessary to become a Applicants: PacifiCorp. Nathaniel J. Davis, Sr., party to the proceeding. Description: Termination of Brigham Deputy Secretary. eFiling is encouraged. More detailed City Construction Agreement to be [FR Doc. 2011–30114 Filed 11–21–11; 8:45 am] information relating to filing effective 2/6/2012. BILLING CODE 6717–01–P requirements, interventions, protests, Filed Date: 11/15/2011. service, and qualifying facilities filings Accession Number: 20111115–5095. can be found at: http://www.ferc.gov/ Comment Date: 5 p.m. ET on 12/6/ DEPARTMENT OF ENERGY docs-filing/efiling/filing-req.pdf. For 2011. other information, call (866) 208–3676 Docket Numbers: ER12–415–000. Federal Energy Regulatory (toll free). For TTY, call (202) 502–8659. Applicants: El Paso Marketing Commission Dated: November 15, 2011. Company, L.L.C. [Project No. 12576–008] Nathaniel J. Davis, Sr., Description: Notice of succession to be effective 11/16/2011. Deputy Secretary. CRD Hydroelectric LLC; Western Filed Date: 11/15/2011. Minnesota Municipal Power Agency; [FR Doc. 2011–30111 Filed 11–21–11; 8:45 am] Accession Number: 20111115–5103. Notice of Application for Transfer of BILLING CODE 6717–01–P Comment Date: 5 p.m. ET on 12/6/ License, and Soliciting Comments and 2011. Motions To Intervene DEPARTMENT OF ENERGY Docket Numbers: ER12–416–000. Applicants: New York Independent On October 14, 2011, CRD Federal Energy Regulatory System Operator, Inc. Hydroelectric LLC (transferor) and Commission Description: FID 209 Errata RS 1 MST Western Minnesota Municipal Power 4.5 to be effective 11/8/2010. Agency (transferee) filed an application Combined Notice of Filings #4 Filed Date: 11/15/2011. for transfer of license for the Red Rock Accession Number: 20111115–5113. Hydroelectric Project, No. 12576, Take notice that the Commission Comment Date: 5 p.m. ET on 12/6/ located on the Des Monies River in received the following electric corporate 2011. Marion County, Iowa. filings: Applicants seek Commission approval Docket Numbers: ER12–417–000. to transfer the license for the Red Rock Docket Numbers: EC09–78–000; Applicants: Mesquite Solar 1, LLC. Hydroelectric Project from transferor to EC09–78–001. Description: Mesquite Solar 1 LLC transferee. Applicants: Otter Tail Power Shared Facilities Agreement to be Applicants’ Contact: Transferor: Company, Cascade Investment, L.L.C. effective 11/16/2011. Raymond J. Wahle, P.E., CRD Description: Notice of Non- Filed Date: 11/15/2011. Hydroelectric LLC, 3724 W. Avera Consummation and Request for Accession Number: 20111115–5132. Drive, P.O. Box 88920, Sioux Falls, SD Withdrawal of Authorizing Order by Comment Date: 5 p.m. ET on 12/6/ (605) 330–6963. Transferee: Robert J. Cascade Investment, L.L.C. and Otter 2011. Tail Power Company. Wahle, P.E., Missouri River Energy Docket Numbers: ER12–418–000. Services, LLC, 3724 W. Avera Drive, Filed Date: 11/02/2011. Applicants: Mesquite Power, LLC. Accession Number: 20111102–5171. P.O. Box 88920, Sioux Falls, SD 57109, Description: Mesquite Power, LLC (605) 330–6963. Comment Date: 5 p.m. ET on 11/22/ Concurrence to Shared Facilities FERC Contact: Patricia W. Gillis at 2011. Agreement to be effective 11/16/2011. (202) 502–6779, [email protected]. Docket Numbers: EC12–30–000. Filed Date: 11/15/2011. Deadline for filing comments and Applicants: Michigan Electric Accession Number: 20111115–5140. motions to intervene: 30 days from the Transmission Company, LLC. Comment Date: 5 p.m. ET on 12/6/ issuance date of this notice. Comments Description: Application of Michigan 2011. and motions to intervene may be filed Electric Transmission Company, LLC for The filings are accessible in the electronically via the Internet. See 18 Approval of Acquisition of Commission’s eLibrary system by CFR 385.2001(a)(1) and the instructions Transmission Assets under Section 203 clicking on the links or querying the on the Commission’s Web site under of the Federal Power Act. docket number. http://www.ferc.gov/docs-filing/ Filed Date: 11/15/2011. Any person desiring to intervene or efiling.asp. Commenters can submit Accession Number: 20111115–5127. protest in any of the above proceedings brief comments up to 6,000 characters, Comment Date: 5 p.m. ET on 12/6/ must file in accordance with Rules 211 without prior registration, using the 2011. and 214 of the Commission’s eComment system at http://

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www.ferc.gov/docs-filing/ ‘‘anadromous fish ecosystem effects Corporation (NERC) submitted a ecomment.asp. You must include your analysis: Synthesis of direct, indirect, petition seeking approval of a revised name and contact information at the end and cumulative effects of the project Facilities Design, Connections, and of your comments. If unable to be filed and related facilities on anadromous Maintenance (FAC) Reliability Standard electronically, documents may be paper- fish. On November 7, 2011, the dispute FAC–013–2—Assessment of Transfer filed. To paper-file, an original plus resolution panel convened. On Capability for the Near-Term seven copies should be mailed to: November 9, 2011, the Commission Transmission Planning Horizon, Kimberly D. Bose, Secretary, Federal issued a Notice of Dispute Resolution pursuant to section 215(d)(1) of the Energy Regulatory Commission, 888 Process Schedule, Panel Meeting, and Federal Power Act (FPA) 1 and section First Street, NE., Washington, DC 20426. Technical Conference. The technical 39.5 of the Commission’s regulations.2 More information about this project can conference date is repeated below with The revised Reliability Standard be viewed or printed on the eLibrary additional logistical details. requires planning coordinators to have a link of Commission’s Web site at http:// The purpose of the technical transparent methodology for, and to conference is for the disputing agency, www.ferc.gov/docs-filing/elibrary.asp. annually perform, an assessment of the applicant, and the Commission to Enter the docket number (P–12576) in transmission transfer capability for the provide the panel with additional the docket number field to access the Near-Term Transmission Planning information necessary to evaluate the document. For assistance, call toll-free Horizon, as a basis for identifying disputed studies. All local, state, and 1–866–208–3372. system weaknesses or limiting facilities federal agencies, Indian tribes, and other Dated: November 15, 2011. that could limit energy transfers in the interested parties are invited to attend future. NERC also requests approval of Kimberly D. Bose, the meeting as observers. The panel may two new terms utilized in the proposed Secretary. also request information or clarification Reliability Standard, to be included in [FR Doc. 2011–30024 Filed 11–21–11; 8:45 am] on written submissions as necessary to NERC’s Glossary of Terms Used in BILLING CODE 6717–01–P understand the matters in dispute. The panel will limit all input that it receives NERC Reliability Standards (NERC to the specific studies or information in Glossary or Glossary). Finally, NERC DEPARTMENT OF ENERGY dispute and will focus on the requests approval of its implementation applicability of such studies or plan for Reliability Standard FAC–013– Federal Energy Regulatory information to the study criteria 2, setting an effective date that will Commission stipulated in 18 CFR 5.9(b). If the allow planning coordinators a [Project No. 2246–058] number of participants wishing to speak reasonable time, after certain related creates time constraints, the panel may, Modeling, Data, and Analysis (MOD) Yuba County Water Agency; Notice of at its discretion, limit the speaking time Reliability Standards have gone into Panel Meeting and Technical for each participant. effect, to meet the requirements of the Conference Details revised Reliability Standard. Technical Conference 2. As explained below, we find that On October 20, 2011, the National Date: Wednesday, November 30, Oceanic and Atmospheric revised Reliability Standard FAC–013–2 2011. (including the associated new Glossary Administration’s, National Marine Time: 9 a.m.–5 p.m. Fisheries Service (NMFS), filed a Notice terms and implementation plan) is just, Place: Holiday Inn, Sacramento— reasonable, not unduly discriminatory to initiate a formal study dispute Capitol Plaza, 300 J Street, Sacramento, resolution process, pursuant to 18 CFR or preferential and in the public CA 95814, (916) 446–0100. interest. We accept the violation risk 5.14, in the relicensing proceeding for For more information, please contact factors and violation severity levels the Yuba County Water Agency’s Stephen Bowler, the dispute panel associated with the standard as (YCWA) Yuba River Hydroelectric chair, at [email protected] or proposed by NERC, with three Project No. 2246. NMFS disputed the (202) 502–6861. treatment of several of its study exceptions described below. We also Dated: November 16, 2011. requests, filed on March 7, 2011, in the deny a request by the Electric Reliability Commission’s study plan determination, Kimberly D. Bose, Council of Texas (ERCOT) for an issued on September 30, 2011. NMFS Secretary. exemption from Reliability Standard specifically identified study requests [FR Doc. 2011–30124 Filed 11–21–11; 8:45 am] FAC–013–2. BILLING CODE 6717–01–P one through six and study request eight I. Background as the disputed components of its, March 7, 2011 filing. In its study 3. The Commission certified NERC as DEPARTMENT OF ENERGY requests one through six NMFS the Electric Reliability Organization requested studies of the effects of Federal Energy Regulatory (ERO), as defined in section 215 of the project and related activities on: (1) Fish Commission FPA, in July 2006.3 In Order No. 693, passage for anadromous fish; (2) the Commission reviewed an initial set hydrology for anadromous fish; (3) [137 FERC ¶ 61,131; Docket No. RD11–3– of Reliability Standards as developed water temperatures for anadromous fish 000] and submitted for review by NERC, migration, holding, spawning, and Before Commissioners: Jon accepting 83 standards as mandatory rearing needs; (4) coarse substrate for Wellinghoff, Chairman; Philip D. anadromous fish: Sediment supply, Moeller, John R. Norris, and Cheryl A. 1 16 U.S.C. 824o(d)(1) (2006). transport, and storage; (5) large wood LaFleur; North American Electric 2 18 CFR 39.5 (2011). 3 and riparian habitat for anadromous Reliability Corporation; Order North American Electric Reliability Corp., 116 fish; and (6) loss of marine-derived FERC ¶ 61,062, order on reh’g and compliance, 117 Approving Reliability Standard FERC ¶ 61,126 (2006), order on compliance, 118 nutrients in the Yuba River, FERC ¶ 61,190, order on reh’g 119 FERC ¶ 61,046 respectively. In study request eight, 1. On January 28, 2011, the North (2007), aff’d sub nom. Alcoa Inc. v. FERC, 564 F.3d NMFS requested a study of, American Electric Reliability 1342 (DC Cir. 2009).

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and enforceable.4 In Order No. 693, the the existing versions of FAC–012–1 (as about the methodology. Under Commission, inter alia, accepted adopted by NERC) and FAC–013–1 (as Requirement R4, planning coordinators Reliability Standard FAC–013–1, which approved by FERC) were insufficient to must conduct and document an annual sets out requirements for address the Commission’s concerns as simulation or assessment of transfer communication of transfer capability stated in Order No. 693, and ordered capability for at least one year in the calculations. In addition, the NERC to develop specific modifications Near-Term Transmission Planning Commission directed NERC to modify to comply with those outstanding Horizon. Under Requirement R5, FAC–013 so that it would apply to all directives.10 planning coordinators must make the reliability coordinators.5 6. The Commission explained in results of the assessment available to the 4. Also related to NERC’s immediate Order No. 729 the potential value of same types of parties identified in proposal, the Commission, in Order No. assessing transfer capabilities in the Requirement R2. Finally, under 693, neither approved nor remanded planning horizon, as a means of Requirement R6, planning coordinators Reliability Standard FAC–012–1, which improving the long-term reliability of must provide data to support the set out proposed requirements for the Bulk-Power System: assessment if requested by identified documenting the methodologies used by The Commission recognizes that the interested parties.13 reliability coordinators and planning calculation of transfer capabilities in the 8. NERC explains in its Petition that authorities in determining transfer planning horizon (years one thorough five) the proposed Reliability Standard capability.6 Because additional may not be so accurate to support long-term addresses the Commission’s directives information was needed regarding the scheduling of the transmission system but we by requiring planning coordinators to standards’ reference to regional do believe that such forecasts will be useful undertake an annual assessment of implementation, the Commission did for long-term planning, in general, by transfer capability in the planning not act on proposed FAC–012–1, but measuring sufficient long-term capacity needed to ensure the reliable operation of the horizon, and by requiring the use of directed certain changes to be included Bulk-Power System. Although regional certain data inputs and modeling in a revised version of FAC–012–1. In planning authorities have developed similar assumptions to identify future particular, the Commission stated that efforts in response to Order No. 890, we transmission system weaknesses or the standard should provide a believe that the requirements imposed by limiting facilities. framework for the calculation of transfer FAC–012 and FAC–013 need not be 9. NERC also requests approval of the capabilities, including data inputs and duplicative of those existing efforts and, by terms ‘‘Near-Term Transmission modeling assumptions.7 Further, the contrast, should be focused on improving the Planning Horizon’’ and ‘‘Year One’’ to Commission stated that the process and long-term reliability of the Bulk-Power be added to the NERC Glossary. Finally, criteria used to determine transfer System pursuant to the ERO’s Reliability Standards.11 NERC proposes an implementation plan capabilities must be consistent with the that includes an effective date for the process and criteria used in planning Thus, the Commission directed NERC revised Reliability Standard that is the and operating the system.8 to develop modifications to FAC–012–1 later of (1) the first day of the calendar 5. Subsequently, as part of its and FAC–013–1 to comply with the quarter twelve months after Commission submission of revised Modeling, Data, directives of Order No. 693 and to approval of FAC–013–2, or (2) the first and Analysis (MOD) Reliability otherwise revise those Standards to be day of the calendar quarter six months Standards, which govern the calculation consistent with the revised MOD after Reliability Standards MOD–001–1, of Available Transfer Capability (ATC), Reliability Standards.12 MOD–028–1, MOD–029–1, and MOD– NERC requested that it be permitted to II. NERC’s Petition 030–1 go into effect.14 At that time, the withdraw FAC–012–1 and retire FAC– plan calls for the retirement of existing 013–1. In Order No. 729, the 7. In its Petition, NERC explains that Reliability Standards FAC–012–1 and FAC–013–2 was developed in response Commission found that FAC–012–1 and FAC–013–1.15 FAC–013–1 had not been wholly to Commission directives in Order Nos. superseded by the revised MOD 693 and 729 (as discussed above) to III. Notice of Filing and Responsive Reliability Standards because the require appropriate entities to perform Pleading revised MOD Reliability Standards did an annual assessment of transfer 10. Notice of NERC’s Petition was not address the calculation of transfer capability in the planning horizon and issued on Feb. 2, 2011 and published on capabilities in the planning horizon.9 to do so using data inputs and modeling Feb. 10, 2011 in the Federal Register, Moreover, the Commission found that assumptions that are consistent with with comments, protests and motions to other planning uses. Under Requirement intervene due on or before Feb. 28, 4 Mandatory Reliability Standards for the Bulk- R1, each planning coordinator must 2011.16 Two sets of comments were Power System, Order No. 693, FERC Stats. & Regs. have a documented methodology for received. The Midwest Independent ¶ 31,242, order on reh’g, Order No. 693–A, 120 performing an annual assessment of Transmission System Operator, Inc. FERC ¶ 61,053 (2007). transfer capability in the Near-Term 5 (MISO) and the New York Independent Id. P 790, 794. Transmission Planning Horizon. Under 6 Id. P 776, 782. See also id. P 287 (discussing System Operator, Inc. (NYISO) filed a ‘‘fill-in-the-blank’’ standards). NERC’s proposed Requirement R2, each planning joint set of comments asking the FAC–013–2 addresses directives pertaining to coordinator must share its methodology Commission to reject FAC–013–2 as related to both FAC–013–1 and FAC–012–1. with adjacent planning coordinators and duplicative of the now-effective 7 Id. P 779. transmission planners, and with other Transmission Planning (TPL) Standards. 8 Id. P 782. functional entities with a reliability- 9 Mandatory Reliability Standards for the In addition, the ERCOT filed a motion Calculation of Available Transfer Capability, related need for the information. Under to intervene out-of-time, asking the Capacity Benefit Margins, Transmission Reliability Requirement R3, planning coordinators Commission to find that ERCOT should Margins, Total Transfer Capability and Existing must provide a documented response to Transmission Commitment and Mandatory comments made by an interested party 13 Reliability Standards for the Bulk-Power System, See NERC Petition at 8–10, Ex. A. Order No. 729, 129 FERC ¶ 61,155, at P 291 (2009); 14 The relevant MOD Reliability Standards went order on reh’g, Order No. 729–A, 131 FERC 10 Id. into effect on April 1, 2011. ¶ 61,109, order on reh’g, Order No. 729–B, 132 11 Id. P 290. 15 NERC Petition at Ex. B. FERC ¶ 61,027 (2010). 12 Id. P 291. 16 76 FR 7557 (2011).

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be exempt from FAC–013–2’s (i.e., the Near-Term Transmission reliability.’’ 26 ERCOT further argues requirements. Planning Horizon) does not provide any that the Standards Drafting Team failed 11. MISO and NYISO state that useful information for the future reliable to draw a meaningful distinction Reliability Standard FAC–013–2 will operation of the system, because system between the MOD requirements not provide any reliability benefits conditions are likely to be significantly regarding calculation of transfer beyond those conferred by the current different than those assumed for the capabilities in the operating horizon, TPL Reliability Standards, arguing that required assessment.21 which are not applicable to ERCOT by proposed Reliability Standard FAC– 14. ERCOT initially notes its support virtue of a FERC-granted exemption, 013–2 is ‘‘substantially similar’’ to the for MISO and NYISO’s position that and FAC–013–2’s requirements related approved TPL Reliability Standards in FAC–013–2 is unnecessary given its to assessment of transfer capabilities in purpose and in the assessments overlap with the requirements of the the planning horizon.27 required.17 MISO and NYISO further TPL Reliability Standards.22 However, if IV. Discussion argue that both the proposed Reliability Reliability Standard FAC–013–2 is Standard and the TPL Reliability approved over MISO and NYISO’s 16. Pursuant to Rule 214 of the Commission’s Rules of Practice and Standards (particularly TPL–002) objections, ERCOT asks the Commission Procedure, 18 CFR 385.214, the timely require an assessment of system to provide an exemption for the ERCOT joint motion to intervene filed by MISO conditions over the Near-Term region. ERCOT notes that the revised and NYISO serves to make them parties Transmission Planning Horizon using Reliability Standard was developed in to this proceeding. Pursuant to Rule similar assumptions or inputs, response to the Commission’s directive 214(d) of the Commission’s Rules of including contingencies, system to apply the transfer capability Practice and Procedure, 18 CFR conditions, projected firm transfers or methodology requirements, as 385.214(d), the Commission will grant transmission uses, and system demand implemented in the MOD Reliability 18 ERCOT’s late-filed motion to intervene, levels. Standards, to the planning horizon.23 12. MISO and NYISO note that the given its interest in the proceeding, the ERCOT states that the Commission has TPL Reliability Standards require early stage of the proceeding, and the already found that the requirements of applicable entities not only to perform absence of undue prejudice or delay. the MOD Reliability Standards system simulations and related annual governing the calculation of ATC A. Reliability Standard FAC–013–2 assessments to identify reliability issues provide no reliability benefit in the based on current and projected firm 17. We approve Reliability Standard ERCOT region, essentially recognizing transmission commitments, but also to FAC–013–2 and find that the standard that ERCOT has no transmission market take affirmative action to address any is just, reasonable, not unduly (and instead manages congestion identified reliability issues based on discriminatory or preferential, and in through re-dispatch of generation), and those commitments. MISO and NYISO the public interest. We also approve the that ERCOT has no interchange with argue that the very similar assessment proposed implementation plan for neighboring regions. ERCOT argues that required under Reliability Standard Reliability Standard FAC–013–2, which the same rationale applies for Reliability FAC–013–2, which is intended ‘‘to would retire Reliability Standards FAC– Standard FAC–013–2 with respect to the identify potential future Transmission 012–1 and FAC–013–1 when FAC–013– planning horizon, as ERCOT’s reliability System weaknesses and limiting 2 becomes effective. We accept the planning analyses are performed using Facilities that could impact the Bulk addition of the terms ‘‘Near-Term the same assumptions as are used for Electric System’s (BES) ability to Transmission Planning Horizon’’ and operations.24 reliability transfer energy,’’ does not ‘‘Year One’’ to the NERC Glossary. provide a similar obligation to rectify 15. ERCOT notes that the Texas Finally, we find that the proposed 25 any deficiencies identified from the Reliability Entity, Inc. (Texas RE) Reliability Standard satisfies our assessment as is found in the TPL supported ERCOT’s position on the outstanding directives in Order Nos. 693 Standards, and therefore has propriety of an ERCOT exemption and 729 regarding the non- questionable value.19 As an example, through comments submitted during discriminatory assessment of transfer 28 MISO and NYISO note that if an NERC’s Standards Development capability in the planning horizon. assessment performed under Reliability Process. Texas RE provided the 18. Contrary to the arguments of Standard FAC–013–2 found that following rationale for the exemption: MISO and NYISO, we find that incremental transfer capability was 0 ‘‘ERCOT does not need to address Reliability Standard FAC–013–2 MW at some point within the Near- transmission allocation issues either in provides a unique reliability benefit Term Transmission Planning Horizon, the operating horizon or in the planning beyond that conferred by the TPL FAC–013–2 does not provide any horizon. To the extent that ERCOT does Standards. Reliability Standard FAC– guidance about steps to be taken to planning studies to examine transfers, 013–2 is designed to ensure that address the identified weaknesses. those studies are related more to planning coordinators perform annual Accordingly, MISO and NYISO argue economic planning than to assessments to identify potential that Reliability Standard FAC–013–2 is weaknesses and limiting facilities of the unnecessary and could lead to 21 Id. at 6. bulk electric system. Such potential confusion with respect to the 22 ERCOT Comments at 2. weaknesses and limitations could 23 responsible entities’ obligations to Id. at 3. ultimately affect reliable transfers of 24 Id. at 3–4 (noting that the Commission agreed preserve the reliability of the BES.20 energy. Further, in performing the with ERCOT’s position that applying the MOD required annual assessment, the 13. Finally, MISO and NYISO note Reliability Standards to ERCOT would not provide that a calculation of transfer capability any reliability benefits due to physical differences that is set one to five years in the future in ERCOT’s transmission system (citing Order No. 26 ERCOT Comments at 5 (quoting from Texas RE 729, 129 FERC ¶ 61,155 at P 292–93, 296 and 298)). Comments submitted to NERC in the Standards 25 Texas RE is the approved regional entity, as Development Process). 17 MISO and NYISO Comments at 3–4. defined under FPA section 215(e)(4), for the ERCOT 27 Id. at 6. 18 Id. at 4. region, with delegated authority from NERC to 28 See Background Section above describing the 19 Id. at 5. develop, monitor, assess, and enforce compliance pending Commission directives from Order No. 693 20 Id. with NERC Reliability Standards within that region. and Order No. 729.

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planning coordinator must consider transmission uses, Reliability Standard we find that NERC has not adequately both current approved and projected FAC–013–2 provides the planning justified its proposed ‘‘lower’’ VRF transmission uses.29 coordinator flexibility in determining designation for Requirements R1 and 19. By contrast, the TPL Reliability what transfers to assess. Moreover, an R4, and direct NERC to either provide Standards set out specific performance assessment conducted pursuant to FAC– additional justification for these VRF requirements for all transmission 013–2 may include transmission uses designations or propose a revised VRF planners (as well as planning authorities that are expected but which are not yet designation that addresses our concerns. and coordinators), requiring among scheduled or reserved (e.g., expected 24. NERC states that Requirements R1 other things a demonstration that each interconnection of a large group of and R4 meet the definition of a ‘‘lower’’ transmission planner’s portion of the renewable generators), and can be used risk requirement because they are bulk electric system is designed to as a regional coordination tool rather ‘‘strictly administrative in nature and maintain system stability and to stay than as a means of ensuring adequate are in the planning timeframe,’’ and within thermal and voltage limits, while planning for reliable system because ‘‘it is not anticipated that under serving forecast customer demand and performance. Accordingly, we find that emergency, abnormal or restorative all projected firm (non-recallable) Reliability Standard FAC–013–2 does conditions violation of this requirement reserved transmission services.30 Thus, confer reliability benefits beyond those would affect the electric state or the TPL Reliability Standards do not provided by the TPL Reliability capability of the BES.’’ 34 require a planning assessment that Standards, and we are not persuaded by 25. Requirement R4 does not appear reflects all projected transmission uses the arguments of MISO and NYISO on to be ‘‘administrative in nature,’’ in that but, rather, an assessment that reflects this issue. it requires the planning coordinator to only projected firm reserved 22. We further find that Reliability annually conduct a simulation assessing transmission uses. In other words, Standard FAC–013–2 satisfies certain transfer capability on its system during Reliability Standard FAC–013–2 differs outstanding directives from Order Nos. at least one year in the near-term from the TPL standards because the 693 and 729 which are not satisfied by planning time frame. Requirement R4 former focuses on identifying potential the TPL Reliability Standards. requires an affirmative action by the weaknesses that could limit energy Reliability Standard FAC–013–2 applicable entity, and not merely transfers across a broader region and requires the planning coordinator to documentation of the results of the requires the planning coordinator to perform an annual assessment of study. consider any expected transmission transfer capability for at least one year 26. We have similar concerns with uses, regardless of whether they have in the Near-Term Transmission respect to R1, as it is a substantive been scheduled or otherwise reserved, Planning Horizon, and to document that requirement to adopt and document a and thereby allows for an assessment the assumptions and criteria used to methodology for assessing transfer that may be more accurate in the outer perform the assessment are consistent capability that is consistent with the years of the planning horizon. with the planning coordinator’s specific criteria set out in sub- 20. As MISO and NYISO note, planning practices. By contrast, the TPL requirements R1.1.2–1.5. This requirement goes further than mere Reliability Standard FAC–013–2 does Reliability Standards impose system documentation, and instead establishes not impose an obligation to develop a performance requirements under the criteria that must be incorporated plan to address identified limitations in various conditions, and do not require transfer capability in the Near-Term into a compliant methodology. a specific assessment of transfer 27. Finally, we approve the violation Transmission Planning Horizon. capabilities within a single system or severity levels (VSLs) for FAC–013–2 as However, the lack of such an obligation across interconnected transmission proposed, with the exception of the VSL does not detract from the Reliability systems. While we agree that Reliability triggers for R1, which appear to contain Standard’s value as an informational Standard FAC–013–2 and the TPL a typographical error. The VSL language tool for the early identification of inter- Reliability Standards are designed for R1, as filed by NERC, uses the same regional or intra-regional limitations on primarily to encourage adequate longer- description for ‘‘medium,’’ ‘‘high,’’ and transfers. In Order No. 729, the term planning rather than to generate ‘‘severe’’ violations, as follows: Commission recognized that the accurate measures of ATC or total calculation of transfer capabilities in the transfer capability (TTC), we believe The Planning Coordinator has a Transfer planning horizon (years one through that our outstanding directives Capability methodology, but failed to five) may not be accurate enough to regarding the review of transfer the original standards from which its requirements support long-term scheduling of the capability within the planning horizon derive (FAC–012–1 and FAC–013–2), a reduction in transmission system.31 The Commission are not satisfied by the TPL Reliability the assigned VRF levels appears to be warranted for nonetheless determined that such Standards. at least some of the requirements. forecasts would be useful ‘‘for long-term 34 NERC Petition at 33–34. The approved NERC B. Violation Risk Factors and Violation definition for a ‘‘lower’’ VRF designation is as planning, in general, by measuring Severity Levels follows: sufficient long-term capacity needed to Lower Risk Requirement: Is administrative in ensure the reliable operation of the 23. We find that the violation risk nature and (a) is a requirement that, if violated, Bulk-Power System.’’ 32 factors (VRFs) assigned to Requirements would not be expected to affect the electrical state 21. Consistent with its purpose as a R2, R3, R5 and R6 are consistent with or capability of the Bulk-Power System, or the ability to effectively monitor and control the Bulk- planning tool with a regional focus, the Commission’s established guidelines Power System; or (b) is a requirement in a planning 33 rather than a mechanism for ensuring and approve them as filed. However, time frame that, if violated, would not, under the that individual systems are planned to emergency, abnormal, or restorative conditions reliably meet projected load and known 33 See North American Electric Reliability Corp., anticipated by the preparations, be expected to 119 FERC ¶ 61,145, order on reh’g, 120 FERC ¶ affect the electrical state or capability of the Bulk- 61,145, at P 8–13 (2007); North American Electric Power System, or the ability to effectively monitor, 29 See proposed Reliability Standard FAC–013–2 Reliability Corp., 123 FERC ¶ 61,284, at P 20–35, control, or restore the Bulk-Power System. R.1.4.4. order on reh’g & compliance, 125 FERC ¶ 61,212 See North American Electric Reliability 30 See Reliability Standard TPL–001–0.1 R1. (2008); North American Electric Reliability Corp., Corporation, 119 FERC ¶ 61,145, at P9, order on 31 Order No. 729, 129 FERC ¶ 61,155 at P 290. 135 FERC ¶ 61,166 (2011). Given the significant compliance, 121 FERC ¶ 61,179, at P 2 and 32 Id. change in the scope of FAC–013–2 as compared to Appendix A (2007).

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incorporate one of [sub-requirements 1.1 Transmission Planning Horizon that is requirements contained in FAC–013–1 through 1.5] of Requirement R1 into that required under FAC–013–2. and specifically requires planning methodology. 31. Moreover, ERCOT concedes that it coordinators to have a methodology for It appears that these triggers were currently has a planning process in and to perform an annual assessment intended to be progressive, i.e., the place that allows it to address identifying potential future transmission failure to incorporate one component ‘‘prospective weaknesses and limiting system weaknesses and limiting was intended to be a medium level facilities that may arise under all facilities that could impact the bulk violation, as is currently stated in probable prospective operating electric system’s ability to reliably NERC’s filed version of FAC–013–2, but conditions.’’ 36 That ERCOT already transfer energy in the near-term a high level violation should require a undertakes these kinds of planning transmission planning horizon. Thus, failure to incorporate two components, assessments leads to the conclusion that this Order does not impose entirely new and so on. Accordingly, we will direct such assessments are in fact useful to burdens on the affected entities. For NERC to modify the VSL language for ERCOT. Incorporating an obligation to example, FAC–013–1 requires each Requirement R1 to correct this apparent continue performing such an assessment applicable entity to have a documented error. as part of a mandatory and enforceable methodology for assessing transfer 28. For the reasons stated above, we Reliability Standard, especially one that capability and to share the results of direct NERC to submit a compliance will provide for greater levels of that assessment with specific entities. filing within 60 days of issuance of this transparency as to how the assessments FAC–013–2 imposes relatively minimal order, that (1) either proposes a are done, will not only provide a new requirements regarding the ‘‘medium’’ VRF designation for meaningful reliability benefit but also information that must be included in Requirements R1 and R4, or provides would presumably impose little the documented methodology, the additional justification for a ‘‘lower’’ additional burden on ERCOT. frequency of the assessment and the VRF level; and (2) corrects the proposed V. Information Collection Statement number of days allocated to make the VSL language for R1. assessment results available to other 32. The Office of Management and entities. C. Applicability to ERCOT Budget (OMB) regulations require 35. Burden Estimate: Our estimate 29. For the reasons discussed below, approval of certain information below regarding the number of we are not persuaded by ERCOT’s collection requirements imposed by respondents is based on the NERC arguments and, therefore, deny ERCOT’s agency action.37 Upon approval of a compliance registry as of August 29, request for an exemption. ERCOT points collection(s) of information, OMB will 2011. According to the registry, there out that the Commission granted an assign an OMB control number and an are 80 planning authorities 38 that will exemption to ERCOT regarding certain expiration date. Respondents subject to be involved in providing information. modeling, data and analysis, or MOD, the filing requirements of this Order This Order will require applicable Reliability Standards and believes that will not be penalized for failing to entities to review their transfer the Commission should grant ERCOT a respond to these collections of capability methodologies and document similar exemption regarding compliance information unless the collections of compliance with the Reliability with FAC–013–2. Reliability Standard information display a valid OMB Standard’s requirements. For those FAC–013–2, however, is distinguishable control number. from the MOD Reliability Standards 33. The Commission will submit these planning coordinators that do not because the MOD Reliability Standards reporting and recordkeeping already comply with the Standard’s address methodologies for calculating requirements to OMB for its review and requirement for having a documented ATC and total transfer capability (TTC) approval under section 3507(d) of the methodology for assessing transfer for the purpose of allocating Paperwork Reduction Act. Comments capability in the Near-Term transmission capacity. In Order No. 729, are solicited within 60 days of the date Transmission Planning Horizon, they the Commission agreed that the MOD this order is published in the Federal will be required to update their Reliability Standards would not provide Register on the Commission’s need for methodology documents and any reliability benefit to ERCOT due to this information, whether the compliance protocols. In addition, physical differences in ERCOT’s information will have practical utility, planning coordinators must ensure that transmission system.35 the accuracy of provided burden the required assessment will be 30. In contrast to the MOD Reliability performed at least once per calendar estimates, ways to enhance the quality, 39 Standards, FAC–013–2 is not designed utility, and clarity of the information to year. The estimated burden for the primarily to ensure non-discriminatory be collected, and any suggested methods requirements in this Order follow: allocation of transmission capacity for minimizing the respondent’s burden, among transmission market 38 The term ‘‘planning coordinator’’ is including the use of automated synonymous with the term ‘‘planning authority,’’ in participants, but is instead a planning information techniques. Comments the NERC Glossary. tool, with a particular focus on should be submitted following the 39 While the document retention requirements are identifying weaknesses or limitations in Commission’s submission guidelines at being increased under the new Reliability Standard transfer capability between regions http://www.ferc.gov/help/submission- (from one to three years), the usual and customary (including constrained regions within a practice currently is to retain documentation guide.asp and should reference Docket needed to demonstrate compliance for the period single market such as ERCOT). We No. RD11–3. since the last audit, which is on a three year believe ERCOT, like other regions, will 34. Rather than creating entirely new schedule. In addition, while planning coordinators benefit from the assessment of potential obligations with respect to the must ensure that they perform an appropriate limitations in transfer capability in the transfer capability assessment at least once per year, assessment of transfer capability for the they are already required to establish transfer planning horizon over the Near-Term near-term transmission planning capabilities and disseminate information about horizon, Reliability Standard FAC–013– those capabilities. Thus, there should be no 35 Order No. 729, 129 FERC ¶ 61,155, at P 292– 2 upgrades the existing planning increase in burden other than the one-time cost of 93, 296 (noting, inter alia, that ERCOT does not (1) setting up a procedure to ensure that the have a transmission market and manages assessment will be performed at least once per year, transmission congestion through redispatch of 36 ERCOT Comments at 7. and (2) adjusting the methodology (if needed) to generation). 37 5 CFR 1320.11. Continued

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Number of re- Hours per re- Data collection Number of sponses per spondent per Total annual respondents respondent response hours

(A) (B) (C) (A × B × C)

Review and possible revision of methodology (one-time) ...... 40 20 1 80 1,600 Procedure to perform the Transfer Capability Assessment annually (one- time) ...... 80 1 80 6,400

Total ...... 8,000

(A) Reliability Standard FAC–013–2 is be located on Ten Mile River, in the City Information Collection Costs: The hereby approved as just, reasonable, not of East Providence, Providence County, Commission seeks comments on the unduly discriminatory, and in the Rhode Island. The sole purpose of a costs to comply with these requirements public interest. preliminary permit, if issued, is to grant and recordkeeping burden associated (B) NERC’s addition of the terms the permit holder priority to file a with Reliability Standard FAC–013–2. ‘‘Year One’’ and ‘‘Near-Term license application during the permit • Total Burden Hours for Collection: Transmission Planning Horizon’’ to the term. A preliminary permit does not (Compliance/Documentation) = 8,000 NERC Glossary is hereby approved. authorize the permit holder to perform hours. (C) NERC’s proposed implementation any land-disturbing activities or • Burden Hours Averaged Over Three plan for Reliability Standard FAC–013– otherwise enter upon lands or waters Years 41 = 2,667. 2 is hereby approved, including the owned by others without the owners’ • Total One-Time Compliance Cost = retirement of existing Reliability express permission. 8,000 hours @ $120/hour = $960,000. Standards FAC–012–1 and FAC–013–1 The proposed project would consist of • Total First Year Cost = $960,000. upon the effective date of Reliability the following: (1) The existing 175-foot- • Title: Order Approving Reliability Standard FAC–013–2. long Hunt’s Mill dam, which is owned Standard. (D) The VRF levels and VSL levels by the City of East Providence, Rhode • Action: Proposed Collection in proposed for FAC–013–2 are approved Island and includes a 125-foot-long, 10- FERC–725A. with the exceptions discussed above, foot-high curved stone masonry • OMB Control No: 1902–0244. and NERC is directed to submit a spillway; (2) an existing 32 acre • Respondents: Business or other for compliance filing within 60 days of this impoundment with 140 acre-feet of profit, and/or not for profit institutions. order addressing the Commission’s storage capacity at elevation 33.5 feet • Frequency of Responses: On stated concerns with respect to the VRF NAVD 88; (3) a newly constructed or occasion. levels of R1 and R4 and the VSL refurbished powerhouse; (4) a new or • Necessity of the Information: language of R1. refurbished vertical Francis turbine/ Reliability Standard FAC–013–2 By the Commission. Commissioner Spitzer generator with total hydraulic capacity satisfies certain directives the is not participating. of 100 cubic feet per second (cfs) and Commission issued in Order No. 729 Dated: Issued November 17, 2011. total installed generating capacity of 0.3 requiring applicable entities to specify Nathaniel J. Davis, Sr., megawatts connected to a rehabilitated the framework used for calculating Deputy Secretary. or new penstock; (5) a rehabilitated transfer capabilities in the Near-Term [FR Doc. 2011–30116 Filed 11–21–11; 8:45 am] intake, with new downstream fish Transmission Planning Horizon and to protection measures; (6) an existing 900- BILLING CODE 6717–01–P ensure that the framework is consistent foot-long open tailrace channel; (7) an with the processes and criteria used for existing switchyard with interconnected other operating and planning purposes. DEPARTMENT OF ENERGY transmission line located at the existing It also requires some entities to update powerhouse; and (8) appurtenant their Transfer Capability methodology Federal Energy Regulatory facilities. The estimated annual documents and procedures to perform Commission generation of the Hunt’s Mill Dam assessments annually. Project would be 0.85 gigawatt-hours [Project No. 14306–000] 36. Interested persons may obtain (GWH). information on the reporting The City of East Providence; Notice of Applicant Contact: Mr. Jonathan requirements by contacting: Federal Preliminary Permit Application Petrillo, Agent, The Essex Partnership, Energy Regulatory Commission, 888 Accepted for Filing and Soliciting LLC, 27 Vaughan Ave., Newport, RI First Street NE., Washington, DC 20426 Comments, Motions To Intervene, and 02840; phone: (401) 619–4872. [Attention: Ellen Brown, Office of the Competing Applications FERC Contact: John Ramer; phone: Executive Director, email: (202) 502–8969. [email protected], Phone: (202) On October 14, 2011, The City of East Deadline for filing comments, motions 502–8663, fax: (202) 273–0873]. Providence filed an application for a to intervene, competing applications preliminary permit, pursuant to section (without notices of intent), or notices of VI. Effective Date 4(f) of the Federal Power Act (FPA), intent to file competing applications: 60 37. This order will become effective proposing to study the feasibility of the days from the issuance of this notice. January 23, 2012. Hunt’s Mill Dam Hydropower Project Competing applications and notices of The Commission orders: (Hunt’s Mill Dam Project or project) to intent must meet the requirements of 18

comply with the more specific requirements set out planning coordinators will have to update their cycle. Therefore, we are averaging the one-time in the new Reliability Standard. methodology documents. burden estimate over three years. 40 Requirement R1 applies to planning 41 While this is a one-time burden, information coordinators. We estimate that 25 percent of all collections tend to be on a three year approval

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CFR 4.36. Comments, motions to assistance, contact FERC Online coordinate economic dispatch and intervene, notices of intent, and Support. voltage control. The second panel will competing applications may be filed Dated: November 16, 2011. address the capability of existing and electronically via the Internet. See 18 Kimberly D. Bose, emerging software to improve CFR 385.2001(a)(1)(iii) and the coordination and optimization of the Secretary. instructions on the Commission’s Web Bulk-Power System from a reliability site http://www.ferc.gov/docs-filing/ [FR Doc. 2011–30123 Filed 11–21–11; 8:45 am] and economic perspective. The agenda efiling.asp. Commenters can submit BILLING CODE 6717–01–P for this workshop is attached. Members brief comments up to 6,000 characters, of the Commission may attend the without prior registration, using the workshop. DEPARTMENT OF ENERGY eComment system at http:// Commission conferences are www.ferc.gov/docs-filing/ Federal Energy Regulatory accessible under section 508 of the ecomment.asp. You must include your Commission Rehabilitation Act of 1973. For name and contact information at the end accessibility accommodations, please of your comments. For assistance, [Docket No. AD12–5–000] send an email to [email protected] please contact FERC Online Support at or call toll free 1–(866) 208–3372 (voice) [email protected] or toll Voltage Coordination on High Voltage or (202) 208–1659 (TTY), or send a FAX free at 1–866–208–3676, or for TTY, Grids; Notice of Reliability Workshop to (202) 208–2106 with the required (202) 502–8659. Although the Agenda accommodations. Commission strongly encourages Information on this event will be As announced in the Notice of Staff electronic filing, documents may also be posted on the Calendar of Events on the Workshop issued on November 8, 2011, paper-filed. To paper-file, mail an Commission’s Web site, http:// the Commission will hold a workshop original and seven copies to: Kimberly www.ferc.gov, prior to the event. on Thursday, December 1, 2011, from 9 D. Bose, Secretary, Federal Energy For more information about this a.m. to 4:30 p.m. to explore the Regulatory Commission, 888 First Street conference, please contact: Sarah interaction between voltage control, NE., Washington, DC 20426. McKinley, Office of External Affairs, More information about this project, reliability, and economic dispatch. In Federal Energy Regulatory Commission, including a copy of the application, can addition, the Commission will consider 888 First Street NE., Washington, DC be viewed or printed on the ‘‘eLibrary’’ how improvements to dispatch and 20426, (202) 502–8368, link of Commission’s Web site at voltage control software could improve [email protected]. http://www.ferc.gov/docs-filing/ reliability and market efficiency. This elibrary.asp. Enter the docket number event will consist of two panels of Dated: November 16, 2011. (P–14306–000) in the docket number industry participants. The first panel Kimberly D. Bose, field to access the document. For will address how entities currently Secretary.

Staff Workshop on Voltage resources from a reliability perspective. e. Describe how reactive power needs Coordination on High Voltage Grids What applications or tools are used to of the distribution system or loads are evaluate reactive or voltage support coordinated or optimized. December 1, 2011 needs from this perspective? Panelists: • 9 a.m.–4:30 p.m. b. Describe the pre-scheduling and Khaled Abdul-Rahman, California real-time processes that involve the Independent System Operator Agenda • Xiaochuan Luo, ISO New England commitment or dispatch of reactive • 9–9:15 a.m.—Greeting and Opening resources from an economic Wes Yeomans, New York Remarks by David Andrejcak. perspective. What applications or tools Independent System Operator 9:15–11:30 a.m.—Current approaches • are used to evaluate reactive or voltage Dave Zwergel, Midwest ISO and challenges to analyzing voltage • Chantal Hendrzak, PJM support needs from this perspective? support and reactive margin during Interconnection operations planning and real-time. c. Explain whether and how pre- • Bruce Rew, Southwest Power Pool Presentations: Panelists will be asked scheduling, real-time and post analysis 11:30 a.m.–1 p.m.—Lunch Break. to describe how their companies evaluations are performed on the bulk 1–4 p.m.—The next generation of currently coordinate the dispatch of electric system or on lower voltage voltage support and reactive margin reactive resources to support forecasted systems to maximize opportunities for applications used during operations loads, generation and interchange additional reliability or economic planning and real-time. transactions during operations planning transactions. Presentations: Panelists will be asked and real-time. Panelists should address d. Describe the situations where the to describe capabilities of the present the following in their presentations: dispatch of reactive resources may limit and anticipated future software that can a. Describe the pre-scheduling and System Operating Limits or whether and be used as decision tools to help system real-time processes that involve the how more transactions could be operators optimize voltage support commitment or dispatch of reactive supported. resources to preserve and protect

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reliability and support market-based The project will provide an additional Commission) and will not have the right economic transactions. Panelists should 209,000 dekatherms (dth) per day of to seek court review of the address the following in their new firm transportation capacity on Commission’s final order. presentations: Equitrans’ system. Equitrans states that The Commission strongly encourages a. What are the objectives of software it has entered into precedent agreements electronic filings of comments, protests, products available to industry that for approximately 50,000 dth per day and interventions via the internet in lieu optimize the system for operations and anticipates entering into additional of paper. See 18 CFR 385.2001(a)(1)(iii) planning and real-time? (Minimize precedent agreements for up to another and the instructions on the losses, maximize transfer capability, 150,000 dth per day, all as more fully Commission’s Web site (http://www. and/or minimize production costs?) set forth in the application which is on ferc.gov) under the ‘‘e-Filing’’ link. b. Describe the system optimization file with the Commission and open to Dated: November 16, 2011. software products currently used or public inspection. The filing may also Kimberly D. Bose, tested in industry. Discuss how widely be viewed on the Web at http://www. these are used in industry. ferc.gov using the ‘‘eLibrary’’ link. Enter Secretary. c. Describe how these software the docket number excluding the last [FR Doc. 2011–30126 Filed 11–21–11; 8:45 am] products are evaluated and validated three digits in the docket number field BILLING CODE 6717–01–P using a post analysis process. to access the document. For assistance, d. What effort is involved in contact FERC at FERCOnlineSupport@ implementing the application for use in ferc.gov or call toll-free, (866) 208–3676 EXPORT-IMPORT BANK OF THE industry? or TTY, (202) 502–8659. UNITED STATES e. Discuss whether the application Any questions regarding this can be used on an interconnection-wide, Application should be directed to Paul Renewal of Advisory Committee Balancing Authority or local W. Diehl, Senior Counsel—Midstream, Charter distribution system basis and, if so, how EQT Corporation, 625 Liberty Avenue, ACTION: the application would be utilized. Suite 1700, Pittsburgh, Pennsylvania Notice of Renewal of the f. Discuss whether the applications 15222, or call (412) 395–5540, or fax Advisory Committee Charter of the can be used to optimize reactive power (412) 553–7781, or by email PDiehl@eqt. Export Import Bank. resources in the distribution system or com. SUMMARY: In compliance with mandate Any person may, within 60 days after loads and coordinate with higher of Section 3(d)(4) of the Export Import the issuance of the instant notice by the voltage systems. Bank Act of 1945, as amended, the Commission, file pursuant to Rule 214 Panelists: Agency announces the renewal of the • of the Commission’s Procedural Rules Kedall Demaree, Alstom Export Import Bank Advisory • (18 CFR 385.214) a motion to intervene Rod Sulte, GE Committee. The committee will advise • Soorya Kuloor, Gridiant or notice of intervention. Any person the Bank’s leadership and shall prepare • Marija Ilic, New Electricity filing to intervene or the Commission’s and submit with the Bank’s annual Transmission Software Solutions staff may, pursuant to section 157.205 of competitiveness report to the U.S. (NETSS) the Commission’s Regulations under the Congress its comments on the extent to • Dan French, Siemens NGA (18 CFR 157.205) file a protest to 4:00–4:30 p.m.—Summary Remarks the request. If no protest is filed within which the Bank is meeting its mandate by David Andrejcak. the time allowed therefore, the proposed to provide competitive financing to activity shall be deemed to be expand United States exports, and any [FR Doc. 2011–30125 Filed 11–21–11; 8:45 am] suggestions for improvements in this BILLING CODE 6717–01–P authorized effective the day after the time allowed for protest. If a protest is regard. filed and not withdrawn within 30 days SUPPLEMENTARY INFORMATION: after the time allowed for filing a DEPARTMENT OF ENERGY I. Background and Authority protest, the instant request shall be Federal Energy Regulatory treated as an application for The Advisory Committee was Commission authorization pursuant to section 7 of established as a non-discretionary the NGA. committee pursuant to Section 3(d)(4). [Docket No. CP12–13–000] Persons who wish to comment only The current Charter of the Advisory Equitrans, LP; Notice of Request on the environmental review of this Committee is scheduled to expire on Under Blanket Authorization project should submit an original and November 3, 2011. two copies of their comments to the Take notice that on November 3, Secretary of the Commission. II. Structure 2011, Equitrans, LP (Equitrans), 625 Environmental commenter’s will be The Committee shall consist of 17 Liberty Avenue, Suite 1700, Pittsburgh, placed on the Commission’s members appointed by the Bank’s Board Pennsylvania 15222, filed in Docket No. environmental mailing list, will receive of Directors on the recommendation of CP12–13–000, a prior notice request copies of the environmental documents, the President and Chairman of the Bank. pursuant to sections 157.205, 157.208, and will be notified of meetings Such members shall be broadly and 157.210 of the Federal Energy associated with the Commission’s representative of the following Regulatory Commission’s regulations environmental review process. constituencies: environment, under the Natural Gas Act for Environmental commenter’s will not be production, commerce, finance, authorization to construct and operate required to serve copies of filed agriculture, labor, services, and State the Blacksville Compressor Station documents on all other parties. government, with not less than three Project in Monongalia County, West However, the non-party commentary, members being representative of the Virginia. Specifically, Equitrans will not receive copies of all documents small business community, not less than proposes to construct and operate two filed by other parties or issued by the two members being representative of the 4,735 horsepower compressor units at Commission (except for the mailing of labor community, and not less than two the new Blacksville Compressor Station. environmental documents issued by the members being representative of the

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environmental nongovernmental advise the contact listed below as soon assigned to an end user, or to otherwise input organization community. as possible. any inaccurate data in this device. FOR FURTHER INFORMATION CONTACT: For ADDRESSES: Submit your PRA comments Additionally, prior to submitting a further information, contact: Office of to Nicolas A. Fraser, Office of certification application (FCC Form 731, the Secretary, 811 Vermont Avenue Management and Budget (OMB), via fax OMB Control Number 3060–0057) for a NW., Washington, DC 20571 (Number at (202) 395–5167, or via the Internet at Class B AIS device, the following (202) 565–3336). [email protected], and information must be submitted in to [email protected], Federal duplicate to the Commandant (CG–521), Lisa V. Terry, Communications Commission (FCC). To U.S. Coast Guard, 2100 2nd Street, SW., Assistant General Counsel (Acting). submit your comments by email send Washington, DC 20593–0001: [FR Doc. 2011–29094 Filed 11–21–11; 8:45 am] them to: [email protected]. (1) The name of the manufacturer or BILLING CODE 6690–01–M FOR FURTHER INFORMATION CONTACT: For grantee and the model number of the additional information about the AIS device; and (2) Copies of the test report and test information collection(s), contact Judith data obtained from the test facility FEDERAL COMMUNICATIONS B. Herman at (202) 418–0214. COMMISSION showing that the device complies with SUPPLEMENTARY INFORMATION: OMB the environmental and operational Information Collection Being Reviewed Control No.: 3060–1124. requirements identified in IEC 62287–1. by the Federal Communications Title: Section 80.231, Technical After reviewing the information Commission for Extension Under Requirements for Class B Automatic described in the certification Delegated Authority Identification System (AIS) Equipment. application, the U.S. Coast Guard will Form No.: N/A. issue a letter stating whether the AIS AGENCY: Federal Communications Type of Review: Extension of a device satisfies all of the requirements Commission. currently approved collection. specified in IEC 62287–1. A certification ACTION: Notice and Request for Respondents: Business or other for- application for an AIS device submitted comments. profit. to the Commission must contain a copy Number of Respondents: 20 of the U.S. Coast Guard letter stating SUMMARY: As part of its continuing effort respondents; 20 responses. that the device satisfies all of the to reduce paperwork burdens and as Estimated Time per Response: 1 hour. requirements specified in IEC 62287–1, required by the Paperwork Reduction Frequency of Response: On occasion a copy of the technical data and the Act of 1995, Public Law 104–13, the reporting requirement and third party instruction manual(s). Federal Communications Commission disclosure requirement. invites the general public and other Obligation to Respond: Required to Federal Communications Commission. Federal agencies to take this obtain or retain benefits. Statutory Marlene H. Dortch, opportunity to comment on the authority for this collection of Secretary, Office of the Secretary, Office of following information collection(s). information is contained in 47 U.S.C. Managing Director. Comments are requested concerning: (a) sections 151 through 155 and 301–309. [FR Doc. 2011–30120 Filed 11–21–11; 8:45 am] Whether the proposed collection of Total Annual Burden: 20 hours. BILLING CODE 6712–01–P information is necessary for the proper Annual Cost Burden: $28,000. performance of the functions of the Privacy Act Impact Assessment: N/A. Commission, including whether the Nature and Extent of Confidentiality: FEDERAL RESERVE SYSTEM information shall have practical utility; There is no need for confidentiality. (b) the accuracy of the Commission’s Needs and Uses: The Commission is Change in Bank Control Notices; burden estimate; (c) ways to enhance seeking Office of Management and Acquisitions of Shares of a Bank or the quality, utility, and clarity of the Budget (OMB) approval for an extension Bank Holding Company information collected; (d) ways to of this information collection (no The notificants listed below have minimize the burden of the collection of change in the reporting requirements applied under the Change in Bank information on the respondents, and/or third party disclosure Control Act (12 U.S.C. 1817(j)) and including the use of automated requirements). The Commission will § 225.41 of the Board’s Regulation Y (12 collection techniques or other forms of submit this information collection after CFR 225.41) to acquire shares of a bank information technology; and (e) ways to this 60 day comment period. There is no or bank holding company. The factors further reduce the information burden change in the Commission’s previous that are considered in acting on the for small business concerns with fewer burden estimates. notices are set forth in paragraph 7 of than 25 employees. Section 80.231 requires that the Act (12 U.S.C. 1817(j)(7)). The FCC may not conduct or sponsor manufacturers of Class B Automatic The notices are available for a collection of information unless it Identification Systems (AIS) immediate inspection at the Federal displays a currently valid control transmitters for the Marine Radio Reserve Bank indicated. The notices number. No person shall be subject to Service include with each transmitting also will be available for inspection at any penalty for failing to comply with device a statement explaining how to the offices of the Board of Governors. a collection of information subject to the enter static information accurately and a Interested persons may express their Paperwork Reduction Act (PRA) that warning statement that entering views in writing to the Reserve Bank does not display a valid control number. inaccurate information is prohibited. indicated for that notice or to the offices DATES: Persons wishing to comment on Specifically, this rule section requires of the Board of Governors. Comments this information collection should that manufacturers of AIS transmitters must be received not later than submit comments January 23, 2012. If label each transmitting device with the December 7, 2011. you anticipate that you will be following statement: A. Federal Reserve Bank of St. Louis submitting comments, but find it WARNNING: It is a violation of the rules (Glenda Wilson, Community Affairs difficult to do so within the period of of the Federal Communications Commission Officer) P.O. Box 442, St. Louis, time allowed by this notice, you should to input a MMSI that has not been properly Missouri 63166–2034:

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1. Samuel T. Sicard, individually and Omni Bank, National Association, Exposure in the Navajo Nation (U01)— as trustee of the Samuel M. Sicard Alhambra, California. New—National Center for Living Trust, Fort Smith, Arkansas; to In connection with this application, Environmental Health (NCEH) and retain ownership of First Bank Corp., Applicants also have applied to retain Agency for Toxic Substances and and thereby indirectly retain ownership 5.9 percent interest of the voting shares Disease Registry (ATSDR), Centers for of The First National Bank of Fort of First PacTrust Bancorp, Inc., and Disease Control and Prevention (CDC). Smith, both in Fort Smith, Arkansas. thereby indirectly retain Pacific Trust Background and Brief Description Board of Governors of the Federal Reserve Bank, both in Chula Vista, California, System, November 17, 2011. and engage in operating as savings and The Navajo Nation includes 16 million acres of New Mexico, Utah and Robert deV. Frierson, loan association, pursuant to section 225.28(b)(4)(ii) of Regulation Y. Arizona. It is the largest Alaska Native/ Deputy Secretary of the Board. American Indian Reservation in the [FR Doc. 2011–30106 Filed 11–21–11; 8:45 am] Board of Governors of the Federal Reserve United States. From 1948 to 1986, many System, November 17, 2011. BILLING CODE 6210–01–P uranium mining and milling operations Robert deV. Frierson, took place in the Navajo Nation, leaving Deputy Secretary of the Board. a large amount of uranium FEDERAL RESERVE SYSTEM [FR Doc. 2011–30105 Filed 11–21–11; 8:45 am] contamination on the reservation. Formations of, Acquisitions by, and BILLING CODE 6210–01–P Several studies have reported that Mergers of Bank Holding Companies uranium mostly damages the kidneys and urinary system. However, there is The companies listed in this notice DEPARTMENT OF HEALTH AND not much research data on uranium have applied to the Board for approval, HUMAN SERVICES exposure and poor birth and pursuant to the Bank Holding Company reproductive health outcomes. Research Act of 1956 (12 U.S.C. 1841 et seq.) Centers for Disease Control and involving prenatal exposure to uranium (BHC Act), Regulation Y (12 CFR Part Prevention may help to understand and prevent 225), and all other applicable statutes [60Day–12–12AM] some unfavorable child and maternal and regulations to become a bank health outcomes. holding company and/or to acquire the Proposed Data Collections Submitted There are important health differences assets or the ownership of, control of, or for Public Comment and concerning birth outcomes and prenatal the power to vote shares of a bank or Recommendations care in the Navajo Nation. According to bank holding company and all of the the Indian Health Service Regional banks and nonbanking companies In compliance with the requirement Differences in Indian Health 2002–2003 owned by the bank holding company, of Section 3506(c)(2)(A) of the Edition, the infant death rate among the including the companies listed below. Paperwork Reduction Act of 1995 for Navajo people is 8.5 deaths per 1000 The applications listed below, as well opportunity for public comment on live births, compared to 6.9 deaths per as other related filings required by the proposed data collection projects, the 1000 live births among all races. Only Board, are available for immediate Centers for Disease Control and 61% of Navajo mothers with live births inspection at the Federal Reserve Bank Prevention (CDC) will publish periodic received prenatal care in the first indicated. The application also will be summaries of proposed projects. To trimester as compared to 83% of all U.S. available for inspection at the offices of request more information on the mothers. Early and regular prenatal care the Board of Governors. Interested proposed projects or to obtain a copy of is a major predicator of positive birth persons may express their views in the data collection plans and outcomes. Due to the health differences writing on the standards enumerated in instruments, call (404) 639–5960 and in birth outcomes and the chance for the BHC Act (12 U.S.C. 1842(c)). If the send comments to Daniel Holcomb, CDC environmental uranium exposure in the proposal also involves the acquisition of Reports Clearance Officer, 1600 Clifton Navajo Nation, ATSDR decided that the a nonbanking company, the review also Road, MS–D74, Atlanta, GA 30333 or upcoming study must include education includes whether the acquisition of the send an email to [email protected]. of women and their families about the nonbanking company complies with the Comments are invited on: (a) Whether importance of prenatal care and the standards in section 4 of the BHC Act the proposed collection of information potential poor health risks associated (12 U.S.C. 1843). Unless otherwise is necessary for the proper performance with exposure to uranium. noted, nonbanking activities will be of the functions of the agency, including The House Committee on Oversight conducted throughout the United States. whether the information shall have and Government Reform requested that Unless otherwise noted, comments practical utility; (b) the accuracy of the federal agencies develop a plan to regarding each of these applications agency’s estimate of the burden of the address health and environmental must be received at the Reserve Bank proposed collection of information; (c) impacts of uranium contamination in indicated or the offices of the Board of ways to enhance the quality, utility, and the Navajo Nation. As a result of this Governors not later than December 16, clarity of the information to be request, ATSDR awarded a research 2011. collected; and (d) ways to minimize the cooperative agreement to University of A. Federal Reserve Bank of San burden of the collection of information New Mexico Community Environmental Francisco (Kenneth Binning, Vice on respondents, including through the Health Program (UNM–CEHP) entitled President, Applications and use of automated collection techniques ‘‘A Prospective Birth Cohort Study Enforcement) 101 Market Street, San or other forms of information Involving Environmental Uranium Francisco, California 94105–1579: technology. Written comments should Exposure in the Navajo Nation (U01),’’ 1. American Start-Up Financial be received within 60 days of this in August 2010. ATSDR and UNM– Institutions Investments, I, L.P., and notice. CEHP are working with the Navajo Area CKH Capital, Inc., both in Monterey Indian Health Service (NAIHS), Navajo Park, California; to become bank Proposed Project Nation Division of Health (NNDOH), holding companies by acquiring up to Prospective Birth Cohort Study Navajo Nation Environmental Protection 62 percent of the voting shares of New Involving Environmental Uranium Agency (NNEPA), and Navajo culture

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and language specialists to carry out the Participants will include Native enrollment survey for fathers who agree study. The study will examine American mothers from age 14 to 45 to participate will also be administered. reproductive outcomes in pregnant with verification of pregnancy who have Community Health and Environmental women, follow and assess their children lived in the study area for at least 5 Research Specialists (CHERS) will from birth to 1 year of age, and create years. Also, participants must consent to administer surveys using a CDC- a system to follow up the infants receive prenatal care and deliver at one approved electronic data entry system. through childhood up to 6 years of age of the healthcare facilities that are Survey instruments were designed to to evaluate the impact of uranium taking part in the study (Northern collect demographic information, assess exposure on biological and psychosocial Navajo Medical Center, Chinle potential environmental health risks, endpoints. Biological sample analysis, Comprehensive Health Care Facility, and mother-child interactions. The surveys, and developmental screenings Gallup Indian Medical Center, Tuba survey instruments were developed will be performed during this research City Regional Health-Care Corporation, based on previous surveys conducted by period for each participant. or Tse´hootsooı´ Medical Center). Fathers Dine’ Network for Environmental Health In addition to investigating the role of will be included in the study with (DiNEH) Project, the National Children’s uranium and other chemicals in the consent regardless of age or residence. environment on birth outcomes and We estimate that 550 pregnant women Study, and by other birth cohort studies development, the prospective study may and fathers per year must be enrolled in that have been conducted among other aid in understanding causes and the study to obtain adequate statistical indigenous populations. The final prevention measures of chronic power. A 10% pregnancy loss will be format of the survey instruments was conditions. Several research studies assumed, which would result in 500 modified based on review and input have shown that exposure to chemicals live births per year. Therefore, the total from the Navajo Nation community in the environment during prenatal and anticipated sample size is 1,500 mother- liaison group and associated Navajo postnatal periods can affect the infant pairs over the three years of the staff to address issues such as cultural development of adult chronic diseases. study. sensitivity, comprehension and The study will also provide broad The survey instruments for pregnant language translation. public health benefits for Navajo mothers include the following: There is no cost to the respondents communities through outreach and Enrollment Survey, Nutritional other than their time to participate in education on environmental prenatal Assessment/Food Intake Questionnaire, the study. The total estimated annual risks and early assessment. Referrals Ages and Stages Questionnaire (ASQ–I), burden hours equals 3550. will also be provided for known Mullen Stages of Early Development developmental delays. (MSEL), and Postpartum Surveys. An Estimated Annualized Burden Hours

Number of re- Average bur- Type of respondent Form name Number of re- sponses per den response Total burden spondents respondent (hours) (hours)

Mother ...... Enrollment Survey ...... 550 1 2 1100 Ages and Stages Questionnaire (2,6,9 500 4 15/60 500 12 months). Mullen Stages of Early Development .... 500 1 15/60 125 Postpartum Survey (0 months) ...... 500 1 1 500 Post-partum Survey (2, 6, 9, 12 500 4 15/60 500 months). Father ...... Enrollment Survey ...... 550 1 90/60 825

Total ...... 3550

Dated: November 16, 2011. licensing in the U.S. in accordance with Medical Device for Intraocular Daniel Holcomb, 35 U.S.C. 207 to achieve expeditious Injection of Therapeutics and Fluid Reports Clearance Officer, Centers for Disease commercialization of results of Sampling Control and Prevention. federally-funded research and [FR Doc. 2011–30103 Filed 11–21–11; 8:45 am] development. Foreign patent Description of Technology: The National Institutes of Health seeks BILLING CODE 4163–18–P applications are filed on selected inventions to extend market coverage research collaboration and for companies and may also be available commercialization partners for a DEPARTMENT OF HEALTH AND for licensing. medical device for administering HUMAN SERVICES therapeutics into the eye to treat a ADDRESSES: Licensing information and variety of ocular diseases including National Institutes of Health copies of the U.S. patent applications diabetic retinopathy, retinal vein listed below may be obtained by writing occlusion, and macular degeneration. Government-Owned Inventions; to the indicated licensing contact at the The device is a dual function needle Availability for Licensing Office of Technology Transfer, National that can both inject and sample ocular AGENCY: National Institutes of Health, Institutes of Health, 6011 Executive fluid at the same injection site. The Public Health Service, HHS. Boulevard, Suite 325, Rockville, needle includes a hub portion in ACTION: Notice. Maryland 20852–3804; telephone: (301) communication with a needle portion 496–7057; fax: (301) 402–0220. A signed through a lumen that may be used as a SUMMARY: The inventions listed below Confidential Disclosure Agreement will conduit to inject a therapeutic into an are owned by an agency of the U.S. be required to receive copies of the injection site. A sample chamber, with Government and are available for patent applications. an optional absorbent material, is

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disposed in the lumen capable of Patent Application 61/501,065 filed DEPARTMENT OF HEALTH AND absorbing intraocular fluid via a passive June 24, 2011. HUMAN SERVICES filling action into the sample chamber. Licensing Contact: Michael Potential Commercial Applications: National Institutes of Health • Shmilovich, Esq.; (301) 435–5019; Ocular therapeutics [email protected]. • Macular degeneration Center for Scientific Review; Notice of • Diabetic retinopathy Dated: November 16, 2011. Closed Meetings • Retinal vein occlusion Richard U. Rodriguez, Pursuant to section 10(d) of the Competitive Advantages: Director, Division of Technology Development • Federal Advisory Committee Act, as Small sample volumes and Transfer, Office of Technology Transfer, amended (5 U.S.C. App.), notice is • Disposable National Institutes of Health. • hereby given of the following meetings. Personalized medicine [FR Doc. 2011–30109 Filed 11–21–11; 8:45 am] The meetings will be closed to the Development Stage: BILLING CODE 4140–01–P public in accordance with the • Prototype • provisions set forth in sections Early-stage 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Inventors: Henry E. Wiley (NEI), DEPARTMENT OF HEALTH AND as amended. The grant applications and Terrence M. Philips (NIBIB), Fredrick L. HUMAN SERVICES the discussions could disclose Ferris (NEI), Heather Kalish (NIBIB). confidential trade secrets or commercial Intellectual Property: HHS Reference National Institutes of Health property such as patentable material, No. E–233–2010/0—U.S. Provisional and personal information concerning Patent Application No. 61/533,908 filed Center for Scientific Review; Notice of individuals associated with the grant September 13, 2011. Closed Meeting applications, the disclosure of which Licensing Contact: Michael would constitute a clearly unwarranted Shmilovich, Esq.; (301) 435–5019; Pursuant to section 10(d) of the invasion of personal privacy. [email protected]. Federal Advisory Committee Act, as Collaborative Research Opportunity: amended (5 U.S.C. App.), notice is Name of Committee: Center for Scientific The National Eye Institute is seeking hereby given of the following meeting. Review Special Emphasis Panel, statements of capability or interest from Psychomotor Behavior After Chemotherapy. The meeting will be closed to the Date: November 30, 2011. parties interested in collaborative public in accordance with the Time: 12:30 p.m. to 2 p.m. research to further develop, evaluate or provisions set forth in sections Agenda: To review and evaluate grant commercialize intraocular therapeutic 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., applications. delivery. For collaboration as amended. The grant applications and Place: National Institutes of Health, 6701 opportunities, please contact Alan E. the discussions could disclose Rockledge Drive, Bethesda, MD 20892, (Telephone Conference Call). Hubbs, Ph.D. at (301) 594–4263 or confidential trade secrets or commercial [email protected]. Contact Person: Biao Tian, Ph.D., Scientific property such as patentable material, Review Officer, Center for Scientific Review, Bacteria/Biofilm Resistant Implantable and personal information concerning National Institutes of Health, 6701 Rockledge Medical Device individuals associated with the grant Drive, Room 3089B, MSC 7848, Bethesda, applications, the disclosure of which MD 20892, (301) 402–4411, Description of Technology: Available would constitute a clearly unwarranted [email protected]. for licensing and commercial invasion of personal privacy. This notice is being published less than 15 development is a medical device days prior to the meeting due to the timing resistant to a biological barrier such as Name of Committee: Center for Scientific limitations imposed by the review and a bacterial biofilm, fibrin sheath, and/or Review Special Emphasis Panel; Program funding cycle. clot formation. An electric current is Project: Mitosis and Meiosis. Name of Committee: Center for Scientific Date: December 13–14, 2011. introduced through an electrically Review Special Emphasis Panel, Review of Time: 9 a.m. to 5 p.m. HIV/AIDS Clinical Studies and Epidemiology conductive surface of the device (e.g., a Agenda: To review and evaluate grant catheter) on which a biofilm, fibrin Grant Applications. applications. Date: December 9, 2011. sheath, or clot may form to inhibit Place: National Institutes of Health, 6701 Time: 12 p.m. to 3 p.m. formation. The electrically conductive Rockledge Drive, Bethesda, MD 20892, Agenda: To review and evaluate grant surface can extend along an entire (Virtual Meeting). applications. surface of the device (for example Contact Person: Elena Smirnova, Ph.D., Place: National Institutes of Health, 6701 extending entirely from the proximal to Scientific Review Officer, Center for Rockledge Drive, Bethesda, MD 20892, distal end of a catheter), or a portion Scientific Review, National Institutes of (Virtual Meeting). thereof such as at the tip. Health, 6701 Rockledge Drive, Room 5187, Contact Person: Mark P. Rubert, Ph.D., MSC 7840, Bethesda, MD 20892, (301) 435– Scientific Review Officer, Center for Potential Commercial Applications: Scientific Review, National Institutes of • Biofilm resistant medical devices 1236, [email protected]. • Health, 6701 Rockledge Drive, Room 5218, Antimicrobial methods (Catalogue of Federal Domestic Assistance MSC 7852, Bethesda, MD 20892, (301) 435– • Antimicrobial protection of Program Nos. 93.306, Comparative Medicine; 1775, [email protected]. implanted medical device 93.333, Clinical Research, 93.306, 93.333, Name of Committee: Center for Scientific • Vascular access devices 93.337, 93.393–93.396, 93.837–93.844, Review Special Emphasis Panel, Studies in Competitive Advantages: Non- 93.846–93.878, 93.892, 93.893, National Prevention and Health Disparites HIV/AIDS. degradable antimicrobial methods. Institutes of Health, HHS) Date: December 14–15, 2011. Development Stage: Time: 10 a.m. to 5 p.m. • Prototype Dated: November 15, 2011. Agenda: To review and evaluate grant • Early-stage Jennifer S. Spaeth, applications. Director, Office of Federal Advisory Place: National Institutes of Health, 6701 Inventors: Bradford Wood and Ziv Rockledge Drive, Bethesda, MD 20892, Committee Policy. Neeman (NIHCC). (Virtual Meeting). Intellectual Property: HHS Reference [FR Doc. 2011–30118 Filed 11–21–11; 8:45 am] Contact Person: Robert Freund, Ph.D., No. E–078–2005—U.S. Provisional BILLING CODE 4140–01–P Scientific Review Officer, Center for

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Scientific Review, National Institutes of Scientific Review/DERA, National Heart, DHS via facsimile to (202) 272–0997 or Health, 6701 Rockledge Drive, Room 5216, Lung, and Blood Institute, 6701 Rockledge via email at [email protected], MSC 7852, Bethesda, MD 20892, (301) 435– Drive, Room 7189, Bethesda, MD 20892, and to the OMB USCIS Desk Officer via 1050, [email protected]. (301) 443–8784, [email protected]. facsimile at (202) 395–5806 or via email Name of Committee: Center for Scientific (Catalogue of Federal Domestic Assistance at [email protected]. Please Program Nos. 93.233, National Center for Review Special Emphasis Panel, Member do not submit requests for individual Conflict: Dermatology. Sleep Disorders Research; 93.837, Heart and Date: December 19, 2011. Vascular Diseases Research; 93.838, Lung case status inquiries to these addresses. Time: 2 p.m. to 6 p.m. Diseases Research; 93.839, Blood Diseases If you are seeking information about the Agenda: To review and evaluate grant and Resources Research, National Institutes status of your individual case, please applications. of Health, HHS) check ‘‘My Case Status’’ online at https: Place: National Institutes of Health, 6701 Dated: November 16, 2011. //egov.uscis.gov/cris/Dashboard, or call Rockledge Drive, Bethesda, MD 20892, Jennifer S. Spaeth, the USCIS National Customer Service (Telephone Conference Call). Center at 1–800–375–5283 (TTY 1 (800) Contact Person: Jean D. Sipe, Ph.D., Director, Office of Federal Advisory Committee Policy. 767–1833). Scientific Review Officer, Center for When submitting comments by email Scientific Review, National Institutes of [FR Doc. 2011–30099 Filed 11–21–11; 8:45 am] please make sure to add OMB Control Health, 6701 Rockledge Drive, Room 4106, BILLING CODE 4140–01–P MSC 7814, Bethesda, MD 20892, (301) 435– Number 1615–0078 in the subject box. 1743, [email protected]. Written comments and suggestions from the public and affected agencies should (Catalogue of Federal Domestic Assistance DEPARTMENT OF HOMELAND address one or more of the following Program Nos. 93.306, Comparative Medicine; SECURITY 93.333, Clinical Research, 93.306, 93.333, four points: 93.337, 93.393–93.396, 93.837–93.844, U.S. Citizenship and Immigration (1) Evaluate whether the proposed 93.846–93.878, 93.892, 93.893, National Services collection of information is necessary Institutes of Health, HHS) for the proper performance of the Dated: November 16, 2011. Agency Information Collection functions of the agency, including Jennifer S. Spaeth, Activities: Form N–300; Revision of an whether the information will have Director, Office of Federal Advisory Existing Information Collection; practical utility; Committee Policy. Comment Request (2) Evaluate the accuracy of the [FR Doc. 2011–30101 Filed 11–21–11; 8:45 am] agencies estimate of the burden of the ACTION: Notice. proposed collection of information, BILLING CODE 4140–01–P including the validity of the * * * * * methodology and assumptions used; The Department of Homeland (3) Enhance the quality, utility, and DEPARTMENT OF HEALTH AND Security, U.S. Citizenship and HUMAN SERVICES clarity of the information to be Immigration Services (USCIS) will be collected; and submitting the following information National Institutes of Health (4) Minimize the burden of the collection request to the Office of collection of information on those who National Heart, Lung, and Blood Management and Budget (OMB) for are to respond, including through the Institute; Notice of Closed Meeting review and clearance in accordance use of appropriate automated, with the Paperwork Reduction Act of electronic, mechanical, or other Pursuant to section 10(d) of the 1995. The information collection was technological collection techniques or Federal Advisory Committee Act, as previously published in the Federal other forms of information technology, amended (5 U.S.C. App.), notice is Register on August 24, 2011 at 76 FR e.g., permitting electronic submission of hereby given of the following meeting. 52961, allowing for a 60-day public responses. The meeting will be closed to the comment period. USCIS received two public in accordance with the comments in connection with that Overview of This Information provisions set forth in sections notice, which informed the public that Collection 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., USCIS will be requesting revision of this (1) Type of Information Collection: as amended. The grant applications and information collection. Revision of an existing information the discussions could disclose The purpose of this notice is to allow collection. confidential trade secrets or commercial an additional 30 days for public (2) Title of the Form/Collection: property such as patentable material, comments. Comments are encouraged Application to File Declaration of and personal information concerning and will be accepted until December 22, Intention. individuals associated with the grant 2011. This process is conducted in (3) Agency form number, if any, and applications, the disclosure of which accordance with 5 CFR 1320.10. the applicable component of the would constitute a clearly unwarranted Written comments and/or suggestions Department of Homeland Security invasion of personal privacy. regarding the item(s) contained in this sponsoring the collection: Form N–300; Name of Committee: National Heart, Lung, notice, especially regarding the U.S. Citizenship and Immigration and Blood Institute Special Emphasis Panel, estimated public burden and associated Services (USCIS). Predoctoral Training in Cardiovascular response time, should be directed to the (4) Affected public who will be asked Research. Department of Homeland Security or required to respond, as well as a brief Date: December 15, 2011. (DHS), and to the Office of Management abstract: Primary: Individuals or Time: 1 p.m. to 2 p.m. and Budget (OMB) USCIS Desk Officer. households. Form N–300 will be used Agenda: To review and evaluate grant Comments may be submitted to: USCIS, by permanent residents to file a applications. Place: National Institutes of Health, 6701 Chief, Regulatory Products Division, declaration of intention to become a Rockledge Drive, Bethesda, MD 20892, Office of the Executive Secretariat, citizen of the United States. This (Telephone Conference Call). Clearance Office, 20 Massachusetts collection is also used to satisfy Contact Person: Stephanie L Constant, Avenue, Washington, DC 20529–2020. documentary requirements for those Ph.D., Scientific Review Officer, Office of Comments may also be submitted to seeking to work in certain occupations

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or professions, or to obtain various Budget. Comments should be addressed which the Surety must submit prior to licenses. to OMB Desk Officer, for United States being granted access to eBonds. The I– (5) An estimate of the total number of Immigration and Customs Enforcement, 352RA provides notification that respondents and the amount of time Department of Homeland Security, and eBonds is a Federal government estimated for an average respondent to sent via electronic mail to computer system and as such users respond: 85 responses at .75 hours (45 [email protected] or faxed must abide by certain conduct minutes) per response. to (202) 395–6974. guidelines to access eBonds and the (6) An estimate of the total public Written comments and suggestions consequences if such guidelines are not burden (in hours) associated with the from the public and affected agencies followed. collection: 64 annual burden hours. concerning the proposed collection of (5) An estimate of the total number of If you need a copy of the information information should address one or more respondents and the amount of time collection instrument, please visit the of the following four points: estimated for an average respondent to Web site at: http:// (1) Evaluate whether the proposed respond: 100 responses at 30 minutes www.regulations.gov/. collection of information is necessary (.50 hours) per response. We may also be contacted at: USCIS, for the proper performance of the (6) An estimate of the total public Regulatory Products Division, Office of functions of the agency, including burden (in hours) associated with the the Executive Secretariat, 20 whether the information will have collection: 50 annual burden hours. Massachusetts Avenue NW., practical utility; Requests for a copy of the proposed Washington, DC 20529–2020, (2) Evaluate the accuracy of the information collection instrument, with Telephone number (202) 272–8377. agencies estimate of the burden of the instructions; or inquiries for additional proposed collection of information, Dated: November 15, 2011. information should be directed to: John including the validity of the Sunday Aigbe, Ramsay, Program Manager, Records methodology and assumptions used; Management Branch, U.S. Immigration Chief, Regulatory Products Division, Office (3) Enhance the quality, utility, and and Customs Enforcement, 500 12th of the Executive Secretariat, U.S. Citizenship clarity of the information to be and Immigration Services, Department of Street SW., Room 3138, Washington, DC collected; and 20024; (202) 732–6337. Homeland Security. (4) Minimize the burden of the [FR Doc. 2011–29915 Filed 11–21–11; 8:45 am] collection of information on those who November 10, 2011. BILLING CODE 9111–97–P are to respond, including through the John Ramsay, use of appropriate automated, Program Manager, Records Management electronic, mechanical, or other Branch, U.S. Immigration and Customs DEPARTMENT OF HOMELAND technological collection techniques or Enforcement, Department of Homeland SECURITY other forms of information technology, Security. [FR Doc. 2011–30065 Filed 11–21–11; 8:45 am] United States Immigration and e.g., permitting electronic submission of BILLING CODE 9111–28–P Customs Enforcement responses. Overview of This Information Agency Information Collection Collection Activities: Extension of an Information DEPARTMENT OF HOUSING AND Collection; Comment Request (1) Type of Information Collection: URBAN DEVELOPMENT Extension of a currently approved [Docket No. FR–5481–N–20] ACTION: 30-Day Notice of Information information collection. Collection Under Review; Electronic (2) Title of the Form/Collection: Notice of Proposed Information Bonds Online (eBonds) Access. Electronic Bonds Online (eBonds) Collection: Comment Request Access; OMB Control No. 1653–0046. Congressional Earmark Grants The Department of Homeland (3) Agency form number, if any, and Security, U.S. Immigration and Customs the applicable component of the AGENCY: Office of the Assistant Enforcement (ICE), is submitting the Department of Homeland Security Secretary for Community Planning and following information collection request sponsoring the collection: Forms I– Development, HUD. for review and clearance in accordance 352SA; I–352RA, U.S. Immigration and ACTION: Notice. with the Paperwork Reduction Act of Customs Enforcement. 1995. The information collection was (4) Affected public who will be asked SUMMARY: The proposed information previously published in the Federal or required to respond, as well as a brief collection requirement described below Register on August 30, 2011, Vol. 76 No. abstract: Primary: Individual or will be submitted to the Office of 168, pp 53930, allowing for a 60 day Households, Business or other non- Management and Budget (OMB) for comment period. No comments were profit. The information taken in this review, as required by the Paperwork received on this information collection. collection is necessary for ICE to grant Reduction Act. The Department is The purpose of this notice is to allow access to eBonds and to notify the soliciting public comments on the an additional 30 days for public public of the duties and responsibilities subject proposal. comments. Comments are encouraged associated with accessing eBonds. The The Department’s Congressional and will be accepted for thirty days I–352SA and the I–352RA are the two Grants Division administers until December 21, 2011. instruments used to collect the congressionally mandated grants, Written comments and suggestions information associated with this known as earmarks. These projects have from the public and affected agencies collection. The I–352SA is to be been identified in the annual regarding items contained in this notice completed by a Surety that currently appropriation of funds to the and especially with regard to the holds a Certificate of Authority to act as Department and in the accompanying estimated public burden and associated a Surety on Federal bonds and details conference reports or congressional response time should be directed to the the requirements for accessing eBonds record accompanying each Office of Information and Regulatory as well as the documentation, in appropriation. Earmarks generally fall Affairs, Office of Management and addition to the I–352SA and I–352RA, into two categories: Economic

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Development Initiative-Special Project performance. Grantees are units of state Officer, Department of Housing and (EDI–SP) and Neighborhood Initiative and local government, nonprofits and Urban Development, 451 7th Street SW., (NI) grants. Indian tribes. Respondents are initially Room 7233, Washington, DC 20410. DATES: Comments Due Date: January 23, identified by Congress and generally fall FOR FURTHER INFORMATION CONTACT: Eva 2012. into two categories: Economic Fontheim at (202) 402–3461 (this is not ADDRESSES: Interested persons are Development Initiative-Special Project a toll free number) for copies of the invited to submit comments regarding (EDI–SP) grantees and Neighborhood proposed forms and other available this proposal. Comments should refer to Initiative (NI) grantees. The agency has documents: the proposal by name and/or OMB used the application, semi-annual SUPPLEMENTARY INFORMATION: The Control Number and should be sent to: reports and close-out reports to track Department is submitting the proposed Reports Liaison Officer, Department of grantee performance in the information collection to OMB for Housing and Urban Development, 451 implementation of approved projects. review, as required by the Paperwork 7th Street SW., Washington, DC 20410, Agency form numbers, if applicable: Reduction Act of 1995 (44 U.S.C. Room 9120 or the number for the SF–424; SF–LLL; SF–1199A; HUD– Chapter 35, as amended). Federal Information Relay Service (1– 27054; SF–425; HUD–27056. 800–877–8339). Estimation of the total numbers of This Notice is soliciting comments hours needed to prepare the information from members of the public and FOR FURTHER INFORMATION CONTACT: collection including number of affecting agencies concerning the Frank McNally, Director, Congressional respondents, frequency of response, and proposed collection of information to: Grants Division, Department of Housing hours of response: The number of (1) Evaluate whether the proposed and Urban Development, 451 7th Street burden hours is 2,000. The number of collection of information is necessary SW., Washington, DC 20410, telephone respondents is 2,000, the number of for the proper performance of the (202) 402–7100 (this is not a toll free responses is 4,000, the frequency of functions of the agency, including number) for copies of the proposed response is on occasion, and the burden whether the information will have forms and other available information. hour per response is 4. practical utility; (2) Evaluate the SUPPLEMENTARY INFORMATION: The Status of the proposed information accuracy of the agency’s estimate of the Department is submitting the proposed collection: This is an extension of a burden of the proposed collection of information collection to OMB for currently approved collection. information; (3) Enhance the quality, review, as required by the Paperwork utility, and clarity of the information to Reduction Act of 1995 (44 U.S.C. Authority: The Paperwork Reduction Act of 1995, 44 U.S.C., Chapter 35, as amended. be collected; and (4) Minimize the Chapter 35, as amended). burden of the collection of information Dated: October 24, 2011. This Notice is soliciting comments on those who are to respond; including from members of the public and affected Valerie G. Piper, through the use of appropriate agencies concerning the proposed Deputy Assistant Secretary for Economic automated collection techniques or collection of information to: (1) Evaluate Development. other forms of information technology, whether the proposed collection is [FR Doc. 2011–30133 Filed 11–21–11; 8:45 am] e.g., permitting electronic submission of necessary for the proper performance of BILLING CODE 4210–67–P responses. the functions of the agency, including This Notice also lists the following whether the information will have information: practical utility; (2) Evaluate the DEPARTMENT OF HOUSING AND Title of Proposal: HUD-Administered accuracy of the agency’s estimate of the URBAN DEVELOPMENT Small Cities Program Performance burden of the proposed collection of [Docket No. FR–5481–N–19] Assessment Report. information; (3) Enhance the quality, utility, and clarity of the information to OMB Control Number, if applicable: Notice of Proposed Information 2506–0020. be collected; and (4) Minimize the Collection: Comment Request, HUD- Description of the need for the burden of the collection of information Administered Small Cities Program information and proposed use: The on those who are to respond; including Performance Assessment Report the use of appropriate automated information collected from grant collection techniques or other forms of AGENCY: Office of the Assistant recipients participating in the HUD- information technology, e.g., permitting Secretary for Community Planning and administered CDBG program provides electronic submission of responses. Development, HUD. HUD with financial and physical This Notice also lists the following ACTION: Notice. development status of each activity information: funded. These reports are used to Title of Proposal: Congressional SUMMARY: The proposed information determine grant recipient performance. Earmark Grants. collection requirement described below Agency form numbers, if applicable: OMB Control Number, if applicable: will be submitted to the Office of The Housing and Community 2506–0179. Management and Budget (OMB) for Development Act of 1974, as amended, Description of the need for the review, as required by the Paperwork requires grant recipients that receive information and proposed use: HUD’s Reduction Act. The Department is CDBG funding to submit a Performance Congressional Grants Division and its soliciting public comments on the Assessment Report (PAR), Form 4052, Environmental Officers in the field use subject proposal. on an annual basis to report on program this information to make funds available DATES: Comments Due Date: January 23, progress; and such records as may be to entities directed to receive funds 2012. necessary to facilitate review and audit appropriated by Congress. This ADDRESSES: Interested persons are by HUD of the grantee’s administration information is used to collect, receive, invited to submit comments regarding of CDBG funds (Section 104(e)(1)). review and monitor program activities this proposal. Comments should refer to Members of affected public: This through applications, semi-annual and the proposal by name and/or OMB information collection applies solely to close-out reports. The information that Control Number and should be sent to: local governments in New York State is collected is used to assess William Kelleher, Reports Liaison that have HUD-administered CDBG

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grants that remain open or continue to decision may appeal the decision within Willamette Meridian, Oregon generate program income. the following time limits: T. 17 S., R. 7 W., accepted October 21, 2011 Estimation of the total numbers of 1. Unknown parties, parties unable to T. 18 S., R. 8 W., accepted October 21, 2011 hours needed to prepare the information be located after reasonable efforts have ADDRESSES: A copy of the plats may be collection including number of been expended to locate, parties who obtained from the Land Office at the respondents, frequency of response, and fail or refuse to sign their return receipt, Bureau of Land Management, Oregon/ hours of response: The estimated and parties who receive a copy of the Washington State Office, 333 SW. 1st number of respondents is 40. The decision by regular mail which is not Avenue, Portland, Oregon 97204, upon proposed frequency of the response to certified, return receipt requested, shall required payment. A person or party the collection of information is annual. have until December 22, 2011 to file an who wishes to protest against a survey Annual recordkeeping is estimated at appeal. must file a notice that they wish to 160 hours for approximately 40 grant 2. Parties receiving service of the protest (at the above address) with the recipients. decision by certified mail shall have 30 Oregon/Washington State Director, Status of the proposed information days from the date of receipt to file an Bureau of Land Management, Portland, collection: Reinstatement, with change, appeal. Oregon. of a previously approved collection for 3. Notices of appeal transmitted by FOR FURTHER INFORMATION CONTACT: which approval has expired, and a electronic means, such as facsimile or Kyle request for OMB renewal for three years. email, will not be accepted as timely Hensley, (503) 808–6124, Branch of The current OMB approval will expire filed. Geographic Sciences, Bureau of Land in October, 2011. Parties who do not file an appeal in Management, 333 SW. 1st Avenue, accordance with the requirements of 43 Portland, Oregon 97204. Persons who Authority: The Paperwork Reduction Act use a telecommunications device for the of 1995, 44 U.S.C. Chapter 35, as amended. CFR part 4, subpart E, shall be deemed to have waived their rights. deaf (TDD) may call the Federal Dated: November 16, 2011. Information Relay Service (FIRS) at 1– Yolanda Cha´vez, ADDRESSES: A copy of the decision may 800–877–8339 to contact the above Deputy Assistant Secretary For Grant be obtained from: Bureau of Land individual during normal business Programs. Management, Alaska State Office, 222 hours. The FIRS is available 24 hours a West Seventh Avenue, #13, Anchorage, [FR Doc. 2011–30139 Filed 11–21–11; 8:45 am] day, 7 days a week, to leave a message Alaska 99513–7504. BILLING CODE 4210–67–P or question with the above individual. FOR FURTHER INFORMATION, CONTACT: The You will receive a reply during normal BLM by phone at (907) 271–5960 or by business hours. DEPARTMENT OF THE INTERIOR email at [email protected]. SUPPLEMENTARY INFORMATION: Before Persons who use a Telecommunications including your address, phone number, Bureau of Land Management Device for the Deaf (TDD) may call the email address, or other personal Federal Information Relay Service identifying information in your [F–14920–A; LLAK965000–L14100000– (FIRS) at 1–800–877–8339 to contact the KC0000–P] comment, you should be aware that BLM during normal business hours. In your entire comment—including your Alaska Native Claims Selection addition, the FIRS is available 24 hours personal identifying information—may a day, 7 days a week, to leave a message be made publicly available at any time. AGENCY: Bureau of Land Management, or question with the BLM. The BLM While you can ask us in your comment Interior. will reply during normal business to withhold your personal identifying ACTION: Notice of Decision Approving hours. information from public review, we Lands for Conveyance. Charmain McMillan, cannot guarantee that we will be able to SUMMARY: As required by 43 CFR Land Law Examiner, Land Transfer do so. 2650.7(d), notice is hereby given that Adjudication II Branch. Mary J.M. Hartel, the Bureau of Land Management (BLM) [FR Doc. 2011–30097 Filed 11–21–11; 8:45 am] Chief, Cadastral Surveyor of Oregon/ will issue an appealable decision to BILLING CODE 4310–JA–P Washington. Arviq Incorporated. The decision [FR Doc. 2011–30102 Filed 11–21–11; 8:45 am] approves only the surface estate in the BILLING CODE 4310–33–P lands described below for conveyance DEPARTMENT OF THE INTERIOR pursuant to the Alaska Native Claims Bureau of Land Management Settlement Act (43 U.S.C. 1601, et seq). INTERNATIONAL TRADE The subsurface estate of these lands will COMMISSION be conveyed to Calista Corporation [LLOR957000–L63200000–HD0000: HAG12– when the surface estate is conveyed to 0039] [Investigation Nos. 731–TA–671–673 (Third Arviq Incorporated. The lands are in the Review)] Filing of Plats of Survey: Oregon/ vicinity of Platinum, Alaska, and Washington located in: Silicomanganese From Brazil, China, and Ukraine; Notice of Commission Seward Meridian, Alaska AGENCY: Bureau of Land Management, determinations To Conduct Full Five- Interior. T. 13 S., R. 75 W., Year Reviews Secs. 19 and 30. ACTION: Notice. AGENCY: Containing 27.54 acres. United States International SUMMARY: The plats of survey of the Trade Commission. Notice of the decision will also be following described lands are scheduled ACTION: Notice. published four times in The Delta to be officially filed in the Bureau of Discovery. Land Management Oregon/Washington SUMMARY: The Commission hereby gives DATES: Any party claiming a property State Office, Portland, Oregon, 30 days notice that it will proceed with full interest in the lands affected by the from the date of this publication. reviews pursuant to section 751(c)(5) of

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the Tariff Act of 1930 (19 U.S.C. statements will be available from the www.usitc.gov). The public record for 1675(c)(5)) to determine whether Office of the Secretary and at the this review may be viewed on the revocation of the antidumping duty Commission’s Web site. Commission’s electronic docket (EDIS) orders on silicomanganese from Brazil, Authority: These reviews are being at http://edis.usitc.gov. China, and Ukraine would be likely to conducted under authority of title VII of the SUPPLEMENTARY INFORMATION: On lead to continuation or recurrence of Tariff Act of 1930; this notice is published November 4, 2011, the Commission material injury within a reasonably pursuant to section 207.62 of the determined that it should proceed to a foreseeable time. A schedule for the Commission’s rules. full review in the subject five-year reviews will be established and By order of the Commission. review pursuant to section 751(c)(5) of announced at a later date. For further Issued: November 16, 2011. the Act.1 The Commission found that information concerning the conduct of James R. Holbein, both the domestic and respondent these reviews and rules of general Secretary to the Commission. interested party group responses to its application, consult the Commission’s [FR Doc. 2011–30036 Filed 11–21–11; 8:45 am] notice of institution (76 FR 45853, Rules of Practice and Procedure, part August 1, 2011) were adequate.2 A BILLING CODE 7020–02–P 201, subparts A through E (19 CFR part record of the Commissioners’ votes, the 201), and part 207, subparts A, D, E, and Commission’s statement on adequacy, F (19 CFR part 207), as amended, 76 FR INTERNATIONAL TRADE and any individual Commissioner’s 61937 (October 6, 2011). COMMISSION statements will be available from the DATES: Effective Date: November 4, Office of the Secretary and at the 2011. [Investigation No. 731–TA–344 (Third Commission’s Web site. Review)] FOR FURTHER INFORMATION CONTACT: Authority: This review is being conducted Mary Messer ((202) 205–3193), Office of Tapered Roller Bearings From China; under authority of title VII of the Tariff Act Investigations, U.S. International Trade Notice of Commission determination of 1930; this notice is published pursuant to Commission, 500 E Street SW., To Conduct a Full Five-Year Review section 207.62 of the Commission’s rules. Washington, DC 20436. Hearing- By order of the Commission. AGENCY: United States International impaired persons can obtain Issued: November 16, 2011. Trade Commission. information on this matter by contacting James R. Holbein, the Commission’s TDD terminal on ACTION: Notice Secretary to the Commission. (202) 205–1810. Persons with mobility SUMMARY: impairments who will need special The Commission hereby gives [FR Doc. 2011–30040 Filed 11–21–11; 8:45 am] assistance in gaining access to the notice that it will proceed with a full BILLING CODE 7020–02–P Commission should contact the Office review pursuant to section 751(c)(5) of of the Secretary at (202) 205–2000. the Tariff Act of 1930 (19 U.S.C. INTERNATIONAL TRADE General information concerning the 1675(c)(5)) to determine whether Commission may also be obtained by revocation of the antidumping duty COMMISSION accessing its Internet server (http:// order on tapered roller bearings from [Investigation Nos. 701–TA–442–443 and www.usitc.gov). The public record for China would be likely to lead to 731–TA–1095–1097 (Review)] these reviews may be viewed on the continuation or recurrence of material Commission’s electronic docket (EDIS) injury within a reasonably foreseeable Certain Lined Paper School Supplies at http://edis.usitc.gov. time. A schedule for the review will be From China, India, and Indonesia; established and announced at a later SUPPLEMENTARY INFORMATION: On Notice of Commission Determinations November 4, 2011, the Commission date. For further information concerning To Conduct Full Five-Year Reviews the conduct of this review and rules of determined that it should proceed to AGENCY: United States International full reviews in the subject five-year general application, consult the Commission’s Rules of Practice and Trade Commission. reviews pursuant to section 751(c)(5) of ACTION: Notice. the Act. The Commission found that the Procedure, part 201, subparts A through E (19 CFR part 201), and part 207, domestic interested party group SUMMARY: The Commission hereby gives response to its notice of institution (76 subparts A, D, E, and F (19 CFR part notice that it will proceed with full FR 45856, August 1, 2011) was adequate 207), as amended, 76 FR 61937 (October reviews pursuant to section 751(c)(5) of and that the respondent interested party 6, 2011). the Tariff Act of 1930 (19 U.S.C. group responses with respect to Brazil DATES: Effective Date: November 4, 1675(c)(5)) to determine whether and Ukraine were adequate, and 2011. revocation of the countervailing duty decided to conduct full reviews of the FOR FURTHER INFORMATION CONTACT: orders on certain lined paper school antidumping duty orders on Mary Messer (202) 205–3193), Office of supplies from India and Indonesia and silicomanganese from Brazil and Investigations, U.S. International Trade the antidumping duty orders on certain Ukraine. The Commission found that Commission, 500 E Street SW., lined paper school supplies from China, the respondent interested party group Washington, DC 20436. Hearing- India, and Indonesia would be likely to response with respect to China was impaired persons can obtain lead to continuation or recurrence of inadequate. However, the Commission information on this matter by contacting material injury within a reasonably determined to conduct a full review the Commission’s TDD terminal on foreseeable time. A schedule for the concerning the order on (202) 205–1810. Persons with mobility reviews will be established and silicomanganese from China to promote impairments who will need special announced at a later date. For further administrative efficiency in light of its assistance in gaining access to the decision to conduct full reviews with Commission should contact the Office 1 Chairman Deanna Tanner Okun did not respect to Brazil and Ukraine. A record of the Secretary at (202) 205–2000. participate. 2 Commissioner Charlotte R. Lane dissented from of the Commissioners’ votes, the General information concerning the the majority, instead finding that the respondent Commission’s statement on adequacy, Commission may also be obtained by interested party group response was inadequate and and any individual Commissioner’s accessing its internet server (http:// determining to proceed to an expedited review.

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information concerning the conduct of statements will be available from the filed on behalf of Elpida Memory, Inc. these reviews and rules of general Office of the Secretary and at the and Elpida Memory (USA) Inc. on application, consult the Commission’s Commission’s Web site. November 15, 2011. The complaint Rules of Practice and Procedure, part Authority: These reviews are being alleges violations of section 337 of the 201, subparts A through E (19 CFR part conducted under authority of title VII of the Tariff Act of 1930 (19 U.S.C. 1337) in 201), and part 207, subparts A, D, E, and Tariff Act of 1930; this notice is published the importation into the United States, F (19 CFR part 207), as amended, 76 FR pursuant to section 207.62 of the the sale for importation, and the sale 61937 (October 6, 2011). Commission’s rules. within the United States after DATES: Effective Date: November 4, By order of the Commission. importation of certain semiconductor 2011. Issued: November 16, 2011. chips with dram circuitry, and modules and products containing same. The FOR FURTHER INFORMATION CONTACT: James R. Holbein, complaint names Nanya Technology Mary Messer (202) 205–3193, Office of Secretary to the Commission. Corporation of Taiwan and Nanya Investigations, U.S. International Trade [FR Doc. 2011–30039 Filed 11–21–11; 8:45 am] Technology Corporation, U.S.A. of Commission, 500 E Street SW., BILLING CODE 7020–02–P Santa Clara, CA, as respondents. Washington, DC 20436. Hearing- The complainant, proposed impaired persons can obtain respondents, other interested parties, information on this matter by contacting INTERNATIONAL TRADE and members of the public are invited the Commission’s TDD terminal on COMMISSION to file comments, not to exceed five (202) 205–1810. Persons with mobility pages in length, on any public interest impairments who will need special [DN 2855] issues raised by the complaint. assistance in gaining access to the Certain Semiconductor Chips with Comments should address whether Commission should contact the Office DRAM Circuitry, and Modules and issuance of an exclusion order and/or a of the Secretary at (202) 205–2000. Products Containing Same Receipt of cease and desist order in this General information concerning the Complaint; Solicitation of Comments investigation would negatively affect the Commission may also be obtained by Relating to the Public Interest public health and welfare in the United accessing its Internet server (http:// States, competitive conditions in the www.usitc.gov). The public record for AGENCY: U.S. International Trade United States economy, the production these reviews may be viewed on the Commission. of like or directly competitive articles in Commission’s electronic docket (EDIS) ACTION: Notice. at http://edis.usitc.gov. the United States, or United States consumers. SUPPLEMENTARY INFORMATION: On SUMMARY: Notice is hereby given that the U.S. International Trade In particular, the Commission is November 4, 2011, the Commission interested in comments that: determined that it should proceed to Commission has received a complaint entitled In Re Certain Semiconductor (i) Explain how the articles full reviews in the subject five-year potentially subject to the orders are used reviews pursuant to section 751(c)(5) of Chips with DRAM Circuitry, and Modules and Products Containing in the United States; the Act. The Commission found that the (ii) Identify any public health, safety, Same, DN 2855; the Commission is domestic interested party group or welfare concerns in the United States soliciting comments on any public response to its notice of institution (76 relating to the potential orders; FR 45851, August 1, 2011) was adequate interest issues raised by the complaint. (iii) Indicate the extent to which like and that the respondent interested party FOR FURTHER INFORMATION CONTACT: or directly competitive articles are group response with respect to the James R. Holbein, Secretary to the produced in the United States or are orders on subject merchandise from Commission, U.S. International Trade otherwise available in the United States, India was adequate, and decided to Commission, 500 E Street SW., with respect to the articles potentially conduct full reviews of the antidumping Washington, DC 20436, telephone (202) subject to the orders; and and countervailing duty orders on 205–2000. The public version of the (iv) Indicate whether Complainant, certain lined paper school supplies from complaint can be accessed on the Complainant’s licensees, and/or third India. The Commission found that the Commission’s electronic docket (EDIS) party suppliers have the capacity to respondent interested party group at http://edis.usitc.gov, and will be replace the volume of articles responses with respect to the orders on available for inspection during official potentially subject to an exclusion order subject merchandise from China and business hours (8:45 a.m. to 5:15 p.m.) and a cease and desist order within a Indonesia were inadequate. However, in the Office of the Secretary, U.S. commercially reasonable time. the Commission determined to conduct International Trade Commission, 500 E Written submissions must be filed no full reviews concerning the orders on Street SW., Washington, DC 20436, later than by close of business, five certain lined paper school supplies from telephone (202) 205–2000. business days after the date of China and Indonesia to promote General information concerning the publication of this notice in the Federal administrative efficiency in light of its Commission may also be obtained by Register. There will be further decision to conduct full reviews with accessing its Internet server (http:// opportunities for comment on the respect to the orders on subject www.usitc.gov). The public record for public interest after the issuance of any merchandise from India.1 A record of this investigation may be viewed on the final initial determination in this the Commissioners’ votes, the Commission’s electronic docket (EDIS) investigation. Commission’s statement on adequacy, at http://edis.usitc.gov. Hearing- Persons filing written submissions and any individual Commissioner’s impaired persons are advised that must file the original document and 12 information on this matter can be true copies thereof on or before the 1 Commissioner Charlotte R. Lane dissented, obtained by contacting the deadlines stated above with the Office instead finding that the respondent interested party Commission’s TDD terminal on (202) of the Secretary. Submissions should group response with respect to India was 205–1810. inadequate and determining to conduct expedited refer to the docket number (‘‘Docket No. reviews of all orders concerning certain lined paper SUPPLEMENTARY INFORMATION: The 2855’’) in a prominent place on the school supplies from China, India, and Indonesia. Commission has received a complaint cover page and/or the first page. The

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Commission’s rules authorize filing Commission, U.S. International Trade (iii) Indicate the extent to which like submissions with the Secretary by Commission, 500 E Street SW., or directly competitive articles are facsimile or electronic means only to the Washington, DC 20436, telephone (202) produced in the United States or are extent permitted by section 201.8 of the 205–2000. The public version of the otherwise available in the United States, rules (see Handbook for Electronic complaint can be accessed on the with respect to the articles potentially Filing Procedures, http://www.usitc.gov/ Commission’s electronic docket (EDIS) subject to the orders; and secretary/fed_reg_notices/rules/ at http://edis.usitc.gov, and will be (iv) Indicate whether Complainants, documents/ available for inspection during official Complainants’ licensees, and/or third handbook_on_electronic_filing.pdf. business hours (8:45 a.m. to 5:15 p.m.) party suppliers have the capacity to Persons with questions regarding in the Office of the Secretary, U.S. replace the volume of articles electronic filing should contact the International Trade Commission, 500 E Secretary (202) 205–2000). Street SW., Washington, DC 20436, potentially subject to an exclusion order Any person desiring to submit a telephone (202) 205–2000. and a cease and desist order within a document to the Commission in General information concerning the commercially reasonable time. confidence must request confidential Commission may also be obtained by Written submissions must be filed no treatment. All such requests should be accessing its Internet server (http:// later than by close of business, five directed to the Secretary to the www.usitc.gov). The public record for business days after the date of Commission and must include a full this investigation may be viewed on the publication of this notice in the Federal statement of the reasons why the Commission’s electronic docket (EDIS) Register. There will be further Commission should grant such at http://edis.usitc.gov. Hearing- opportunities for comment on the treatment. See 19 CFR 201.6. Documents impaired persons are advised that public interest after the issuance of any for which confidential treatment by the information on this matter can be final initial determination in this Commission is properly sought will be obtained by contacting the investigation. treated accordingly. All nonconfidential Commission’s TDD terminal on (202) Persons filing written submissions written submissions will be available for 205–1810. must file the original document and 12 public inspection at the Office of the SUPPLEMENTARY INFORMATION: The true copies thereof on or before the Secretary. Commission has received a complaint This action is taken under the filed on behalf of Rovi Corporation, Rovi deadlines stated above with the Office authority of section 337 of the Tariff Act Guides, Inc. (f/k/a Gemstar-TV Guide of the Secretary. Submissions should of 1930, as amended (19 U.S.C. 1337), International Inc., United Video refer to the docket number (‘‘Docket No. and of sections 201.10 and 210.50(a)(4) Properties, Inc., Gemstar Development 2856’’) in a prominent place on the of the Commission’s Rules of Practice Corporation, and Index System Inc. on cover page and/or the first page. The and Procedure (19 CFR 201.10, November 15, 2011. The complaints Commission’s rules authorize filing 210.50(a)(4)). allege violations of section 337 of the submissions with the Secretary by Tariff Act of 1930 (19 U.S.C. 1337) in facsimile or electronic means only to the Issued: November 15, 2011. the importation into the United States, extent permitted by section 201.8 of the By order of the Commission. the sale for importation, and the sale rules (see Handbook for Electronic James R. Holbein, within the United States after Filing Procedures, http://www.usitc.gov/ Secretary to the Commission. importation of certain products secretary/fed_reg_notices/rules/ [FR Doc. 2011–30037 Filed 11–21–11; 8:45 am] containing interactive program guide documents/ BILLING CODE 7020–02–P and parental controls technology. The handbook_on_electronic_filing.pdf. complaint names Vizio, Inc. of Irvine, Persons with questions regarding CA; Haier Group Corp. of China; and electronic filing should contact the INTERNATIONAL TRADE Haier America Trading, LLC of New Secretary (202) 205–2000). COMMISSION York, NY, as respondents. Any person desiring to submit a [DN 2856] The complainants, proposed respondents, other interested parties, document to the Commission in confidence must request confidential Certain Products Containing and members of the public are invited treatment. All such requests should be Interactive Program Guide and to file comments, not to exceed five directed to the Secretary to the Parental Controls Technology; Receipt pages in length, on any public interest Commission and must include a full of Complaint; Solicitation of issues raised by the complaint. statement of the reasons why the Comments Relating to the Public Comments should address whether Commission should grant such Interest issuance of an exclusion order and/or a cease and desist order in this treatment. See 19 CFR 201.6. Documents AGENCY: U.S. International Trade investigation would negatively affect the for which confidential treatment by the Commission. public health and welfare in the United Commission is properly sought will be ACTION: Notice. States, competitive conditions in the treated accordingly. All nonconfidential United States economy, the production written submissions will be available for SUMMARY: Notice is hereby given that of like or directly competitive articles in public inspection at the Office of the the U.S. International Trade the United States, or United States Secretary. Commission has received a complaint consumers. This action is taken under the entitled In Re Certain Products In particular, the Commission is Containing Interactive Program Guide authority of section 337 of the Tariff Act interested in comments that: of 1930, as amended (19 U.S.C. 1337), and Parental Controls Technology, DN (i) Explain how the articles and of sections 201.10 and 210.50(a)(4) 2856; the Commission is soliciting potentially subject to the orders are used of the Commission’s Rules of Practice comments on any public interest issues in the United States; raised by the complaint. (ii) Identify any public health, safety, and Procedure (19 CFR 201.10, FOR FURTHER INFORMATION CONTACT: or welfare concerns in the United States 210.50(a)(4)). James R. Holbein, Secretary to the relating to the potential orders; By order of the Commission.

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Issued: November 16, 2011. During the public comment period, Environment and Natural Resources James R. Holbein, the proposed Decree may be examined Division, and either emailed to Secretary to the Commission. on the following Department of Justice [email protected] or [FR Doc. 2011–30038 Filed 11–21–11; 8:45 am] Web site: http://www.usdoj.gov/enrd/ mailed to P.O. Box 7611, U.S. _ BILLING CODE 7020–02–P Consent Decrees.html. A copy of the Department of Justice, Washington, DC proposed Decree may also be obtained 20044–7611, and should refer to The by mail from the Consent Decree General Electric Company and United Library, P.O. Box 7611, U.S. Department Nuclear Corporation v. United States of DEPARTMENT OF JUSITCE of Justice, Washington, DC 20044–7611, America, Civil Action No. 1:10–cv–404 or by faxing or emailing a request to MCA/RHS (D. N.M.), DOJ Ref. # 90–11– Notice of Lodging of Consent Decree Tonia Fleetwood: 3–10077. Under the Comprehensive [email protected], fax no. During the public comment period, Environmental Response, (202) 514–0097, phone confirmation the Consent Decree may be examined on Compensation, and Liability Act number: (202) 514–1547. In requesting a the following Department of Justice Web (‘‘CERCLA’’) copy from the Consent Decree Library, site: http://www.usdoj.gov/enrd/ Notice is hereby given that on please enclose a check in the amount of Consent_Decrees.html. A copy of the November 15, 2011, a proposed Consent $8.00 (.25 cents per page reproduction Consent Decree may also be obtained by Decree (‘‘proposed Decree’’) in United cost) payable to the U.S. Treasury or, if mail from the Consent Decree Library, States v. Occidental Chemical by email or fax, please forward a check P.O. Box 7611, U.S. Department of Corporation, et al, Civil Action No. 11– in that amount to the Consent Decree Justice, Washington, DC 20044–7611 or CV–7149 was lodged with the United Library at the stated address. by faxing or emailing a request to Tonia States District Court for the Eastern Robert Brook, Fleetwood ([email protected]), District of Pennsylvania. Assistant Section Chief, Environmental fax no. (202) 514–0097, phone In this action under Section 107(a) of Enforcement Section, Environment and confirmation number (202) 514–1547. In the Comprehensive Environmental Natural Resources Division. requesting a copy from the Consent Response, Compensation, and Liability [FR Doc. 2011–30054 Filed 11–21–11; 8:45 am] Decree Library, please refer to The Act, 42 U.S.C. 9607(a) (‘‘CERCLA’’), the BILLING CODE 4410–15–P General Electric Company and United United States sought reimbursement of Nuclear Corporation v. United States of response costs incurred or to be America, Civil Action No. 1:10–cv–404 incurred for response actions taken at or DEPARTMENT OF JUSTICE MCA/RHS (D. N.M.), DOJ Ref. # 90–11– in connection with the release or 3–10077, and enclose a check in the threatened release of hazardous Notice of Lodging of Consent Decree amount of $4.25 (25 cents per page substances at the Occidental Chemical Under the Comprehensive reproduction cost) payable to the U.S. Corporation Superfund Site located in Environmental Response, Treasury. Lower Pottsgrove Township, Compensation and Liability Act (‘‘CERCLA’’) Henry S. Friedman, Montgomery County, Pennsylvania. The Assistant Section Chief, Environmental proposed Decree requires Settling Consistent with Section 122(d)(2) of Enforcement Section, Environment & Natural Defendants to pay $2,130,600.88 to the CERCLA, 42 U.S.C. 9622(d)(2), notice is Resources Division. United States in reimbursement of past hereby given that on November 7, 2011, [FR Doc. 2011–30131 Filed 11–21–11; 8:45 am] response costs. The proposed Decree a proposed Consent Decree in The BILLING CODE 4410–15–P also requires the Performing Settling General Electric Company and United Defendants to pay all future response Nuclear Corporation v. United States of costs and continue to perform the work America, Civil Action No. 1:10–cv–404 for operable unit 2 at the Site, which is MCA/RHS, was lodged with the United DEPARTMENT OF LABOR the final operable unit to be remediated States District Court for the District of Occupational Safety and Health under the 1993 Record of Decision. New Mexico. The proposed Decree provides the In this action the United States filed Administration Settling Defendants with a covenant not a counterclaim seeking to recover past [Docket No. OSHA–2011–0059] to sue under Section 107(a) of CERCLA, and future costs incurred and to be 42 U.S.C. 9607(a) for past response costs incurred by the Environmental Occupational Exposure to Hazardous and a covenant not to sue for future Protection Agency (EPA) during the Chemicals in Laboratories Standard; response costs to Performing Settling performance of response actions at the Extension of the Office of Management Defendants only. Northeast Church Rock Mine Superfund and Budget’s (OMB) Approval of The Department of Justice will receive Site in McKinley County, New Mexico. Information Collection (Paperwork) for a period of thirty (30) days from the Under the Consent Decree, the Requirements date of this publication comments Defendant United Nuclear Corporation relating to the proposed Decree. will reimburse the Hazardous Substance AGENCY: Occupational Safety and Health Comments should be addressed to the Superfund in the amount of Administration (OSHA), Labor. Assistant Attorney General, $1,905,166.60 for EPA’s response costs ACTION: Request for public comments. Environment and Natural Resources at the Site incurred through July 31, Division, and either emails to emailed to 2010 and interest incurred through May SUMMARY: OSHA solicits public [email protected] or 5, 2011. comments concerning its proposal to mailed to P.O. Box 7611, U.S. The Department of Justice will receive extend OMB approval of the Department of Justice, Washington, DC for a period of thirty (30) days from the information collection requirements 20044–7611, and should refer to United date of this publication comments specified in the Standard on States v. Occidental Chemical relating to the Consent Decree. Occupational Exposure to Hazardous Corporation, et al., D.J. Ref. 90–11–2– Comments should be addressed to the Chemicals in Laboratories (29 CFR 913/1. Assistant Attorney General, 1910.1450).

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DATES: Comments must be submitted I. Background establishing a medical surveillance (postmarked, sent, or received) by The Department of Labor, as part of its program for overexposed workers; January 23, 2012. continuing effort to reduce paperwork providing required information to the ADDRESSES: Electronically: You may and respondent (i.e., employer) burden, physician; obtaining the physician’s submit comments and attachments conducts a preclearance consultation written opinion on using proper electronically at http:// program to provide the public with an respiratory equipment; and establishing, www.regulations.gov, which is the opportunity to comment on proposed maintaining, transferring, and disclosing Federal eRulemaking Portal. Follow the and continuing information collection exposure monitoring and medical instructions online for submitting requirements in accordance with the records. These collection of information comments. Paperwork Reduction Act of 1995 (44 requirements, including the CHP, Facsimile: If your comments, U.S.C. 3506(c)(2)(A)). This program control worker overexposure to including attachments, are not longer ensures that information is in the hazardous laboratory chemicals thereby preventing serious illnesses and death than 10 pages, you may fax them to the desired format, reporting burden (time among workers exposed to such OSHA Docket Office at (202) 693–1648. and costs) is minimal, collection chemicals. Mail, hand delivery, express mail, instruments are clearly understood, and messenger, or courier service: When OSHA’s estimate of the information II. Special Issues for Comment using this method, you must submit collection burden is accurate. The OSHA has a particular interest in your comments and attachments to the Occupational Safety and Health Act of OSHA Docket Office, Docket No. comments on the following issues: 1970 (the OSH Act) (29 U.S.C. 651 et • Whether the proposed information OSHA–2011–0059, U.S. Department of seq.) authorizes information collection collection requirements are necessary Labor, Occupational Safety and Health by employers as necessary or for the proper performance of the Administration, Room N–2625, 200 appropriate for enforcement of the OSH Agency’s functions to protect workers, Constitution Avenue NW., Washington, Act or for developing information including whether the information is DC 20210. Deliveries (hand, express regarding the causes and prevention of useful; mail, messenger, and courier service) occupational injuries, illnesses, and • The accuracy of OSHA’s estimate of are accepted during the Department of accidents (29 U.S.C. 657). The OSH Act the burden (time and costs) of the Labor’s and Docket Office’s normal also requires that OSHA obtain such information collection requirements, business hours, 8:15 a.m. to 4:45 p.m., information with minimum burden including the validity of the e.t. upon employers, especially those methodology and assumptions used; Instructions: All submissions must operating small businesses, and to • The quality, utility, and clarity of include the Agency name and OSHA reduce to the maximum extent feasible the information collected; and docket number (OSHA–2011–0059) for unnecessary duplication of efforts in • Ways to minimize the burden on the Information Collection Request obtaining information (29 U.S.C. 657). employers who must comply; for (ICR). All comments including any The Standard on Occupational example, by using automated or other personal information you provide, are Exposure to Hazardous Chemicals in technological information collection placed in the public docket without Laboratories applies to laboratories that and transmission techniques. change, and may be made available use hazardous chemicals in accordance III. Proposed Actions online at http://www.regulations.gov. with the Standard’s definitions for For further information on submitting ‘‘laboratory use of hazardous chemicals’’ OSHA is proposing to extend the comments, see the ‘‘Public and ‘‘laboratory scale.’’ The Standard information collection requirements Participation’’ heading in the section of requires that these laboratories maintain contained in the Standard on this notice titled SUPPLEMENTARY worker exposures at or below the Occupational Exposure to Hazardous INFORMATION. permissible exposure limits specified Chemicals in Laboratories (29 CFR Docket: To read or download for the hazardous chemicals in 29 CFR 1910.1450). The Agency is proposing to comments or other material in the Part 1910, Subpart Z. They do so by increase its current burden hour docket, go to http://www.regulations.gov developing a written Chemical Hygiene estimate from 281,086 hours to 293,373 or the OSHA Docket Office at the Plan (CHP) that describes standard hours (an increase of 12,287 burden address above. All documents in the operating procedures for using hours). This increase is primarily a docket (including this Federal Register hazardous chemicals; hazard-control result of an increase in the number of notice) are listed in the http:// techniques; equipment-reliability facilities being monitored. www.regulations.gov index; however, measures; worker information-and- Type of Review: Extension of a some information (e.g., copyrighted training programs; conditions under currently approved collection. Title: Occupational Exposure to material) is not publicly available to which the employer must approve Hazardous Chemicals in Laboratories read or download from the Web site. All operations, procedures, and activities submissions, including copyrighted (29 CFR 1910.1450) before implementation; and medical OMB Number: 1218–0131. material, are available for inspection consultations and examinations. The and copying at the OSHA Docket Office. Affected Public: Business or other for- CHP also designates personnel profits. You also may contact Theda Kenney at responsible for implementing the CHP the address below to obtain a copy of Number of Respondents: 48,461. and specifies the procedures used to Frequency: Varies from 3 minutes (.05 the ICR. provide additional protection to workers hour) to replace the safe practice FOR FURTHER INFORMATION CONTACT: exposed to particularly hazardous manual to 1 hour to develop a new Theda Kenney or Todd Owen, chemicals. manual. Directorate of Standards and Guidance, Other information collection Total Responses: 911,113. OSHA, U.S. Department of Labor, Room requirements of the Standard include Average Time per Response: N–3609, 200 Constitution Avenue NW., documenting exposure monitoring Annually; monthly; quarterly; semi- Washington, DC 20210; telephone (202) results; notifying workers in writing of annually; on occasion. 693–2222. these results; presenting specified Estimated Total Burden Hours: SUPPLEMENTARY INFORMATION: information and training to workers; 293,373.

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Estimated Cost (Operation and U.S.C. 3506 et seq.) and Secretary of The Cooperating Agencies on this Maintenance): $41,271,276. Labor’s Order No. 4–2010 (75 FR final EA include the Federal Aviation 55355). Administration, the Air Force Space and IV. Public Participation—Submission of Missile System Center, the US Army Comments on This Notice and Internet Signed at Washington, DC, on November Space and Missile Defense Command, Access to Comments and Submissions 17, 2011. David Michaels, and the National Oceanic and You may submit comments in Atmosphere Administration. response to this document as follows: Assistant Secretary of Labor for Occupational Safety and Health. DATES: Effective date is November 22, (1) Electronically at http:// 2011. www.regulations.gov, which is the [FR Doc. 2011–30076 Filed 11–21–11; 8:45 am] Federal eRulemaking Portal; (2) by BILLING CODE 4510–26–P ADDRESSES: The final Environmental facsimile (fax); or (3) by hard copy. All Assessment (EA) that serves as the basis comments, attachments, and other for this FONSI may be viewed at material must identify the Agency name NATIONAL AERONAUTICS AND http://www.nasa.gov/green/nepa/ and the OSHA docket number for this SPACE ADMINISTRATION routinepayloadea.html or at the ICR (Docket No. OSHA–2011–0059). following locations: You may supplement electronic [Notice (11–115)] (a) NASA Headquarters, Library, submissions by uploading document Room 1J20, 300 E Street SW., files electronically. If you wish to mail National Environmental Policy Act; Washington, DC 20546 ((202) 358– additional materials in reference to an NASA Routine Payloads on 0167). electronic or a facsimile submission, Expendable Launch Vehicles (b) Central Brevard Library and you must submit them to the OSHA Reference Center, 308 Forrest Avenue, Docket Office (see the section of this AGENCY: National Aeronautics and Cocoa, FL 32922 ((321) 633–1792). notice titled ADDRESSES). The additional Space Administration. (c) Jet Propulsion Laboratory, Visitors materials must clearly identify your ACTION: Finding of No Significant Lobby, Building 249, 4800 Oak Grove electronic comments by your name, Impact (FONSI). Drive, Pasadena, CA 91109 ((818) 354– date, and docket number, so the Agency 5179). can attach them to your comments. SUMMARY: Pursuant to the National (d) NASA, Goddard Space Flight Because of security procedures, the Environmental Policy Act of 1969 Visitor’s Center, 8463 Greenbelt Road, use of regular mail may cause a (NEPA), as amended (42 U.S.C. 4321, et Greenbelt, MD 20771 ((301) 286–8981). significant delay in the receipt of seq.), the Council on Environmental (e) Lompoc Public Library, 501 E. comments. For information about Quality (CEQ) Regulations for North Avenue, Lompoc, CA 93436 security procedures concerning the Implementing the Procedural Provisions ((850) 875–8775). delivery of materials by hand, express of NEPA (40 CFR parts 1500–1508), and (f) Santa Maria Public Library, 420 delivery, messenger or courier service, NASA policy and procedures (14 CFR South Broadway, Santa Maria, CA please contact the OSHA Docket Office part 1216 subpart 1216.3), NASA has 93454–5199 ((805) 925–0994). at (202) 693–2350, (TTY (877) 889– made a Finding of No Significant Impact (g) Government Information Center, 5627). (FONSI) with respect to the proposed Davidson Library, University of Comments and submissions are launch of NASA Routine Payloads on California, Santa Barbara, Santa Barbara, posted without change at http:// expendable launch vehicles. The CA 93106–9010 ((805) 893–8803). www.regulations.gov. Therefore, OSHA proposed launches would occur from (h) Vandenberg Air Force Base cautions commenters about submitting existing launch facilities at Cape Library, 100 Community Loop, Building personal information, such as social Canaveral Air Force Station (CCAFS), 10343A, Vandenberg AFB, CA 93437 security numbers and dates of birth. Florida, Vandenberg Air Force Base ((805) 606–6414). Although all submissions are listed in (VAFB), California, the United States (i) Chincoteague Island Library, 4077 the http://www.regulations.gov index, Army Kwajalein Atoll/Reagan Test Site Main Street, Chincoteague, VA 23336 some information (e.g., copyrighted (USAKA/RTS) in the Republic of the ((757) 336–3460). material) is not publicly available to Marshall Islands (RMI), NASA’s (j) NASA WFF Technical Library, read or download through this Web site. Wallops Flight Facility (WFF), Virginia, Building E–105, Wallops Island, VA All submissions, including copyrighted and the Kodiak Launch Complex (KLC), 23337 ((757) 824–1065). material, are available for inspection Alaska. (k) Eastern Shore Public Library, and copying at the OSHA Docket Office. This FONSI summarizes NASA’s 23610 Front Street, Accomac, VA 23301 Information on using the http:// consideration of environmental impacts ((757) 787–3400). www.regulations.gov Web site to submit for routine payloads being launched at (l) Kodiak Library, 319 Lower Mill comments and access the docket is facilities addressed in the draft Bay Road, Kodiak, AK 99615 ((907) available at the Web site’s ‘‘User Tips’’ Environmental Assessment (EA) for 486–8680). link. Contact the OSHA Docket Office NASA Routine Payloads on Expendable (m) NASA, Ames Research Center, for information about materials not Launch Vehicles dated August 2011. Moffett Field, CA 94035 ((650) 604– available through the Web site and for The final EA updates the Final 3273). assistance in using the Internet to locate Environmental Assessment for Launch (n) Grace Sherwood and Roi-Namur docket submissions. of NASA Routine Payloads on Libraries, P.O. Box 23, Kwajalein, Expendable Launch Vehicles from Cape Marshall Islands APO, A.P. 96555 ((805) V. Authority and Signature Canaveral Air Force Station Florida and 355–2015). David Michaels, Ph.D., MPH, Vandenberg Air Force Base California (o) Alele Public Library, P.O. Box 629, Assistant Secretary of Labor for published in June 2002 (2002 NRP EA). Majuro, Republic of the Marshall Occupational Safety and Health, The final EA and FONSI incorporate by Islands 96960. ((692) 625–3372). directed the preparation of this notice. reference the 2002 NRP EA. For (p) Hampton Library, 4207 Victoria The authority for this notice is the completeness, much of the June 2002 Blvd., Hampton, VA 23669 ((757) 727– Paperwork Reduction Act of 1995 (44 NRP EA is restated in this final EA. 1154).

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A limited number of copies of the final family, the Delta family, the Taurus into the Earth’s atmosphere. None of the EA are available by contacting Mr. family, the Falcon family, the Pegasus NASA routine payload missions George Tahu at the address below. XL, and the Minotaur family. covered under the EA would have FOR FURTHER INFORMATION CONTACT: Alternatives radioactive materials aboard the George Tahu, NASA Program Executive, spacecraft, except for the possibility of Science Mission Directorate/Planetary Alternatives to the proposed action very small quantities on certain that were evaluated include: (1) Science Division, Mail Stop 3V71, missions for instrumentation purposes. Utilizing a foreign launch vehicle or, (2) NASA Headquarters, 300 E Street SW., Consequently, no potential substantial NASA would not launch spacecraft Washington, DC 20546 via telephone at missions defined as routine payloads adverse impacts from radioactive (202) 358–0000 or electronic mail at (the ‘‘no action’’ alternative). U.S. substances are anticipated. No other [email protected]. launch vehicles are proposed for launch individual or cumulative impacts of SUPPLEMENTARY INFORMATION: of NASA routine payloads. The nature environmental concern have been Public Involvement of environmental impacts, payload identified. processing, launch sites, and other The level and scope of environmental NASA solicited public and agency related information for foreign launch impacts associated with the launch of review and comment on the systems are generally not as well known NASA routine payload are well within environmental impacts of the Proposed or as well documented as for launches Action through: the envelope of impacts that have been from the U.S. In addition, use of non- addressed in previous EAs/FONSIs 1. Publishing notices of availability of U.S. launch vehicles requires individual the Draft EA in local newspapers and concerning other launch vehicles and consideration, review, and additional spacecraft. NASA routine payloads the Federal Register; documentation. Therefore, foreign would not increase launch rates nor 2. Making the Draft EA available for launch vehicles were not considered to utilize launch systems beyond the scope review at local public libraries; be reasonable alternatives for the 3. Publishing the Draft EA on the purpose of this routine payload of approved programs at the identified NASA Web site; and spacecraft EA. The no action alternative launch sites. No specific NASA routine 4. Consulting with Federal, state, and would not meet the purpose and need payload processing or launch activities local agencies. for the action. have been identified that would require Comments received were considered in new permits and/or mitigation measures the final EA. Comments and responses Environmental Impacts beyond those currently in place or in to comments are provided in Appendix Maximum potential impacts to the coordination. No significant new G of the final EA. human environment associated with the circumstances or information relevant to proposed action arise from the normal Proposed Action environmental concerns associated with launch of the Atlas V (largest solids the launch vehicles have been identified NASA proposes to carry out a variety from CCAFS), the Delta IV (largest which would affect the earlier findings. of missions involving the launch of solids from VAFB), and the Delta II 2925 NASA is formally adopting the existing routine payloads over the next several (largest hypergolic propellant load from launch vehicle/launch site NEPA decades. CCAFS and VAFB). Launch accident documentation referenced in Appendix By collecting a range of unique scenarios have also been addressed and A of the final EA. scientific and engineering data from indicate no potential for substantial space and transmitting the data to Earth, environmental impact to the human As specific spacecraft missions are NRP spacecraft would support NASA’s environment. Air emissions from the sufficiently defined, they will be strategic goals: exhaust produced by the solid reviewed to determine whether or not (a) To extend and sustain human propellant and first stage primarily the proposed mission falls within the activities across the solar system; include carbon monoxide, hydrochloric scope of the final EA. If a proposed (b) To expand scientific acid, aluminum oxide in soluble and mission is found to be inconsistent with understanding of the Earth and the insoluble forms, carbon dioxide, and the routine payload categorization, universe in which we live; and deluge water mixed with propellant by- additional environmental review will be (c) To create the innovative new space products. The primary emission conducted and documented, as technologies for our exploration, products from the liquid engines appropriate. science, and economic future. include carbon dioxide, carbon NASA has reviewed the final EA The proposed action includes preparing, monoxide, water vapor, oxides of prepared for the launch of Routine launching and decommissioning nitrogen, and carbon particulates. Air Payloads on expendable launch vehicles missions identified as routine payload impacts will be short-term and not missions. Routine payload spacecraft substantial. Short-term water quality and has concluded that the final EA would be placed into Earth orbit or into and noise impacts, as well as short-term represents an accurate and adequate Earth-escape trajectories (i.e., solar effects on wetlands, plants, and animals, analysis of the scope and level of orbit) using one of a group of would occur in the vicinity of the associated environmental impacts. expendable launch vehicles (ELVs) launch complex. These short-term NASA hereby incorporates the final EA routinely launched from Cape Canaveral impacts are of a nature to be self- by reference in this FONSI. On the basis Air Force Station (CCAFS), Florida; correcting, and none of these effects of the final EA, NASA has determined Vandenberg Air Force Base (VAFB), would be substantial. There would be that the environmental impacts California; Reagan Test Site at the U. S. no impact on threatened or endangered associated with the proposed action Army Kwajalein Atoll in the Republic of species or critical habitat, cultural would not individually or cumulatively the Marshall Islands (USAKA/RTS); resources, or floodplains. have an impact on the quality of the NASA Wallops Flight Facility (WFF), NASA routine payloads would follow human environment. Therefore, an Virginia; and, Kodiak Launch Complex the NASA guidelines regarding orbital (KLC), Alaska. The launch vehicles debris and minimizing the risk of include: Athena I and II, the Atlas V human casualty for uncontrolled reentry

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environmental impact statement is not their comments in writing to Lawrence XIII. Adjournment required. Carter-Long, Public Affairs Specialist, at Erica Hall, [email protected], using the subject Charles J. Gay, line of ‘‘Public Comment.’’ Although Assistant Corporate Secretary. Acting Associate Administrator for Science individuals may provide public [FR Doc. 2011–30256 Filed 11–18–11; 4:15 pm] Mission Directorate. comment on any subject, the Council BILLING CODE 7570–02–P [FR Doc. 2011–30155 Filed 11–21–11; 8:45 am] encourages comments about the Super BILLING CODE P Committee’s debt reduction proposal in particular. NUCLEAR REGULATORY COMMISSION NATIONAL COUNCIL ON DISABILITY CONTACT PERSON FOR MORE INFORMATION: Anne Sommers, NCD, 1331 F Street, [NRC–2011–0269] Sunshine Act Meetings NW., Suite 850, Washington, DC 20004; (202) 272–2004 (V), (202) 272–2074 Incorporation of Risk Management TIME AND DATES: The Members of the (TTY). Concepts in Regulatory Programs National Council on Disability (NCD) will meet by phone on Thursday, Accommodations AGENCY: Nuclear Regulatory Commission. December 8, 2011, 1 p.m.–5 p.m., ET. Those who plan to attend or listen by PLACE: The meeting will occur by phone and require accommodations ACTION: Request for public comments. phone. NCD staff will participate in the should notify NCD as soon as possible SUMMARY: The U.S. Nuclear Regulatory call from the Access Board Conference to allow time to make arrangements. Commission (NRC or the Commission) Room, 1331 F Street, NW., Suite 800, Dated: November 18, 2011. Washington, DC. Interested parties may is considering development of a Aaron Bishop, join the meeting in person at the Access strategic vision to better incorporate risk Board Conference Room or may join the Executive Director. management concepts into its regulatory phone line in a listening-only capacity [FR Doc. 2011–30224 Filed 11–18–11; 11:15 am] programs. To continue NRC’s (with the exception of the public BILLING CODE 6820–MA–P longstanding goal to move toward more comment period) using the following risk-informed, performance-based call-in information: Call-in number: 1– approaches in its regulatory programs, (877) 446–3914; Passcode: 569168. Chairman Gregory Jaczko has chartered NEIGHBORHOOD REINVESTMENT a task force headed by Commissioner MATTERS TO BE CONSIDERED: The CORPORATION George Apostolakis to develop a Council will meet by phone to provide strategic vision and options for adopting standing committee reports, including Board of Directors Audit Committee a more comprehensive and holistic risk- NCD updates on several policy Meeting; Sunshine Act informed, performance-based regulatory matters—including the Community approach that would continue to ensure Living Assistance Services and Supports TIME AND DATE: 1 p.m., Tuesday, the safe and secure use of nuclear (CLASS) Program; effective November 22, 2011. material. As part of this initiative, the communication strategies for people PLACE: 1325 G Street NW., Suite 800, task force is seeking comments from with disabilities before, during, and Boardroom, Washington, DC 20005. external stakeholders on a series of after disasters; and the 2012 NCD questions that will provide input for the STATUS: Open. Progress Report—and receive task force to consider in its work. presentations by the following CONTACT PERSON FOR MORE INFORMATION: DATES: Submit comments by January 6, individuals: Bill Kiernan, Director, Erica Hall, Assistant Corporate Institute for Community Inclusion, 2012. Comments received after this date Secretary, (202) 220–2376; will be considered, if it is practical to do University of Massachusetts-Boston to [email protected]. discuss employment issues for people so, but the Commission is able to ensure AGENDA: with disabilities; Rodney Whitlock, consideration only for comments Health Policy Director for the Office of I. Call To Order received on or before this date. Senator Chuck Grassley (R–IA), to II. Executive Session with Internal ADDRESSES: Please include Docket ID discuss the Super Committee and Audit Director NRC–2011–0269 in the subject line of potential impact of recommendations on III. Executive Session Related to your comments. For additional people with disabilities; and Deborah Pending Litigation instructions on submitting comments Spitalnik, Director, and Carrie Coffield, IV. Internal Audit Report with and instructions on accessing Pediatrics Instructor, The Elizabeth M. Management’s Response documents related to this action, see Boggs Center on Developmental V. FY ’12 Risk Assessment and Internal ‘‘Submitting Comments and Accessing Disabilities, University of Medicine & Audit Plan Information’’ in the SUPPLEMENTARY Dentistry of New Jersey-Robert Wood VI. FY ’12 EHLP Risk Assessment and INFORMATION section of this document. Johnson Medical School Department of Internal Audit Plan You may submit comments by any one Pediatrics to discuss voting for people of the following methods: VII. Five Year Internal Audit Plan • with disabilities. Policy discussions will Projects Federal Rulemaking Web site: Go to be followed by a period for public http://www.regulations.gov and search comment by phone or in-person. Any VIII. External Business Relationships for documents filed under Docket ID individuals interested in providing IX. Internal Audit Status Reports NRC–2011–0269. Address questions public comment will be asked to X. National Foreclosure Mitigation about NRC dockets to Carol Gallagher, provide their names, their Counseling (NFMC)/Emergency telephone: (301) 492–3668; email: organizational affiliations if applicable, Homeowners Loan Program (EHLP) [email protected]. and limit their comments to three Update • Mail comments to: Cindy Bladey, minutes. Those individuals who plan to XI. CFO Update Chief, Rules, Announcements, and provide public comment may also send XII. OHTS Watch List Directives Branch (RADB), Office of

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Administration, Mail Stop: TWB–05– Management Survey is available lessons learned from operating B01M, U.S. Nuclear Regulatory electronically under ADAMS Accession experience and support the adoption of Commission, Washington, DC 20555– Number ML112870118. improved designs or processes. 0001. • Federal Rulemaking Web site: The NRC has as one of its primary • Fax comments to: RADB at (301) Public comments and supporting safety goal strategies the use of sound 492–3446. materials related to this notice can be science and state-of-the-art methods to FOR FURTHER INFORMATION CONTACT: found at http://www.regulations.gov by establish, where appropriate, risk- Christiana Lui, Risk Management Task searching on Docket ID NRC–2011– informed and performance-based Force, Office of Commissioner 0269. regulations. The NRC issued SECY–98– Apostolakis, U.S. Nuclear Regulatory II. Background 144, ‘‘White Paper on Risk-Informed Commission, Washington, DC 20555– and Performance-Based Regulation’’ (see 0001; telephone: (301) 415–1801, email: The NRC has a longstanding goal to http://www.nrc.gov/reading-rm/doc- [email protected]. move toward more risk-informed, collections/commission/secys/1998/ performance-based approaches in its SUPPLEMENTARY INFORMATION: secy1998-144/1998-144scy.pdf), to regulatory programs. In 1995, the I. Submitting Comments and Accessing define the terminology and expectations Commission finalized and published its for evaluating and implementing the Information policy on how risk assessment would be II. Background initiatives related to risk-informed, used in agency decisionmaking (see III. Why Risk Management and Why Now performance-based approaches. The http://www.nrc.gov/reading-rm/doc- IV. The Role of Stakeholder Input paper defines a performance-based collections/commission/policy/ V. Paperwork Reduction Act Statement approach as follows: 60fr42622.pdf). In the late 1990s-early I. Submitting Comments and Accessing 2000s timeframe, the NRC staff A performance-based regulatory approach Information undertook a number of initiatives to is one that establishes performance and Comments submitted in writing or in better incorporate risk insights and results as the primary basis for regulatory electronic form will be posted on the performance considerations into its decisionmaking, and incorporates the following attributes: NRC Web site and on the Federal regulatory programs. These initiatives (1) Measurable (or calculable) parameters rulemaking Web site, http:// resulted in fundamental changes to how (i.e., direct measurement of the physical www.regulations.gov. Because your the NRC conducts its licensing, parameter of interest or of related parameters comments will not be edited to remove inspection and rulemaking programs. that can be used to calculate the parameter any identifying or contact information, The Commission has also directed the of interest) exist to monitor system, including the NRC cautions you against including NRC staff to solicit input from industry facility and licensee, performance, any information in your submission that and other stakeholders on performance- (2) objective criteria to assess performance you do not want to be publicly based initiatives, including areas that are established based on risk insights, disclosed. are not amenable to risk-informed deterministic analyses and/or performance approaches, to supplement the NRC’s history, The NRC requests that any party (3) licensees have flexibility to determine soliciting or aggregating comments traditional deterministic system of how to meet the established performance received from other persons for licensing and oversight. It should be criteria in ways that will encourage and submission to the NRC inform those noted that deterministic 1 and reward improved outcomes; and persons that the NRC will not edit their prescriptive 2 regulatory requirements (4) a framework exists in which the failure comments to remove any identifying or were based mostly on experience, to meet a performance criterion, while contact information, and therefore, they testing programs and expert judgment, undesirable, will not in and of itself should not include any information in considering factors such as engineering constitute or result in an immediate safety 3 their comments that they do not want margins and the principle of defense-in- concern. publicly disclosed. depth. These requirements are viewed Performance-based approaches can be You can access publicly available as being successful in establishing and pursued either independently or in documents related to this document maintaining adequate safety margins for combination with risk-informed using the following methods: NRC-licensed activities. The NRC has approaches. The NRC staff and the • NRC’s Public Document Room recognized that deterministic and Commission continued to make progress (PDR): The public may examine and prescriptive approaches can limit the on developing policies and guidance have copied, for a fee, publicly available flexibility of both the regulated related to performance-based documents at the NRC’s PDR, O1–F21, industries and the NRC to respond to approaches and subsequently issued One White Flint North, 11555 Rockville documents such as SECY–00–191, Pike, Rockville, Maryland 20852. 1 A deterministic approach to regulation ‘‘High Level Guidelines for • NRC’s Agencywide Documents establishes requirements for engineering margin and for quality assurance in design, manufacture, Performance-Based Activities’’ (see Access and Management System and construction. In addition, it assumes that http://www.nrc.gov/reading-rm/doc- (ADAMS): Publicly available documents adverse conditions can exist and establishes a collections/commission/secys/2000/ created or received at the NRC are specific set of design basis events and related secy2000-0191/2000-0191scy.pdf); and available online in the NRC Library at acceptance criteria for specific systems, structures, and components based on historical information, NUREG/BR–0303, ‘‘Guidance for http://www.nrc.gov/reading-rm/ engineering judgment, and desired safety margins. Performance-Based Regulation’’ (see adams.html. From this page, the public An example is a defined load on a structure (e.g., http://www.nrc.gov/reading-rm/doc- can gain entry into ADAMS, which from wind, seismic events, or pipe rupture) and an collections/nuregs/brochures/br0303/). provides text and image files of the engineering analysis to show that the structure maintains its integrity. NRC’s public documents. If you do not 2 A prescriptive requirement specifies particular 3 Using the previous example (footnote 2), a have access to ADAMS or if there are features, actions, or programmatic elements to be performance-based approach might provide problems in accessing the documents included in the design or process, as the means for additional flexibility to a licensee on plant located in ADAMS, contact the NRC’s achieving a desired objective. An example is a equipment and configurations used to accomplish requirement for specific equipment (e.g., pumps, a safety function (e.g., removing a heat load), but PDR reference staff at 1–800–397–4209, valves, heat exchangers) needed to accomplish a the performance criteria could not be the actual loss (301) 415–4737, or by email to particular function (e.g., remove a defined heat of a safety function that would result in the release [email protected]. This Risk load). of radioactive materials.

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Risk and performance considerations maintained.4 Defense-in-depth as to go deeper into that area. In addition, for materials and fuel cycle licensees applied to fire protection means that an inspection frequencies were revised were documented in SECY–99–062, appropriate balance is maintained based on risk insights from the NUREG/ ‘‘Nuclear Byproduct Material Risk between: (1) Preventing fires from CR–6642 effort as well as licensee Review’’ (see http://www.nrc.gov/ starting; (2) timely detection and performance over time. extinguishing of fires that might occur; reading-rm/doc-collections/ III. Why Risk Management and Why and (3) protection of SSCs important to commission/secys/1999/secy1999-062/ Now 1999-062scy.pdf); SECY–99–100, safety from a fire that is not promptly ‘‘Framework for Risk-Informed extinguished. The adoption of NFPA The initiatives identified above have been successful in making the NRC’s Regulation in the Office of Nuclear 805 provides a licensee with flexibility regulatory programs less deterministic Material Safety and Safeguards’’ (see regarding how to implement its fire and prescriptive and more risk-informed http://www.nrc.gov/reading-rm/doc- protection program while maintaining an acceptable level of fire safety. and performance-based. The risk- collections/commission/secys/1999/ In the materials area, the NUREG– informed approach has provided the secy1999-100/1999-100scy.pdf); SECY– 1556 series, Volumes 1–21, NRC the ability to make regulatory 00–0048, ‘‘Nuclear Byproduct Material ‘‘Consolidated Guidance About decision making more systematic, more Risk Review’’ (see http://www.nrc.gov/ Materials Licensees’’ (see http:// objective, more consistent, and more reading-rm/doc-collections/ www.nrc.gov/reading-rm/doc- transparent. In addition, it has allowed commission/secys/2000/secy2000-0048/ collections/nuregs/staff/sr1556/) was the NRC to better focus its licensing and 2000-0048scy.pdf); and the Phase II developed in the late 1990’s to pull inspection efforts on the most risk- Byproduct Material Review (ADAMS together into one place the various significant areas and has provided Accession No. ML012430396). guidance documents written over the flexibility in addressing technological Perhaps the most significant years for the wide variety of materials change, thus increasing effectiveness programmatic adoption of risk-informed licensees. These documents allow and efficiency. However, current and performance-based considerations license applicants to find the applicable projections for flat or declining budgets in the reactor area took place with regulations, guidance and acceptance for the foreseeable future may implementation of the Reactor Oversight criteria used in granting a materials necessitate NRC to adjust the way it Process (ROP) in April of 2000. The license. Operational experience does business to continue to fulfill its ROP replaced the previous Systematic (performance) and risk insights guided mission. the development of these documents. Assessment of Licensee Performance Accordingly, a task force headed by Over time the guidance in NUREG–1556 (SALP) program with explicit Commissioner George Apostolakis is has been revised to further incorporate developing a strategic vision and consideration of risk and performance risk insights, performance options for adopting a more considerations. The normal ‘‘baseline’’ considerations and changing comprehensive and holistic risk- inspection program is focused on the technology. A new revision to the series informed, performance-based regulatory more risk-important areas of plant is under development to address approach for reactors, materials, waste, operations. In addition, events or security and other issues. fuel cycle, and transportation that conditions at plants are assessed for The materials inspection program was would continue to ensure the safe and significance using probabilistic risk fundamentally revised in 2001—both in secure use of nuclear material (ADAMS models. The results of such assessments terms of approach and frequency—in Accession No. ML110680621). The task are used to direct additional oversight to the Phase II Byproduct Material Review. force was afforded the flexibility to plants with more significant findings. A The inspection approach was modified provide options ranging from a more recent reactor initiative that to emphasize licensee knowledge and complement to or alternative to the adopts a risk-informed and performance of NRC-licensed activities existing regulatory framework. The task performance-based approach is the over document review. Inspectors now force is expected to complete its work incorporation of the National Fire review a licensee’s program against by May 2012. Protection Association (NFPA) standard focus areas that reflect those attributes One of the approaches being NFPA 805, ‘‘Performance-Based which are considered to be most risk- considered by the task force is risk Standard for Fire Protection for Light- significant. If a licensee’s performance management. Risk management is being Water Reactor Electric Generating against a given focus element during the widely used in various sectors, Plants’’ into NRC’s regulations (Federal inspection is considered to be including government agencies, Register, 69 FR 33536; June 16, 2004; acceptable, the inspector moves on to financial institutions and technology see http://edocket.access.gpo.gov/2004/ the next focus element. Performance companies, to address the kinds of pdf/04-13522.pdf). NFPA 805 provides concerns or questions lead an inspector challenges the NRC faces and that the deterministic requirements that are very task force must address. In a 2008 4 Building upon the guidance in Regulatory Guide report, the Government Accountability similar to those in NRC’s traditional fire 1.174, ‘‘An Approach for Using Probabilistic Risk protection regulations, and also Assessment in Risk-Informed Decisions on Plant- Office (GAO) stated that: includes performance-based methods Specific Changes to the Licensing Basis,’’ Using principles of risk management can for evaluating plant configurations that Regulatory Guide 1.205, ‘‘Risk-Informed, help policymakers reach informed decisions Performance-Based Fire Protection for Existing regarding the best ways to prioritize provide a comparable and equivalent Light-Water Nuclear Power Plants,’’ states: investments in security programs so that level of safety intended by the Prior NRC review and approval is not required for these investments target the areas of greatest conservative deterministic individual changes that result in a risk increase less ¥7 need. Broadly defined, risk management is a requirements. The performance-based than 1×10 /year (yr) for CDF [core damage frequency] and less than 1×10¥8/yr for LERF [large strategic process for helping policymakers methods allow engineering analyses to early release frequency]. The proposed change must make decisions about assessing risk, demonstrate that the changes in overall also be consistent with the defense-in-depth allocating finite resources, and taking actions plant risk that result from these plant philosophy and must maintain sufficient safety under conditions of uncertainty. configurations is acceptably small and margins. The change may be implemented following completion of the plant change While the GAO report was focused on that fire protection defense-in-depth is evaluation. homeland security issues, the task force

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believes that risk management concepts 3. What are the relevant lessons Dated at Rockville, Maryland, this 15th day may represent a logical evolution from learned from the previous successful of November, 2011. the risk-informed, performance-based and unsuccessful deterministic Christiana Lui, philosophy that has governed many regulatory actions? Risk Management Task Force, Office of Commissioner Apostolakis. NRC regulatory activities for more than 4. What are the key characteristics for a decade and may be particularly a holistic risk management regulatory [FR Doc. 2011–30098 Filed 11–21–11; 8:45 am] effective in addressing the challenges structure for reactors, materials, waste, BILLING CODE 7590–01–P that the NRC faces in the years to come. fuel cycle, and security? Risk management concepts and approaches vary, but generally include 5. Should the traditional deterministic NUCLEAR REGULATORY the following: approaches be integrated into a risk COMMISSION management regulatory structure? If so, • Identification and framing of the issue [NRC–2011–0006] • Identification of options how? • Analysis 6. What are the challenges in Sunshine Act Notice • Deliberation for integrated accomplishing the goal of a holistic risk decisionmaking management regulatory structure? How AGENCY HOLDING THE MEETINGS: Nuclear • Implementation could these challenges be overcome? Regulatory Commission. • Performance monitoring and DATE: Weeks of November 21, 28, 7. What is a reasonable time period feedback. December 5, 12, 19, 26, 2011. for a transition to a risk management PLACE: Risk management allows for various regulatory structure? Commissioners’ Conference approaches to consideration of risk in Room, 11555 Rockville Pike, Rockville, 8. From your perspective, what decisionmaking, including both Maryland. particular areas or issues might benefit quantitative and qualitative tools, which STATUS: Public and Closed. the most by transitioning to a risk is essential in the broad range of NRC management regulatory approach? Week of November 21, 2011 regulatory programs. It may also provide There are no meetings scheduled for program managers with a more V. Paperwork Reduction Act Statement systematic approach to resource the week of November 21, 2011. allocation, whether in budget This survey contains information Week of November 28, 2011—Tentative formulation, response to events or collections that are subject to the licensing decisions. Paperwork Reduction Act of 1995 (44 Tuesday, November 29, 2011 U.S.C. 3501 et seq.). These information 9:25 a.m. Affirmation Session (Public IV. The Role of Stakeholder Input collections were approved by the Office Meeting) (Tentative) This effort could not be successful of Management and Budget, approval a. U.S. Department of Energy (High- without meaningful stakeholder input. number 3150–0197, which expires Level Waste Repository), Docket The task force is soliciting the views of August 31, 2012. No. 63–001–HLW; Staff Petition for both internal and external stakeholders The burden to the public for these the Commission to Exercise its to assist them in developing sound and voluntary information collections is Inherent Supervisory Authority to effective long-term strategies. The estimated to be 2 hours per response. Review Board Orders Regarding process of interaction with internal The information gathered will be used Preservation of Licensing Support stakeholders is ongoing. However, this Network (LSN) Documents to incorporate risk management Federal Register notice is intended to Collection, and Staff Request for concepts into NRC’s regulatory solicit the views of external Stay (Tentative). stakeholders on the options and specific programs. Send comments regarding b. Final Rule: Requirements for actions that the NRC might undertake in this burden estimate to the Information Fingerprint-Based Criminal History moving toward a more comprehensive Services Branch (T–5 F53), U.S. Nuclear Records Checks for Individuals and holistic risk management approach Regulatory Commission, Washington, Seeking Unescorted Access to for its regulatory programs. DC 20555–0001, or by Internet Nonpower Reactors (Research or The task force is seeking stakeholder electronic mail to INFOCOLLECTS. Test Reactors) (RIN 3150–A125) input on the following questions to [email protected]; and to the Desk (Tentative). assist in its work. The task force will use Officer, Chad Whiteman, Office of This meeting will be webcast live at the comments received to inform its Information and Regulatory Affairs, the Web address—http://www.nrc.gov. NEOB–10202, (3150–0197), Office of deliberations, and its report will address 9:30 a.m. Meeting with the Advisory Management and Budget, Washington, the key issues raised in the comments Committee on Reactor Safeguards which are relevant to task force DC 20503. (ACRS) (Public Meeting) activities. However, the task force does Public Protection Notification (Contact: Tanny Santos, (301) 415– not plan to prepare a detailed response 7270) to individual comments or prepare an The NRC may not conduct or sponsor, This meeting will be webcast live at analysis of comments. and a person is not required to respond the Web address—http://www.nrc.gov. 1. Do you believe there is a common to, a request for information or an Thursday, December 1, 2011 understanding and usage of the terms information collection requirement risk-informed, performance-based, and unless the requesting document 9:30 a.m. Briefing on Equal defense-in-depth within the NRC, displays a currently valid OMB control Employment Opportunity (EEO) industry, and other stakeholders? Which number. and Small terms are especially unclear? Business Programs (Public Meeting) 2. What are the relevant lessons The task force requests comments on (Contact: Barbara Williams, (301) learned from the previous successful these questions by January 6, 2012 to 415–7388) and unsuccessful risk-informed and assist in its efforts. This meeting will be webcast live at performance-based initiatives? For the Nuclear Regulatory Commission. the Web address—http://www.nrc.gov.

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Week of December 5, 2011—Tentative OFFICE OF SCIENCE AND Type of Meeting: Open. TECHNOLOGY POLICY Proposed Schedule and Agenda: The There are no meetings scheduled for President’s Council of Advisors on the week of December 5, 2011. President’s Council of Advisors on Science and Technology (PCAST) is Science and Technology Meeting Week of December 12, 2011—Tentative scheduled to hold a conference call in open session on December 12, 2011 AGENCY: Office of Science and Tuesday, December 13, 2011 from 4:30 p.m. to 5 p.m. Technology Policy. During the conference call, PCAST 9 a.m. Briefing on NFPA 805 Fire ACTION: Notice of meeting. will discuss its report on undergraduate Protection (Public Meeting) SUMMARY: This notice sets forth the STEM education. Additional (Contact: Alex Klein, (301) 415–2822) schedule and summary agenda for a information and the agenda, including conference call of the President’s any changes that arise, will be posted at This meeting will be webcast live at the PCAST Web site at: http:// the Web address—http://www.nrc.gov. Council of Advisors on Science and Technology (PCAST), and describes the whitehouse.gov/ostp/pcast. Week of December 19, 2011—Tentative functions of the Council. Notice of this Public Comments: It is the policy of meeting is required under the Federal the PCAST to accept written public There are no meetings scheduled for Advisory Committee Act (FACA), 5 comments of any length, and to the week of December 19, 2011. U.S.C., App. The purpose of this accommodate oral public comments whenever possible. The PCAST expects Week of December 26, 2011—Tentative conference call is to discuss PCAST’s report on undergraduate science, that public statements presented at its There are no meetings scheduled for technology, engineering, and meetings will not be repetitive of the week of December 26, 2011. mathematics (STEM) education. previously submitted oral or written statements. * * * * * DATES: The public conference call will The public comment period for this * The schedule for Commission be held on Monday, December 12, 2011 meeting will take place on December 12, meetings is subject to change on short (4:30 p.m. to 5 p.m., Eastern Time (ET)). 2011 at a time specified in the meeting notice. To verify the status of meetings, To receive the call-in information, agenda posted on the PCAST Web site attendees should register for the call (recording)—(301) 415–1292. at http://whitehouse.gov/ostp/pcast. conference call on the PCAST Web site, Contact person for more information: This public comment period is designed http://www.whitehouse.gov/ostp/pcast Rochelle Bavol, (301) 415–1651. only for substantive commentary on no later than 12 p.m. Eastern Time on * * * * * PCAST’s work, not for business Thursday, December 8, 2011. marketing purposes. The NRC Commission Meeting FOR FURTHER INFORMATION CONTACT: Oral Comments: To be considered for Schedule can be found on the Internet Information regarding the meeting the public speaker list at the meeting, at: http://www.nrc.gov/public-involve/ agenda, time, and how to register for the interested parties should register to public-meetings/schedule.html. meeting is available on the PCAST Web speak at http://whitehouse.gov/ostp/ * * * * * site at: http://whitehouse.gov/ostp/ pcast, no later than 12 p.m. Eastern pcast. Questions about the conference Standard Time on December 8, 2011. The NRC provides reasonable call should be directed to Dr. Deborah accommodation to individuals with Phone or email reservations to be D. Stine, PCAST Executive Director, at considered for the public speaker list disabilities where appropriate. If you [email protected], (202) 456–6006. need a reasonable accommodation to will not be accepted. To accommodate SUPPLEMENTARY INFORMATION: The participate in these public meetings, or as many speakers as possible, the time President’s Council of Advisors on need this meeting notice or the for public comments will be limited to Science and Technology (PCAST) is an transcript or other information from the two (2) minutes per person, with a total advisory group of the nation’s leading public meetings in another format (e.g. public comment period of 10 minutes. scientists and engineers, appointed by braille, large print), please notify Bill If more speakers register than there is the President to augment the science Dosch, Chief, Work Life and Benefits space available on the agenda, PCAST and technology advice available to him Branch, at (301) 415–6200, TDD: (301) will randomly select speakers from from inside the White House and from 415–2100, or by email at among those who applied. Those not cabinet departments and other Federal [email protected]. Determinations selected to present oral comments may agencies. See the Executive Order at on requests for reasonable always file written comments with the http://www.whitehouse.gov/ostp/pcast. accommodation will be made on a case- committee as described below. PCAST is consulted about and provides by-case basis. Written Comments: Although written analyses and recommendations comments are accepted until the date of * * * * * concerning a wide range of issues where the meeting, written comments should This notice is distributed understandings from the domains of be submitted to PCAST no later than 12 electronically to subscribers. If you no science, technology, and innovation p.m. Eastern Time on December 7, 2011, longer wish to receive it, or would like may bear on the policy choices before so that the comments may be made to be added to the distribution, please the President. PCAST is administered available to the PCAST members prior contact the Office of the Secretary, by the Office of Science and Technology to the meeting for their consideration. Washington, DC 20555 (301) 415–1969), Policy (OSTP). PCAST is co-chaired by Information regarding how to submit or send an email to Dr. John P. Holdren, Assistant to the comments and documents to PCAST is [email protected]. President for Science and Technology, available at http://whitehouse.gov/ostp/ and Director, Office of Science and Dated: November 17, 2011. pcast in the section entitled ‘‘Connect Technology Policy, Executive Office of with PCAST.’’ Rochelle C. Bavol, the President, The White House; and Dr. Please note that because PCAST Policy Coordinator, Office of the Secretary. Eric S. Lander, President, Broad operates under the provisions of FACA, [FR Doc. 2011–30239 Filed 11–18–11; 4:15 pm] Institute of the Massachusetts Institute all public comments and/or BILLING CODE 7590–01–P of Technology and Harvard. presentations will be treated as public

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documents and will be made available Independent public accountants must hour burden for rule 17f–2 is estimated for public inspection, including being verify the fund’s assets at least three to be 61,236 hours.6 Based on the total posted on the PCAST Web site. times a year and two of the costs per fund listed above, the total Meeting Accommodations: examinations must be unscheduled. cost of the Rule 17f–2’s collection of Individuals requiring special The requirement that directors information requirements is estimated accommodation to access this public designate access persons is intended to to be $15.5 million.7 meeting should contact Dr. Stine at least ensure that directors evaluate the ten business days prior to the meeting trustworthiness of insiders who handle The estimate of average burden hours so that appropriate arrangements can be fund assets. The requirements that is made solely for the purposes of the made. access persons act jointly in handling Paperwork Reduction Act, and is not fund assets, prepare a written notation derived from a comprehensive or even Ted Wackler, of each transaction, and transmit the a representative survey or study of the Deputy Chief of Staff, notation to another designated person costs of Commission rules and forms. [FR Doc. 2011–30095 Filed 11–21–11; 8:45 am] are intended to reduce the risk of Complying with the collections of BILLING CODE P misappropriation of fund assets by information required by rule 17f–2 is access persons, and to ensure that mandatory for those funds that maintain adequate records are prepared, reviewed custody of their own assets. Responses SECURITIES AND EXCHANGE by a responsible third person, and will not be kept confidential. An agency COMMISSION available for examination by the may not conduct or sponsor, and a Commission’s examination staff. The person is not required to respond to, a Proposed Collection; Comment requirement that auditors verify fund Request collection of information unless it assets without notice twice each year is displays a currently valid control Upon Written Request, Copies Available intended to provide an additional number. From: Securities and Exchange deterrent to the misappropriation of Written comments are invited on: (a) Commission, Office of Investor fund assets and to detect any Education and Advocacy, irregularities. Whether the collection of information is Washington, DC 20549–0213. The Commission staff estimates that necessary for the proper performance of each fund makes 974 responses and the functions of the Commission, Extension: spends an average of 252 hours annually including whether the information has Rule 17f–2; SEC File No. 270–233; OMB Control No. 3235–0223. in complying with the rule’s practical utility; (b) the accuracy of the requirements.1 Commission staff Commission’s estimate of the burden of Notice is hereby given that, pursuant estimates that on an annual basis it the collection of information; (c) ways to to the Paperwork Reduction Act of 1995 takes: (i) 0.5 hours of fund accounting enhance the quality, utility, and clarity (44 U.S.C. 350l et seq.), the Securities personnel at a total cost of $82.50 to of the information collected; and (d) and Exchange Commission (the draft director resolutions; 2 (ii) 0.5 hours ‘‘Commission’’) is soliciting comments ways to minimize the burden of the of the fund’s board of directors at a total collection of information on on the collection of information cost of $2,000 to adopt the resolution; summarized below. The Commission respondents, including through the use (iii) 244 hours for the fund’s accounting of automated collection techniques or plans to submit this existing collection personnel at a total cost of $60,388 to of information to the Office of other forms of information technology. prepare written notations of Consideration will be given to Management and Budget for extension 3 transactions; and (iv) 7 hours for the comments and suggestions submitted in and approval. fund’s accounting personnel at a total Rule 17f–2 (17 CFR 270.17f–2) under writing within 60 days of this cost of $1,155 to assist the independent the Investment Company Act of 1940 publication. public accountants when they perform (the ‘‘Act’’) (15 U.S.C. 80a–1) is entitled: verifications of fund assets.4 Please direct your written comments ‘‘Custody of Investments by Registered Approximately 243 funds rely upon rule to Thomas Bayer, Director/Chief Management Investment Company.’’ 17f–2 annually.5 Thus, the total annual Information Officer, Securities and Rule 17f–2 establishes safeguards for Exchange Commission, c/o Remi Pavlik- arrangements in which a registered 1 The 971 responses are: 1 (one) response to draft Simon, 6432 General Green Way, management investment company and adopt the resolution and 973 notations. Alexandria, VA 22312; or send an email (‘‘fund’’) is deemed to maintain custody Estimates of the number of hours are based on to: [email protected]. of its own assets, such as when the fund conversations with individuals in the mutual fund industry. The actual number of hours may vary Dated: November 16, 2011. maintains its assets in a facility that significantly depending on individual fund assets. provides safekeeping but not custodial 2 This estimate is based on the following Kevin M. O’Neill, services. The rule includes several calculation: 0.5 (burden hours per fund) × $165 Deputy Secretary. (fund senior accountant’s hourly rate) = $82.50. recordkeeping or reporting [FR Doc. 2011–30072 Filed 11–21–11; 8:45 am] requirements. The fund’s directors must 3 Respondents estimated that each fund makes 974 responses on an annual basis and spent a total BILLING CODE 8011–01–P prepare a resolution designating not of 0.25 hours per response. The fund personnel more than five fund officers or involved are Fund Payable Manager ($157 hourly responsible employees who may have rate), Fund Operations Manager ($331 hourly rate) access to the fund’s assets. The and Fund Accounting Manager ($257 hourly rate). 6 This estimate is based on the following designated access persons (two or more The weighted hourly rate of these personnel is calculation: 243 (funds) × 252 (total annual hourly $248. The estimated cost of preparing notations is burden per fund) = 61,236 hours for rule. The of whom must act jointly when based on the following calculation: 974 × 0.25 × annual burden for rule 17f–2 does not include time handling fund assets) must prepare a $248 = $60,388. spent preparing Form N–17f–2. The burden for 4 This estimate is based on the following written notation providing certain Form N–17f–2 is included in a separate collection information about each deposit or calculation: 7 × $165 (fund senior accountant hourly rate) = $1,155. of information. withdrawal of fund assets, and must 5 Based on a review of Form N–17f–2 filings for 7 This estimate is based on the following transmit the notation to another officer calendar years 2008–2010, each year approximately calculation: $63,625.50 (total annual cost per fund) or director designated by the directors. 243 funds file Form N–17f–2 with the Commission. × 243 funds = $15,460,997.

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SECURITIES AND EXCHANGE the exchange. Further, the Form 25 control number. No person shall be COMMISSION helps to focus the attention of delisting subject to any penalty for failing to issuers to make sure that they abide by comply with a collection of information Submission for OMB Review; the proper procedural and notice subject to the PRA that does not display Comment Request requirements associated with a delisting a valid Office of Management and Upon Written Request, Copies Available and/or deregistration. Without Rule Budget (OMB) control number. From: U.S. Securities and Exchange 12d2–2 and the Form 25, as applicable, The public may view the background Commission, Office of Investor the Commission would be unable to documentation for this information Education and Advocacy, fulfill its statutory responsibilities. collection at the following Web site, There are 15 national securities Washington, DC 20549–0213. http://www.reginfo.gov. Comments exchanges that trade equity securities should be directed to (i) Desk Officer for Extension: that will be respondents subject to Rule the Securities and Exchange Rule 12d2–2; SEC File No. 270–86; OMB 12d2–2 and Form 25.4 The burden of Commission, Office of Information and Control No. 3235–0080 Form 25. complying with Rule 12d2–2 and Form Regulatory Affairs, Office of Notice is hereby given that pursuant 25 is not evenly distributed among the Management and Budget, Room 10102, to the Paperwork Reduction Act of 1995 exchanges, however, since there are New Executive Office Building, (44 U.S.C. 3501 et seq.), the Securities many more securities listed on the New Washington, DC 20503 or by sending an and Exchange Commission York Stock Exchange, the NASDAQ email to: (‘‘Commission’’) has submitted to the Stock Market, and NYSE Amex than on [email protected]; and (ii) Office of Management and Budget a the other exchanges. However, for Thomas Bayer, Director/Chief requests for approval of extension of the purposes of this filing, the Commission Information Officer, Securities and existing collection of information staff has assumed that the number of Exchange Commission, c/o Remi Pavlik- provided for the following rule: Rule responses is evenly divided among the Simon, 6432 General Green Way, 12d2–2 (17 CFR 240.12d2–2) and Form exchanges. Since approximately 630 Alexandria, VA 22312 or send an email 25 (17 CFR 249.25). responses under Rule 12d2–2 and Form to: [email protected]. Comments On February 12, 1935, the 25 for the purpose of delisting and/or 1 must be submitted within 30 days of Commission adopted Rule 12d2–2, and deregistration of equity securities are this notice. Form 25 under the Securities Exchange received annually by the Commission November 16, 2011. Act of 1934 (15 U.S.C. 78a et seq.) from the national securities exchanges, (‘‘Act’’), which sets forth the conditions the resultant aggregate annual reporting Kevin M. O’Neill, and procedures under which a security hour burden would be, assuming on Deputy Secretary. may be delisted from an exchange and average one hour per response, 630 [FR Doc. 2011–30071 Filed 11–21–11; 8:45 am] withdrawn from registration under annual burden hours for all exchanges BILLING CODE 8011–01–P Section 12(b) of the Act.2 The (15 exchanges × an average of 42 Commission adopted amendments to responses per exchange × 1 hour per 3 Rule 12d2–2 and Form 25 in 2005. response). In addition, since SECURITIES AND EXCHANGE Under the adopted Rule 12d2–2, all approximately 118 responses are COMMISSION issuers and national securities received by the Commission annually Proposed Collection; Comment exchanges seeking to delist and from issuers wishing to remove their Request deregister a security in accordance with securities from listing and registration the rules of an exchange must file the on exchanges, the Commission staff Upon Written Request, Copies Available adopted version of Form 25 with the estimates that the aggregate annual From: Securities and Exchange Commission. The Commission also reporting hour burden on issuers would Commission, Office of Investor adopted amendments to Rule 19d–1 be, assuming on average one reporting Education and Advocacy, under the Act to require exchanges to hour per response, 118 annual burden Washington, DC 20549–0213. file the adopted version of Form 25 as × hours for all issuers (118 issuers 1 Extension: notice to the Commission under Section response per issuer × 1 hour per 19(d) of the Act. Finally, the Form 2–E and Rule 609; SEC File No. 270– response). Accordingly, the total annual 222; OMB Control No. 3235–0233. Commission adopted amendments to hour burden for all respondents to Notice is hereby given that, pursuant exempt options and security futures comply with Rule 12d2–2 is 748 hours from Section 12(d) of the Act. These to the Paperwork Reduction Act of 1995 (630 hours for exchanges + 118 hours amendments are intended to simplify (44 U.S.C. 3501 et seq.), the Securities for issuers). The related internal labor the paperwork and procedure associated and Exchange Commission (the costs associated with these burden with a delisting and to unify general ‘‘Commission’’) is soliciting comments hours are $40,784.50 total ($33,232.50 rules and procedures relating to the on the collection of information for exchanges ($52.75 per response × delisting process. summarized below. The Commission 630 responses) and $7,552 for issuers The Form 25 is useful because it × plans to submit this existing collection informs the Commission that a security ($64 per response 118 responses)). The collection of information of information to the Office of previously traded on an exchange is no obligations imposed by Rule 12d2–2 Management and Budget (‘‘OMB’’) for longer traded. In addition, the Form 25 and Form 25 are mandatory. The extension and approval. enables the Commission to verify that response will be available to the public Rule 609 (17 CFR 230.609) under the the delisting and/or deregistration has Securities Act of 1933 (15 U.S.C. 77a et occurred in accordance with the rules of and will not be kept confidential. The Commission may not conduct or seq.) requires small business investment companies and business development 1 See Securities Exchange Act Release No. 98 sponsor a collection of information unless it displays a currently valid companies that have engaged in (February 12, 1935). offerings of securities that are exempt 2 See Securities Exchange Act Release No. 7011 (February 5, 1963), 28 FR 1506 (February 16, 1963). 4 The staff notes that there are additional national from registration pursuant to Regulation 3 See Securities Exchange Act Release No. 52029 securities exchanges that only trade standardized E under the Securities Act of 1933 (17 (July 14, 2005), 70 FR 42456 (July 22, 2005). options which are exempt from Rule 12d2–2. CFR 230.601 to 610a) to report semi-

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annually on Form 2–E (17 CFR 239.201) Dated: November 16, 2011. Exchange Commission, c/o Remi Pavlik- the progress of the offering. The form Kevin M. O’Neill, Simon, 6432 General Green Way, solicits information such as the dates an Deputy Secretary. Alexandria, Virginia 22312; or send an offering commenced and was completed [FR Doc. 2011–30069 Filed 11–21–11; 8:45 am] email to: [email protected]. (if completed), the number of shares BILLING CODE 8011–01–P Dated: November 16, 2011. sold and still being offered, amounts Kevin M. O’Neill, received in the offering, and expenses Deputy Secretary. and underwriting discounts incurred in SECURITIES AND EXCHANGE the offering. The information provided COMMISSION [FR Doc. 2011–30070 Filed 11–21–11; 8:45 am] on Form 2–E assists the staff in BILLING CODE 8011–01–P monitoring the progress of the offering Proposed Collection; Comment and in determining whether the offering Request SECURITIES AND EXCHANGE has stayed within the limits set for an Upon Written Request, Copies Available COMMISSION offering exempt under Regulation E. From: Securities and Exchange During the calendar year 2010, there Commission, Office of Investor Sunshine Act Meeting was one filing of Form 2–E by one Education and Advocacy, respondent. The Commission has Washington, DC 20549–0213. Federal Register Citation of Previous previously estimated that the total Announcement: [76 FR 70781, Extension: November 15, 2011]. annual burden associated with Regulation S–K; OMB Control No. 3235– information collection and Form 2–E 0071; SEC File No. 270–2. STATUS: Closed Meeting. preparation and submission is four Notice is hereby given that, pursuant PLACE: 100 F Street, NW., Washington, hours per filing. Based on the to the Paperwork Reduction Act of 1995 DC. Commission’s experience with (44 U.S.C. 3501 et seq.), the Securities DATE AND TIME OF PREVIOUSLY ANNOUNCED disclosure documents generally, the and Exchange Commission MEETING: November 17, 2011 at 2 p.m. Commission continues to believe that (‘‘Commission’’) is soliciting comments CHANGE IN THE MEETING: this estimate is appropriate. Deletion of on the collection of information Item. Estimates of average burden hours are summarized below. The Commission The following item was not made solely for the purposes of the plans to submit this existing collection considered during the Closed Meeting Paperwork Reduction Act and are not of information to the Office of on Thursday, November 17, 2011: derived from a comprehensive or even Management and Budget for extension adjudicatory matter. representative survey or study of the and approval. At times, changes in Commission costs of Commission rules and forms. Regulation S–K (17 CFR 229.101—et priorities require alterations in the The collection of information under rule seq.) specifies the non-financial scheduling of meeting items. For further disclosure requirements applicable to 609 and Form 2–E is mandatory. The information and to ascertain what, if registration statements under the information provided under rule 609 any, matters have been added, deleted Securities Act of 1933 (15 U.S.C. 77a et and Form 2–E will not be kept or postponed, please contact the Office seq.); and registration statements, confidential. An agency may not of the Secretary at (202) 551–5400. conduct or sponsor, and a person is not periodic reports, going-private required to respond to, a collection of transaction and tender offer statements, Dated: November 17, 2011. information unless it displays a proxy and information statements, and Elizabeth M. Murphy, currently valid OMB control number. any other documents required to be Secretary. filed under Sections 12, 13, 14, and 15 Written comments are invited on: (a) [FR Doc. 2011–30190 Filed 11–18–11; 11:15 am] of the Securities Exchange Act of 1934 Whether the proposed collection of BILLING CODE 8011–01–P (15 U.S.C. 78l, 78m, 78n, 78o(d)). information is necessary for the proper Regulation S–K is assigned one burden performance of the functions of the hour for administrative convenience. SECURITIES AND EXCHANGE agency, including whether the Written comments are invited on: (a) COMMISSION information will have practical utility; Whether the proposed collection of (b) the accuracy of the agency’s estimate information is necessary for the proper [Release No. 34–65765; File No. S7–04–09] of the burden of the collection of performance of the functions of the information; (c) ways to enhance the agency, including whether the Order Extending Temporary quality, utility, and clarity of the information will have practical utility; Conditional Exemption for Nationally information collected; and (d) ways to (b) the accuracy of the agency’s estimate Recognized Statistical Rating minimize the burden of the collection of of the burden imposed by the collection Organizations From Requirements of information on respondents, including of information; (c) ways to enhance the Rule 17g–5 Under the Securities through the use of automated collection quality, utility, and clarity of the Exchange Act of 1934 and Request for techniques or other forms of information information collected; and (d) ways to Comment technology. Consideration will be given minimize the burden of the collection of to comments and suggestions submitted information on respondents, including November 16, 2011. in writing within 60 days of this through the use of automated collection I. Introduction publication. techniques or other forms of information Please direct your written comments technology. Consideration will be given On May 19, 2010, the Securities and to Thomas Bayer, Director/Chief to comments and suggestions submitted Exchange Commission (‘‘Commission’’) Information Officer, Securities and in writing within 60 days of this conditionally exempted, with respect to Exchange Commission, c/o Remi Pavlik- publication. certain credit ratings and until Simon, 6432 General Green Way, Please direct your written comments December 2, 2010, nationally recognized Alexandria, VA 22312; or send an email to Thomas Bayer, Director/Chief statistical rating organizations to: [email protected]. Information Officer, Securities and (‘‘NRSROs’’) from certain requirements

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in Rule 17g–5(a)(3) 1 under the whether it had disclosed them and • Obtain from the arranger a written Securities Exchange Act of 1934 established procedures reasonably representation that can reasonably be (‘‘Exchange Act’’), which had a designed to address them. relied upon that the arranger will, compliance date of June 2, 2010.2 In December 2009, the Commission among other things, disclose on a Pursuant to the Order, an NRSRO is not adopted subparagraph (a)(3) to Rule password-protected Internet Web site required to comply with Rule 17g– 17g–5. This provision requires an the information it provides to the hired 5(a)(3) until December 2, 2010 with NRSRO that is hired by an arranger to NRSRO to determine the initial credit respect to credit ratings where: (1) The determine an initial credit rating for a rating (and monitor that credit rating) issuer of the structured finance product structured finance product to take and provide access to the Web site to an is a non-U.S. person; and (2) the NRSRO certain steps designed to allow an NRSRO that provides it with a copy of has a reasonable basis to conclude that NRSRO that is not hired by the arranger the certification described in paragraph the structured finance product will be to nonetheless determine an initial (e) Rule 17g–5.14 offered and sold upon issuance, and that credit rating—and subsequently monitor any arranger linked to the structured that credit rating—for the structured information it accesses pursuant to 17 CFR finance product will effect transactions finance product.10 In particular, under 240.17g–5(a)(3) confidential and treat it as material Rule 17g–5(a)(3), an NRSRO is nonpublic information subject to its written policies of the structured finance product after and procedures established, maintained, and issuance, only in transactions that occur prohibited from issuing or maintaining enforced pursuant to section 15E(g)(1) of the Act (15 outside the U.S. (‘‘covered a credit rating when it is subject to the U.S.C. 78o–7(g)(1)) and 17 CFR 240.17g–4. Further, transactions’’).3 On November 23, 2010, conflict of interest identified in the undersigned certifies that it will determine and paragraph (b)(9) of Rule 17g–5 (i.e., maintain credit ratings for at least 10% of the issued the Commission extended the securities and money market instruments for which conditional temporary exemption until being hired by an arranger to determine it accesses information pursuant to 17 CFR December 2, 2011 (the ‘‘Extension a credit rating for a structured finance 240.17g–5(a)(3)(iii), if it accesses such information Order’’).4 The Commission is extending product) 11 unless it has taken the steps for 10 or more issued securities or money market prescribed in paragraphs (a)(1) and (2) instruments in the calendar year covered by the the temporary conditional exemption certification. Further, the undersigned certifies one exempting NRSROs from complying of Rule 17g–5 (discussed above) and the of the following as applicable: (1) In the most recent with Rule 17g–5(a)(3) with respect to steps prescribed in new paragraph (a)(3) calendar year during which it accessed information rating covered transactions until of Rule 17g–5.12 Rule 17g–5(a)(3), pursuant to 17 CFR 240.17g–5(a)(3), the undersigned accessed information for [Insert December 2, 2012. among other things, requires that the Number] issued securities and money market NRSRO must: II. Background instruments through Internet Web sites described in • Maintain on a password-protected 17 CFR 240.17g–5(a)(3) and determined and Rule 17g–5 identifies, in paragraphs Internet Web site a list of each maintained credit ratings for [Insert Number] of (b) and (c) of the rule, a series of structured finance product for which it such securities and money market instruments; or (2) The undersigned previously has not accessed conflicts of interest arising from the currently is in the process of information pursuant to 17 CFR 240.17g–5(a)(3) 10 business of determining credit ratings.5 determining an initial credit rating in or more times during the most recently ended Paragraph (a) of Rule 17g–5 6 prohibits chronological order and identifying the calendar year. an NRSRO from issuing or maintaining type of structured finance product, the 14 In particular, under paragraph (a)(3)(iii) of Rule 17g–5, the arranger must represent to the hired a credit rating if it is subject to the name of the issuer, the date the rating NRSRO that it will: conflicts of interest identified in process was initiated, and the Internet (1) Maintain the information described in paragraph (b) of Rule 17g–5 unless the Web site address where the arranger paragraphs (a)(3)(iii)(C) and (a)(3)(iii)(D) of Rule NRSRO has taken the steps prescribed represents the information provided to 17g–5 available at an identified password-protected in paragraph (a)(1) (i.e., disclosed the the hired NRSRO can be accessed by Internet Web site that presents the information in a manner indicating which information currently type of conflict of interest in Exhibit 6 other NRSROs; should be relied on to determine or monitor the to Form NRSRO in accordance with • Provide free and unlimited access credit rating; Section 15E(a)(1)(B)(vi) of the Exchange to such password-protected Internet (2) Provide access to such password-protected Act 7 and Rule 17g–1) 8 and paragraph Web site during the applicable calendar Internet Web site during the applicable calendar year to any NRSRO that provides it with a copy of (a)(2) (i.e., established and is year to any NRSRO that provides it with the certification described in paragraph (e) of Rule maintaining and enforcing written a copy of the certification described in 17g–5 that covers that calendar year, provided that policies and procedures to address and paragraph (e) of Rule 17g–5 that covers such certification indicates that the nationally manage conflicts of interest in that calendar year; 13 and recognized statistical rating organization providing the certification either: (i) Determined and accordance with Section 15E(h) of the maintained credit ratings for at least 10% of the Exchange Act).9 Paragraph (c) of Rule 10 See 17 CFR 240.17g–5(a)(3); see also Securities issued securities and money market instruments for 17g–5 specifically prohibits seven types Exchange Act Release No. 61050 (November 23, which it accessed information pursuant to of conflicts of interest. Consequently, an 2009), 74 FR 63832 (‘‘Adopting Release’’) at 63844– paragraph (a)(3)(iii) of Rule 17g–5 in the calendar 45. year prior to the year covered by the certification, NRSRO is prohibited from issuing or 11 Paragraph (b)(9) of Rule 17g–5 identifies the if it accessed such information for 10 or more maintaining a credit rating when it is following conflict of interest: issuing or maintaining issued securities or money market instruments; or subject to these conflicts regardless of a credit rating for a security or money market (ii) has not accessed information pursuant to instrument issued by an asset pool or as part of any paragraph (a)(3) of Rule 17g–5 10 or more times asset-backed or mortgage-backed securities during the most recently ended calendar year. 1 See 17 CFR 240.17g–5(a)(3). transaction that was paid for by the issuer, sponsor, (3) Post on such password-protected Internet Web 2 See Securities Exchange Act Release No. 62120 or underwriter of the security or money market site all information the arranger provides to the (May 19, 2010), 75 FR 28825 (May 24, 2010) instrument. 17 CFR 240.17g–5(b)(9). NRSRO, or contracts with a third party to provide (‘‘Order’’). 12 17 CFR 240.17g–5(a)(3). to the NRSRO, for the purpose of determining the 3 See id. at 28827–28 (setting forth conditions of 13 Paragraph (e) of Rule 17g–5 requires that an initial credit rating for the security or money market relief). NRSRO seeking to access the hired NRSRO’s instrument, including information about the 4 See Securities Exchange Act Release No. 63363 Internet Web site during the applicable calendar characteristics of the assets underlying or (Nov. 23, 2010), 75 FR 73137 (Nov. 29, 2010) year must furnish the Commission with the referenced by the security or money market (‘‘Extension Order’’). following certification: instrument, and the legal structure of the security 5 17 CFR 240.17g–5(b) and (c). The undersigned hereby certifies that it will or money market instrument, at the same time such 6 17 CFR 240.17g–5(a). access the Internet Web sites described in 17 CFR information is provided to the NRSRO; and 7 15 U.S.C. 78o–7(a)(1)(B)(vi). 240.17g–5(a)(3) solely for the purpose of (4) Post on such password-protected Internet Web 8 17 CFR 240.17g–1. determining or monitoring credit ratings. Further, site all information the arranger provides to the 9 15 U.S.C. 78o–7(h). the undersigned certifies that it will keep the NRSRO, or contracts with a third party to provide

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The Commission stated in the Commission received six comments in extending the conditional temporary Adopting Release that subparagraph response to this solicitation of exemption until December 2, 2012 is Rule 17g–5(a)(3) is designed to address comment.23 The commenters expressed necessary or appropriate in the public conflicts of interest and improve the concern that the extraterritorial interest, and is consistent with the quality of credit ratings for structured application of Rule 17g–5(a)(3) could, in protection of investors. finance products by making it possible the commenter’s view, among other for more NRSROs to rate structured things, disrupt local securitization IV. Request for Comment finance products.15 For example, the markets,24 inhibit the ability of local The Commission believes that it Commission noted that when an NRSRO firms to raise capital,25 and conflict with would be useful to continue to provide is hired to rate a structured finance local laws.26 Several commenters also interested parties opportunity to product, some of the information it requested that the conditional comment. Comments may be submitted relies on to determine the rating is temporary exemption be extended or by any of the following methods: 16 27 generally not made public. As a result, made permanent. The Extension Electronic Comments structured finance products frequently Order again solicited public comment • are issued with ratings from only the on issues raised in connection with the Use the Commission’s Internet one or two NRSROs that have been extra-territorial application of Rule 17g– comment form (http://www.sec.gov/ hired by the arranger, with the attendant 28 rules/exorders.shtml); or 5(a)(3). One comment letter requested • conflict of interest that creates.17 The that the Order be made permanent, Send an email to rule- Commission stated that subparagraph citing many of the same reasons set [email protected]. Please include File Rule 17g–5(a)(3) was designed to forth in prior comment letters.29 Number S7–04–09 on the subject line; increase the number of credit ratings or Given the continued concerns about • extant for a given structured finance potential disruptions of local Use the Federal eRulemaking Portal product and, in particular, to promote securitization markets, and because the (http://www.regulations.gov). Follow the the issuance of credit ratings by Commission’s consideration of the instructions for submitting comments. NRSROs that are not hired by issues raised will benefit from Paper Comments arrangers.18 The Commission’s goal in additional time to engage in further • Send paper comments in triplicate adopting the rule was to provide users dialogue with interested parties and to to Elizabeth M. Murphy, Secretary, of credit ratings with more views on the monitor market and regulatory Securities and Exchange Commission, creditworthiness of structured finance developments, the Commission believes products.19 In addition, the Commission 100 F St., NE., Washington, DC 20549– 1090. stated that Rule 17g–5(a)(3) was 23 Letter from Masamichi Kono, Vice designed to reduce the ability of Commissioner for International Affairs, Financial All submissions should refer to File arrangers to obtain better than Services Agency, Japan, to Elizabeth Murphy, Number S7–04–09. This file number Secretary, Commission, dated Nov. 12, 2010 (‘‘Japan should be included on the subject line warranted ratings by exerting influence FSA Letter’’); Letter from Masaru Ono, Executive over NRSROs hired to determine credit Director, Securitization Forum of Japan, to if email is used. To help us process and ratings for structured finance Elizabeth Murphy, Secretary, Commission, dated review your comments more efficiently, products.20 Specifically, by opening up Nov. 12, 2010 (‘‘SFJ Letter’’); Letter from Rick please use only one method. The Watson, Managing Director, Association for Commission will post all comments on the rating process to more NRSROs, the Financial Markets in Europe/European Commission intended to make it easier Securitisation Forum, to Elizabeth Murphy, the Commission’s Internet Web site for the hired NRSRO to resist such Secretary, Commission, dated Nov. 11, 2010 (http://www.sec.gov/rules/ pressure by increasing the likelihood (‘‘AFME Letter’’); Letter from Jack Rando, Director, exorders.shtml). Comments are also that any steps taken to inappropriately Capital Markets, Investment Industry Association of available for Web site viewing and Canada, to Randall Roy, Assistant Director, favor the arranger could be exposed to Division, Commission, dated Sep. 22, 2010 (‘‘IIAC printing in the Commission’s Public the market through the credit ratings Letter’’); Letter from Christopher Dalton, Chief Reference Room, 100 F St. NE., issued by other NRSROs.21 Executive Officer, Australian Securitisation Forum, Washington, DC 20549 on official Rule 17g–5(a)(3) became effective on to Randall Roy, Assistant Director, Division, business days between the hours of 10 Commission, dated Jun. 27, 2010 (‘‘AuSF Letter’’); February 2, 2010, and the compliance Letter from Takefumi Emori, Managing Director, a.m. and 3 p.m. All comments received date for Rule 17g–5(a)(3) was June 2, Japan Credit Rating Agency, Ltd. (‘‘JCR’’) to will be posted without change; the 2010. Elizabeth Murphy, Secretary, Commission, dated Commission does not edit personal Jun. 25, 2010 (‘‘JCR Letter’’). identifying information from III. Extension of Conditional 24 See Japan FSA Letter; SFJ Letter; AFME Letter; submissions. You should submit only Temporary Extension JCR Letter, AuSF Letter. 25 information that you wish to make In the Order, the Commission See AFME Letter; JCR Letter; AuSF Letter. 26 See Japan FSA Letter; AFME Letter; JCR Letter; available publicly. requested comment generally, but also AuSF Letter; IIAC Letter. With respect to local laws, on a number of specific issues.22 The we note that the European Commission in recent V. Conclusion months has issued a relevant proposal for For the foregoing reasons, the to the NRSRO, for the purpose of undertaking credit amendments to the European Union Regulation on Credit Ratings. See ‘‘Regulation of the European Commission believes it would be rating surveillance on the security or money market necessary or appropriate in the public instrument, including information about the Parliament and of the Counsel on amending characteristics and performance of the assets Regulation (EC) No 1060/2009 on credit rating interest and consistent with the underlying or referenced by the security or money agencies’’ (available at http://ec.europa.eu/ protection of investors to extend the internal_market/securities/docs/agencies/ market instrument at the same time such _ _ conditional temporary exemption information is provided to the NRSRO. 100602 proposal en.pdf). 27 exempting NRSROs from complying 15 Adopting Release at 63844. See Japan FSA Letter; SFJ Letter; AFME Letter; JCR Letter. with Rule 17g–5(a)(3) with respect to 16 Id. 28 See Letter from Tom Deutsch, Executive 17 Id. rating covered transactions until Director, American Securitization Forum, and Chris 18 December 2, 2012. Id. Dalton, Chief Executive Officer, Australian 19 Accordingly, Id. Securitization Forum, to Randall Roy, Assistant 20 Id. Director, and Joseph Levinson, Special Counsel, It is hereby ordered, pursuant to 21 Id. Division, Commission, dated Aug. 9, 2011. Section 36 of the Exchange Act, that a 22 See Order, supra note 2, at 28828. 29 See id. nationally recognized statistical rating

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organization is exempt until December nasdaq.cchwallstreet.com/, at displayed at $1.04. Similarly, if a market 2, 2012 from the requirements in Rule NASDAQ’s principal office, and at the participant were to enter a Post-Only 17g–5(a)(3) (17 CFR 240.17g–5(a)(3)) for Commission’s Public Reference Room. order to buy at $1.06, a price which credit ratings where: crosses the NOM market, the result II. Self-Regulatory Organization’s (1) The issuer of the security or would be the same: the order would be Statement of the Purpose of, and money market instrument is not a U.S. re-priced to $1.04 and displayed at Statutory Basis for, the Proposed Rule person (as defined under Securities Act $1.04. Rule 902(k)); and Change As a second example, if NOM is not (2) The nationally recognized In its filing with the Commission, the part of the NBBO, because NOM’s statistical rating organization has a Exchange included statements market is $1.00–$1.06, and the NBBO is reasonable basis to conclude that the concerning the purpose of and basis for Market B with a market of $1.01–$1.04, structured finance product will be the proposed rule change and discussed then a Post-Only Order to buy at $1.05 offered and sold upon issuance, and that any comments it received on the would be handled as follows: Because it any arranger linked to the structured proposed rule change. The text of these would lock the NBBO (the NBO is finance product will effect transactions statements may be examined at the $1.04), but not the NOM BBO, it would of the structured finance product after places specified in Item IV below. The be processed as explained in Chapter VI, issuance, only in transactions that occur Exchange has prepared summaries, set Section 1 (e)(11)(ii) and Chapter VI, outside the U.S. forth in sections A, B, and C below, of Section 7(b)(3)(c): It would be re-priced By the Commission. the most significant aspects of such to $1.04 and displayed at $1.03. In this Elizabeth M. Murphy, statements. case, the Post-Only Order to buy at $1.05 is being treated the same as a non- Secretary. A. Self-Regulatory Organization’s Post Only limit order that is designated [FR Doc. 2011–30053 Filed 11–21–11; 8:45 am] Statement of the Purpose of, and as non-routable. Similarly, if a market BILLING CODE 8011–01–P Statutory Basis for, the Proposed Rule participant were to enter a Post-Only Change order to buy at $1.05, a price which SECURITIES AND EXCHANGE 1. Purpose crosses the NBBO, the result would be COMMISSION The purpose of the proposed rule the same: The order would be re-priced change is to introduce a new order type to $1.04 and displayed at $1.03. [Release No. 34–65761; File No. SR– Post-Only Orders received prior to the NASDAQ–2011–152] to NOM which is intended to attract new business. Specifically, a Post-Only opening cross or after market close will Self-Regulatory Organizations; The Order is an order that will not remove not be accepted. Post-Only Orders may NASDAQ Stock Market LLC; Notice of not have a time-in-force designation of liquidity from the System. A Post-Only 3 Filing and Immediate Effectiveness of Order is to be ranked and executed on Good Til Cancelled (‘‘GTC’’). The Exchange proposes to add this Proposed Rule Change To Adopt a the Exchange or cancelled, as definition to its rules in Chapter VI as ‘‘Post-Only’’ Order Type appropriate, without routing away to new Section 1(e)(11). The Exchange also another market. Post-Only Orders are November 16, 2011. proposes to refer to Post-Only Orders in evaluated at the time of entry with Pursuant to Section 19(b)(1) of the Section 6(a)(2) of its rules, where there respect to locking or crossing other Securities Exchange Act of 1934 is a list of order types. Many equities orders as follows: (i) if a Post-Only (‘‘Act’’),1 and Rule 19b–4 2 thereunder, and options markets currently have Order would lock or cross an order on notice is hereby given that on November similar orders, and the definition of this the System, the order will be re-priced 8, 2011, The NASDAQ Stock Market new order type is consistent with the to $.01 below the current low offer (for LLC (the ‘‘Exchange’’ or ‘‘NASDAQ’’) definitions contained in other bids) or above the current best bid (for filed with the Securities and Exchange exchanges’ rules.4 In addition, repricing offers) and displayed by the System at Commission (‘‘SEC’’ or ‘‘Commission’’) to avoid locking and crossing other one minimum price increment below the proposed rule change as described markets currently applies to the current low offer (for bids) or above in Items I, II, and III, below, which Items nonroutable orders on NOM pursuant to the current best bid (for offers); and (ii) have been prepared by the Exchange. Chapter VI, Section 7(b)(3)(C) in the if a Post-Only Order would not lock or The Commission is publishing this same way. notice to solicit comments on the cross an order on the System but would proposed rule change from interested lock or cross the national best bid or 2. Statutory Basis persons. offer as reflected in the protected The Exchange believes that its quotation of another market center, the proposal is consistent with Section 6(b) I. Self-Regulatory Organization’s order will be handled pursuant to of the Act 5 in general, and furthers the Statement of the Terms of Substance of Chapter VI, Section 7(b)(3)(C). objectives of Section 6(b)(5) of the Act 6 the Proposed Rule Change The following examples illustrate in particular, in that it is designed to NASDAQ is filing with the how a Post-Only Order will be handled. prevent fraudulent and manipulative Commission a proposal for the If NOM is the only options market on acts and practices, to promote just and NASDAQ Options Market (‘‘NOM’’) to the NBBO with a market of $1.00–$1.05, equitable principles of trade, to foster amend Chapter VI, Trading Systems, and Exchange B had a market of $ 0.99– cooperation and coordination with Section 1, Definitions, and Section 6, $1.07, then a Post-Only Order to buy at persons engaged in facilitating Acceptance of Quotes and Orders, to $1.05 would be handled as follows: transactions in securities, and to remove adopt a ‘‘Post-Only Order,’’ as described Because the price on the buy order is impediments to and perfect the further below. equal to the lowest NOM offer ($1.05), mechanisms of a free and open market The text of the proposed rule change and because NOM’s offer is better than is available at http:// any other market’s offer, the order 3 See NOM Rules, Chapter VI, Section 1(g). would be processed pursuant to Chapter 4 See e.g., BATS Rule 21.1(d)(9). 1 15 U.S.C. 78s(b)(1). VI, Section 1(e)(11)(i), such that the 5 15 U.S.C. 78f(b). 2 17 CFR 240.19b–4. order would be re-priced to $1.04 and 6 15 U.S.C. 78f(b)(5).

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and a national market system, and, in IV. Solicitation of Comments For the Commission, by the Division of general, to protect investors and the Trading and Markets, pursuant to delegated public interest, because it offers an Interested persons are invited to authority.9 additional order type on NOM, which submit written data, views, and Kevin M. O’Neill, should offer investors new trading arguments concerning the foregoing, Deputy Secretary. opportunities on the Exchange, including whether the proposed rule [FR Doc. 2011–30056 Filed 11–21–11; 8:45 am] consistent with just and equitable change is consistent with the Act. BILLING CODE 8011–01–P principles of trade. Furthermore, the Comments may be submitted by any of Post-Only Order is designed to the following methods: encourage displayed liquidity and offer SECURITIES AND EXCHANGE Electronic Comments NOM market participants greater COMMISSION flexibility to post liquidity on NOM, • Use the Commission’s Internet [Release No. 34–65763; File No. SR–BX– consistent with removing impediments comment form (http://www.sec.gov/ 2011–077] to and perfecting the mechanisms of a rules/sro.shtml); or free and open market and a national Self-Regulatory Organizations; • Send an email to rule- market system. NASDAQ OMX BX, Inc.; Notice of Filing [email protected]. Please include File and Immediate Effectiveness of B. Self-Regulatory Organization’s Number SR–NASDAQ–2011–152 on the Proposed Rule Change To Add Good- Statement on Burden on Competition subject line. Till-Cancelled and Discretionary The Exchange does not believe that Paper Comments Orders the proposed rule change will impose any burden on competition not • Send paper comments in triplicate November 16,2011. necessary or appropriate in furtherance to Elizabeth M. Murphy, Secretary, Pursuant to Section 19(b)(1) of the of the purposes of the Act. Securities and Exchange Commission, Securities Exchange Act of 1934 1 2 100 F Street, NE., Washington, DC (‘‘Act’’), and Rule 19b–4 thereunder, C. Self-Regulatory Organization’s 20549–1090. notice is hereby given that on November Statement on Comments on the 10, 2011, NASDAQ OMX BX, Inc. Proposed Rule Change Received From All submissions should refer to File (‘‘Exchange’’ or ‘‘BX’’) filed with the Members, Participants, or Others Number SR–NASDAQ–2011–152. This Securities and Exchange Commission file number should be included on the (‘‘SEC’’ or ‘‘Commission’’) the proposed No written comments were either subject line if email is used. To help the rule change as described in Items I and solicited or received. Commission process and review your II, below, which Items have been III. Date of Effectiveness of the comments more efficiently, please use prepared by the Exchange. The Proposed Rule Change and Timing for only one method. The Commission will Commission is publishing this notice to Commission Action post all comments on the Commission’s solicit comments on the proposed rule Internet Web site (http://www.sec.gov/ change from interested persons. Because the foregoing proposed rule rules/sro.shtml). change does not: (i) Significantly affect I. Self-Regulatory Organization’s the protection of investors or the public Copies of the submission, all Statement of the Terms of Substance of interest; (ii) impose any significant subsequent amendments, all written the Proposed Rule Change statements with respect to the proposed burden on competition; and (iii) become BX is filing with the Commission a operative for 30 days after the date of rule change that are filed with the proposed rule change to adopt the the filing, or such shorter time as the Commission, and all written following two new Time in Force Commission may designate, it has communications relating to the conditions in Rule 4751(h): System become effective pursuant to 19(b)(3)(A) proposed rule change between the Hours Good-till-Cancelled (‘‘SGTC’’) of the Act 7 and Rule 19b–4(f)(6) 8 Commission and any person, other than and Market Hours GTC (‘‘MGTC’’), as thereunder. those that may be withheld from the described below. BX also proposes to At any time within 60 days of the public in accordance with the amend Rules 4751(f), 4755, Order Entry filing of the proposed rule change, the provisions of 5 U.S.C. 552, will be Parameters, and 4756, Entry and Display Commission summarily may available for Web site viewing and of Quotes and Orders, to add temporarily suspend such rule change if printing in the Commission’s Public Discretionary Orders. it appears to the Commission that such Reference Room, 100 F Street, NE., The text of the proposed rule change action is necessary or appropriate in the Washington, DC 20549, on official is available at http:// public interest, for the protection of business days between the hours of 10 nasdaqomxbx.cchwallstreet.com/, at investors, or otherwise in furtherance of a.m. and 3 p.m. Copies of the filing also BX’s principal office, and at the the purposes of the Act. If the will be available for inspection and Commission’s Public Reference Room. Commission takes such action, the copying at the principal office of the II. Self-Regulatory Organization’s Commission shall institute proceedings Exchange. All comments received will Statement of the Purpose of, and to determine whether the proposed rule be posted without change; the Statutory Basis for, the Proposed Rule should be approved or disapproved. Commission does not edit personal Change identifying information from 7 15 U.S.C. 78s(b)(3)(A). submissions. You should submit only In its filing with the Commission, the 8 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– information that you wish to make Exchange included statements 4(f)(6) requires a self-regulatory organization to give available publicly. concerning the purpose of and basis for the Commission written notice of its intent to file the proposed rule change and discussed the proposed rule change at least five business days All submissions should refer to File prior to the date of filing of the proposed rule Number SR–NASDAQ–2011–152 and 9 17 CFR 200.30–3(a)(12). change, or such shorter time as designated by the should be submitted on or before Commission. The Exchange has satisfied this 1 15 U.S.C. 78s(b)(1). requirement. December 13, 2011. 2 17 CFR 240.19b–4.

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any comments it received on the entered with a Time in Force of System will display the aggregate size of all proposed rule change. The text of these Hours Immediate or Cancel or quotes and orders at the best price to statements may be examined at the designated as a Pegged Order, an buy and sell resident in the System. places specified in Item IV below. The Intermarket Sweep Order, a Price to Discretionary Orders will be added as Exchange has prepared summaries, set Comply order, or a Price to Comply Post an exception, similar to Reserve Size, forth in sections A, B, and C below, of order. With the addition of two GTC because Discretionary Orders, by the most significant aspects of such designations, this provision is obsolete. definition, have a non-displayed statements. BX believes that these two new Time discretionary price range. in Force designations should be useful A. Self-Regulatory Organization’s BX believes that Discretionary Orders to BX participants and may attract are useful to market participants, Statement of the Purpose of, and additional business to BX. Statutory Basis for, Proposed Rule because this order type enables Change Discretionary Orders participants to provide price improvement beyond the price at which BX also proposes to adopt a new order 1. Purpose they are willing to submit an order type, Discretionary Orders, which are today; when the price of an order is The purpose of the proposed rule orders that have a displayed price and displayed, the result may be that the change is to add some new features to size, as well as a non-displayed market has moved, reflecting that order. the BX Equities Market, as described discretionary price range, at which the below. entering party, if necessary, is also Some market participants prefer not to advertise their order but are willing to Time in Force willing to buy or sell. The non- displayed trading interest is not entered provide price improvement. Currently, Rule 4751(h) provides that into the System book but is, along with 2. Statutory Basis the term ‘‘Time in Force’’ means the the displayed size, converted to an IOC period of time that the System will hold buy (sell) order priced at the highest The Exchange believes that the an order for potential execution. Time (lowest) price in the discretionary price proposed rule change is consistent with 3 in force conditions, which are listed in range when displayed shares become the provisions of Section 6 of the Act, Rule 4755(a)(1)(A), currently include available or an execution takes place at in general, and with Sections 6(b)(5) of 4 System Hours Expire Time (‘‘SHEX’’), any price within the discretionary price the Act, in particular, in that the System Hours Day (‘‘SDAY’’), System range. The generation of this IOC order proposal is designed to prevent Hours Immediate or Cancel (‘‘SIOC’’), or is triggered by the cancellation of the fraudulent and manipulative acts and Good-til-Market Close ‘‘GTMC’’). open shares of the Discretionary Order. practices, to promote just and equitable At this time, two new designations are If more than one Discretionary Order is principles of trade, to foster cooperation being added. First, BX proposes to adopt available for conversion to an IOC order, and coordination with persons engaged in Rule 4751(h)(3) [sic] to state that the system will convert all such orders in regulating, clearing, settling, ‘‘System Hours Good-till-Cancelled’’ or at the same time and priority will be processing information with respect to, ‘‘SGTC’’ shall mean, for orders so given to the first IOC order(s) that and facilitating transactions in designated, that if after entry into the reaches the trading interest on the other securities, to remove impediments to System, the order is not fully executed, side of the market. If an IOC order is not and perfect the mechanism of a free and the order (or unexecuted portion executed in full, the unexecuted portion open market and a national market thereof) shall remain available for of the order is automatically re-posted system, and, in general, to protect potential display and/or execution from and displayed in the System book with investors and the public interest, 7 a.m. until 7 p.m. Eastern Time unless a new time stamp, at its original because it offers BX participants an cancelled by the entering party, or until displayed price, and with its non- additional Time in Force to better 1 year after entry, whichever comes displayed discretionary price range. manage their orders and risk, which first. For example, the market on the BX is should, in turn, attract additional orders Second, BX proposes to adopt, as Rule $10.00 × $10.05 and Order A is entered to BX and enhance the Exchange’s 4751(h)(7), ‘‘Market Hours GTC’’ or as a bid for 1,000 shares at $10.00 with competitive position. Furthermore, ‘‘MGTC,’’ which shall mean for orders a discretionary price of $10.03. It posts Discretionary Orders should enable so designated, that if after entry into on the book at $10.00. Order B is an participants to provide price System, the order is not fully executed, offer for 500 shares at $10.03 which improvement beyond the price at which the order (or unexecuted portion posts on the book. Order A is cancelled they are willing to submit an order thereof) shall remain available for by the system and a 500 share IOC today, consistent with just and equitable potential display and/or execution (Order C) is sent into the system to take principles of trade, removing unless cancelled by the entering party, out Order B at $10.03. Orders C and B impediments to and perfecting the or until 1 year after entry, whichever trade at $10.03, after which the mechanism of a free and open market comes first. MGTC Orders shall be remaining 500 shares of the original and a national market system, and, in available for entry from 7 a.m. until 7 discretionary order (Order A) post on general, protecting investors and the p.m. Eastern Time and for potential the book at $10.00. public interest. execution from 9:30 a.m. until 4 p.m. The Exchange proposes to adopt the B. Self-Regulatory Organization’s Eastern Time. definition of Discretionary Orders as Statement on Burden on Competition BX also proposes to amend Rule Rule 4751(f)(1) in the Definitions 4755(a)(1)(A) to add SGTC and MGTC section where order types are defined. BX does not believe that the proposed designations to this rule, which lists the In addition, the Exchange proposes to rule change will impose any burden on various Time in Force designations add Discretionary Orders to Rule competition not necessary or available. BX proposes to delete the 4755(a)(1)(B), which lists various order appropriate in furtherance of the sentence in Rule 4755(a)(1)(B) that types, and Rule 4756(c)(3)(B), which purposes of the Act. provides that, in addition to such other governs the display of orders. With designations as may be chosen by a respect to the display of orders, Rule 3 15 U.S.C. 78f. participant, all System orders must be 4756 generally states that the System 4 15 U.S.C. 78f(b)(5).

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C. Self-Regulatory Organization’s Electronic Comments SECURITIES AND EXCHANGE Statement on Comments on the • COMMISSION Proposed Rule Change Received From Use the Commission’s Internet Members, Participants or Others comment form (http://www.sec.gov/ [Release No. 34–65764; File No. SR–Phlx– rules/sro.shtml); or 2011–153] No written comments were either • Send an email to rule- solicited or received. Self-Regulatory Organizations; [email protected]. Please include File NASDAQ OMX PHLX LLC; Notice of III. Date of Effectiveness of the Number SR–BX–2011–077 on the Filing and Immediate Effectiveness of Proposed Rule Change and Timing for subject line. Proposed Rule Change To Add Good- Commission Action Paper Comments till-Cancelled and Discretionary Orders Because the foregoing proposed rule change does not: (i) Significantly affect • Send paper comments in triplicate November 16, 2011. the protection of investors or the public to Elizabeth M. Murphy, Secretary, Pursuant to Section 19(b)(1) of the interest; (ii) impose any significant Securities and Exchange Commission, Securities Exchange Act of 1934 1 2 burden on competition; and (iii) become 100 F Street NE., Washington, DC (‘‘Act’’), and Rule 19b–4 thereunder, operative for 30 days after the date of 20549–1090. notice is hereby given that on November the filing, or such shorter time as the 10, 2011, NASDAQ OMX PHLX LLC All submissions should refer to File Commission may designate, it has (‘‘PHLX’’ or ‘‘Exchange’’) filed with the Number SR–BX–2011–077. This file become effective pursuant to 19(b)(3)(A) Securities and Exchange Commission of the Act 5 and Rule 19b–4(f)(6) 6 number should be included on the (‘‘SEC’’ or ‘‘Commission’’) the proposed thereunder. subject line if email is used. To help the rule change as described in Items I and Commission process and review your II, below, which Items have been The Exchange has requested that the comments more efficiently, please use prepared by the Exchange. The Commission waive the 30-day operative only one method. The Commission will Commission is publishing this notice to delay so that the proposed rule change post all comments on the Commission’s solicit comments on the proposed rule may become effective and operative change from interested persons. upon filing with the Commission. The Internet Web site (http://www.sec.gov/ Commission believes waiver of the 30- rules/sro.shtml). Copies of the I. Self-Regulatory Organization’s day operative delay is in the interest of submission, all subsequent Statement of the Terms of Substance of investors because it will expedite the amendments, all written statements the Proposed Rule Change introduction of new features to the BX with respect to the proposed rule change that are filed with the The Exchange is filing a proposed rule equities market. The features are change to adopt the following two new Commission, and all written currently available on other exchanges, Time in Force conditions in Rule communications relating to the and the Commission sees no reason to 3301(h): System Hours Good-till- delay their introduction at the proposed rule change between the Cancelled (‘‘SGTC’’) and Market Hours Exchange. Therefore, the Commission Commission and any person, other than GTC (‘‘MGTC’’) on NASDAQ OMX PSX designates the proposal to be operative those that may be withheld from the (‘‘PSX’’), as described below. PHLX also 7 upon filing. public in accordance with the proposes to amend Rules 3301(f)(1), At any time within 60 days of the provisions of 5 U.S.C. 552, will be 3305, Order Entry Parameters, and 3306, filing of the proposed rule change, the available for Web site viewing and Entry and Display of Orders, to add Commission summarily may printing in the Commission’s Public Discretionary Orders. temporarily suspend such rule change if Reference Room, 100 F Street NE., The text of the proposed rule change it appears to the Commission that such Washington, DC 20549, on official is available on the Exchange’s Web site action is necessary or appropriate in the business days between the hours of 10 at http://www.nasdaqtrader.com/ public interest, for the protection of a.m. and 3 p.m. Copies of such filing micro.aspx?id=PHLXRulefilings, at the investors, or otherwise in furtherance of also will be available for inspection and principal office of the Exchange, and at the purposes of the Act. copying at the principal office of the the Commission’s Public Reference IV. Solicitation of Comments Exchange. All comments received will Room. be posted without change; the II. Self-Regulatory Organization’s Interested persons are invited to Commission does not edit personal Statement of the Purpose of, and submit written data, views, and identifying information from Statutory Basis for, the Proposed Rule arguments concerning the foregoing, submissions. You should submit only Change including whether the proposed rule information that you wish to make change is consistent with the Act. available publicly. All submissions In its filing with the Commission, the Exchange included statements Comments may be submitted by any of should refer to File Number SR–BX– concerning the purpose of and basis for the following methods: 2011–077 and should be submitted on the proposed rule change and discussed or before December 13, 2011. 5 15 U.S.C. 78s(b)(3)(A). any comments it received on the 6 17 CFR 240.19b–4(f)(6). In addition, Rule For the Commission, by the Division of proposed rule change. The text of these 19b4(f)(6) requires a self-regulatory organization to Trading and Markets, pursuant to delegated statements may be examined at the give the Commission written notice of its intent to authority.8 places specified in Item IV below. The file the proposed rule change at least five business days prior to the date of filing of the proposed rule Kevin M. O’Neill, Exchange has prepared summaries, set change, or such shorter time as designated by the Deputy Secretary. forth in sections A, B, and C below, of Commission. The Exchange has satisfied this [FR Doc. 2011–30057 Filed 11–21–11; 8:45 am] the most significant aspects of such requirement. statements. 7 For purposes only of waiving the 30-day BILLING CODE 8011–01–P operative delay, the Commission has considered the proposed rule’s impact on efficiency, competition, 1 15 U.S.C. 78s(b)(1). and capital formation. See 15 U.S.C. 78c(f). 8 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4.

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A. Self-Regulatory Organization’s useful to PHLX participants and may PHLX believes that Discretionary Statement of the Purpose of, and attract additional business to PHLX. Orders are useful to market participants, Statutory Basis for, Proposed Rule because this order type enables Discretionary Orders Change participants to provide price PHLX also proposes to adopt a new 1. Purpose improvement beyond the price at which order type, Discretionary Orders, which they are willing to submit an order The purpose of the proposed rule are orders that have a displayed price today; when the price of an order is change is to add some new features to and size, as well as a non-displayed displayed, the result may be that the the PSX Market, as described below. discretionary price range, at which the market has moved, reflecting that order. Time in Force entering party, if necessary, is also Some market participants prefer not to willing to buy or sell. The non- advertise their order but are willing to Currently, Rule 3301(h) provides that displayed trading interest is not entered the term ‘‘Time in Force’’ means the provide price improvement. into the System book but is, along with period of time that the System will hold the displayed size, converted to an IOC 2. Statutory Basis an order for potential execution. Time buy (sell) order priced at the highest in force conditions, which are listed in The Exchange believes that the (lowest) price in the discretionary price Rule 3305(a)(1)(A), include System proposed rule change is consistent with range when displayed shares become Hours Expire Time (‘‘SHEX’’), System the provisions of Section 6 of the Act,4 available or an execution takes place at Hours Day (‘‘SDAY’’), System Hours in general, and with Sections 6(b)(5) of any price within the discretionary price Immediate or Cancel (‘‘SIOC’’), or Good- the Act,5 in particular, in that the range. The generation of this IOC order til-Market Close ‘‘GTMC’’). At this time, proposal is designed to prevent is triggered by the cancellation of the two new designations are being added. fraudulent and manipulative acts and open shares of the Discretionary Order. First, PHLX proposes to adopt, in Rule practices, to promote just and equitable If more than one Discretionary Order is 3301(h)(3), that ‘‘System Hours Good- principles of trade, to foster cooperation available for conversion to an IOC order, till-Cancelled’’ or ‘‘SGTC’’ shall mean, and coordination with persons engaged the system will convert all such orders for orders so designated, that if after in regulating, clearing, settling, at the same time and priority will be entry into the System, the order is not processing information with respect to, given to the first IOC order(s) that fully executed, the order (or unexecuted and facilitating transactions in reaches the trading interest on the other portion thereof) shall remain available securities, to remove impediments to side of the market. If an IOC order is not for potential display and/or execution executed in full, the unexecuted portion and perfect the mechanism of a free and from 7 a.m. until 8 p.m. Eastern Time 3 of the order is automatically re-posted open market and a national market unless cancelled by the entering party, and displayed in the System book with system, and, in general, to protect or until 1 year after entry, whichever a new time stamp, at its original investors and the public interest, comes first. because it offers PHLX participants an Second, PHLX proposes to adopt, as displayed price, and with its non- displayed discretionary price range. additional Time in Force to better Rule 3301(h)(7), ‘‘Market Hours GTC’’ or manage their orders and risk, which For example, the market on the PHLX ‘‘MGTC,’’ which shall mean for orders should, in turn, attract additional orders is $10.00 × $10.05 and Order A is so designated, that if after entry into to the Exchange and enhance the entered as a bid for 1,000 shares at System, the order is not fully executed, Exchange’s competitive position. $10.00 with a discretionary price of the order (or unexecuted portion Furthermore, Discretionary Orders $10.03. It posts on the book at $10.00. thereof) shall remain available for should enable participants to provide Order B is an offer for 500 shares at potential display and/or execution price improvement beyond the price at $10.03 which posts on the book. Order unless cancelled by the entering party, which they are willing to submit an A is cancelled by the system and a 500 or until 1 year after entry, whichever order today, consistent with just and share IOC (Order C) is sent into the comes first. MGTC Orders shall be equitable principles of trade, removing system to take out Order B at $10.03. available for entry from 7 a.m. until 8 impediments to and perfecting the Orders C and B trade at $10.03, after p.m. Eastern Time and for potential mechanism of a free and open market which the remaining 500 shares of the execution from 9:30 a.m. until 4 p.m. and a national market system, and, in original discretionary order (Order A) Eastern Time. general, protecting investors and the post on the book at $10.00. Lastly, PHLX proposes to amend Rule public interest. 3305(a)(1)(A) to add SGTC and MGTC The Exchange proposes to adopt the designations to this rule, which lists the definition of Discretionary Orders as B. Self-Regulatory Organization’s various Time in Force designations Rule 3301(f)(1) in the Definitions Statement on Burden on Competition available. PHLX proposes to delete the section where order types are defined. sentence in Rule 3305(a)(1)(B) that In addition, the Exchange proposes to The Exchange does not believe that provides that, in addition to such other add Discretionary Orders to Rule the proposed rule change will impose designations as may be chosen by a 3305(a)(1)(B), which lists various order any burden on competition not participant, all System orders must be types, and Rule 3306(c)(3)(B), which necessary or appropriate in furtherance entered with a Time in Force of System governs the display of orders. With of the purposes of the Act. Hours Immediate or Cancel or respect to the display of orders, Rule C. Self-Regulatory Organization’s designated as a Pegged Order, an 3306 generally states that the System Statement on Comments on the Intermarket Sweep Order, a Price to will display the aggregate size of all Proposed Rule Change Received From Comply order, or a Post-Only Order. quotes and orders at the best price to Members, Participants or Others With the addition of two GTC buy and sell resident in the System. designations, this provision is obsolete. Discretionary Orders will be added as No written comments were either PHLX believes that these two new an exception, similar to Reserve Size, solicited or received. Time in Force designations should be because Discretionary Orders, by definition, have a non-displayed 4 15 U.S.C. 78f. 3 The PSX Market operates until 8 p.m. discretionary price range. 5 15 U.S.C. 78f(b)(5).

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III. Date of Effectiveness of the Paper Comments SECURITIES AND EXCHANGE Proposed Rule Change and Timing for • COMMISSION Commission Action Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Because the foregoing proposed rule Securities and Exchange Commission, [File No. 500–1] change does not: (i) Significantly affect the protection of investors or the public 100 F Street, NE., Washington, DC Abviva, Inc., ACTIS Global Ventures, interest; (ii) impose any significant 20549–1090. Inc., aeroTelesis, Inc., Amwest burden on competition; and (iii) become All submissions should refer to File Insurance Group, Inc., and Auto operative for 30 days after the date of Number SR–Phlx–2011–153. This file Underwriters of America, Inc.; Order of the filing, or such shorter time as the number should be included on the Suspension of Trading Commission may designate, it has subject line if email is used. To help the November 18, 2011. become effective pursuant to 19(b)(3)(A) Commission process and review your 6 7 of the Act and Rule 19b–4(f)(6) comments more efficiently, please use It appears to the Securities and thereunder. only one method. The Commission will Exchange Commission that there is a The Exchange has requested that the post all comments on the Commission’s lack of current and accurate information Commission waive the 30-day operative concerning the securities of Abviva, Inc. delay so that the proposed rule change Internet Web site (http://www.sec.gov/ because it has not filed any periodic may become effective and operative rules/sro.shtml). Copies of the reports since the period ended upon filing with the Commission. The submission, all subsequent Commission believes waiver of the 30- amendments, all written statements September 30, 2008. day operative delay is in the interest of with respect to the proposed rule It appears to the Securities and investors because it will expedite the change that are filed with the Exchange Commission that there is a introduction of new features to the Commission, and all written lack of current and accurate information PHLX equities market. The features are communications relating to the concerning the securities of ACTIS currently available on other exchanges, proposed rule change between the Global Ventures, Inc. because it has not and the Commission sees no reason to Commission and any person, other than filed any periodic reports since the delay their introduction at the those that may be withheld from the period ended September 30, 2007. Exchange. Therefore, the Commission public in accordance with the It appears to the Securities and designates the proposal to be operative provisions of 5 U.S.C. 552, will be Exchange Commission that there is a upon filing.8 available for Web site viewing and lack of current and accurate information At any time within 60 days of the printing in the Commission’s Public filing of the proposed rule change, the concerning the securities of aeroTelesis, Reference Room, 100 F Street, NE., Inc. because it has not filed any periodic Commission summarily may Washington, DC 20549, on official temporarily suspend such rule change if reports since the period ended business days between the hours of 10 it appears to the Commission that such September 30, 2007. a.m. and 3 p.m. Copies of such filing action is necessary or appropriate in the It appears to the Securities and also will be available for inspection and public interest, for the protection of Exchange Commission that there is a copying at the principal office of the investors, or otherwise in furtherance of lack of current and accurate information Exchange. All comments received will the purposes of the Act. concerning the securities of Amwest be posted without change; the Insurance Group, Inc. because it has not IV. Solicitation of Comments Commission does not edit personal filed any periodic reports since the identifying information from Interested persons are invited to period ended September 30, 2000. submit written data, views, and submissions. You should submit only arguments concerning the foregoing, information that you wish to make It appears to the Securities and including whether the proposed rule available publicly. All submissions Exchange Commission that there is a change is consistent with the Act. should refer to File Number SR–Phlx– lack of current and accurate information Comments may be submitted by any of 2011–153 and should be submitted on concerning the securities of Auto the following methods: or before December 13, 2011. Underwriters of America, Inc. because it has not filed any periodic reports since Electronic Comments For the Commission, by the Division of the period ended March 31, 2008. • Use the Commission’s Internet Trading and Markets, pursuant to delegated authority.9 The Commission is of the opinion that comment form (http://www.sec.gov/ the public interest and the protection of rules/sro.shtml;) or Kevin M. O’Neill, investors require a suspension of trading • Send an email to rule- Deputy Secretary. in the securities of the above-listed [email protected]. Please include File [FR Doc. 2011–30058 Filed 11–21–11; 8:45 am] Number SR–Phlx–2011–153 on the companies. Therefore, it is ordered, BILLING CODE 8011–01–P subject line. pursuant to Section 12(k) of the Securities Exchange Act of 1934, that 6 15 U.S.C. 78s(b)(3)(A). trading in the securities of the above- 7 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– listed companies is suspended for the 4(f)(6) requires a self-regulatory organization to give period from 9:30 a.m. EST on November the Commission written notice of its intent to file 18, 2011, through 11:59 p.m. EST on the proposed rule change at least five business days prior to the date of filing of the proposed rule December 2, 2011. change, or such shorter time as designated by the By the Commission. Commission. The Exchange has satisfied this requirement. Jill M. Peterson, 8 For purposes only of waiving the 30-day Assistant Secretary. operative delay, the Commission has considered the [FR Doc. 2011–30217 Filed 11–18–11; 11:15 am] proposed rule’s impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). 9 17 CFR 200.30–3(a)(12). BILLING CODE 8011–01–P

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DEPARTMENT OF STATE FOR FURTHER INFORMATION CONTACT: Issued in Washington, DC, on November Kathy DePaepe at (405) 954–9362, or by 14, 2011. [Public Notice: 7693] email at: [email protected]. Albert R. Spence, FAA Assistant Information Collection Foreign Affairs Policy Board Meeting SUPPLEMENTARY INFORMATION: Notice; Closed Meeting Clearance Officer, IT Enterprises Business OMB Control Number: 2120–0649. Services Division, AES–200. In accordance with section 10(a)(2) of Title: Financial Responsibility [FR Doc. 2011–30091 Filed 11–21–11; 8:45 am] the Federal Advisory Committee Act, 5 Requirements for Licensed Reentry BILLING CODE 4910–13–P U.S.C. App. 10(a)(2), the Department of Activities. State announces a meeting of the Foreign Affairs Policy Board to take Form Numbers: There are no FAA DEPARTMENT OF TRANSPORTATION place on December 19, 2011, at the forms associated with this collection. Department of State, Washington, DC. Type of Review: Renewal of an Federal Aviation Administration The Foreign Affairs Policy Board information collection. reviews and assesses: (1) Global threats Agency Information Collection and opportunities; (2) trends that Background: This collection is Activities: Requests for Comments; implicate core national security applicable upon concurrence of requests Clearance of Renewed Approval of interests; (3) tools and capacities of the for conducting commercial reentry Information Collection: ACSEP civilian foreign affairs agencies; and (4) operations as prescribed in 14 CFR, Evaluation Customer Feedback Report priorities and strategic frameworks for Parts 400, et al., Commercial Space AGENCY: Federal Aviation U.S. foreign policy. Pursuant to section Transportation Reusable Launch Administration (FAA), DOT. 10(d) of the Federal Advisory Vehicle and Reentry Licensing Committee Act, 5 U.S.C. App. 10(d), and Regulation. A commercial space launch ACTION: Notice and request for 5 U.S.C. 552b(c)(1), it has been services provider must complete the comments. determined that this meeting will be Reusable Launch Vehicle and Reentry SUMMARY: In accordance with the closed to the public as the Board will be Licensing Regulation in order to gain Paperwork Reduction Act of 1995, FAA reviewing and discussing matters authorization for conducting reentry invites public comments about our properly classified in accordance with activities. The information collection intention to request the Office of Executive Order 13526. requirement enables FAA/AST to Management and Budget (OMB) For more information, contact determine the amount of required Samantha Raddatz at (202) 647–2372. approval to renew an information liability insurance for a reentry operator collection. The information is collected Dated: November 16, 2011. after examining the risks associated from holders of FAA production Dan Kurtz-Phelan, with a reentry vehicle, its operational approvals and selected suppliers to Designated Federal Officer. capabilities, and its designated reentry obtain their input on how well the [FR Doc. 2011–30245 Filed 11–21–11; 8:45 am] site. agency is performing the administration BILLING CODE 4710–05–P Respondents: Approximately 1 and conduct of the Aircraft Certification reentry operator. Systems Evaluation Program (ACSEP). DATES: Written comments should be DEPARTMENT OF TRANSPORTATION Frequency: Information is collected on occasion. submitted by January 23, 2012. FOR FURTHER INFORMATION CONTACT: Federal Aviation Administration Estimated Average Burden per Kathy DePaepe at (405) 954–9362, or by Response: 300 hours. Agency Information Collection email at: [email protected]. Activities: Requests for Comments; Estimated Total Annual Burden: 300 SUPPLEMENTARY INFORMATION: Clearance of Renewed Approval of hours. OMB Control Number: 2120–0605. Information Collection: Financial ADDRESSES: Send comments to the FAA Title: ACSEP Evaluation Customer Responsibility Requirements for at the following address: Ms. Kathy Feedback Report. Licensed Reentry Activities DePaepe, Room 126B, Federal Aviation Form Numbers: FAA Form 8100–7. AGENCY: Federal Aviation Administration, AES–200, 6500 S. Type of Review: Renewal of an Administration (FAA), DOT. MacArthur Blvd., Oklahoma City, OK information collection. ACTION: Notice and request for 73169. Background: The information comments. Public Comments Invited: You are collected is used by the Aircraft asked to comment on any aspect of this Certification Service’s Manufacturing SUMMARY: In accordance with the Inspection Offices, Aircraft Certification information collection, including (a) Paperwork Reduction Act of 1995, FAA Offices, and the Production & Whether the proposed collection of invites public comments about our Airworthiness Certification Division to intention to request the Office of information is necessary for FAA’s improve the administration and conduct Management and Budget (OMB) performance; (b) the accuracy of the of the Aircraft Certification Systems approval to renew an information estimated burden; (c) ways for FAA to Evaluation Program at the local and collection. The information collected enhance the quality, utility and clarity national levels. Improvements to FAA supports FAA in determining the of the information collection; and (d) Order 8100.7, Aircraft Certification amount of required liability insurance ways that the burden could be Systems Evaluation Program, have been for a reentry operator after examining minimized without reducing the quality and will continue to be incorporated as the risk associated with a reentry of the collected information. The agency a result of the on-going collection of vehicle, its operational capabilities, and will summarize and/or include your data. It is also used for reporting as a its designated reentry site. comments in the request for OMB’s Customer Service Standard in DATES: Written comments should be clearance of this information collection. fulfillment of Executive Order 12862, submitted by January 23, 2012. Setting Customer Service Standards.

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Respondents: Approximately 200 determine if the action was adequate to Issued in Washington, DC, on November holders of FAA production approvals correct the unsafe condition. The 14, 2011. and selected suppliers. respondents are aircraft owners and Albert R. Spence, Frequency: Information is collected operators. FAA Assistant Information Collection on occasion. Clearance Officer, IT Enterprises Business Estimated Average Burden per DATES: Written comments should be Services Division, AES–200. Response: 30 minutes. submitted by January 23, 2012. [FR Doc. 2011–30079 Filed 11–21–11; 8:45 am] Estimated Total Annual Burden: 100 FOR FURTHER INFORMATION CONTACT: BILLING CODE 4910–13–P hours. Kathy DePaepe at (405) 954–9362, or by ADDRESSES: Send comments to the FAA email at: [email protected]. at the following address: Ms. Kathy DEPARTMENT OF TRANSPORTATION DePaepe, Room 126B, Federal Aviation SUPPLEMENTARY INFORMATION: Administration, AES–200, 6500 S. OMB Control Number: 2120–0056. Federal Aviation Administration MacArthur Blvd., Oklahoma City, OK Title: Report of Inspections Required Agency Information Collection 73169. by Airworthiness Directives. Activities: Requests for Comments; Public Comments Invited: You are Clearance of Renewed Approval of asked to comment on any aspect of this Form Numbers: There are no FAA forms associated with this collection. Information Collection: Operating information collection, including (a) Requirements: Domestic, Flag and Type of Review: Renewal of an Whether the proposed collection of Supplemental Operations information is necessary for FAA’s information collection. performance; (b) the accuracy of the Background: Title 14 CFR part 39, AGENCY: Federal Aviation estimated burden; (c) ways for FAA to Airworthiness Directives (AD), Administration (FAA), DOT. enhance the quality, utility and clarity authorized by §§ 40113(a), 44701, and ACTION: Notice and request for of the information collection; and (d) 44702 of Title 49 United States Code, comments. ways that the burden could be prescribes how the FAA issues ADs. minimized without reducing the quality The FAA issues ADs when an unsafe SUMMARY: In accordance with the of the collected information. The agency condition is discovered on a specific Paperwork Reduction Act of 1995, FAA will summarize and/or include your aircraft type. If the condition is serious invites public comments about our comments in the request for OMB’s enough and more information is needed intention to request the Office of clearance of this information collection. to develop corrective action, specific Management and Budget (OMB) Issued in Washington, DC, on November information may be required from approval to renew an information 14, 2011. aircraft owners/operators. If it is collection. 14 CFR part 121 prescribes Albert R. Spence, necessary for the aircraft manufacturer the requirements governing air carrier operations. The information collected is FAA Assistant Information Collection or airworthiness authority to evaluate Clearance Officer, IT Enterprises Business the information, owners/operators will used to determine air operators’ Services Division, AES–200. be instructed to send the information to compliance with the minimum safety [FR Doc. 2011–30080 Filed 11–21–11; 8:45 am] them. standards and the applicants’ eligibility for air operations certification. BILLING CODE 4910–13–P Respondents: Approximately 1,120 DATES: Written comments should be aircraft owners/operators. submitted by January 23, 2012. DEPARTMENT OF TRANSPORTATION Frequency: Information is collected FOR FURTHER INFORMATION CONTACT: on occasion. Kathy DePaepe at (405) 954–9362, or by Federal Aviation Administration Estimated Average Burden per email at: [email protected]. Response: 5 minutes. Agency Information Collection SUPPLEMENTARY INFORMATION: Activities: Requests for Comments; Estimated Total Annual Burden: OMB Control Number: 2120–0008. Clearance of Renewed Approval of 2,800 hours. Title: Operating Requirements: Domestic, Flag and Supplemental Information Collection: Report of ADDRESSES: Send comments to the FAA Inspections Required by Airworthiness Operations. at the following address: Ms. Kathy Form Numbers: FAA Form 8070–1. Directives DePaepe, Room 126B, Federal Aviation Type of Review: Renewal of an Administration, AES–200, 6500 S. AGENCY: Federal Aviation information collection. MacArthur Blvd., Oklahoma City, OK Administration (FAA), DOT. Background: Under the authority of 73169. ACTION: Notice and request for Title 49 CFR 44701, Federal Aviation comments. Public Comments Invited: You are Regulations Part 121 prescribe the asked to comment on any aspect of this terms, conditions, and limitations as are SUMMARY: In accordance with the information collection, including (a) necessary to ensure safety in air Paperwork Reduction Act of 1995, FAA Whether the proposed collection of transportation. Each operator which invites public comments about our information is necessary for FAA’s seeks to obtain, or is in possession of, intention to request the Office of performance; (b) the accuracy of the an air carrier operating certificate must Management and Budget (OMB) estimated burden; (c) ways for FAA to comply with the requirements of FAR approval to renew an information enhance the quality, utility and clarity Part 121 in order to maintain data which collection. Airworthiness Directives are of the information collection; and (d) is used to determine if the air carrier is regulations issued to require correct ways that the burden could be operating in accordance with minimum corrective action to correct unsafe minimized without reducing the quality safety standards. conditions in aircraft, engines, of the collected information. The agency Respondents: Approximately 106 air propellers, and appliances. Reports of will summarize and/or include your operators/applicants. inspections are often needed when comments in the request for OMB’s Frequency: Information is collected emergency corrective action is taken to clearance of this information collection. on occasion.

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Estimated Average Burden per OMB Control Number: 2120–0014. DEPARTMENT OF TRANSPORTATION Response: 27.52 hours. Title: Procedures for Non-Federal Federal Aviation Administration Estimated Total Annual Burden: Navigation Facilities. 1,297,755 hours. Form Numbers: FAA Forms 6030–1, Agency Information Collection ADDRESSES: Send comments to the FAA 6030–17, 6790–4, 6790–5. Activities: Requests for Comments; at the following address: Ms. Kathy Clearance of Renewed Approval of DePaepe, Room 126B, Federal Aviation Type of Review: Renewal of an information collection. Information Collection: Revisions to Administration, AES–200, 6500 S. Digital Flight Data Recorders MacArthur Blvd., Oklahoma City, OK Background: FAR Part 171 establishes 73169. procedures and requirements for AGENCY: Federal Aviation Public Comments Invited: You are sponsors, both private and public other Administration (FAA), DOT. asked to comment on any aspect of this than FAA, to purchase, install, operate, ACTION: Notice and request for information collection, including (a) and maintain electronic navaids for use comments. Whether the proposed collection of by the flying public in the National information is necessary for FAA’s SUMMARY: In accordance with the Airspace System (NAS). FAR Part 171 Paperwork Reduction Act of 1995, FAA performance; (b) the accuracy of the describes procedures for receiving estimated burden; (c) ways for FAA to invites public comments about our permission to install a facility and intention to request the Office of enhance the quality, utility and clarity requirements to be fulfilled to keep it in of the information collection; and (d) Management and Budget (OMB) service. These requirements include ways that the burden could be approval to renew an information inspection and periodic maintenance. minimized without reducing the quality collection. The FAA amended the These tasks and any other repair work of the collected information. The agency regulations governing flight data will summarize and/or include your done to these facilities is recorded in recorders to increase the number of comments in the request for OMB’s on-site logs, copies of which are sent to digital flight data recorder parameters clearance of this information collection. the Service Center office. for certain Boeing airplanes. This Respondents: Approximately 2,413 requirement affects all Boeing 737 series Dated: Issued in Washington, DC, on airplanes manufactured after August 18, November 14, 2011. sponsors of non-federal navigation facilities. 2000. This change was based on safety Albert R. Spence, recommendations from the National FAA Assistant Information Collection Frequency: Information is collected Transportation Safety Board following Clearance Officer, IT Enterprises Business on occasion. its investigations of two accidents and Services Division, AES–200. Estimated Average Burden per several incidents involving 737s. [FR Doc. 2011–30077 Filed 11–21–11; 8:45 am] Response: 13.72 hours. DATES: Written comments should be BILLING CODE 4910–13–P Estimated Total Annual Burden: submitted by January 23, 2012. 33,116 hours. FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF TRANSPORTATION Kathy DePaepe at (405) 954–9362, or by ADDRESSES: Send comments to the FAA email at: [email protected]. at the following address: Ms. Kathy Federal Aviation Administration SUPPLEMENTARY INFORMATION: DePaepe, Room 126B, Federal Aviation OMB Control Number: 2120–0616. Agency Information Collection Administration, AES–200, 6500 S. Title: Revisions to Digital Flight Data Activities: Requests for Comments; MacArthur Blvd., Oklahoma City, OK Recorders. Clearance of Renewed Approval of 73169. Form Numbers: There are no FAA Information Collection: Procedures for Public Comments Invited: You are forms associated with this collection. Non-Federal Navigation Facilities asked to comment on any aspect of this Type of Review: Renewal of an information collection. AGENCY: Federal Aviation information collection, including (a) Background: Section 49 United States Administration (FAA), DOT. Whether the proposed collection of Code 40113(a) empowers the Secretary information is necessary for FAA’s ACTION: Notice and request for of Transportation (or the Administrator performance; (b) the accuracy of the comments. of the Federal Aviation Administration) estimated burden; (c) ways for FAA to to issue such regulations as he/she shall SUMMARY: In accordance with the enhance the quality, utility and clarity deem necessary to carry out the Paperwork Reduction Act of 1995, FAA of the information collection; and (d) invites public comments about our provisions of the Act. Section 49 United ways that the burden could be States Code 44701 empowers the intention to request the Office of minimized without reducing the quality Management and Budget (OMB) Secretary of Transportation (or the of the collected information. The agency Administrator of the Federal Aviation approval to renew an information will summarize and/or include your collection. Non-Federal navigation Administration) to prescribe reasonable comments in the request for OMB’s rules and regulations, or minimum facilities are electrical/electronic aids to clearance of this information collection. air navigation which are purchased, standards necessary for safety in air installed, operated, and maintained by Issued in Washington, DC, on November commerce. In the case of a B737 an entity other than the FAA and are 14, 2011. airplane accident, when the flight data recorder is retrieved from the scene, the available for use by the flying public. Albert R. Spence, information recorded by the aircraft’s DATES: Written comments should be FAA Assistant Information Collection recorder will be downloaded and submitted by January 23, 2012. Clearance Officer, IT Enterprises Business analyzed by accident investigators at the Services Division, AES–200. FOR FURTHER INFORMATION CONTACT: NTSB to determine probable cause. The Kathy DePaepe at (405) 954–9362, or by [FR Doc. 2011–30078 Filed 11–21–11; 8:45 am] data is automatically recorded by the email at: [email protected]. BILLING CODE 4910–13–P flight data recorder; this is a passive SUPPLEMENTARY INFORMATION: information collection requiring no

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effort by respondents to collect the carrier operators to obtain a certificate of Issued in Washington, DC, on November information. public convenience and necessity from 14, 2011. Respondents: Approximately 2,960 the DOT, with the exception of air taxi Albert R. Spence, Boeing 737 aircraft. and commuter air operators. FAA Assistant Information Collection Clearance Officer, IT Enterprises Business Frequency: Data is electronically DATES: Written comments should be Services Division, AES–200. recorded constantly for a period of 25 submitted by January 23, 2012. hours of aircraft operation. Old [FR Doc. 2011–30083 Filed 11–21–11; 8:45 am] FOR FURTHER INFORMATION CONTACT: information is overwritten on a BILLING CODE 4910–13–P continuing basis. Kathy DePaepe at (405) 954–9362, or by Estimated Average Burden per email at: [email protected]. Response: Not applicable. SUPPLEMENTARY INFORMATION: DEPARTMENT OF TRANSPORTATION Estimated Total Annual Burden: 1 OMB Control Number: 2120–0633. Federal Aviation Administration hour is to be entered into OMB’s Title: Exemptions for Air Taxi and inventory as a placeholder figure for this Commuter Air Carrier Operations. Agency Information Collection passive information collection. Form Numbers: OST Form 4507. Activities: Requests for Comments; ADDRESSES: Send comments to the FAA Type of Review: Renewal of an Clearance of Renewed Approval of at the following address: Ms. Kathy information collection. Information Collection: Commercial Air DePaepe, Room 126B, Federal Aviation Background: Code of Federal Tour Limitations in the Grand Canyon Administration, AES–200, 6500 S. Regulation (CFR) 14 part 298, National Park Special Flight Rules Area MacArthur Blvd., Oklahoma City, OK Exemptions for Air Taxi and Commuter 73169. Air Carrier Operations, establishes two AGENCY: Federal Aviation Public Comments Invited: You are classifications of air carriers known as Administration (FAA), DOT. asked to comment on any aspect of this air taxi operators and commuter air ACTION: Notice and request for information collection, including (a) carriers, the latter being air taxis that comments. Whether the proposed collection of offer scheduled passenger service. SUMMARY: In accordance with the information is necessary for FAA’s Generally, they are small businesses, Paperwork Reduction Act of 1995, FAA performance; (b) the accuracy of the and Part 298 sets a maximum on the invites public comments about our estimated burden; (c) ways for FAA to size of the aircraft they may operate. intention to request the Office of enhance the quality, utility and clarity The regulation exempts these small Management and Budget (OMB) of the information collection; and (d) operators from certain provisions of the approval to renew an information ways that the burden could be Federal statute to permit them to obtain collection. The FAA uses the minimized without reducing the quality operating authority by filing a one-page information gathered from Grand of the collected information. The agency OST Form 4705, Air Taxi Operator and Canyon National Park air tour operators will summarize and/or include your Commuter Air Carrier Registration, and to monitor their compliance with the comments in the request for OMB’s amendments under part 298 of the Federal regulations. clearance of this information collection. Regulations of the Department of Issued in Washington, DC, on November Transportation (DOT). DATES: Written comments should be submitted by January 23, 2012. 14, 2011. Respondents: Approximately 2,040 air Albert R. Spence, taxi operators and commuter air FOR FURTHER INFORMATION CONTACT: FAA Assistant Information Collection carriers. Kathy DePaepe at (405) 954–9362, or by Clearance Officer, IT Enterprises Business Frequency: Information is collected email at: [email protected]. Services Division, AES–200. on occasion. SUPPLEMENTARY INFORMATION: [FR Doc. 2011–30082 Filed 11–21–11; 8:45 am] Estimated Average Burden per OMB Control Number: 2120–0653. BILLING CODE 4910–13–P Response: 30 minutes. Title: Commercial Air Tour Limitations in the Grand Canyon Estimated Total Annual Burden: National Park Special Flight Rules Area. 1,026 hours. DEPARTMENT OF TRANSPORTATION Form Numbers: There are no FAA ADDRESSES: Send comments to the FAA forms associated with this collection. Federal Aviation Administration at the following address: Ms. Kathy Type of Review: Renewal of an DePaepe, Room 126B, Federal Aviation information collection. Agency Information Collection Administration, AES–200, 6500 S. Background: Each operator seeking to Activities: Requests for Comments; MacArthur Blvd., Oklahoma City, OK obtain or in possession of an air carrier Clearance of Renewed Approval of 73169. operating certificate must comply with Information Collection: Exemptions for Public Comments Invited: You are the requirements of 14 CFR part 135 or Air Taxi and Commuter Air Carrier asked to comment on any aspect of this part 121, as appropriate. Each of these Operations information collection, including (a) operators conducting air tours in the AGENCY: Federal Aviation whether the proposed collection of Grand Canyon National Park must Administration (FAA), DOT. information is necessary for FAA’s additionally comply with the collection ACTION: Notice and request for performance; (b) the accuracy of the requirements for that airspace. The FAA comments estimated burden; (c) ways for FAA to will use the information it collects and enhance the quality, utility and clarity reviews to monitor compliance with the SUMMARY: In accordance with the of the information collection; and (d) regulations and, if necessary, take Paperwork Reduction Act of 1995, FAA ways that the burden could be enforcement action against violators of invites public comments about our minimized without reducing the quality the regulations. intention to request the Office of of the collected information. The agency Respondents: Approximately 13 air Management and Budget (OMB) will summarize and/or include your operators. approval to renew an information comments in the request for OMB’s Frequency: Information is collected collection. 14 CFR part 298 requires air clearance of this information collection. on occasion.

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Estimated Average Burden per Title: Certification of Repair Stations. DEPARTMENT OF TRANSPORTATION Response: 44 minutes. Form Numbers: FAA Form 8310–3. Estimated Total Annual Burden: 38 Federal Aviation Administration hours. Type of Review: Renewal of an ADDRESSES: Send comments to the FAA information collection. Twenty-Seventh Meeting: RTCA at the following address: Ms. Kathy Background: Part 145 of Title 14, Special Committee 206: Aeronautical DePaepe, Room 126B, Federal Aviation Code of Federal Regulations (14 CFR) Information and Meteorological Data Administration, AES–200, 6500 S. prescribes the requirements for the Link Services MacArthur Blvd., Oklahoma City, OK issuance of repair station certificates AGENCY: Federal Aviation 73169. and associated ratings to maintenance Administration (FAA), U.S. Department Public Comments Invited: You are and alteration organizations. The of Transportation (DOT). asked to comment on any aspect of this information requested is required from ACTION: Notice of RTCA Special information collection, including (a) applicants who wish repair station Committee 206 meeting: Aeronautical Whether the proposed collection of certification. Applicants must submit Information and Meteorological Data information is necessary for FAA’s the required data to the appropriate Link Services. performance; (b) the accuracy of the FAA district office for review and estimated burden; (c) ways for FAA to acceptance/approval. If the information SUMMARY: The FAA is issuing this notice enhance the quality, utility and clarity is satisfactory, an onsite inspection is to advise the public of a meeting of of the information collection; and (d) RTCA Special Committee 206: conducted. When all the FAR Part 145 ways that the burden could be Aeronautical Information and requirements have been met an air minimized without reducing the quality Meteorological Data Link Services for agency certificate and repair station of the collected information. The agency 27th meeting. operations specifications with will summarize and/or include your DATES: The meeting will be held appropriate ratings and limitations are comments in the request for OMB’s December 12–16, 2011, from 9 a.m. to 5 issued. clearance of this information collection. p.m. Issued in Washington, DC, on November Respondents: Approximately 4,625 ADDRESS: The meeting will be held at 14, 2011. maintenance and alteration RTCA, 1150 18th Street, NW., Suite 910, Albert R. Spence, organizations. Washington, DC 20036. FAA Assistant Information Collection Frequency: Information is collected FOR FURTHER INFORMATION CONTACT: The Clearance Officer, IT Enterprises Business on occasion. RTCA Secretariat, 1150 18th Street, Services Division, AES–200. NW., Suite 910, Washington, DC 20036, [FR Doc. 2011–30085 Filed 11–21–11; 8:45 am] Estimated Average Burden per Response: 9.5 hours. or by telephone at (202) 833–9339, fax BILLING CODE 4910–13–P at (202) 833–9434, or Web site at http:// Estimated Total Annual Burden: www.rtca.org. 185,000 hours. SUPPLEMENTARY INFORMATION: DEPARTMENT OF TRANSPORTATION Pursuant ADDRESSES: Send comments to the FAA to section 10(a)(2) of the Federal Federal Aviation Administration at the following address: Ms. Kathy Advisory Committee Act (Pub. L. No. DePaepe, Room 126B, Federal Aviation 92–463, 5 U.S.C., App.), notice is hereby Agency Information Collection Administration, AES–200, 6500 S. given for a meeting of Special Activities: Requests for Comments; MacArthur Blvd., Oklahoma City, OK Committee 206: Aeronautical Clearance of Renewed Approval of 73169. Information and Meteorological Data Information Collection: Certification of Link Services. The agenda will include Repair Stations Public Comments Invited: You are the following: asked to comment on any aspect of this AGENCY: Federal Aviation information collection, including (a) Agenda Administration (FAA), DOT. Whether the proposed collection of December 12, 2011 ACTION: Notice and request for information is necessary for FAA’s • comments. Open Plenary Session performance; (b) the accuracy of the • Chairman’s Introductory Remarks estimated burden; (c) ways for FAA to • SUMMARY: In accordance with the Introductions • Paperwork Reduction Act of 1995, FAA enhance the quality, utility and clarity Approval of previous meeting invites public comments about our of the information collection; and (d) minutes • intention to request the Office of ways that the burden could be Review and approve meeting Management and Budget (OMB) minimized without reducing the quality agenda of the collected information. The agency • Schedule for this week approval to renew an information • collection. Information is collected from will summarize and/or include your Action item review • Sub-Group 3 Work Plan/Roadmap— applicants who wish to obtain repair comments in the request for OMB’s SG3 Chairmen station certification. Applicants must clearance of this information collection. • Discuss Proposed TOR Changes submit FAA form 8310–3 to the Issued in Washington, DC, on November • Final Review and Comment appropriate FAA flight standards 14, 2011. (FRAC): Operational Services and district office for review. Albert R. Spence, Environmental Definition (OSED) for DATES: Written comments should be FAA Assistant Information Collection Aircraft Derived Meteorological Data via submitted by January 23, 2012. Clearance Officer, IT Enterprises Business ADS–B Data Link for Wake Vortex, Air FOR FURTHER INFORMATION CONTACT: Services Division, AES–200. Traffic Management, and Weather Kathy DePaepe at (405) 954–9362, or by [FR Doc. 2011–30089 Filed 11–21–11; 8:45 am] Applications email at: [email protected]. BILLING CODE 4910–13–P December 13, 2011 SUPPLEMENTARY INFORMATION: OMB Control Number: 2120–0682. • FRAC OSED

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December 14, 2011 Washington, DC 20036 and Lockheed Plenary and SG Meetings • • FRAC OSED Martin, 2121 Crystal Drive, Arlington, Any Other Business VA, 22202. If you plan on attending • Adjourn December 15, 2011 please contact Bonnie Rock at bonnie. December 9, 2011 • Review Concept of Use (ConUse) for [email protected] for required security • Sub Group Sessions (RTCA) AIS and MET Data Link Services information. Attendance is open to the interested December 16, 2011 FOR FURTHER INFORMATION CONTACT: The public but limited to space availability. • RTCA Secretariat, 1150 18th Street, With the approval of the chairman, Closing Plenary Session NW., Suite 910, Washington, DC 20036, • Action Item Review Action item members of the public may present oral or by telephone at (202) 833–9339, fax review statements at the meeting. Persons • Future meeting plans and dates at (202) 833–9434, or Web site at http:// wishing to present statements or obtain • Approve proposed TOR changes www.rtca.org. information should contact the person • Decision to release the ConUse SUPPLEMENTARY INFORMATION: Pursuant listed in the FOR FURTHER INFORMATION document for FRAC process to section 10(a)(2) of the Federal CONTACT section. Members of the public • Decision to approve the OSED Advisory Committee Act (Pub. L. 92– may present a written statement to the document for release to the PMC 463, 5 U.S.C., App.), notice is hereby committee at any time. Note: If needed, FRAC or ConUse given for a meeting of Special Issued in Washington, DC, on November review could roll over into Friday, Committee 214/EUROCAE WG–78: 15, 2011. which will delay the start of the 9 Standards for Air Traffic Data Kathy Hitt, a.m. Closing Plenary Communication Services. The agenda • Adjourn Management Analyst, Business Operations will include the following: Group, Federal Aviation Administration. Attendance is open to the interested [FR Doc. 2011–30075 Filed 11–21–11; 8:45 am] public but limited to space availability. December 5, 2011 With the approval of the chairman, • Open Plenary Session (at RTCA) BILLING CODE 4910–13–P members of the public may present oral • Chairman’s Introductory Remarks • statements at the meeting. Persons Review of Meeting Agenda DEPARTMENT OF TRANSPORTATION wishing to present statements or obtain • Review and Approval of 12th and information should contact the person 13th Meeting Minutes Surface Transportation Board listed in the FOR FURTHER INFORMATION • Review Action Item Status [Docket No. AB 6 (Sub-No. 478X)] CONTACT section. Members of the public • Coordination Activities • may present a written statement to the Consideration of ISRA with SC– BNSF Railway Company— committee at any time. 206/WG 76 Abandonment Exemption—in Cass • Issued in Washington, DC, on November Consideration of plan for release of County, ND 15, 2011. message sets to OPLINK • BNSF Railway Company (BNSF) has Kathy Hitt, Consider Approval of Revision A of DO305/ED154 filed a verified notice of exemption Management Analyst, Business Operations • under 49 CFR pt. 1152 subpart F— Group, Federal Aviation Administration. Consider Approval of DO–281B/ED– 92B Exempt Abandonments to abandon 7.40 [FR Doc. 2011–30074 Filed 11–21–11; 8:45 am] • Review of the work so far: miles of rail line extending between BILLING CODE 4910–13–P • SPR & INT documents version I milepost 68.10 at Arthur and milepost • Validation activities 75.50 at Hunter, in Cass County, ND (the • Line). The Line traverses United States DEPARTMENT OF TRANSPORTATION SC–214/WG–78 plan for publication Postal Service Zip Codes 58006 and Federal Aviation Administration • Review of Position Papers and 58048 and includes the Arthur and Contributions Hunter stations. Fourteenth Meeting: RTCA Special • Approval of Sub-Group Meeting BNSF has certified that: (1) No local Committee 214/EUROCAE WG–78: Objectives traffic has moved over the Line for at Standards for Air Traffic Data least 2 years; (2) the Line is stub-ended Communication Services December 6, 2011 and not capable of handling any • Sub-Group Sessions (at RTCA) overhead traffic, therefore, there is no AGENCY: Federal Aviation overhead traffic to be rerouted; (3) no Administration (FAA), U.S. Department December 7. 2011 formal complaint filed by a user of rail of Transportation (DOT). • Sub-Group Sessions (at Lockheed service on the Line (or by a state or local ACTION: RTCA Special Committee 214/ Martin) government entity acting on behalf of EUROCAE WG–78: Standards for Air such user) regarding cessation of service December 8, 2011 Traffic Data Communication Services over the Line either is pending with the meeting. • Plenary Session (at RTCA) Surface Transportation Board (Board) or • Configuration Sub-Group Report & with any U.S. District Court or has been SUMMARY: The FAA is issuing this notice Assignment of Action Items decided in favor of complainant within to advise the public of a meeting of • Validation Sub-Group Report & the 2-year period; and (4) the RTCA Special Committee 214/ Assignment of Action Items requirements at 49 CFR 1105.7(c) EUROCAE WG–78: Standards for Air • VDL Sub-Group Report & (environmental report), 49 CFR 1105.11 Traffic Data Communication Services. Assignment of Action Items (transmittal letter), 49 CFR 1105.12 DATES: The meeting will be held • Approval to Publish VDL Mode 2 (newspaper publication), and 49 CFR December 5–9, 2011, from 9 a.m. to 5 Documents 1152.50(d)(1) (notice to governmental p.m. • Approval for Information Release of agencies) have been met. ADDRESSES: The meeting will be held at SPR and Interops As a condition to this exemption, any RTCA, 1150 18th Street, NW., Suite 910, • Review Dates and Locations of 2012 employee adversely affected by the

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abandonment shall be protected under conditions will be imposed, where Health Administration (10P7BFP), Oregon Short Line Railroad— appropriate, in a subsequent decision. Department of Veterans Affairs, 810 Abandonment Portion Goshen Branch Pursuant to the provisions of 49 CFR Vermont Avenue, NW, Washington, DC Between Firth & Ammon, in Bingham & 1152.29(e)(2), BNSF shall file a notice of 20420; or email: cynthia.harvey- Bonneville Counties, Idaho, 360 I.C.C. consummation with the Board to signify [email protected]. Please refer to ‘‘OMB 91 (1979). To address whether this that it has exercised the authority Control No. 2900–0727’’ in any condition adequately protects affected granted and fully abandoned the Line. If correspondence. During the comment employees, a petition for partial consummation has not been effected by period, comments may be viewed online revocation under 49 U.S.C. 10502(d) BNSF’s filing of a notice of through FDMS. must be filed. consummation by November 22, 2012, FOR FURTHER INFORMATION CONTACT: Provided no formal expression of and there are no legal or regulatory Cynthia Harvey-Pryor at (202) 461–5870 intent to file an offer of financial barriers to consummation, the authority or FAX (202) 273–9381. assistance (OFA) has been received, this to abandon will automatically expire. SUPPLEMENTARY INFORMATION: Under the exemption will be effective on Board decisions and notices are PRA of 1995 (Pub. L. 104–13; 44 U.S.C. December 22, 2011, unless stayed available on our Web site at http:// 3501—3521), Federal agencies must pending reconsideration. Petitions to www.stb.dot.gov. obtain approval from the Office of stay that do not involve environmental Decided: November 15, 2011. Management and Budget (OMB) for each issues,1 formal expressions of intent to collection of information they conduct file an OFA under 49 CFR By the Board, Rachel D. Campbell, Director, Office of Proceedings. or sponsor. This request for comment is 1152.27(c)(2),2 and trail use/rail banking Raina S. White, being made pursuant to Section requests under 49 CFR 1152.29 must be 3506(c)(2)(A) of the PRA. Clearance Clerk. filed by December 2, 2011. Petitions to With respect to the following reopen or requests for public use [FR Doc. 2011–30104 Filed 11–21–11; 8:45 am] collection of information, VHA invites conditions under 49 CFR 1152.28 must BILLING CODE 4915–01–P comments on: (1) Whether the proposed be filed by December 12, 2011, with the collection of information is necessary Surface Transportation Board, 395 E for the proper performance of VHA’s Street, SW., Washington, DC 20423– DEPARTMENT OF VETERANS functions, including whether the 0001. AFFAIRS information will have practical utility; A copy of any petition filed with the (2) the accuracy of VHA’s estimate of Board should be sent to BNSF’s [OMB Control No. 2900–0727] the burden of the proposed collection of representative: Karl Morell, Of Counsel, Proposed Information Collection information; (3) ways to enhance the Ball Janik LLP, 655 Fifteenth Street, (Survey of Post-Deployment quality, utility, and clarity of the NW., Suite 225, Washington, DC 20005. Adjustment Among OEF and OIF information to be collected; and (4) If the verified notice contains false or Veterans); Comment Request ways to minimize the burden of the misleading information, the exemption collection of information on is void ab initio. AGENCY: Veterans Health respondents, including through the use BNSF has filed a combined Administration, Department of Veterans of automated collection techniques or environmental and historic report that Affairs. the use of other forms of information addresses the effects, if any, of the ACTION: Notice. technology. abandonment on the environment and Title: Survey of Post-Deployment historic resources. OEA will issue an SUMMARY: The Veterans Health Adjustment Among OEF and OIF environmental assessment (EA) by Administration (VHA), Department of Veterans, VA Form 10–21089. November 25, 2011. Interested persons Veterans Affairs (VA), is announcing an OMB Control Number: 2900–0727. may obtain a copy of the EA by writing opportunity for public comment on the Type of Review: Extension of a to OEA (Room 1100, Surface proposed collection of certain currently approved collection. Transportation Board, Washington, DC information by the agency. Under the Abstract: The data collected on VA 20423–0001) or by calling OEA at (202) Paperwork Reduction Act (PRA) of Form 10–21089 will be used to access 245–0305. Assistance for the hearing 1995, Federal agencies are required to health conditions, occupational, family impaired is available through the publish notice in the Federal Register and social adjustment and functioning Federal Information Relay Service at 1– concerning each proposed collection of of Veterans who were deployed to 800–877–8339. Comments on information, including each proposed Afghanistan and/or Iraq. The goal is to environmental and historic preservation extension of a currently approved identify the gender-specific treatment matters must be filed within 15 days collection, and allow 60 days for public needs of Operation Enduring Freedom after the EA becomes available to the comment in response to the notice. This (OEF) and Operation Iraqi Freedom public. notice solicits comments for information (OIF) Veterans with an emphasis on the Environmental, historic preservation, needed to identify gender-specific needs of female Veterans who public use, or trail use/rail banking treatment needs of returning Operation experienced war zone stressor beyond Enduring Freedom (OEF) and Operation traditional combat and sexual trauma 1 The Board will grant a stay if an informed Iraqi Freedom (OIF) Veterans. during deployment. VA will use the decision on environmental issues (whether raised data to identify how homecoming DATES: by a party or by the Board’s Office of Environmental Written comments and experiences (healthcare, relationship Analysis (OEA) in its independent investigation) recommendations on the proposed and parenting readjustment) differently cannot be made before the exemption’s effective collection of information should be date. See Exemption of Out-of-Serv. Rail Lines, 5 affect male and female Veterans. I.C.C.2d 377 (1989). Any request for a stay should received on or before January 23, 2012. Affected Public: Individuals or be filed as soon as possible so that the Board may ADDRESSES: Submit written comments households. take appropriate action before the exemption’s on the collection of information through Estimated Annual Burden: 1,333 effective date. 2 Each OFA must be accompanied by the filing the Federal Docket Management System hours. fee, which is currently set at $1,500. See 49 CFR (FDMS) at http://www.Regulations.gov Estimated Average Burden per 1002.2(f)(25). or to Cynthia Harvey-Pryor, Veterans Respondent: 20 minutes.

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Frequency of Response: On occasion. use of mental health facilities for information; (3) ways to enhance the Estimated Number of Respondents: returning Operation Enduring Freedom/ quality, utility, and clarity of the 4,000. Operation Iraqi Freedom veterans and information to be collected; and (4) Dated: November 17, 2011. their families. ways to minimize the burden of the By direction of the Secretary. DATES: Written comments and collection of information on Denise McLamb, recommendations on the proposed respondents, including through the use of automated collection techniques or Program Analyst, Enterprise Records Service. collection of information should be received on or before January 23, 2012. the use of other forms of information [FR Doc. 2011–30086 Filed 11–21–11; 8:45 am] technology. BILLING CODE 8320–01–P ADDRESSES: Submit written comments on the collection of information through Title: Operation Enduring Freedom/ the Federal Docket Management System Operation Iraqi Freedom Veterans DEPARTMENT OF VETERANS (FDMS) at http://www.Regulations.gov Health Needs Assessment, VA Form 10– AFFAIRS or to Cynthia Harvey-Pryor, Veterans 21091. Health Administration (10P7BFP), OMB Control Number: 2900–0728. [OMB Control No. 2900–0728] Department of Veterans Affairs, 810 Type of Review: Extension of a Proposed Information Collection Vermont Avenue, NW., Washington, DC currently approved collection. (Operation Enduring Freedom/ 20420; or email: cynthia.harvey- Abstract: VA Form 10–21091 is used Operation Iraqi Freedom Veterans [email protected]. Please refer to ‘‘OMB to gather input from returning war zone Health Needs Assessment) Activity; Control No. 2900–0728’’ in any veterans to identify their needs, Comment Request correspondence. During the comment concerns and health care preferences. period, comments may be viewed online The data collected will help VA to AGENCY: Veterans Health through FDMS. improve the quality and relevance of Administration, Department of Veterans FOR FURTHER INFORMATION CONTACT: care offered as well as access to care Affairs. Cynthia Harvey-Pryor at (202) 461–5870 through the removal of identified ACTION: Notice. or FAX (202) 273–9381. barriers to care and to develop care pathways as indicated by veterans’ SUMMARY: The Veterans Health SUPPLEMENTARY INFORMATION: Under the responses to the survey. Administration (VHA), Department of PRA of 1995 (Pub. L. 104–13; 44 U.S.C. Veterans Affairs (VA), is announcing an 3501—3521), Federal agencies must Affected Public: Individuals and opportunity for public comment on the obtain approval from the Office of Households. proposed collection of certain Management and Budget (OMB) for each Estimated Annual Burden: 1,000 information by the agency. Under the collection of information they conduct hours. Paperwork Reduction Act (PRA) of or sponsor. This request for comment is Estimated Average Burden per 1995, Federal agencies are required to being made pursuant to Section Respondent: 20 minutes. publish notice in the Federal Register 3506(c)(2)(A) of the PRA. Frequency of Response: On occasion. concerning each proposed collection of With respect to the following Estimated Number of Respondents: information, including each proposed collection of information, VHA invites 3,000. extension of a currently approved comments on: (1) Whether the proposed Dated: November 17, 2011. collection, and allow 60 days for public collection of information is necessary comment in response to the notice. This for the proper performance of VHA’s By direction of the Secretary. notice solicits comments for information functions, including whether the Denise McLamb, to develop a program that will improve information will have practical utility; Program Analyst, Enterprise Records Service. the quality and relevance of care, as it (2) the accuracy of VHA’s estimate of [FR Doc. 2011–30087 Filed 11–21–11; 8:45 am] pertains to access for mental health and the burden of the proposed collection of BILLING CODE 8320–01–P

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Part II

Department of State

22 CFR Parts 120, 123, 124, et al. Implementation of Defense Trade Cooperation Treaties; Proposed Rule

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DEPARTMENT OF STATE United States and the United Kingdom, date of the publication by any of the and identify via a supplement the following methods: 22 CFR Parts 120, 123, 124, 126, 127, defense articles and defense services • Email: DDTCResponseTeam@state. and 129 that may not be exported pursuant to gov with the subject line, Regulatory the Treaties. Additionally, the [Public Notice 7683] Change—Treaties. Department of State proposes to amend RIN 1400–AC95 the section pertaining to the Canadian • Persons with access to the Internet exemption to reference the new may also view and comment on this Implementation of Defense Trade supplement, and, with regard to notice by searching for its RIN on the Cooperation Treaties Congressional certification, the U.S. Government regulations Web site at AGENCY: Department of State. Department of State proposes to add http://www.regulations.gov. Israel to the list of countries and entities ACTION: Proposed rule. FOR FURTHER INFORMATION CONTACT: that have a shorter certification time Sarah Heidema, Office of Defense Trade SUMMARY: The Department of State is period and a higher dollar value reporting threshold. Controls Policy, Department of State, proposing to amend the International Telephone (202) 663–2809; Fax (202) DATES: The Department of State will Traffic in Arms Regulations (ITAR) to 261–8199; or Email accept comments on this proposed rule implement the Defense Trade [email protected]. ATTN: Cooperation Treaty between the United until December 22, 2011. Regulatory Change—Treaties. States and Australia and the Defense ADDRESSES: Interested parties may Trade Cooperation Treaty between the submit comments within 30 days of the SUPPLEMENTARY INFORMATION:

ITAR Part Proposed change

Part 120 ...... Section 120.19 revised to clarify meaning of reexport or retransfer; new §§ 120.33 and 120.34 added to provide definitions of the Defense Trade Cooperation Treaties between the United States and Australia and the U.K., respectively; new §§ 120.35 and 120.36 added to define the implementing arrangements pursuant to the Treaties between the United States and Australia and the United States and the U.K., respectively. Part 123 ...... Clarifying edits made throughout section and references to new proposed §§ 126.16 and 126.17 added; Israel added to § 123.9(e). Part 124 ...... § 124.11 revised to add Israel to the list of countries and entities subject to the 15-day time period regard- ing Congressional certification. Part 126 ...... Clarifying edits made throughout section; § 126.5(b) revised to reference the new supplement to part 126, consequently, §§ 126.5(b)(1)–(21) are removed; § 126.16 added to describe the exemption pursuant to the Defense Trade Cooperation Treaty between the United States and Australia; § 126.17 added to de- scribe the exemption pursuant to the Defense Trade Cooperation Treaty between the United States and the United Kingdom; Supplement No. 1 to part 126 added. Part 127 ...... Clarifying edits made throughout section; revised to make reference to new proposed §§ 126.16 and 126.17. Part 129 ...... Sections 129.6(b)(2), 129.7(a)(1)(vii), and 129.7(a)(2) revised to include Israel in the listing of countries and entities.

These proposed amendments are similar to the North Atlantic Treaty reference the proposed supplement to pursuant to the Security Cooperation Organization (NATO), the member part 126. This proposed amendment Act of 2010 (Pub. L. 111–266), with the countries of NATO, Australia, Japan, would affect part 126. Section by inclusion of other proposed changes. New Zealand, and the Republic of Korea section identification of the proposed Title I of the Security Cooperation Act, concerning certification to the Congress. changes follows. the Defense Trade Cooperation Treaties Pursuant to the proposed change, we We are revising the authority citation Implementation Act of 2010, would require certification for transfers for part 120 to include Public Law 111– implements the Defense Trade to Israel prior to granting any license or 266; section 120.1 to reference the Cooperation Treaty between the United other approval for transactions of major Treaties as authorities; and section States and Australia, done at Sydney, defense equipment sold under a 120.19 to clarify the meaning of reexport Australia, on September 5, 2007; and contract in the amount of $25,000,000 or or retransfer. In § 120.28, we are the Defense Trade Cooperation Treaty more (currently required for amounts of correcting an outdated reference between the United States and the $14,000,000 or more), or for defense (Shipper’s Export Declaration) to refer to United Kingdom, done at Washington, articles and defense services sold under the Electronic Export Information. We DC and London on June 21 and 26, a contract in the amount of are proposing new §§ 120.33 and 120.34 2007, respectively (collectively referred $100,000,000 or more (currently to provide definitions of the Defense to herein as the ‘‘Treaties’’). We propose required for amounts of $50,000,000 or Trade Cooperation Treaties between the a supplement to part 126 that will more), and provided the transfer does United States and Australia and the identify those defense articles and not include any other countries. The U.K., respectively. Also, we are defense services exempt from the scope change would also shorten from thirty proposing new §§ 120.35 and 120.36 to of the Treaties. These proposed (30) to fifteen (15) calendar days the define the implementing arrangements amendments would affect parts 120, certification time period during which pursuant to the Treaties between the 123, 126, and 127, with new sections in approval may not be granted. This United States and Australia and the part 126 describing the licensing proposed amendment would affect parts United States and the U.K., respectively. exemptions pursuant to the Treaties. 123, 124, and 129. The proposed change in § 123.4 Title III of the Security Cooperation Additionally, we are revising § 126.5, replaces the word ‘‘export’’ with the Act creates for Israel a status in law describing the Canadian exemption, to word ‘‘exporter.’’ In the last sentence in

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§ 123.9(a), ‘‘a person’’ will replace be covered by the new supplement to Regulatory Analysis and Notices ‘‘exporters,’’ and we are adding part 126). We are revising Section Administrative Procedure Act ‘‘destination’’ as an item that must be 126.5(d) to change ‘‘re-transfer’’ to determined prior to the submission of ‘‘retransfer,’’ and revising § 126.5(d)(2) The Department of State is of the an application or the claiming of an Note 2 to reference the proposed new opinion that controlling the import and exemption. We are adding a note supplement to part 126. We are adding export of defense services is a foreign following this section. We are revising the terms ‘‘criminal complaint’’ and affairs function of the United States section 123.9(b) to expand the reference ‘‘other criminal charge’’ to § 126.7(a)(3), Government and that rules to documents, and to reference the new and adding clarifying language to implementing this function are exempt proposed §§ 126.16 and 126.17. We are from § 553 (Rulemaking) and § 554 § 126.7(a)(7). We are revising section adding clarifying language to (Adjudications) of the Administrative 126.13(a) to include reference to § 123.9; §§ 123.9(c), (c)(1), and (c)(2); and adding Procedure Act. Although the the language of the current (c)(4) to revising § 126.13(a)(1) to add the terms Department is of the opinion that this (c)(3). New language pertaining to new ‘‘criminal complaint’’ and ‘‘other proposed rule is exempt from the §§ 126.16 and 126.17 will comprise a criminal charge’’; and revising rulemaking provisions of the APA, the new (c)(4). We are removing and § 126.13(a)(4) to include reference to Department is publishing this proposed reserving section 123.9(d). We are § 123.9. We are proposing section rule with a 30-day provision for public adding Israel to the list of countries and 126.16 to describe the exemption comment and without prejudice to its entities in § 123.9(e); citing the new pursuant to the Defense Trade determination that controlling the §§ 126.16 and 126.17 in § 123.9(e)(1); Cooperation Treaty between the United import and export of defense services is and adding clarifying language to States and Australia, and proposing a foreign affairs function. §§ 123.9(e)(3) and (e)(4). We are adding § 126.17 to describe the exemption Regulatory Flexibility Act Israel to the list of countries and entities pursuant to the Defense Trade in §§ 123.15(a)(1), (a)(2), and (b). We are Cooperation Treaty between the United Since this proposed amendment is not adding Australia and the United States and the United Kingdom. We are subject to the notice-and-comment Kingdom to § 123.16(a), and reference to proposing the addition of Supplement procedures of 5 U.S.C. 553, it does not the Electronic Export Information No. 1 to part 126, and this provision require analysis under the Regulatory replaces reference to the Shipper’s will delineate those items of the U.S. Flexibility Act. Export Declaration in this section and in Munitions List that are outside the Unfunded Mandates Reform Act of 1995 § 123.16(b)(1)(iii). We are clarifying scope of the exemptions established by documents in § 123.16(b)(2)(vi), and This proposed amendment does not the Treaties and the Canadian adding new §§ 123.16(c) and (d) involve a mandate that will result in the exemptions at § 126.5. referencing the new §§ 126.16 and expenditure by State, local, and tribal 126.17. Section 123.22(b)(2) replaces We are revising the authority citation governments, in the aggregate, or by the references to the Shipper’s Export for part 127 to include Public Law 111– private sector, of $100 million or more Declaration with the Electronic Export 266. We are revising section 127.1 to in any year and it will not significantly Information. We are revising the title make reference, where appropriate, to or uniquely affect small governments. and text for § 123.26. new proposed §§ 126.16 and 126.17, Therefore, no actions were deemed We are revising the authority citation and we are providing clarifying necessary under the provisions of the for part 124 to include Public Law 111– language, leading to the inclusion of a Unfunded Mandates Reform Act of 266. We are revising section 124.11 to new proposed § 127.1(e). We are adding 1995. add Israel to the list of countries and the words ‘‘or attempt to use’’ in Executive Order 13175 entities subject to the 15-day time § 127.2(a); ‘‘subchapter’’ will replace The Department of State has period regarding Congressional ‘‘section’’ in § 127.2(b); we are adding certification. determined that this proposed ‘‘reexport’’ and ‘‘retransfer to We are revising the authority citation amendment will not have tribal § 127.2(b)(1); adding ‘‘Electronic Export for part 126 to include Public Law 111– implications, will not impose 266, and revising section 126.1(e) for Information filing’’ to § 127.2(b)(2); and substantial direct compliance costs on clarification. We are adding a section proposing a new § 127.2(b)(14). We are Indian tribal governments, and will not (e)(1), to contain the current adding clarifying language to § 127.3(a); pre-empt tribal law. Accordingly, the requirement found in (e) to notify the adding the words ‘‘or by exemption’’ to requirement of Executive Order 13175 Directorate of Defense Trade Controls of § 127.4(a); adding the words ‘‘or claim does not apply to this proposed any transactions that contravene the of an exemption’’ to § 127.4(c); and amendment. prohibitions of § 126.1(a). We are proposing new § 127.4(d). We are reserving section (e)(2). We are revising revising section 127.7(a) to remove the Small Business Regulatory Enforcement section 126.3 to change ‘‘Director’’ to words ‘‘for which a license or approval Fairness Act of 1996 ‘‘Managing Director’’ and ‘‘Office’’ to is required by this subchapter.’’ In This proposed amendment has been ‘‘Directorate.’’ We are replacing § 127.10(a), we are modifying the word found not to be a major rule within the references to Shipper’s Export ‘‘approval’’ with addition of the word meaning of the Small Business Declaration with Electronic Export ‘‘written.’’ We are proposing new Regulatory Enforcement Fairness Act of Information in § 126.4(d). We are § 127.12(b)(5). We are revising the 1996. revising section 126.5(a) to change ‘‘Port structure of § 127.12(d), removing an Executive Orders 12372 and 13132 Director’’ to ‘‘Port Directors.’’ We are unnecessary level, and expanding the revising section 126.5(b) to reference the This proposed amendment will not example list for ‘‘shipping documents’’. new supplement to part 126; have substantial direct effects on the consequently, we are removing We are revising sections 129.6(b)(2), States, on the relationship between the §§ 126.5(b)(1)–(21). We are removing 129.7(a)(1)(vii), and 129.7(a)(2) to national government and the States, or and reserving section 126.5(c) (defense include Israel in the listing of countries on the distribution of power and services not subject to exemption will and entities. responsibilities among the various

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levels of government. Therefore, in PART 120—PURPOSE AND (2) Persons who have been convicted accordance with Executive Order 13132, DEFINITIONS of violating the criminal statutes it is determined that this proposed enumerated in § 120.27 of this amendment does not have sufficient 1. The authority citation for Part 120 subchapter, who have been debarred federalism implications to require is revised to read as follows: pursuant to part 127 or 128 of this consultations or warrant the preparation Authority: Secs. 2, 38, and 71, Pub. L. 90– subchapter, who are subject to of a federalism summary impact 629, 90 Stat. 744 (22 U.S.C. 2752, 2778, indictment or are otherwise charged statement. The regulations 2797); 22 U.S.C. 2794; E.O. 11958, 42 FR (e.g., by information) for violating the implementing Executive Order 12372 4311; E.O. 13284, 68 FR 4075; 3 CFR, 1977 criminal statutes enumerated in § 120.27 regarding intergovernmental Comp. p. 79; 22 U.S.C. 2651a; Pub. L. 105– of this subchapter, who are ineligible to consultation on Federal programs and 261, 112 Stat. 1920; Pub. L. 111–266. contract with, or to receive a license or activities do not apply to this proposed 2. Section 120.1 is amended by other form of authorization to import amendment. revising paragraphs (a), (c), and (d) to defense articles or defense services from read as follows: any agency of the U.S. Government, Executive Order 12866 who are ineligible to receive an export § 120.1 General authorities and eligibility. The Department is of the opinion that license or other approval from any other restricting defense articles exports is a (a) Section 38 of the Arms Export agency of the U.S. Government, or who foreign affairs function of the United Control Act (22 U.S.C. 2778), as are subject to a Department of State States Government and that rules amended, authorizes the President to policy of denial, suspension or governing the conduct of this function control the export and import of defense revocation under § 126.7(a) of this are exempt from the requirements of articles and defense services. The subchapter, or to interim suspension Executive order 12866. However, the statutory authority of the President to under § 127.8 of this subchapter, are Department has nevertheless reviewed promulgate regulations with respect to generally ineligible to be involved in this regulation to ensure its consistency exports of defense articles and defense activities regulated under this with the regulatory philosophy and services was delegated to the Secretary subchapter. principles set forth in that Executive of State by Executive Order 11958, as (d) The exemptions provided in this Order. amended. This subchapter implements subchapter do not apply to transactions that authority. Portions of this in which the exporter, any party to the Executive Order 12988 subchapter also implement the Defense export (as defined in § 126.7(e) of this Trade Cooperation Treaty between the The Department of State has reviewed subchapter), any source or United States and Australia and the this proposed amendment in light of manufacturer, broker or other Defense Trade Cooperation Treaty sections 3(a) and 3(b)(2) of Executive participant in the brokering activities, is between the United States and the Order 12988 to eliminate ambiguity, generally ineligible as set forth above in United Kingdom. (Note, however, that minimize litigation, establish clear legal paragraph (c) of this section, unless the Treaties are not the source of standards, and reduce burden. prior written authorization has been authority for the prohibitions in part granted by the Directorate of Defense Executive Order 13563 127, but instead are the source of one Trade Controls. limitation on the scope of such 3. Section 120.19 is revised to read as The Department of State has prohibitions.) By virtue of delegations of follows: considered this rule in light of authority by the Secretary of State, these Executive Order 13563, dated January regulations are primarily administered § 120.19 Reexport or retransfer. 18, 2011, and affirms that this regulation by the Deputy Assistant Secretary of Reexport or retransfer means the is consistent with the guidance therein. State for Defense Trade and Regional transfer of defense articles or defense Paperwork Reduction Act Security and the Managing Director of services to an end-use, end-user, or Defense Trade Controls, Bureau of destination not previously authorized This proposed amendment does not Political-Military Affairs. by license, written approval, or impose any new reporting or * * * * * exemption pursuant to this subchapter. recordkeeping requirements subject to (c) Receipt of Licenses and Eligibility. 4. Section 120.28 is amended by the Paperwork Reduction Act, 44 U.S.C. (1) A U.S. person may receive a revising paragraph (b)(2) to read as Chapter 35. license or other approval pursuant to follows: List of Subjects this subchapter. A foreign person may § 120.28 Listing of forms referred to in this not receive such a license or other subchapter. 22 CFR Parts 120, 123, 124, and 126 approval, except as follows: * * * * * Arms and Munitions, Exports. (i) A foreign governmental entity in (b) * * * the United States may receive an export (2) Electronic Export Information filed 22 CFR Part 127 license or other export approval; via the Automated Export System. (ii) A foreign person may receive a Arms and Munitions, Crime, Exports, * * * * * reexport or retransfer approval; and Penalties, Seizures and Forfeitures. 5. Section 120.33 is added to read as (iii) A foreign person may receive a follows: 22 CFR Part 129 prior approval for brokering activities. Requests for a license or other § 120.33 Defense Trade Cooperation Arms and Munitions, Exports, approval other than by a person referred Treaty between the United States and Brokering. to in paragraphs (c)(1)(i) and (c)(1)(ii) Australia. Accordingly, for the reasons set forth will be considered only if the applicant Defense Trade Cooperation Treaty above, Title 22, Chapter I, Subchapter has registered with the Directorate of between the United States and Australia M, parts 120, 123, 124, 126, 127, and Defense Trade Controls pursuant to part means the Treaty between the 129 are proposed to be amended as 122 or 129 of this subchapter, as Government of the United States of follows: appropriate. America and the Government of

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Australia Concerning Defense Trade § 123.4 Temporary import license may not be transferred, transshipped on Cooperation, done at Sydney, exemptions. a non-continuous voyage, or otherwise September 5, 2007. For additional * * * * * be disposed of, to any other country or information on making exports pursuant (d) Procedures. To the satisfaction of end-user, either in their original form or to this treaty, see § 126.16 of this the Port Directors of U.S. Customs and after being incorporated into other end- subchapter. Border Protection, the importer and items, without the prior written 6. Section 120.34 is added to read as exporter must comply with the approval of the U.S. Department of follows: following procedures: State.’’ * * * * * (c) Any person requesting written § 120.34 Defense Trade Cooperation 11. Section 123.9 is amended by approval from the Directorate of Defense Treaty between the United States and the revising paragraphs (a), (b), (c), (e), Trade Controls for the reexport, United Kingdom. (e)(1), (e)(3), (e)(4), and removing and retransfer, other disposition, or change Defense Trade Cooperation Treaty reserving paragraph (d), to read as in end use, end user, or destination of between the United States and the follows: a defense article or defense service United Kingdom means the Treaty initially exported or transferred § 123.9 Country of ultimate destination pursuant to a license or other written between the Government of the United and approval of reexports or retransfers. States of America and the Government approval, or an exemption under this (a) The country designated as the of the United Kingdom of Great Britain subchapter, must submit all the country of ultimate destination on an and Northern Ireland Concerning documentation required for a permanent application for an export license, or in Defense Trade Cooperation, done at export license (see § 123.1 of this an Electronic Export Information filing Washington DC and London, June 21 subchapter) and shall also submit the where an exemption is claimed under and 26, 2007. For additional following: this subchapter, must be the country of information on making exports pursuant (1) The license number, written ultimate end use. The written approval authorization, or exemption under to this treaty, see § 126.17 of this of the Directorate of Defense Trade subchapter. which the defense article or defense Controls must be obtained before service was previously authorized for 7. Section 120.35 is added to read as reselling, transferring, reexporting, follows: export from the United States (Note: For retransferring, transshipping, or exports under exemptions at § 126.16 or § 120.35 Australia Implementing disposing of a defense article to any § 126.17 of this subchapter, the original Arrangement. end-user, end-use, or destination other end-use, program, project, or operation than as stated on the export license, or Australia Implementing Arrangement under which the item was exported in the Electronic Export Information must be identified.); means the Implementing Arrangement filing in cases where an exemption is Pursuant to the Treaty between the (2) A precise description, quantity, claimed under this subchapter, except and value of the defense article or Government of the United States of in accordance with the provisions of an America and the Government of defense service; exemption under this subchapter that (3) A description and identification of Australia Concerning Defense Trade explicitly authorizes the resell, transfer, the new end-user, end-use, and Cooperation, done at Washington, reexport, retransfer, transshipment, or destination; and March 14, 2008, as it may be amended. disposition of a defense article without (4) With regard to any request for such 8. Section 120.36 is added to read as such approval. A person must approval relating to a defense article or follows: determine the specific end-user, end- defense service initially exported use, and destination prior to submitting pursuant to an exemption contained in § 120.36 United Kingdom Implementing an application to the Directorate of Arrangement. § 126.16 or § 126.17 of this subchapter, Defense Trade Controls or claiming an written request for the prior approval of United Kingdom Implementing exemption under this subchapter. the transaction from the Directorate of Arrangement means the Implementing Note to paragraph (a): In making the Defense Trade Controls must be Arrangement Pursuant to the Treaty aforementioned determination, a person is submitted: between the Government of the United expected to review all readily available (i) By the original U.S. exporter, States of America and the Government information, including information available provided a written request is received of the United Kingdom of Great Britain to the public generally as well as information from a member of the Australian and Northern Ireland Concerning available from other parties to the Community, as identified in § 126.16 of transaction. Defense Trade Cooperation, done at this subchapter, or the United Kingdom Washington DC, February 14, 2008, as it (b) The exporter shall incorporate the Community, as identified in § 126.17 of may be amended. following statement as an integral part this subchapter (where such a written of the bill of lading, airway bill, or other request includes a written certification PART 123—LICENSES FOR THE shipping documents and the invoice from the member of the Australian EXPORT OF DEFENSE ARTICLES whenever defense articles or defense Community or the United Kingdom services are to be exported or transferred Community providing the information 9. The authority citation for part 123 pursuant to a license, other written continues to read as follows: set forth in this subsection); or approval, or an exemption under this (ii) By a member of the Australian Authority: Secs. 2, 38, and 71, Pub. L. 90– subchapter, other than the exemptions Community or the United Kingdom 629, 90 Stat. 744 (22 U.S.C. 2752, 2778, contained in § 126.16 and § 126.17 of Community, where such request 2797); 22 U.S.C. 2753; E.O. 11958, 42 FR this subchapter (Note: for exports made provides the information set forth in 4311; 3 CFR, 1977 Comp. p. 79; 22 U.S.C. pursuant to § 126.16 or § 126.17 of this 2651a; 22 U.S.C. 2776; Pub. L. 105–261, 112 this section. Stat. 1920; Sec 1205(a), Pub. L. 107–228. subchapter, see § 126.16(j)(5) or (d) [Reserved] § 126.17(j)(5)): ‘‘These commodities are (e) Reexports or retransfers of U.S.- 10. Section 123.4 is amended by authorized by the U.S. Government for origin components incorporated into a revising paragraph (d) introductory text export only to [country of ultimate foreign defense article to NATO, NATO to read as follows: destination] for use by [end-user]. They agencies, a government of a NATO

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country, or the governments of the Republic of Korea or at least 30 States and the United Kingdom refer to Australia, Israel, Japan, New Zealand, or calendar days have elapsed for any § 126.17 of this subchapter. the Republic of Korea are authorized other country; in the case of a license for 14. Section 123.22 is amended by without the prior written approval of an export of a commercial revising paragraph (b)(2) to read as the Directorate of Defense Trade communications satellite for launch follows: Controls, provided: from, and by nationals of, the Russian (1) The U.S.-origin components were § 123.22 Filing, retention, and return of Federation, Ukraine, or Kazakhstan, export licenses and filing of export previously authorized for export from until at least 15 calendar days after the information. the United States, either by a license, Congress receives such certification. * * * * * written authorization, or an exemption * * * * * other than those described in either (b) * * * 13. Section 123.16 is amended by (2) Emergency shipments of hardware § 126.16 or § 126.17 of this subchapter; revising paragraphs (a) introductory that cannot meet the pre-departure * * * * * text, (b)(1)(iii), (b)(2)(vi), and adding filing requirements. U.S. Customs and (3) The person reexporting the paragraphs (c) and (d), to read as Border Protection may permit an defense article provides written follows: emergency export of hardware by truck notification to the Directorate of Defense (e.g., departures to Mexico or Canada) or Trade Controls of the retransfer not later § 123.16 Exemptions of general applicability. air, by a U.S. registered person, when than 30 days following the reexport. The the exporter is unable to comply with (a) The following exemptions apply to notification must state the articles being the Electronic Export Information (EEI) exports of unclassified defense articles reexported and the recipient filing timeline in paragraph (b)(1)(i) of for which no approval is needed from government. this section. The applicant, or an agent (4) The original license or other the Directorate of Defense Trade acting on the applicant’s behalf, in approval of the Directorate of Defense Controls. These exemptions do not addition to providing the EEI using the Trade Controls did not include apply to: Proscribed destinations under AES, must provide documentation retransfer or reexport restrictions § 126.1 of this subchapter; exports for required by the U.S. Customs and prohibiting use of this exemption. which Congressional notification is Border Protection and this subchapter. 12. Section 123.15 is amended by required (see § 123.15 of this The documentation provided to the U.S. revising paragraphs (a)(1), (a)(2), and (b) subchapter); MTCR articles; Significant Customs and Border Protection at the to read as follows: Military Equipment (SME); and may not port of exit must include the External be used by persons who are generally § 123.15 Congressional certification Transaction Number (XTN) or Internal ineligible as described in § 120.1(c) of pursuant to Section 36(c) of the Arms Transaction Number (ITN) for the this subchapter. All shipments of Export Control Act. shipment and a copy of a notification to defense articles, including but not (a) * * * the Directorate of Defense Trade limited to those to and from Australia, (1) A license for the export of major Controls stating that the shipment is Canada, and the United Kingdom, defense equipment sold under a urgent accompanied by an explanation require an Electronic Export Information contract in the amount of $14,000,000 or for the urgency. The original of the (EEI) filing or notification letter. If the more, or for defense articles and defense notification must be immediately export of a defense article is exempt services sold under a contract in the provided to the Directorate of Defense from licensing, the EEI filing must cite amount of $50,000,000 or more, to any Trade Controls. The AES filing of the the exemption. Refer to § 123.22 of this country that is not a member of the export information when the export is subchapter for EEI filing and letter North Atlantic Treaty Organization by air must be at least two hours prior notification requirements. (NATO), or Australia, Israel, Japan, New to any departure from the United States; (b) * * * Zealand, or the Republic of Korea that and, when a truck shipment, at the time (1) * * * does not authorize a new sales territory; when the exporter provides the articles (iii) The exporter certifies in the EEI or to the carrier or at least one hour prior filing that the export is exempt from the (2) A license for export to a country to departure from the United States, licensing requirements of this that is a member country of the North when the permanent export of the subchapter. This is done by writing, ‘‘22 Atlantic Treaty Organization (NATO), or hardware has been authorized for CFR 123.16(b)(1) and the agreement or Australia, Israel, Japan, New Zealand, or export: the Republic of Korea, of major defense arrangement (identify/state number) applicable’’; and * * * * * equipment sold under a contract in the 15. Section 123.26 is revised to read amount in the amount of $25,000,000 or * * * * * as follows: more, or for defense articles and defense (2) * * * services sold under a contract in the (vi) The exporter must certify on the § 123.26 Recordkeeping for exemptions. amount of $100,000,000 or more, and invoice, the bill of lading, air waybill, or Any person engaging in any export, provided the transfer does not include shipping documents and in the EEI reexport, transfer, or retransfer of a any other countries; or filing that the export is exempt from the defense article or defense service * * * * * licensing requirements of this pursuant to an exemption must (b) Unless an emergency exists which subchapter. This is done by writing ‘‘22 maintain records of each such export, requires the proposed export in the CFR 123.16(b)(2) applicable’’. reexport, transfer, or retransfer. The national security interests of the United * * * * * records shall include the following States, approval may not be granted for (c) For exports to Australia pursuant information: A description of the any transaction until at least 15 calendar to the Defense Trade Cooperation Treaty defense article, including technical data, days have elapsed after receipt by the between the United States and Australia or defense service; the name and Congress of the certification required by refer to § 126.16 of this subchapter. address of the end-user and other 22 U.S.C. 2776(c)(1) involving the North (d) For exports to the United Kingdom available contact information (e.g., Atlantic Treaty Organization, or pursuant to the Defense Trade telephone number and electronic mail Australia, Israel, Japan, New Zealand, or Cooperation Treaty between the United address); the name of the natural person

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responsible for the transaction; the (e) Proposed sales. No sale, export, § 126.5 Canadian exemptions. stated end-use of the defense article or transfer, reexport, or retransfer and no (a) Temporary import of defense defense service; the date and time of the proposal to sell, export, transfer, articles. Port Directors of U.S. Customs transaction; the Electronic Export reexport, or retransfer any defense and Border Protection and postmasters Information (EEI) Internal Transaction articles or defense services subject to shall permit the temporary import and Number (ITN); and the method of this subchapter may be made to any return to Canada without a license of transmission. The person using or acting country referred to in this section any unclassified defense articles (see in reliance upon the exemption shall (including the embassies or consulates § 120.6 of this subchapter) that originate also comply with any additional of such a country), or to any person in Canada for temporary use in the recordkeeping requirements enumerated acting on its behalf, whether in the United States and return to Canada. All in the text of the regulations concerning United States or abroad, without first other temporary imports shall be in such exemption. obtaining a license or written approval accordance with §§ 123.3 and 123.4 of * * * * * of the Directorate of Defense Trade this subchapter. Controls. However, in accordance with (b) Permanent and temporary export PART 124—AGREEMENTS, OFF– paragraph (a) of this section, it is the of defense articles. Except as provided SHORE PROCUREMENT AND OTHER policy of the Department of State to in Supplement No. 1 to part 126 of this DEFENSE SERVICES deny licenses and approvals in such subchapter and for exports that transit cases. third countries, Port Directors of U.S. 16. The authority citation for part 124 Customs and Border Protection and continues to read as follows: (1) Duty to Notify: Any person who knows or has reason to know of such a postmasters shall permit, when for end- use in Canada by Canadian Federal or Authority: Secs. 2, 38, and 71, Pub. L. 90– proposed or actual sale, export, transfer, 629, 90 Stat. 744 (22 U.S.C. 2752, 2778, Provincial governmental authorities reexport, or retransfer of such articles, 2797); E.O. 11958, 42 FR 4311; 3 CFR 1977 acting in an official capacity or by a services, or data must immediately Comp. p. 79; 22 U.S.C. 2651a; 22 U.S.C. 2776; Canadian-registered person for return to inform the Directorate of Defense Trade Pub. L. 105–261. the United States, the permanent and Controls. Such notifications should be 17. Section 124.11 is amended by temporary export to Canada without a submitted to the Office of Defense Trade revising paragraph (b) to read as follows: license of unclassified defense articles Controls Compliance, Directorate of and defense services identified on the § 124.11 Congressional certification Defense Trade Controls. U.S. Munitions List (22 CFR 121.1). The pursuant to Section 36(d) of the Arms (2) [Reserved] Export Control Act. exceptions noted above are subject to * * * * * meeting the requirements of this * * * * * subchapter, to include 22 CFR 120.1(c) (b) Unless an emergency exists which 20. Section 126.3 is revised to read as and (d), parts 122 and 123 (except requires the immediate approval of the follows: insofar as exemption from licensing agreement in the national security § 126.3 Exceptions. requirements is herein authorized) and interests of the United States, approval In a case of exceptional or undue § 126.1, and the requirement to obtain may not be granted until at least 15 non-transfer and use assurances for all calendar days have elapsed after receipt hardship, or when it is otherwise in the interest of the United States significant military equipment. For by the Congress of the certification purposes of this section, ‘‘Canadian- required by 22 U.S.C. 2776(d)(1) Government, the Managing Director, Directorate of Defense Trade Controls, registered person’’ is any Canadian involving the North Atlantic Treaty national (including Canadian business Organization, any member country of may make an exception to the provisions of this subchapter. entities organized under the laws of that Organization, or Australia, Israel, Canada), dual citizen of Canada and a 21. Section 126.4 is amended by Japan, New Zealand, or the Republic of third country other than a country listed Korea or at least 30 calendar days have revising paragraph (d) to read as in § 126.1, and permanent resident elapsed for any other country. follows: registered in Canada in accordance with Approvals may not be granted when the § 126.4 Shipments by or for United States the Canadian Defense Production Act, Congress has enacted a joint resolution Government agencies. and such other Canadian Crown prohibiting the export. * * * * * Corporations identified by the * * * * * Department of State in a list of such (d) An Electronic Export Information persons publicly available through the (EEI) filing, required under § 123.22 of PART 126—GENERAL POLICIES AND Internet Web site of the Directorate of this subchapter, and a written statement PROVISIONS Defense Trade Controls and by other by the exporter certifying that these means. 18. The authority citation for part 126 requirements have been met must be is revised to read as follows: (c) [Reserved] presented at the time of export to the (d) Reexports/retransfer. Reexport/ Authority: Secs. 2, 38, 40, 42, and 71, Pub. appropriate Port Directors of U.S. retransfer in Canada to another end user L. 90–629, 90 Stat. 744 (22 U.S.C. 2752, 2778, Customs and Border Protection or or end use or from Canada to another 2780, 2791, and 2797); E.O. 11958, 42 FR Department of Defense transmittal destination, except the United States, 4311; 3 CFR, 1977 Comp. p. 79; 22 U.S.C. authority. A copy of the EEI filing and 2651a; 22 U.S.C. 287c; E.O. 12918, 59 FR must in all instances have the prior 28205; 3 CFR, 1994 Comp. p. 899; Sec. 1225, the written certification statement shall approval of the Directorate of Defense Pub. L. 108–375; Sec. 7089, Pub. L. 111–117; be provided to the Directorate of Trade Controls. Unless otherwise Pub. L. 111–266. Defense Trade Controls immediately exempt in this subchapter, the original following the export. 19. Section 126.1 is amended by exporter is responsible, upon request revising paragraph (e) to read as follows: 22. Section 126.5 is amended by from a Canadian-registered person, for removing and reserving paragraph (c) obtaining or providing reexport/ § 126.1 Prohibited exports, imports, and and revising paragraphs (a), (b), (d) retransfer approval. In any instance sales to or from certain countries. introductory text, and Notes 1 and 2, to when the U.S. exporter is no longer * * * * * read as follows: available to the Canadian end user the

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request for reexport/retransfer may be requests for retransfer or reexport not have access to such defense articles, made directly to the Directorate of pursuant to § 123.9 of this subchapter) for the sole purpose of effecting onward Defense Trade Controls. All requests must include a letter signed by a movement to members of the Approved must include the information in responsible official empowered by the Community. § 123.9(c) of this subchapter. Reexport/ applicant and addressed to the (2) Persons or entities exporting or retransfer approval is acquired by: Directorate of Defense Trade Controls, transferring defense articles or defense * * * * * stating whether: services are exempt from the otherwise (1) The applicant or the chief applicable licensing requirements if Notes to § 126.5: 1. In any instance when executive officer, president, vice- such persons or entities comply with the exporter has knowledge that the defense the regulations set forth in this section. article exempt from licensing is being presidents, other senior officers or exported for use other than by a qualified officials (e.g., comptroller, treasurer, Except as provided in Supplement No. Canadian-registered person or for export to general counsel) or any member of the 1 to part 126 of this subchapter, Port another foreign destination, other than the board of directors is the subject of a Directors of U.S. Customs and Border United States, in its original form or criminal complaint, other criminal Protection and postmasters shall permit incorporated into another item, an export charge (e.g., an information), or the permanent and temporary export license must be obtained prior to the transfer indictment for or has been convicted of without a license to members of the to Canada. violating any of the U.S. criminal Australian Community (see paragraph 2. Additional exemptions exist in other statutes enumerated in § 120.27 of this (d) of this section regarding the sections of this subchapter that are applicable subchapter since the effective date of identification of members of the to Canada, for example §§ 123.9, 125.4, and Australian Community) of defense 124.2, that allow for the performance of the Arms Export Control Act, Public defense services related to training in basic Law 94–329, 90 Stat. 729 (June 30, articles and defense services not listed operations and maintenance, without a 1976); in Supplement No. 1 to part 126, for the license, for certain defense articles lawfully * * * * * end-uses specifically identified exported, including those identified in (4) The natural person signing the pursuant to paragraphs (e) and (f) of this Supplement No. 1 to part 126 of this application, notification or other request section. The purpose of this section is subchapter. for approval (including the statement to specify the requirements to export, required by this subsection) is a citizen transfer, reexport, retransfer, or 23. Section 126.7 is amended by otherwise dispose of a defense article or revising the section heading and or national of the United States, has been lawfully admitted to the United defense service pursuant to the Defense paragraphs (a)(3), (a)(7) and (e) Trade Cooperation Treaty between the introductory text to read as follows: States for permanent residence (and maintains such lawful permanent United States and Australia. (3) Export. In order for an exporter to § 126.7 Denial, revocation, suspension, or residence status under the Immigration export a defense article or defense amendment of licenses and other and Nationality Act, as amended (8 service pursuant to the Defense Trade approvals. U.S.C. 1101(a), section 101(a)20, 60 Stat. Cooperation Treaty between the United (a) * * * 163), or is an official of a foreign States and Australia, all of the following (3) An applicant is the subject of a government entity in the United States, criminal complaint, other criminal conditions must be met: or is a foreign person making a request (i) The exporter must be registered charge (e.g., an information), or pursuant to § 123.9 of this subchapter. with the Directorate of Defense Trade indictment for a violation of any of the * * * * * Controls and must be eligible, according U.S. criminal statutes enumerated in 25. Section 126.16 is added to read as to the requirements and prohibitions of § 120.27 of this subchapter; or follows: the Arms Export Control Act, this * * * * * subchapter, and other provisions of (7) An applicant has failed to include § 126.16 Exemption pursuant to the Defense Trade Cooperation Treaty between United States law, to obtain an export any of the information or the United States and Australia. license (or other forms of authorization documentation expressly required to (a) Scope of exemption and required to export) from any agency of the U.S. support a license application, conditions. Government without restriction (see exemption, or other request for approval (1) Definitions. paragraphs (b) and (c) of this section for under this subchapter, or as required in (i) An export means, for purposes of specific requirements); the instructions in the applicable this section only, the initial movement (ii) The recipient of the export must Department of State form or has failed of defense articles or defense services be a member of the Australian to provide notice or information as from the United States Community to Community (see paragraph (d) of this required under this subchapter; or the Australian Community. section regarding the identification of * * * * * (ii) A transfer means, for purposes of members of the Australian Community). (e) Special definition. For purposes of this section only, the movement of a Australian entities and facilities that this subchapter, the term ‘‘Party to the defense article or defense service, become ineligible for such membership Export’’ means: previously exported, by a member of the will be removed from the Australian * * * * * Australian Community within the Community; 24. Section 126.13 is amended by Australian Community, or between a (iii) Intermediate consignees involved revising paragraphs (a) introductory member of the United States in the export must be eligible, according text, (a)(1), and (a)(4) to read as follows: Community and a member of the to the requirements and prohibitions of Australian Community. the Arms Export Control Act, this § 126.13 Required information. (iii) Retransfer and reexport have the subchapter, and other provisions of (a) All applications for licenses (DSP– meaning provided in § 120.19 of this United States law, to handle or receive 5, DSP–61, DSP–73, and DSP–85), all subchapter. a defense article or defense service requests for approval of agreements and (iv) Intermediate consignee means, for without restriction (see paragraph (k) of amendments thereto under part 124 of purposes of this section, an entity or this section for specific requirements); this subchapter, and all requests for person who receives defense articles, (iv) The export must be for an end-use other written authorizations (including including technical data, but who does specified in the Defense Trade

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Cooperation Treaty between the United paragraphs (e) and (f) of this section (d) Australian Community. For States and Australia and mutually regarding authorized end-uses); purposes of the exemption provided by agreed to by the U.S. Government and (iv) The defense article or defense this section, the Australian Community the Government of Australia pursuant to service is not identified in paragraph (g) consists of the Australian entities and the Defense Trade Cooperation Treaty of this section and Supplement No. 1 to facilities identified as members of the between the United States and Australia part 126 of this subchapter as ineligible Approved Community through the and the Implementing Arrangement for export under this exemption, and is Directorate of Defense Trade Controls thereto (the Australia Implementing marked or otherwise identified, at a Web site at the time of a transaction Arrangement) (see paragraphs (e) and (f) minimum, as ‘‘Restricted USML’’ (see under this section; Australian entities of this section regarding authorized end- paragraph (j) of this section for specific and facilities that become ineligible for uses); requirements on marking exports); such membership will be removed from (v) The defense article or defense (v) All required documentation of the Australian Community. service is not excluded from the scope such transfer is maintained by the (e) Authorized End-uses. The of the Defense Trade Cooperation Treaty transferor and transferee and is available following end-uses, subject to between the United States and Australia upon the request of the U.S. subsection (f), are specified in the (see paragraph (g) of this section and Government (see paragraph (l) of this Defense Trade Cooperation Treaty Supplement No. 1 to part 126 of this section for specific requirements); and between the United States and subchapter for specific information on (vi) The Department of State has Australia: the scope of items excluded from export provided advance notification to the (1) United States and Australian under this exemption) and is marked or Congress in accordance with this combined military or counter-terrorism identified, at a minimum, as ‘‘Restricted section (see paragraph (o) of this section operations; USML’’ (see paragraph (j) of this section for specific requirements). (2) United States and Australian for specific requirements on marking (5) This section does not apply to the cooperative security and defense exports); export of defense articles or defense research, development, production, and (vi) All required documentation of services from the United States pursuant support programs; such export is maintained by the to the Foreign Military Sales program. (3) Mutually determined specific exporter and recipient and is available (b) Authorized exporters. The security and defense projects where the upon the request of the U.S. following persons compose the United Government of Australia is the end-user; Government (see paragraph (l) of this States Community and may export or section for specific requirements); and (4) U.S. Government end-use. defense articles and defense services (vii) The Department of State has (f) Procedures for identifying pursuant to the Defense Trade provided advance notification to the authorized end-uses pursuant to Cooperation Treaty between the United Congress, as required, in accordance paragraph (e) of this section: with this section (see paragraph (o) of States and Australia: (1) Operations, programs, and projects this section for specific requirements). (1) Departments and agencies of the that can be publicly identified will be (4) Transfers. In order for a member U.S. Government, including their posted on the Directorate of Defense of the Australian Community to transfer personnel, with, as appropriate, a Trade Controls’ Web site; a defense article or defense service security clearance and a need-to-know; (2) Operations, programs, and projects under the Defense Trade Cooperation and that cannot be publicly identified will Treaty between the United States and (2) Nongovernmental U.S. persons be confirmed in written correspondence Australia, all of the following conditions registered with the Directorate of from the Directorate of Defense Trade must be met: Defense Trade Controls and eligible, Controls; or (i) The defense article or defense according to the requirements and (3) U.S. Government end-use will be service must have been previously prohibitions of the Arms Export Control identified specifically in a U.S. exported in accordance with paragraph Act, this subchapter, and other Government contract or solicitation as (a)(3) of this section or transitioned from provisions of United States law, to being eligible under the Treaty. a license or other approval in obtain an export license (or other forms (4) No other operations, programs, accordance with paragraph (i) of authorization to export) from any projects, or end-uses qualify for this Transitions of this section; agency of the U.S. Government without exemption. (ii) The transferor and transferee of restriction, including their employees (g) Items eligible under this section. the defense article or defense service are acting in their official capacity with, as With the exception of items listed in members of the Australian Community appropriate, a security clearance and a Supplement No. 1 to part 126 of this (see paragraph (d) of this section need-to-know. subchapter, defense articles and defense regarding the identification of members (c) An exporter that is otherwise an services may be exported under this of the Australian Community) or the authorized exporter pursuant to section subject to the following: United States Community (see subsection (b) above may not export (1) An exporter authorized pursuant paragraph (b) for information on the pursuant to the Defense Trade to paragraph (b)(2) of this section may United States Community/approved Cooperation Treaty between the United market a defense article to the exporters); States and Australia if the exporter’s Government of Australia if that exporter (iii) The transfer is required for an president, chief executive officer, any has been licensed by the Directorate of end-use specified in the Defense Trade vice-president, any other senior officer Defense Trade Controls to export (as Cooperation Treaty between the United or official (e.g., comptroller, treasurer, defined by § 120.17 of this subchapter) States and Australia and mutually general counsel); any member of the the identical type of defense article to agreed to by the United States and the board of directors of the exporter; any any foreign person. Government of Australia pursuant to the party to the export; or any source or (2) The export of any defense article terms of the Defense Trade Cooperation manufacturer is ineligible to receive specific to the existence of (e.g., reveals Treaty between the United States and export licenses (or other forms of the existence of or details of) anti- Australia and the Australia authorization to export) from any tamper measures made at U.S. Implementing Arrangement (see agency of the U.S. Government. Government direction always requires

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prior written approval from the (d) of this section for specific under the this section continue to Directorate of Defense Trade Controls. information on the identification of the require separate authorization from the (3) U.S.-origin classified defense Community) to another member of the Directorate of Defense Trade Controls articles or defense services may be Australian Community or the United for their export, transfer, reexport, or exported only pursuant to a written States Community for an end-use that is retransfer). request, directive, or contract from the authorized by this exemption (see (7) A license or prior approval from U.S. Department of Defense that paragraphs (e) and (f) of this section the Directorate of Defense Trade provides for the export of the classified regarding authorized end-uses) is Controls is not required for a transfer, defense article(s) or defense service(s). authorized under this exemption. retransfer, or reexport of an exported (4) Defense articles specific to (2) Any transfer or other provision of defense article or defense service under developmental systems that have not a defense article or defense service for this section, if: obtained written Milestone B approval an end-use that is not authorized by the (i) The transfer of defense articles or from the Department of Defense exemption provided by this section is defense services is made by a member milestone approval authority are not prohibited without a license or the prior of the United States Community to eligible for export unless such export is written approval of the Directorate of Australian Department of Defense pursuant to a written solicitation or Defense Trade Controls (see paragraphs (ADOD) elements deployed outside the contract issued or awarded by the (e) and (f) of this section regarding Territory of Australia and engaged in an Department of Defense for an end-use authorized end-uses). authorized end-use (see paragraphs (e) identified pursuant to paragraphs (e)(1), (3) Any retransfer or reexport, or other and (f) of this section regarding (2), or (4) of this section. provision of a defense article or defense authorized end-uses) using ADOD (5) Defense articles excluded by service by a member of the Australian transmission channels or the provisions paragraph (g) of this section or Community to a foreign person that is of this section (Note: For purposes of Supplement No. 1 to part 126 of this not a member of the Australian paragraph (h)(7)(i)–(iv), per Section 9(9) subchapter (e.g., USML Category Community, or to a U.S. person that is of the Australia Implementing XI(a)(3) electronically scanned array not a member of the United States Arrangement, ‘‘ADOD Transmission radar) that are embedded in a larger Community, is prohibited without a channels’’ includes electronic system that is eligible to ship under this license or the prior written approval of transmission of a defense article and section (e.g., a ship or aircraft) must the Directorate of Defense Trade transmission of a defense article by an separately comply with any restrictions Controls (see paragraph (d) of this ADOD contracted carrier or freight placed on that embedded defense article section for specific information on the forwarder that merely transports or under this subsection. The exporter identification of the Australian arranges transport for the defense article must obtain a license or other Community). in this instance.); authorization from the Directorate of (4) Any change in the use of a defense Defense Trade Controls for the export of article or defense service previously (ii) The transfer of defense articles or such embedded defense articles (for exported, transferred, or obtained under defense services is made by a member example, USML Category XI(a)(3) this exemption by any foreign person, of the United States Community to an electronically scanned array radar including a member of the Australian Approved Community member (either systems that are exempt from this Community, to an end-use that is not U.S. or Australian) that is operating in section that are incorporated in an authorized by this exemption is direct support of Australian Department aircraft that is eligible to ship under the prohibited without a license or other of Defense elements deployed outside this section continue to require separate written approval of the Directorate of the Territory of Australia and engaged authorization from the Directorate of Defense Trade Controls (see paragraphs in an authorized end-use (see Defense Trade Controls for their export, (e) and (f) of this section regarding paragraphs (e) and (f) of this section transfer, reexport, or retransfer). authorized end-uses). regarding authorized end-uses) using (6) No liability shall be incurred by or (5) Any retransfer, reexport, or change ADOD transmission channels or the attributed to the U.S. Government in in end-use requiring such approval of provisions of this section; connection with any possible the U.S. Government shall be made in (iii) The reexport is made by a infringement of privately owned patent accordance with § 123.9 of this member of the Australian Community to or proprietary rights, either domestic or subchapter. Australian Department of Defense foreign, by reason of an export (6) Defense articles excluded by elements deployed outside the Territory conducted pursuant to this section. paragraph (g) of this section or of Australia engaged in an authorized (7) Sales by exporters made through Supplement No. 1 to part 126 of this end-use (see paragraphs (e) and (f) of the U.S. Government shall not include subchapter (e.g., USML Category this section regarding authorized end- either charges for patent rights in which XI(a)(3) electronically scanned array uses) using ADOD transmission the U.S. Government holds a royalty- radar) that are embedded in a larger channels or the provisions of this free license, or charges for information system that is eligible to ship under this section; which the U.S. Government has a right section (e.g., a ship or aircraft) must (iv) The retransfer or reexport is made to use and disclose to others, which is separately comply with any restrictions by a member of the Australian in the public domain, or which the U.S. placed on that embedded defense article Community to an Approved Community Government has acquired or is entitled unless otherwise specified. A license or member (either United States or to acquire without restrictions upon its other authorization must be obtained Australian) that is operating in direct use and disclosure to others. from the Directorate of Defense Trade support of Australian Department of (h) Transfers, Retransfers, and Controls for the retransfer, reexport or Defense elements deployed outside the Reexports. change in end-use of any such Territory of Australia engaged in an (1) Any transfer of a defense article or embedded defense article (for example, authorized end-use (see paragraphs (e) defense service not exempted in USML Category XI(a)(3) electronically and (f) of this section regarding Supplement No. 1 to part 126 of this scanned radar systems that are exempt authorized end-uses) using ADOD subchapter by a member of the from this section that are incorporated transmission channels or the provisions Australian Community (see paragraph in an aircraft that is eligible to ship of this section; or

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(v) The defense article or defense to the Directorate of Defense Trade pursuant to the Defense Trade service will be delivered to the Controls by U.S. Customs and Border Cooperation Treaty between the United Australian Department of Defense for an Protection in accordance with existing States and Australia and this section authorized end-use (see paragraphs (e) procedures for the return of expired shall be marked or identified as follows: and (f) of this section regarding licenses in § 123.22(c) of this (i) For classified defense articles and authorized end-uses); the Australian subchapter. defense services the standard marking Department of Defense may deploy the (ii) Any license(s) not filed with U.S. or identification shall read: ‘‘// item as necessary when conducting Customs and Border Protection must be CLASSIFICATION LEVEL USML//REL official business within or outside the returned to the Directorate of Defense AUS and USA Treaty Community//.’’ Territory of Australia. The item must Trade Controls with a letter citing the For example, for defense articles remain under the effective control of the Directorate of Defense Trade Controls’ classified SECRET, the marking or Australian Department of Defense while approval to transition to this section as identification shall be ‘‘//SECRET deployed and access may not be the reason for returning the license(s). USML//REL AUS and USA Treaty provided to unauthorized third parties. (3) If a member of the Australian Community//.’’ (8) U.S. persons registered, or Community desires to transition defense (ii) Unclassified defense articles and required to be registered, pursuant to articles received under an existing defense services exported under or part 122 of this subchapter and license or other approval to the transitioned pursuant to this section Members of the Australian Community processes established under the Treaty, shall be AUS classified as ‘‘Restricted must immediately notify the Directorate the Australian Community member USML’’ and, the standard marking or of Defense Trade Controls of any actual must submit a written request to the identification shall read ‘‘// or proposed sale, retransfer, or reexport Directorate of Defense Trade Controls, RESTRICTED USML//REL AUS and of a defense article or defense service on either directly or through the original USA Treaty Community//.’’ the U.S. Munitions List originally U.S. exporter, which identifies the (2) Where defense articles are exported under this exemption to any of defense articles or defense services to be returned to a member of the United the countries listed in § 126.1 of this transitioned, the existing license(s) or States Community identified in subchapter, any citizen of such other authorizations under which the paragraph (b) of this section, any countries, or any person acting on defense articles or defense services were defense articles AUS classified and behalf of such countries, whether within received, and the Treaty-eligible end- marked or identified pursuant to or outside the United States. Any person use (see paragraphs (e) and (f) of this paragraph j(1)(ii) of this section as ‘‘// knowing or having reason to know of section regarding authorized end-uses) RESTRICTED USML//REL AUS and such a proposed or actual sale, reexport, for which the defense articles or defense USA Treaty Community//’’ shall no or retransfer shall submit such services will be used. The defense longer be AUS classified and such information in writing to the Office of article or defense service shall remain marking or identification shall be Defense Trade Controls Compliance, subject to the conditions and limitations removed; and Directorate of Defense Trade Controls. of the existing license or other approval (3) The standard marking and (i) Transitions. until the Australian Community identification requirements are as (1) Any previous export of a defense member has received approval from the follows: article under a license or other approval Directorate of Defense Trade Controls to (i) Defense articles (other than of the U.S. Department of State remains transition to this section. technical data) shall be individually subject to the conditions and limitations (4) Authorized exporters identified in labeled with the appropriate of the original license or authorization paragraph (b)(2) of this section who identification detailed in paragraphs unless the Directorate of Defense Trade have exported a defense article or (j)(1) and (j)(2) of this section; or, where Controls has approved in writing a defense service that has subsequently such labeling is impracticable (e.g., transition to this section. been placed on the list of exempted propellants, chemicals), shall be (2) If a U.S. exporter desires to items in Supplement No. 1 to part 126 accompanied by documentation (such transition from an existing license or of this subchapter must review and as contracts or invoices) clearly other approval to the use of the adhere to the requirements in the associating the defense articles with the provisions of this section, the following relevant Federal Register notice appropriate markings as detailed above; is required: announcing such removal. Once (ii) Technical data (including data (i) The U.S. exporter must submit a removed, the defense article or defense packages, technical papers, manuals, written request to the Directorate of service will no longer be subject to this presentations, specifications, guides and Defense Trade Controls, which section, such defense article or defense reports), regardless of media or means of identifies the defense articles or defense service previously exported shall transmission (physical or electronic), services to be transitioned, the existing remain on the U.S. Munitions List and shall be individually labeled with the license(s) or other authorizations under be subject to the International Traffic in appropriate identification detailed in which the defense articles or defense Arms Regulations unless the applicable paragraphs (j)(1) and (j)(2) of this services were originally exported; and Federal Register notice states otherwise. section; or, where such labeling is the Treaty-eligible end-use for which Subsequent reexport or retransfer must impracticable (oral presentations), shall the defense articles or defense services be made pursuant to § 123.9 of this have a verbal notification clearly will be used. Any license(s) filed with subchapter. associating the technical data with the U.S. Customs and Border Protection (5) Any defense article or defense appropriate markings as detailed above; should remain on file until the exporter service transitioned from a license or and has received approval from the other approval to treatment under this (4) Contracts and agreements for the Directorate of Defense Trade Controls to section must be marked in accordance provision of defense services shall be retire the license(s) and transition to this with the requirements of paragraph (j) of identified with the appropriate section. When this approval is conveyed this section. identification detailed in paragraphs to U.S. Customs and Border Protection (j) Marking of Exports. (j)(1) and (j)(2) of this section. by the Directorate of Defense Trade (1) All defense articles and defense (5) The exporter shall incorporate the Controls, the license(s) will be returned services exported or transitioned following statement as an integral part

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of all shipping documentation (airway United States and Australia and the (xvii) Statement of Registration (Form bill, bill of lading, manifest, packing requirements of this section. Exporters DS–2032). documents, delivery verification, shall also maintain detailed records of (2) Filing of export information. All invoice, etc.) whenever defense articles any reexports and retransfers approved exporters of defense articles and defense are to be exported: or otherwise authorized by the services under the Defense Trade ‘‘These commodities are authorized Directorate of Defense Trade Controls of Cooperation Treaty between the United by the U.S. Government for export only defense articles or defense services States and Australia and the to Australia for use in approved subject to the Defense Trade requirements of this section must projects, programs or operations by Cooperation Treaty between the United electronically file Electronic Export members of the Australian Community. States and Australia and the Information (EEI) using the Automated They may not be retransferred or requirements of this section. These Export System citing one of the four reexported or used outside of an records shall be maintained for a below referenced codes in the approved project, program or operation, minimum of five years from the date of appropriate field in the EEI for each either in their original form or after export, import, transfer, reexport, or shipment: being incorporated into other end-items, retransfer and shall be made available (i) 126.16(e)(1): used for exports in without the prior written approval of upon request to the Directorate of support of United States and Australian the U.S. Department of State.’’ Defense Trade Controls, U.S. combined military or counter-terrorism (k) Intermediate Consignees. Immigration and Customs Enforcement, operations (the name or an appropriate (1) Unclassified exports under this or U.S. Customs and Border Protection, description of the operation shall be section may only be handled by: or any other authorized U.S. law placed in the appropriate field in the (i) U.S. intermediate consignees who enforcement officer. Records in an EEI, as well); are: electronic format must be maintained (ii) 126.16(e)(2): used for exports in (A) Exporters registered with the using a process or system capable of support of United States and Australian Directorate of Defense Trade Controls reproducing all records on paper. Such cooperative security and defense and eligible; records when displayed on a viewer, research, development, production, and (B) Licensed customs brokers who are monitor, or reproduced on paper, must support programs (the name or an subject to background investigation and exhibit a high degree of legibility and appropriate description of the program have passed a comprehensive readability. (For the purpose of this shall be placed in the appropriate field examination administered by U.S. section, ‘‘legible’’ and ‘‘legibility’’ mean in the EEI, as well); Customs and Border Protection; or the quality of a letter or numeral that (iii) 126.16(e)(3): used for exports in (C) Commercial air freight and surface enables the observer to identify it support of mutually determined specific shipment carriers, freight forwarders, or positively and quickly to the exclusion security and defense projects where the other parties not exempt from of all other letters or numerals. Government of Australia is the end-user registration under § 129.3(b)(3) of this ‘‘Readable’’ and ‘‘readability’’ means the (the name or an appropriate description subchapter that are identified at the quality of a group of letters or numerals of the project shall be placed in the time of export as being on the list of being recognized as complete words or appropriate field in the EEI, as well); or Authorized U.S. Intermediate numbers.) These records shall consist of (iv) 126.16(e)(4): used for exports that Consignees, which is available on the the following: will have a U.S. Government end-use Directorate of Defense Trade Controls’ (i) Port of entry/exit; (the U.S. Government contract number Web site. (ii) Date/time of export/import; or solicitation number (e.g., ‘‘U.S. (ii) Australian intermediate (iii) Method of export/import; Government contract number XXXXX’’) consignees who are: (iv) Commodity code and description shall be placed in the appropriate field (A) Members of the Australian of the commodity, including technical in the EEI, as well). Community; or data; Such exports must meet the required (B) Freight forwarders, customs (v) Value of export; export documentation and filing brokers, commercial air freight and (vi) Reference to this section and guidelines, including for defense surface shipment carriers, or other justification for export under the Treaty; services, of § 123.22(a), (b)(1), and (b)(2) Australian parties that are identified at (vii) End-user/end-use; of this subchapter. the time of export as being on the list (viii) Identification of all U.S. and (m) Fees and Commissions. All of Authorized Australian Intermediate foreign parties to the transaction; exporters authorized pursuant to (ix) How the export was marked; Consignees, which is available on the (x) Classification of the export; paragraph (b)(2) of this section shall, Directorate of Defense Trade Controls’ (xi) All written correspondence with with respect to each export, transfer, Web site. the U.S. Government on the export; reexport, or retransfer, pursuant to the (2) Classified exports must comply (xii) All information relating to Defense Trade Cooperation Treaty with the security requirements of the political contributions, fees, or between the United States and Australia National Industrial Security Program commissions furnished or obtained, and this section, submit a statement to Operating Manual (DoD 5220.22–M and offered, solicited, or agreed upon as the Directorate of Defense Trade supplements or successors). outlined in paragraph (m) of this Controls containing the information (l) Records. section; identified in § 130.10 of this subchapter (1) All exporters authorized pursuant (xiii) Purchase order or contract; relating to fees, commissions, and to paragraph (b)(2) of this section who (xiv) Technical data actually political contributions on contracts or export pursuant to the Defense Trade exported; other instruments valued in an amount Cooperation Treaty between the United (xv) The Internal Transaction Number of $500,000 or more. States and Australia and this section for the Electronic Export Information (n) Violations and Enforcement. shall maintain detailed records of all filing in the Automated Export System; (1) Exports, transfers, reexports, and exports, imports, and transfers made by (xvi) All shipping documentation retransfers that do not comply with the that exporter of defense articles or (airway bill, bill of lading, manifest, conditions prescribed in this section defense services subject to the Defense packing documents, delivery will constitute violations of the Arms Trade Cooperation Treaty between the verification, invoice, etc.); and Export Control Act and this subchapter,

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and are subject to all relevant criminal, (i) The information identified in United Kingdom Community) of defense civil, and administrative penalties (see § 130.10 and § 130.11 of this subchapter; articles and defense services not listed § 127.1 of this subchapter), and may also (ii) A statement regarding whether in Supplement No. 1 to part 126, for the be subject to other statutes or any offset agreement is proposed to be end-uses specifically identified regulations. entered into in connection with the pursuant to paragraphs (e) and (f) below. (2) U.S. Immigration and Customs export and a description of any such The purpose of this section is to specify Enforcement and U.S. Customs and offset agreement; the requirements to export, transfer, Border Protection officers have the (iii) A copy of the signed contract or reexport, retransfer, or otherwise authority to investigate, detain, or seize other instrument; and dispose of a defense article or defense any export or attempted export of (iv) If the notification is for paragraph service pursuant to the Defense Trade defense articles that does not comply (o)(1)(ii) of this section, a statement of Cooperation Treaty between the United with this section or that is otherwise what will happen to the weapons in States and the United Kingdom. unlawful. their inventory (for example, whether (3) Export. In order for an exporter to (3) The Directorate of Defense Trade the current inventory will be sold, export a defense article or defense Controls, U.S. Immigration and Customs reassigned to another service branch, service pursuant to the Defense Trade Enforcement, U.S. Customs and Border destroyed, etc.). Cooperation Treaty between the United Protection, and other authorized U.S. (3) The Department of State will States and the United Kingdom, all of law enforcement officers may require notify the Congress of exports that meet the following conditions must be met: the production of documents and the requirements of paragraph (o)(1) of (i) The exporter must be registered information relating to any actual or this section. with the Directorate of Defense Trade attempted export, transfer, reexport, or 26. Section 126.17 is added to read as Controls and must be eligible, according retransfer pursuant to this section. Any follows: to the requirements and prohibitions of foreign person refusing to provide such the Arms Export Control Act, this records within a reasonable period of § 126.17 Exemption pursuant to the subchapter, and other provisions of Defense Trade Cooperation Treaty between United States law, to obtain an export time shall be suspended from the the United States and the United Kingdom. Australian Community and ineligible to license (or other forms of authorization receive defense articles or defense (a) Scope of exemption and required to export) from any agency of the U.S. services pursuant to the exemption conditions. Government without restriction (see under this section or otherwise. (1) Definitions. paragraphs (b) and (c) of this section for (o) Procedures for Legislative (i) An export means, for purposes of specific requirements); Notification. this section only, the initial movement (ii) The recipient of the export must (1) Exports pursuant to the Defense of defense articles or defense services be a member of the United Kingdom Trade Cooperation Treaty between the from the United States to the United Community (see paragraph (d) of this United States and Australia and this Kingdom Community. section regarding the identification of section by any person identified in (ii) A transfer means, for purposes of members of the United Kingdom paragraph (b)(2) of this section shall not this section only, the movement of a Community). United Kingdom entities take place until 30 days after the defense article or defense service, and facilities that become ineligible for Directorate of Defense Trade Controls previously exported, by a member of the such membership will be removed from has acknowledged receipt of a Form United Kingdom Community within the the United Kingdom Community; DS–4048 (entitled, ‘‘Projected Sales of United Kingdom Community, or (iii) Intermediate consignees involved Major Weapons in Support of Section between a member of the United States in the export must be eligible, according 25(a)(1) of the Arms Export Control Community and a member of the United to the requirements and prohibitions of Act’’) from the exporter notifying the Kingdom Community. the Arms Export Control Act, this Department of State if the export (iii) Retransfer and reexport have the subchapter, and other provisions of involves one or more of the following: meaning provided in § 120.19 of this United States law, to handle or receive (i) A contract or other instrument for subchapter. a defense article or defense service the export of major defense equipment (iv) Intermediate consignee means, for without restriction (see paragraph (k) of in the amount of $25,000,000 or more, purposes of this section, an entity or this section for specific requirements); or for defense articles and defense person who receives defense articles, (iv) The export must be for an end-use services in the amount of $100,000,000 including technical data, but who does specified in the Defense Trade or more; not have access to such defense articles, Cooperation Treaty between the United (ii) A contract or other instrument for for the sole purpose of effecting onward States and the United Kingdom and the export of firearms controlled under movement to members of the Approved mutually agreed to by the U.S. Category I of the U.S. Munitions List of Community. Government and the Government of the the International Traffic in Arms (2) Persons or entities exporting or United Kingdom pursuant to the Regulations in an amount of $1,000,000 transferring defense articles or defense Defense Trade Cooperation Treaty or more; services are exempt from the otherwise between the United States and the (iii) A contract or other instrument, applicable licensing requirements if United Kingdom and the Implementing regardless of value, for the such persons or entities comply with Arrangement thereto (United Kingdom manufacturing abroad of any item of the regulations set forth in this section. Implementing Arrangement) (see significant military equipment; or Except as provided in Supplement No. paragraphs (e) and (f) of this section (iv) An amended contract or other 1 to part 126 of this subchapter, Port regarding authorized end-uses); instrument that meets the requirements Directors of U.S. Customs and Border (v) The defense article or defense of paragraphs (o)(1)(i)–(o)(1)(iii) of this Protection and postmasters shall permit service is not excluded from the scope section. the permanent and temporary export of the Defense Trade Cooperation Treaty (2) The Form DS–4048 required in without a license to members of the between the United States and the paragraph (o)(1) of this section shall be United Kingdom Community (see United Kingdom (see paragraph (g) of accompanied by the following paragraph (d) of this section regarding this section and Supplement No. 1 to additional information: the identification of members of the part 126 of this subchapter for specific

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information on the scope of items Government (see paragraph (l) of this subsection (f), are specified in the excluded from export under this section for specific requirements); and Defense Trade Cooperation Treaty exemption) and is marked or identified, (vi) The Department of State has between the United States and the at a minimum, as ‘‘Restricted USML’’ provided advance notification to the United Kingdom: (see paragraph (j) of this section for Congress in accordance with this (1) United States and United Kingdom specific requirements on marking section (see paragraph (o) of this section combined military or counter-terrorism exports); for specific requirements). operations; (vi) All required documentation of (5) This section does not apply to the (2) United States and United Kingdom such export is maintained by the export of defense articles or defense cooperative security and defense exporter and recipient and is available services from the United States pursuant research, development, production, and upon the request of the U.S. to the Foreign Military Sales program. support programs; Government (see paragraph (l) of this (b) Authorized exporters. The (3) Mutually determined specific section for specific requirements); and following persons compose the United security and defense projects where the (vii) The Department of State has States Community and may export Government of the United Kingdom is provided advance notification to the defense articles and defense services the end-user; or Congress, as required, in accordance pursuant to the Defense Trade (4) U.S. Government end-use. with this section (see paragraph (o) of Cooperation Treaty between the United (f) Procedures for identifying this section for specific requirements). States and the United Kingdom: authorized end-uses pursuant to (1) Departments and agencies of the (4) Transfers. In order for a member paragraph (e) of this section: U.S. Government, including their (1) Operations, programs, and projects of the United Kingdom Community to personnel, with, as appropriate, a that can be publicly identified will be transfer a defense article or defense security clearance and a need-to-know; posted on the Directorate of Defense service under the Defense Trade and Trade Controls’ Web site; Cooperation Treaty between the United (2) Nongovernmental U.S. persons (2) Operations, programs, and projects States and the United Kingdom, all of registered with the Directorate of that cannot be publicly identified will the following conditions must be met: Defense Trade Controls and eligible, be confirmed in written correspondence (i) The defense article or defense according to the requirements and from the Directorate of Defense Trade service must have been previously prohibitions of the Arms Export Control Controls; or exported in accordance with paragraph Act, this subchapter, and other (3) U.S. Government end-use will be (a)(3) of this section or transitioned from provisions of United States law, to identified specifically in a U.S. a license or other approval in obtain an export license (or other forms Government contract or solicitation as accordance with paragraph (i) Transfers of authorization to export) from any being eligible under the Treaty. of this section; agency of the U.S. Government without (4) No other operations, programs, (ii) The transferor and transferee of restriction, including their employees projects, or end-uses qualify for this the defense article or defense service are acting in their official capacity with, as exemption. members of the United Kingdom appropriate, a security clearance and a (g) Items eligible under this section. Community (see paragraph (d) of this need-to-know. With the exception of items listed in section regarding the identification of (c) An exporter that is otherwise an Supplement No. 1 to part 126 of this members of the United Kingdom authorized exporter pursuant to subchapter, defense articles and defense Community) or the United States subsection (b) above may not export services may be exported under this Community (see paragraph (b) of this pursuant to the Defense Trade section subject to the following: section for information on the United Cooperation Treaty between the United (1) An exporter authorized pursuant States Community/approved exporters); States and the United Kingdom if the to paragraph (b)(2) of this section may (iii) The transfer is required for an exporter’s president, chief executive market a defense article to the end-use specified in the Defense Trade officer, any vice-president, any other Government of the United Kingdom if Cooperation Treaty between the senior officer or official (e.g., that exporter has been licensed by the United States and the United Kingdom comptroller, treasurer, general counsel); Directorate of Defense Trade Controls to and mutually agreed to by the United any member of the board of directors of export (as defined by § 120.17 of this States and the Government of United the exporter; any party to the export; or subchapter) the identical type of defense Kingdom pursuant to the terms of the any source or manufacturer is ineligible article to any foreign person. Defense Trade Cooperation Treaty to receive export licenses (or other (2) The export of any defense article between the United States and the forms of authorization to export) from specific to the existence of (e.g., reveals United Kingdom and the United any agency of the U.S. Government. the existence of or details of) anti- Kingdom Implementing Arrangement (d) United Kingdom Community. For tamper measures made at U.S. (see paragraphs (e) and (f) of this section purposes of the exemption provided by Government direction always requires regarding authorized end-uses); this section, the United Kingdom prior written approval from the (iv) The defense article or defense Community consists of the United Directorate of Defense Trade Controls. service is not identified in paragraph (g) Kingdom entities and facilities (3) U.S.-origin classified defense of this section and Supplement No. 1 to identified as members of the Approved articles or defense services may be part 126 of this subchapter as ineligible Community through the Directorate of exported only pursuant to a written for export under this exemption, and is Defense Trade Controls’ Web site at the request, directive, or contract from the marked or otherwise identified, at a time of a transaction under this section; U.S. Department of Defense that minimum, as ‘‘Restricted USML’’ (see non-governmental United Kingdom provides for the export of the classified paragraph (j) of this section for specific entities and facilities that become defense article(s) or defense service(s). requirements on marking exports); ineligible for such membership will be (4) Defense articles specific to (v) All required documentation of removed from the United Kingdom developmental systems that have not such transfer is maintained by the Community. obtained written Milestone B approval transferor and transferee and is available (e) Authorized End-uses. The from the Department of Defense upon the request of the U.S. following end-uses, subject to milestone approval authority are not

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eligible for export unless such export is paragraphs (e) and (f) of this section (7) A license or prior approval from pursuant to a written solicitation or regarding authorized end-uses) is the Directorate of Defense Trade contract issued or awarded by the authorized under this exemption. Controls is not required for a transfer, Department of Defense for an end-use (2) Any transfer or other provision of retransfer, or reexport of an exported identified pursuant to paragraphs (e)(1), a defense article or defense service for defense article or defense service under (2), or (4) of this section. an end-use that is not authorized by the this section, if: (5) Defense articles excluded by exemption provided by this section is (i) The transfer of defense articles or paragraph (g) of this section or prohibited without a license or the prior defense services is made by a member Supplement No. 1 to part 126 of this written approval of the Directorate of of the United States Community to subchapter (e.g., USML Category XI Defense Trade Controls (see paragraphs United Kingdom Ministry of Defense (a)(3) electronically scanned array radar) (e) and (f) of this section regarding elements deployed outside the Territory that are embedded in a larger system authorized end-uses). of the United Kingdom and engaged in that is eligible to ship under this section (3) Any retransfer or reexport, or other an authorized end-use (see paragraphs (e.g., a ship or aircraft) must separately provision of a defense article or defense (e) and (f) of this section regarding comply with any restrictions placed on service by a member of the United authorized end-uses) using United that embedded defense article under Kingdom Community to a foreign Kingdom Armed Forces transmission this subsection. The exporter must person that is not a member of the channels or the provisions of this obtain a license or other authorization United Kingdom Community, or to a section; from the Directorate of Defense Trade U.S. person that is not a member of the (ii) The transfer of defense articles or Controls for the export of such United States Community, is prohibited defense services is made by a member embedded defense articles (for example, without a license or the prior written of the United States Community to an USML Category XI (a)(3) electronically approval of the Directorate of Defense Approved Community member (either scanned array radar systems that are Trade Controls (see paragraph (d) of this U.S. or U.K.) that is operating in direct support of United Kingdom Ministry of exempt from this section that are section for specific information on the Defense elements deployed outside the incorporated in an aircraft that is identification of the United Kingdom Territory of the United Kingdom and eligible to ship under the this section Community). engaged in an authorized end-use (see continue to require separate (4) Any change in the use of a defense authorization from the Directorate of paragraphs (e) and (f) of this section article or defense service previously Defense Trade Controls for their export, regarding authorized end-uses) using exported, transferred, or obtained under transfer, reexport, or retransfer). United Kingdom Armed Forces (6) No liability shall be incurred by or this exemption by any foreign person, transmission channels or the provisions attributed to the U.S. Government in including a member of the United of this section; connection with any possible Kingdom Community, to an end-use (iii) The reexport is made by a infringement of privately owned patent that is not authorized by this exemption member of the United Kingdom or proprietary rights, either domestic or is prohibited without a license or other Community to United Kingdom foreign, by reason of an export written approval of the Directorate of Ministry of Defense elements deployed conducted pursuant to this section. Defense Trade Controls (see paragraphs outside the Territory of the United (7) Sales by exporters made through (e) and (f) of this section regarding Kingdom engaged in an authorized end- the U.S. Government shall not include authorized end-uses). use (see paragraphs (e) and (f) of this either charges for patent rights in which (5) Any retransfer, reexport, or change section regarding authorized end-uses) the U.S. Government holds a royalty- in end-use requiring such approval of using United Kingdom Armed Forces free license, or charges for information the U.S. Government shall be made in transmission channels or the provisions which the U.S. Government has a right accordance with § 123.9 of this of this section; to use and disclose to others, which is subchapter. (iv) The retransfer or reexport is made in the public domain, or which the U.S. (6) Defense articles excluded by by a member of the United Kingdom Government has acquired or is entitled paragraph (g) of this section or Community to an Approved Community to acquire without restrictions upon its Supplement No. 1 to part 126 of this member (either U.S. or U.K.) that is use and disclosure to others. subchapter (e.g., USML Category XI operating indirect support of United (8) Defense articles and services (a)(3) electronically scanned array radar Kingdom Ministry of Defense elements specific to items that appear on the systems) that are embedded in a larger deployed outside the Territory of the European Union Dual Use List (as system that is eligible to ship under this United Kingdom engaged in an described in Annex 1 to EC Council section (e.g., a ship or aircraft) must authorized end-use (see paragraphs (e) Regulation No. 428/2009) are not separately comply with any restrictions and (f) of this section regarding eligible for export under the Defense placed on that embedded defense article authorized end-uses) using United Trade Cooperation Treaty between the unless otherwise specified. A license or Kingdom Armed Forces transmission United States and the United Kingdom. other authorization must be obtained channels or the provisions of this (h) Transfers, Retransfers, and from the Directorate of Defense Trade section; or Reexports. Controls for the retransfer, reexport or (v) The defense article or defense (1) Any transfer of a defense article or change in end-use of any such service will be delivered to the United defense service not exempted in embedded defense article (for example, Kingdom Ministry of Defense for an Supplement No.1 to part 126 of this USML Category XI(a)(3) electronically authorized end-use (see paragraphs (e) subchapter by a member of the United scanned array radar systems that are and (f) of this section regarding Kingdom Community (see paragraph (d) exempt from this section that are authorized end-uses); the United of this section for specific information incorporated in an aircraft that is Kingdom Ministry of Defense may on the identification of the Community) eligible to ship under the this section deploy the item as necessary when to another member of the United continue to require separate conducting official business within or Kingdom Community or the United authorization from the Directorate of outside the Territory of the United States Community for an end-use that is Defense Trade Controls for their export, Kingdom. The item must remain under authorized by this exemption (see transfer, reexport, or retransfer). the effective control of the United

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Kingdom Ministry of Defense while Directorate of Defense Trade Controls’ UK and USA Treaty Community//.’’ For deployed and access may not be approval to transition to this section as example, for defense articles classified provided to unauthorized third parties. the reason for returning the license(s). SECRET, the marking or identification (8) U.S. persons registered, or (3) If a member of the United shall be ‘‘//SECRET USML//REL UK and required to be registered, pursuant to Kingdom Community desires to USA Treaty Community//.’’ part 122 of this subchapter and transition defense articles received (ii) Unclassified defense articles and Members of the United Kingdom under an existing license or other defense services exported under or Community must immediately notify approval to the processes established transitioned pursuant to this section the Directorate of Defense Trade under the Treaty, the United Kingdom shall be UK classified as ‘‘Restricted Controls of any actual or proposed sale, Community member must submit a USML’’ and, the standard marking or retransfer, or reexport of a defense written request to the Directorate of identification shall read ‘‘// article or defense service on the U.S. Defense Trade Controls, either directly RESTRICTED USML//REL UK and USA Munitions List originally exported or through the original U.S. exporter, Treaty Community//.’’ under this exemption to any of the which identifies the defense articles or (2) Where defense articles are countries listed in § 126.1 of this defense services to be transitioned, the returned to a member of the United subchapter, any citizen of such existing license(s) or other States Community identified in countries, or any person acting on authorizations under which the defense paragraph (b) of this section, any behalf of such countries, whether within articles or defense services were defense articles UK classified and or outside the United States. Any person received, and the Treaty-eligible end- marked or identified pursuant to knowing or having reason to know of use (see paragraphs (e) and (f) of this paragraph j(1)(ii) as ‘‘//RESTRICTED such a proposed or actual sale, reexport, section regarding authorized end-uses) USML//REL UK and USA Treaty or retransfer shall submit such for which the defense articles or defense Community//’’ no longer be UK information in writing to the Office of services will be used. The defense classified and such marking or Defense Trade Controls Compliance, article or defense service shall remain identification shall be removed; and Directorate of Defense Trade Controls. subject to the conditions and limitations (3) The standard marking and (i) Transitions. of the existing license or other approval identification requirements are as (1) Any previous export of a defense until the United Kingdom Community follows: article under a license or other approval member has received approval from the (i) Defense articles (other than of the U.S. Department of State remains Directorate of Defense Trade Controls to technical data) shall be individually subject to the conditions and limitations transition to this section. labeled with the appropriate of the original license or authorization (4) Authorized exporters identified in identification detailed in paragraphs unless the Directorate of Defense Trade paragraph (b)(2) of this section who (j)(1) and (j)(2) of this section; or, where Controls has approved in writing a have exported a defense article or such labeling is impracticable (e.g., transition to this section. defense service that has subsequently propellants, chemicals), shall be (2) If a U.S. exporter desires to been placed on the list of exempted accompanied by documentation (such transition from an existing license or items in Supplement No. 1 to part 126 as contracts or invoices) clearly other approval to the use of the of this subchapter must review and associating the defense articles with the provisions of this section, the following adhere to the requirements in the appropriate markings as detailed above; is required: relevant Federal Register notice (ii) Technical data (including data (i) The U.S. exporter must submit a announcing such removal. Once packages, technical papers, manuals, written request to the Directorate of removed, the defense article or defense presentations, specifications, guides and Defense Trade Controls, which service will no longer be subject to this reports), regardless of media or means of identifies the defense articles or defense section, such defense article or defense transmission (physical or electronic), services to be transitioned, the existing service previously exported shall shall be individually labeled with the license(s) or other authorizations under remain on the U.S. Munitions List and appropriate identification detailed in which the defense articles or defense be subject to the International Traffic in paragraphs (j)(1) and (j)(2) of this services were originally exported; and Arms Regulations unless the applicable section; or, where such labeling is the Treaty-eligible end-use for which Federal Register notice states otherwise. impracticable (oral presentations), shall the defense articles or defense services Subsequent reexport or retransfer must have a verbal notification clearly will be used. Any license(s) filed with be made pursuant to § 123.9 of this associating the technical data with the U.S. Customs and Border Protection subchapter. appropriate markings as detailed above; should remain on file until the exporter (5) Any defense article or defense and has received approval from the service transitioned from a license or (4) Contracts and agreements for the Directorate of Defense Trade Controls to other approval to treatment under this provision of defense services shall be retire the license(s) and transition to this section must be marked in accordance identified with the appropriate section. When this approval is conveyed with the requirements of paragraph (j) of identification detailed in paragraphs to U.S. Customs and Border Protection this section. (j)(1) and (j)(2) of this section. by the Directorate of Defense Trade (j) Marking of Exports. (5) The exporter shall incorporate the Controls, the license(s) will be returned (1) All defense articles and defense following statement as an integral part to the Directorate of Defense Trade services exported or transitioned of all shipping documentation (airway Controls by U.S. Customs and Border pursuant to the Defense Trade bill, bill of lading, manifest, packing Protection in accord with existing Cooperation Treaty between the United documents, delivery verification, procedures for the return of expired States and the United Kingdom and this invoice, etc.) whenever defense articles licenses in § 123.22(c) of this section shall be marked or identified as are to be exported: subchapter. follows: ‘‘These commodities are authorized (ii) Any license(s) not filed with U.S. (i) For classified defense articles and by the U.S. Government for export only Customs and Border Protection must be defense services the standard marking to United Kingdom for use in approved returned to the Directorate of Defense or identification shall read: ‘‘// projects, programs or operations by Trade Controls with a letter citing the CLASSIFICATION LEVEL USML//REL members of the United Kingdom

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Community. They may not be States and the United Kingdom and this citing one of the four below referenced retransferred or reexported or used section. These records shall be codes in the appropriate field in the EEI outside of an approved project, program, maintained for a minimum of five years for each shipment: or operation, either in their original from the date of export, import, transfer, (i) 126.16(e)(1): Used for exports in form or after being incorporated into reexport, or retransfer and shall be made support of United States and United other end-items, without the prior available upon request to the Directorate Kingdom combined military or counter- written approval of the U.S. Department of Defense Trade Controls, U.S. terrorism operations (the name or an of State.’’ Immigration and Customs Enforcement, appropriate description of the operation (k) Intermediate Consignees. or U.S. Customs and Border Protection, shall be placed in the appropriate field (1) Unclassified exports under this or any other authorized U.S. law in the EEI, as well); section may only be handled by: enforcement officer. Records in an (ii) 126.16(e)(2): Used for exports in (i) U.S. intermediate consignees who electronic format must be maintained support of United States and United are: using a process or system capable of Kingdom cooperative security and (A) Exporters registered with the reproducing all records on paper. Such defense research, development, Directorate of Defense Trade Controls records when displayed on a viewer, production, and support programs (the and eligible; monitor, or reproduced on paper, must name or an appropriate description of (B) Licensed customs brokers who are exhibit a high degree of legibility and the program shall be placed in the subject to background investigation and readability. (For the purpose of this appropriate field in the EEI, as well); have passed a comprehensive section, ‘‘legible’’ and ‘‘legibility’’ mean (iii) 126.16(e)(3): Used for exports in examination administered by U.S. the quality of a letter or numeral that support of mutually determined specific Customs and Border Protection; or enables the observer to identify it security and defense projects where the (C) Commercial air freight and surface positively and quickly to the exclusion Government of the United Kingdom is shipment carriers, freight forwarders, or of all other letters or numerals. the end-user (the name or an other parties not exempt from ‘‘Readable’’ and ‘‘readability’’ means the appropriate description of the project registration under § 129.3(b)(3) of this quality of a group of letters or numerals shall be placed in the appropriate field subchapter that are identified at the being recognized as complete words or in the EEI, as well); or time of export as being on the list of numbers.) These records shall consist of (iv) 126.16(e)(4): Used for exports that Authorized U.S. Intermediate the following: will have a U.S. Government end-use Consignees, which is available on the (i) Port of entry/exit; (the U.S. Government contract number Directorate of Defense Trade Controls’ (ii) Date/time of export/import; or solicitation number (e.g., ‘‘U.S. Web site. (iii) Method of export/import; Government contract number XXXXX’’) (ii) United Kingdom intermediate (iv) Commodity code and description shall be placed in the appropriate field consignees who are: of the commodity, including technical in the EEI, as well). (A) Members of the United Kingdom data; Such exports must meet the required Community; or (v) Value of export; export documentation and filing (B) Freight forwarders, customs (vi) Reference to this section and guidelines, including for defense brokers, commercial air freight and justification for export under the Treaty; services, of § 123.22(a), (b)(1), and (b)(2) surface shipment carriers, or other (vii) End-user/end-use; of this subchapter. United Kingdom parties that are (viii) Identification of all U.S. and (m) Fees and Commissions. All identified at the time of export as being foreign parties to the transaction; exporters authorized pursuant to on the list of Authorized United (ix) How the export was marked; paragraph (b)(2) of this section shall, Kingdom Intermediate Consignees, (x) Classification of the export; with respect to each export, transfer, which is available on the Directorate of (xi) All written correspondence with reexport, or retransfer, pursuant to the Defense Trade Controls’ Web site. the U.S. Government on the export; Defense Trade Cooperation Treaty (2) Classified exports must comply (xii) All information relating to between the United States and the with the security requirements of the political contributions, fees, or United Kingdom and this section, National Industrial Security Program commissions furnished or obtained, submit a statement to the Directorate of Operating Manual (DoD 5220.22–M and offered, solicited, or agreed upon as Defense Trade Controls containing the supplements or successors). outlined in subsection (m) below; information identified in § 130.10 of this (l) Records. (xiii) Purchase order or contract; subchapter relating to fees, (1) All exporters authorized pursuant (xiv) Technical data actually commissions, and political to paragraph (b)(2) of this section who exported; contributions on contracts or other export pursuant to the Defense Trade (xv) The Internal Transaction Number instruments valued in an amount of Cooperation Treaty between the United for the Electronic Export Information $500,000 or more. States and the United Kingdom and this filing in the Automated Export System; (n) Violations and Enforcement. section shall maintain detailed records (xvi) All shipping documentation (1) Exports, transfers, reexports, and of all exports, imports, and transfers (airway bill, bill of lading, manifest, retransfers that do not comply with the made by that exporter of defense articles packing documents, delivery conditions prescribed in this section or defense services subject to the verification, invoice, etc.); and will constitute violations of the Arms Defense Trade Cooperation Treaty (xvii) Statement of Registration (Form Export Control Act and this subchapter, between the United States and the DS–2032). and are subject to all relevant criminal, United Kingdom and this section. (2) Filing of export information. All civil, and administrative penalties (see Exporters shall also maintain detailed exporters of defense articles and defense § 127.1 of this subchapter), and may also records of any reexports and retransfers services under the Defense Trade be subject to other statutes or approved or otherwise authorized by the Cooperation Treaty between the United regulations. Directorate of Defense Trade Controls of States and the United Kingdom and this (2) U.S. Immigration and Customs defense articles or defense services section must electronically file Enforcement and U.S. Customs and subject to the Defense Trade Electronic Export Information (EEI) Border Protection officers have the Cooperation Treaty between the United using the Automated Export System authority to investigate, detain, or seize

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any export or attempted export of section shall not take place until 30 of paragraphs (o)(1)(i)–(o)(1)(iii) of this defense articles that does not comply days after the Directorate of Defense section. with this section or that is otherwise Trade Controls has acknowledged (2) The Form DS–4048 required in unlawful. receipt of a Form DS–4048 (entitled, paragraph (o)(1) of this section shall be (3) The Directorate of Defense Trade ‘‘Projected Sales of Major Weapons in accompanied by the following Controls, U.S. Immigration and Customs Support of Section 25(a)(1) of the Arms additional information: Enforcement, U.S. Customs and Border Export Control Act’’) from the exporter (i) The information identified in Protection, and other authorized U.S. notifying the Department of State if the § 130.10 and § 130.11 of this subchapter; law enforcement officers may require export involves one or more of the (ii) A statement regarding whether the production of documents and following: any offset agreement is proposed to be information relating to any actual or (i) A contract or other instrument for entered into in connection with the attempted export, transfer, reexport, or the export of major defense equipment export and a description of any such retransfer pursuant to this section. Any in the amount of $25,000,000 or more, offset agreement; foreign person refusing to provide such or for defense articles and defense (iii) A copy of the signed contract or records within a reasonable period of services in the amount of $100,000,000 other instrument; and time shall be suspended from the or more; (iv) If the notification is for paragraph United Kingdom Community and (ii) A contract or other instrument for (o)(1)(ii) of this section, a statement of ineligible to receive defense articles or the export of firearms controlled under what will happen to the weapons in defense services pursuant to the Category I of the U.S. Munitions List of their inventory (for example, whether exemption under this section or the International Traffic in Arms the current inventory will be sold, otherwise. Regulations in an amount of $1,000,000 reassigned to another service branch, (o) Procedures for Legislative or more; destroyed, etc.). Notification. (iii) A contract or other instrument, (3) The Department of State will (1) Exports pursuant to the Defense regardless of value, for the notify the Congress of exports that meet Trade Cooperation Treaty between the manufacturing abroad of any item of the requirements of paragraph (o)(1) of United States and the United Kingdom significant military equipment; or this section. and this section by any person (iv) An amended contract or other 27. Supplement No. 1 is added to Part identified in paragraph (b)(2) of this instrument that meets the requirements 126 read as follows:

SUPPLEMENT NO. 1 *

(CA) (AS) (UK) USML category Exclusion § 126.5 § 126.16 § 126.17

I–XXI ...... Classified defense articles and services. See Note 1 ...... X X X I–XXI ...... Defense articles listed in the Missile Technology Control Regime (MTCR) Annex ... X X X I–XXI ...... U.S. origin defense articles and services used for marketing purposes and not pre- ...... X X viously licensed for export in accordance with this subchapter. I–XXI ...... Defense services for or technical data related to defense articles identified in this X ...... supplement as excluded from the Canadian exemption. I–XXI ...... Any transaction involving the export of defense articles and services for which con- X ...... gressional notification is required in accordance with § 123.15 and § 124.11 of this subchapter. I–XXI ...... U.S. origin defense articles and services specific to developmental systems that ...... X X have not obtained written Milestone B approval from the U.S. Department of De- fense milestone approval authority, unless such export is pursuant to a written solicitation or contract issued or awarded by the U.S. Department of Defense for an end use identified in subsections (e)(1), (2), or (4) of § 126.16 or § 126.17 of this subchapter and is consistent with other exclusions of this supplement. I–XXI ...... Nuclear weapons strategic delivery systems and all components, parts, acces- X ...... sories, and attachments specifically designed for such systems and associated equipment. I–XXI ...... Defense articles and services specific to the existence or method of compliance ...... X X with anti-tamper measures made at U.S. Government direction. I–XXI ...... Defense articles and services specific to reduced observables or counter low ...... X X observables in any part of the spectrum. See Note 2. I–XXI ...... Defense articles and services specific to sensor fusion beyond that required for dis- ...... X X play or identification correlation. See Note 3. I–XXI ...... Defense articles and services specific to the automatic target acquisition or rec- ...... X X ognition and cueing of multiple autonomous unmanned systems. I–XXI ...... Nuclear power generating equipment or propulsion equipment (e.g. nuclear reac- ...... X tors), specifically designed for military use and components therefore, specifically designed for military use. See also § 123.20 of this subchapter. I–XXI ...... Libraries (parametric technical databases) specially designed for military use with ...... X equipment controlled on the USML. I–XXI ...... Defense services or technical data specific to applied research as defined in X ...... § 125.4(c)(3) of this subchapter, design methodology as defined in § 125.4(c)(4) of this subchapter, engineering analysis as defined in § 125.4(c)(5) of this sub- chapter, or manufacturing know-how as defined in § 125.4(c)(6) of this sub- chapter.

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SUPPLEMENT NO. 1 *—Continued

(CA) (AS) (UK) USML category Exclusion § 126.5 § 126.16 § 126.17

I–XXI ...... Defense services that are not based on a written arrangement (between the U.S. X ...... exporter and the Canadian recipient) that includes a clause requiring that all doc- umentation created from U.S. origin technical data contain the statement that ‘‘This document contains technical data, the use of which is restricted by the U.S. Arms Export Control Act. This data has been provided in accordance with, and is subject to, the limitations specified in § 126.5 of the International Traffic In Arms Regulations (ITAR). By accepting this data, the consignee agrees to honor the requirements of the ITAR’’. I ...... Defense articles and services related to firearms, close assault weapons, and com- X ...... bat shotguns. II(k) ...... Software source code related to Categories II(c), II(d), or II(i). See Note 4 ...... X X II(k) ...... Manufacturing know-how related to Category II(d). See Note 5...... X X X III ...... Defense articles and services related to ammunition for firearms, close assault X ...... weapons, and combat shotguns listed in Category I. III ...... Defense articles and services specific to ammunition and fuse setting devices for ...... X guns and armament controlled in Category II. III(e) ...... Manufacturing know-how related to Categories III(d)(1) or III(d)(2) and their spe- X X X cially designed components. See Note 5. III(e) ...... Software source code related to Categories III(d)(1) or III(d)(2). See Note 4 ...... X X IV ...... Defense articles and services specific to man-portable air defense systems X X X (MANPADS). See Note 6. IV ...... Defense articles and services specific to rockets, designed or modified for non-mili- ...... X tary applications that do not have a range of 300 km (i.e., not controlled on the MTCR Annex). IV ...... Defense articles and services specific to torpedoes ...... X X IV ...... Defense articles and services specific to anti-personnel landmines ...... X IV(i) ...... Software source code related to Categories IV(a), IV(b), IV(c), or IV(g). See Note 4 ...... X X IV(i) ...... Manufacturing know-how related to Categories IV(a), IV(b), IV(d), or IV(g) and their X X X specially designed components. See Note 5. V ...... The following energetic materials and related substances: ...... X a. TATB (triaminotrinitrobenzene) (CAS 3058–38–6) b. Explosives controlled in USML Category V(a)(32) or V(a)(33) c. Iron powder (CAS 7439–89–6) with particle size of 3 micrometers or less produced by reduction of iron oxide with hydrogen d. BOBBA–8 (bis(2-methylaziridinyl)2-(2-hydroxypropanoxy) propylamino phosphine oxide), and other MAPO derivatives e. N-methyl-p-nitroaniline (CAS 100–15–2) f. Trinitrophenylmethyl-nitramine (tetryl) (CAS 479–45–8) V(c)(7) ...... Pyrotechnics and pyrophorics specifically formulated for military purposes to en- ...... X hance or control radiated energy in any part of the IR spectrum. V(d)(3) ...... Bis-2, 2-dinitropropylnitrate (BDNPN) ...... X VI ...... Defense Articles specific to equipment specially designed or configured to be in- ...... X stalled in a vehicle for military ground, marine, airborne or space applications, capable of operating while in motion and of producing or maintaining tempera- tures below 103 K (¥170 °C). VI ...... Defense Articles specific to superconductive electrical equipment (rotating machin- ...... X ery and transformers) specially designed or configured to be installed in a vehi- cle for military ground, marine, airborne, or space applications and capable of operating while in motion. This, however, does not include direct current hybrid homopolar generators that have single-pole normal metal armatures which rotate in a magnetic field produced by superconducting windings, provided those windings are the only superconducting component in the generator. VI ...... Defense articles and services specific to naval technology and systems relating to ...... X X acoustic spectrum control and awareness. See Note 10. VI(a) ...... Nuclear powered vessels ...... X X X VI(c) ...... Defense articles and services specific to submarine combat control systems ...... X X VI(d) ...... Harbor entrance detection devices ...... X VI(e) ...... Defense articles and services specific to naval nuclear propulsion equipment. See X X X Note 7. VI(g) ...... Technical data and defense services for gas turbine engine hot sections related to X X X Category VI(f). See Note 8. VI(g) ...... Software source code related to Categories VI(a) or VI(c). See Note 4 ...... X X VII ...... Defense articles specific to equipment specially designed or configured to be in- ...... X stalled in a vehicle for military ground, marine, airborne, or space applications, capable of operating while in motion and of producing or maintaining tempera- tures below 103 K (¥170 °C).

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SUPPLEMENT NO. 1 *—Continued

(CA) (AS) (UK) USML category Exclusion § 126.5 § 126.16 § 126.17

VII ...... Defense articles specific to superconductive electrical equipment (rotating machin- ...... X ery and transformers) specially designed or configured to be installed in a vehi- cle for military ground, marine, airborne, or space applications and capable of operating while in motion. This, however, does not include direct current hybrid homopolar generators that have single-pole normal metal armatures which rotate in a magnetic field produced by superconducting windings, provided those windings are the only superconducting component in the generator. VII ...... Armored all wheel drive vehicles, other than vehicles specifically designed or modi- ...... X fied for military use, fitted with, or designed or modified to be fitted with, a plough or flail for the purpose of land mine clearance. VII(e) ...... Amphibious vehicles ...... X VII(f) ...... Technical data and defense services for gas turbine engine hot sections. See Note X X X 8. VIII ...... Defense articles specific to equipment specially designed or configured to be in- ...... X stalled in a vehicle for military ground, marine, airborne, or space applications, capable of operating while in motion and of producing or maintaining tempera- tures below 103 K (¥170 °C). VIII ...... Defense articles specific to superconductive electrical equipment (rotating machin- ...... X ery and transformers) specially designed or configured to be installed in a vehi- cle for military ground, marine, airborne, or space applications and capable of operating while in motion. This, however, does not include direct current hybrid homopolar generators that have single-pole normal metal armatures which rotate in a magnetic field produced by superconducting windings, provided those windings are the only superconducting component in the generator. VIII(a) ...... All Category VIII(a) items ...... X ...... VIII(b) ...... Defense articles and services specific to gas turbine engine hot section compo- ...... X X nents and digital engine controls. See Note 8. VIII(f) ...... Developmental aircraft, engines and components identified in Category VIII(f) ...... X ...... VIII(g) ...... Ground Effect Machines (GEMS) ...... X VIII(i) ...... Technical data and defense services for gas turbine engine hot sections related to X X X Category VIII(b). See Note 8. VIII(i) ...... Manufacturing know-how related to Categories VIII(a), VIII(b), or VIII(e) and their X X X specially designed components. See Note 5. VIII(i) ...... Software source code related to Categories VIII(a) or VIII(e). See Note 4 ...... X X IX ...... Training or simulation equipment for MANPADS. See Note 6 ...... X IX(e) ...... Software source code related to Categories IX(a) or IX(b). See Note 4 ...... X X IX(e) ...... Software that is both specifically designed or modified for military use and specifi- ...... X cally designed or modified for modeling or simulating military operational sce- narios. X(e) ...... Manufacturing know-how related to Categories X(a)(1) or X(a)(2) and their specially X X X designed components. See Note 5. XI(a) ...... Defense articles and services specific to countermeasures and counter-counter- ...... X X measures See Note 9. XI ...... Defense articles and services specific to naval technology and systems relating to ...... X X acoustic spectrum control and awareness. See Note 10. XI(b) XI(c) XI(d) ...... Defense articles and services specific to communications security (e.g., COMSEC ...... X X and TEMPEST). XI(d) ...... Software source code related to Category XI(a). See Note 4 ...... X X XI(d) ...... Manufacturing know-how related to Categories XI(a)(3) or XI(a)(4) and their spe- X X X cially designed components. See Note 5. XII ...... Defense articles and services specific to countermeasures and counter-counter- ...... X X measures. See Note 9. XII(c) ...... Defense articles and services specific to XII(c) articles, except any 1st- and 2nd- X ...... generation image intensification tubes and 1st- and 2nd-generation image inten- sification night sighting equipment. End items in XII(c) and related technical data limited to basic operations, maintenance, and training information as authorized under the exemption in § 125.4(b)(5) of this subchapter may be exported directly to a Canadian Government entity. XII(c) ...... Technical data or defense services for night vision equipment beyond basic oper- X X X ations, maintenance, and training data. However, the AS and UK Treaty exemp- tions apply when such export is pursuant to a written solicitation or contract issued or awarded by the U.S. Department of Defense for an end use identified in subsections (e)(1), (2), or (4) of § 126.16 or § 126.17 of this subchapter and is consistent with other exclusions of this supplement. XII(f) ...... Manufacturing know-how related to Category XII(d) and their specially designed X X X components. See Note 5. XII(f) ...... Software source code related to Categories XII(a), XII(b), XII(c), or XII(d). See Note ...... X X 4. XIII(b) ...... Defense articles and services specific to Military Information Security Assurance ...... X X Systems.

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SUPPLEMENT NO. 1 *—Continued

(CA) (AS) (UK) USML category Exclusion § 126.5 § 126.16 § 126.17

XIII(c) ...... Defense articles and services specific to armored plate manufactured to comply ...... X with a military standard or specification or suitable for military use. See Note 11. XIII(d) ...... Carbon/carbon billets and performs which are reinforced in three or more dimen- ...... X sional planes, specifically designed, developed, modified, configured or adapted for defense articles. XIII(f) ...... Structural materials ...... X XIII(g) ...... Defense articles and services related to concealment and deception equipment and ...... X materials. XIII(h) ...... Energy conversion devices other than fuel cells ...... X XIII(i) ...... Metal embrittling agents ...... X XIII(j) ...... Defense articles and services related to hardware associated with the measure- ...... X X ment or modification of system signatures for detection of defense articles as de- scribed in Note 2. XIII(k) ...... Defense articles and services related to tooling and equipment specifically de- ...... X X signed or modified for the production of defense articles identified in Category XIII(b). XIII(l) ...... Software source code related to Category XIII(a). See Note 4 ...... X X XIV ...... Defense articles and services related to toxicological agents, including chemical ...... X X agents, biological agents, and associated equipment. XIV(a) XIV(b) XIV(d) Chemical agents listed in Category XIV(a), (d) and (e), biological agents and bio- X ...... XIV(e) XIV(f). logically derived substances in Category XIV(b), and equipment listed in Cat- egory XIV(f) for dissemination of the chemical agents and biological agents listed in Category XIV(a), (b), (d), and (e). XV(a) ...... Defense articles and services specific to spacecraft/satellites. However, the Cana- X X X dian exemption may be used for commercial communications satellites that have no other type of payload. XV(b) ...... Defense articles and services specific to ground control stations for spacecraft te- ...... X X lemetry, tracking, and control. XV(c) ...... Defense articles and services specific to GPS/PPS security modules ...... X X XV(c) ...... Defense articles controlled in XV(c) except end items for end use by the Federal X ...... Government of Canada exported directly or indirectly through a Canadian-reg- istered person. XV(d) ...... Defense articles and services specific to radiation-hardened microelectronic circuits X X X XV(e) ...... Anti-jam systems with the ability to respond to incoming interference by adaptively X ...... reducing antenna gain (nulling) in the direction of the interference. XV(e) ...... Antennas having any of the following: (a) Aperture (overall dimension of the radiating portions of the antenna) greater than 30 feet; (b) All sidelobes less than or equal to ¥35 dB relative to the peak of the main beam; or (c) Designed, modified, or configured to provide coverage area on the surface of X ...... the earth less than 200 nautical miles in diameter, where ‘‘coverage area’’ is de- fined as that area on the surface of the earth that is illuminated by the main beam width of the antenna (which is the angular distance between half power points of the beam). XV(e) ...... Optical intersatellite data links (cross links) and optical ground satellite terminals .... X ...... XV(e) ...... Spaceborne regenerative baseband processing (direct up and down conversion to X ...... and from baseband) equipment. XV(e) ...... Propulsion systems which permit acceleration of the satellite on-orbit (i.e., after X ...... mission orbit injection) at rates greater than 0.1 g. XV(e) ...... Attitude control and determination systems designed to provide spacecraft pointing X ...... determination and control or payload pointing system control better than 0.02 de- grees per axis. XV(e) ...... All specifically designed or modified systems, components, parts, accessories, at- X ...... tachments, and associated equipment for all Category XV(a) items, except when specifically designed or modified for use in commercial communications satellites. XV(e) ...... Defense articles and services specific to spacecraft and ground control station sys- ...... X X tems (only for telemetry, tracking and control as controlled in XV(b)), sub- systems, components, parts, accessories, attachments, and associated equip- ment. XV(f) ...... Technical data and defense services directly related to the other defense articles X X X excluded from the exemptions for Category XV. XVI ...... Defense articles and services specific to design and testing of nuclear weapons .... X X X XVI(c) ...... Nuclear radiation measuring devices manufactured to military specifications ...... X ...... XVI(e) ...... Software source code related to Category XVI(c). See Note 4 ...... X X XVII ...... Classified articles and defense services not elsewhere enumerated. See Note 1.... X X X XVIII ...... Defense articles and services specific to directed energy weapon systems ...... X X XX ...... Defense articles and services related to submersible vessels, oceanographic, and X X X associated equipment. XXI ...... Miscellaneous defense articles and services ...... X X X

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SUPPLEMENT NO. 1 *—Continued

(CA) (AS) (UK) USML category Exclusion § 126.5 § 126.16 § 126.17

Note 1: Classified defense articles and services are not eligible for export under the Canadian exemptions. U.S. origin defense articles and services controlled in Category XVII are not eligible for export under the UK Treaty exemption. U.S. origin classified defense articles and services are not eligible for export under either the UK or AS Treaty exemptions except when being released pursuant to a U.S. Department of Defense written request, directive or contract that provides for the export of the defense article or service. Note 2: The phrase ‘‘any part of the spectrum’’ includes radio frequency (RF), infrared (IR), electro-optical, visual, ultraviolet (UV), acoustic, and magnetic. Defense articles related to reduced observables or counter reduced observables are defined as: a. Signature reduction (radio frequency (RF), infrared (IR), Electro-Optical, visual, ultraviolet (UV), acoustic, magnetic, RF emissions) of de- fense platforms, including systems, subsystems, components, materials, (including dual-purpose materials used for Electromagnetic Inter- ference (EM) reduction) technologies, and signature prediction, test and measurement equipment and software and material transmissivity/reflectivity prediction codes and optimization software. b. Electronically scanned array radar, high power radars, radar processing algorithms, periscope-mounted radar systems (PATRIOT), LADAR, multistatic and IR focal plane array-based sensors, to include systems, subsystems, components, materials, and technologies. Note 3: Defense Articles related to sensor fusion beyond that required for display or identification correlation is defined as techniques designed to automatically combine information from two or more sensors/sources for the purpose of target identification, tracking, designation, or pass- ing of data in support of surveillance or weapons engagement. Sensor fusion involves sensors such as acoustic, infrared, electro optical, fre- quency, etc. Display or identification correlation refers to the combination of target detections from multiple sources for assignment of com- mon target track designation. Note 4: Software source code beyond that source code required for basic operation, maintenance, and training for programs, systems, and/or subsystems is not eligible for use of the UK or AS Treaty Exemptions, unless such export is pursuant to a written solicitation or contract issued or awarded by the U.S. Department of Defense for an end use identified in subsections (e)(1), (2), or (4) of § 126.16 or § 126.17 of this subchapter and is consistent with other exclusions of this supplement. Note 5: Manufacturing know-how, as defined in § 125.4(c)(6) of this subchapter, is not eligible for use of the UK or AS Treaty Exemptions, un- less such export is pursuant to a written solicitation or contract issued or awarded by the U.S. Department of Defense for an end use identi- fied in subsections (e)(1), (2), or (4) of § 126.16 or § 126.17 of this subchapter and is consistent with other exclusions of this supplement. Note 6: Defense Articles specific to Man Portable Air Defense Systems (MANPADS) includes missiles which can be used without modification in other applications. It also includes production equipment specifically designed or modified for MANPAD systems, as well as training equip- ment specifically designed or modified for MANPAD systems. Note 7: Naval nuclear propulsion plants includes all of USML Category VI(e). Naval nuclear propulsion information is technical data that con- cerns the design, arrangement, development, manufacture, testing, operation, administration, training, maintenance, and repair of the propul- sion plants of naval nuclear-powered ships and prototypes, including the associated shipboard and shore-based nuclear support facilities. Ex- amples of defense articles covered by this exclusion include nuclear propulsion plants and nuclear submarine technologies or systems; nu- clear powered vessels (see USML Categories VI and XX). Note 8: Examples of gas turbine engine hot section exempted defense article components and technology are combustion chambers/liners; high pressure turbine blades, vanes, disks and related cooled structure; cooled low pressure turbine blades, vanes, disks and related cooled structure; advanced cooled augmenters; and advanced cooled nozzles. Examples of gas turbine engine hot section developmental tech- nologies are Integrated High Performance Turbine Engine Technology (IHPTET), Versatile, Affordable Advanced Turbine Engine (VAATE), Ultra-Efficient Engine Technology (UEET). Note 9: Examples of countermeasures and counter-countermeasures related to defense articles not exportable under the AS or UK Treaty ex- emptions are: a. IR countermeasures; b. Classified techniques and capabilities; c. Exports for precision radio frequency location that directly or indirectly supports fire control and is used for situation awareness, target identification, target acquisition, and weapons targeting and Radio Direction Finding (RDF) capabilities. Precision RF location is defined as angle of arrival accuracy of less than five degrees (RMS) and RF emitter location of less than ten percent range error; d. Providing the capability to reprogram; and e. Acoustics (including underwater), active and passive countermeasures, and counter-countermeasures Note 10: Examples of defense articles covered by this exclusion include underwater acoustic vector sensors; acoustic reduction; off-board, un- derwater, active and passive sensing, propeller/propulsor technologies; fixed mobile/floating/powered detection systems which include in-buoy signal processing for target detection and classification; autonomous underwater vehicles capable of long endurance in ocean environments (manned submarines excluded); automated control algorithms embedded in on-board autonomous platforms which enable (a) group behav- iors for target detection and classification, (b) adaptation to the environment or tactical situation for enhancing target detection and classifica- tion; ‘‘intelligent autonomy’’ algorithms which define the status, group (greater than 2) behaviors, and responses to detection stimuli by auton- omous, underwater vehicles; and low frequency, broad-band ‘‘acoustic color,’’ active acoustic ‘‘fingerprint’’ sensing for the purpose of long range, single pass identification of ocean bottom objects, buried or otherwise. (Controlled under Category XI(a), (1) and (2) and in (b), (c), and (d)). Note 11: The defense articles include constructions of metallic or non-metallic materials or combinations thereof specially designed to provide protection for military systems. The phrase ‘‘suitable for military use’’ applies to any articles or materials which have been tested to level IIIA or above IAW NIJ standard 0108.01 or comparable national standard. This exclusion does not include military helmets, body armor, or other protective garments which may be exported IAW the terms of the AS or UK Treaties. * An ‘‘X’’ in the chart indicates that the item is excluded from use under the exemption referenced in the top of the column. An item excluded in any one row is excluded regardless of whether other rows may contain a description that would include the item.

PART 127—VIOLATIONS AND Authority: Secs. 2, 38, and 42, Public Law 29. Section 127.1 is revised to read as PENALTIES 90–629, 90 Stat. 744 (22 U.S.C. 2752, 2778, follows: 2791); E.O. 11958, 42 FR 4311; 3 CFR, 1977 28. The authority citation for part 127 Comp., p. 79; 22 U.S.C. 401; 22 U.S.C. 2651a; § 127.1 Violations. is revised to read to as follows: 22 U.S.C. 2779a; 22 U.S.C. 2780; Pub. L. 111– (a) Without first obtaining the 266. required license or other written

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approval from the Directorate of Defense employees, agents, and all authorized import control document will be Trade Controls, it is unlawful: persons to whom possession of the considered as made in a matter within (1) To export or attempt to export defense article or technical data has the jurisdiction of a department or from the United States any defense been entrusted regarding the operation, agency of the United States for the article or technical data or to furnish or use, possession, transportation, and purposes of 18 U.S.C. 1001, 22 U.S.C. attempt to furnish any defense service handling of such defense article or 2778, and 22 U.S.C. 2779. for which a license or written approval technical data abroad. All persons (b) For the purpose of this subchapter, is required by this subchapter; abroad subject to U.S. jurisdiction who export or temporary import control (2) To reexport or retransfer or obtain temporary or permanent custody documents include the following: attempt to reexport or retransfer any of a defense article exported from the (1) An application for a permanent defense article, technical data, or United States or produced under an export, reexport, retransfer, or a defense service from one foreign end- agreement described in part 124 of this temporary import license and user, end-use, or destination to another subchapter, and irrespective of the supporting documents. foreign end-user, end-use, or destination number of intermediate transfers, are (2) Shipper’s Export Declaration or an for which a license or written approval bound by the regulations of this Electronic Export Information filing. is required by this subchapter, subchapter in the same manner and to * * * * * including, as specified in § 126.16(h) the same extent as the original owner or (14) Any other shipping document and § 126.17(h) of this subchapter, any transferor. that has information related to the defense article, technical data, or (d) A person with knowledge that export of the defense article or defense defense service that was exported from another person is then ineligible service. the United States without a license pursuant to §§ 120.1(c) or 126.7 of this 31. Section 127.3 is revised to read as pursuant to any exemption under this subchapter may not, directly or follows: subchapter; indirectly, in any manner or capacity, (3) To import or attempt to import any without prior disclosure of the facts to, § 127.3 Penalties for violations. defense article whenever a license is and written authorization from, the Any person who willfully: required by this subchapter; Directorate of Defense Trade Controls: (a) Violates any provision of § 38 or (4) To conspire to export, import, (1) Apply for, obtain, or use any § 39 of the Arms Export Control Act (22 reexport, retransfer, furnish or cause to export control document as defined in U.S.C. 2778 and 2779) or any rule or be exported, imported, reexported, § 127.2(b) of this subchapter for such regulation issued under either § 38 or retransferred or furnished, any defense ineligible person; or § 39 of the Act, or any undertaking article, technical data, or defense service (2) Order, buy, receive, use, sell, specifically required by part 124 of this for which a license or written approval deliver, store, dispose of, forward, subchapter; or is required by this subchapter. transport, finance, or otherwise service (b) In a registration, license (b) It is unlawful: or participate in any transaction which application, or report required by § 38 or (1) To violate any of the terms or may involve any defense article or the § 39 of the Arms Export Control Act (22 conditions of a license or approval furnishing of any defense service for U.S.C. 2778 and 2779) or by any rule or granted pursuant to this subchapter, any which a license or approval is required regulation issued under either section, exemption contained in this subchapter, by this subchapter or an exemption is makes any untrue statement of a or any rule or regulation contained in available under this subchapter for material fact or omits a material fact this subchapter. export, where such ineligible person required to be stated therein or (2) To engage in the business of may obtain any benefit therefrom or necessary to make the statements brokering activities for which have any direct or indirect interest therein not misleading, shall upon registration and a license or written therein. conviction be subject to a fine or approval is required by this subchapter (e) No person may knowingly or imprisonment, or both, as prescribed by without first registering or obtaining the willfully cause, or aid, abet, counsel, 22 U.S.C. 2778(c). required license or written approval demand, induce, procure, or permit the 32. Section 127.4 is amended by from the Directorate of Defense Trade commission of, any act prohibited by, or revising paragraphs (a) and (c), and Controls. For the purposes of this the omission of any act required by, 22 adding paragraph (d), to read as follows: subchapter, engaging in the business of U.S.C. 2778 and 2779, or any regulation, § 127.4 Authority of U.S. Immigration and brokering activities requires only one license, approval, or order issued occasion of engaging in an activity as Customs Enforcement and U.S. Customs thereunder. and Border Protection officers. reflected in § 129.2(b) of this 30. Section 127.2 is amended by (a) U.S. Immigration and Customs subchapter. revising paragraphs (a), (b) introductory Enforcement and U.S. Customs and (3) To engage in the United States in text, (b)(1), (b)(2), and adding (b)(14), to Border Protection officers may take the business of either manufacturing or read as follows: exporting defense articles or furnishing appropriate action to ensure observance defense services without complying § 127.2 Misrepresentation and omission of of this subchapter as to the export or the with the registration requirements. For facts. attempted export of any defense article the purposes of this subchapter, (a) It is unlawful to use or attempt to or technical data, including the engaging in the business of use any export or temporary import inspection of loading or unloading of manufacturing or exporting defense control document containing a false any vessel, vehicle, or aircraft. This articles or furnishing defense services statement or misrepresenting or applies whether the export is authorized requires only one occasion of omitting a material fact for the purpose by license or by written approval issued manufacturing or exporting a defense of exporting, transferring, reexporting, under this subchapter or by exemption. article or furnishing a defense service. retransferring, obtaining, or furnishing * * * * * (c) Any person who is granted a any defense article, technical data, or (c) Upon the presentation to a U.S. license or other approval or who acts defense service. Any false statement, Customs and Border Protection Officer pursuant to an exemption under this misrepresentation, or omission of of a license or written approval, or claim subchapter is responsible for the acts of material fact in an export or temporary of an exemption, authorizing the export

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of any defense article, the customs U.S.C. 2778, 2779a, and 2780 for each Authority: Sec. 38, Pub. L. 104–164, 110 officer may require the production of violation of 22 U.S.C. 2778, 2779a, and Stat. 1437, (22 U.S.C. 2778). other relevant documents and 2780, or any regulation, order, license, 37. Section 129.6 is amended by information relating to the proposed or written approval issued thereunder. revising paragraph (b)(2) to read as export. This includes an invoice, order, This civil penalty may be either in packing list, shipping document, addition to, or in lieu of, any other follows: correspondence, instructions, and the liability or penalty which may be § 129.6 Requirements for License/ documents otherwise required by the imposed. Approval. U.S. Customs and Border Protection or * * * * * * * * * * U.S. Immigration and Customs 35. Section 127.12 is amended by (b) * * * Enforcement. adding paragraph (b)(5), and revising (d) If an exemption under this paragraph (d), to read as follows: (2) Brokering activities that are subchapter is used or claimed to export, arranged wholly within and destined transfer, reexport or retransfer, furnish, § 127.12 Voluntary disclosures. exclusively for the North Atlantic Treaty or obtain a defense article, technical * * * * * Organization, any member country of data, or defense service, law (b) * * * that Organization, Australia, Israel, enforcement officers may rely upon the (5) Nothing in this section shall be Japan, New Zealand, or the Republic of authorities noted above, additional interpreted to negate or lessen the Korea, except in the case of the defense authority identified in the language of affirmative duty pursuant to §§ 126.1(e), articles or defense services specified in the exemption, and any other lawful 126.16(h)(5), and 126.17(h)(5) of this § 129.7(a) of this subchapter, for which means to investigate such a matter. subchapter upon persons to inform the prior approval is always required. 33. Section 127.7 is amended by Directorate of Defense Trade Controls of 38. Section 129.7 is amended by revising paragraph (a) to read as follows: the actual or proposed sale, export, revising paragraphs (a)(1)(vii) and (a)(2) transfer, reexport, or retransfer of a to read as follows: § 127.7 Debarment. defense article, technical data, or (a) Debarment. In implementing § 38 defense service to any country referred § 129.7 Prior Approval (License). of the Arms Export Control Act, the to in § 126.1 of this subchapter, any Assistant Secretary of State for Political- citizen of such country, or any person (a) * * * Military Affairs may prohibit any person acting on its behalf. (1) * * * from participating directly or indirectly * * * * * (vii) Foreign defense articles or in the export, reexport and retransfer of (d) Documentation. The written defense services (other than those that defense articles, including technical disclosure should be accompanied by are arranged wholly within and data, or in the furnishing of defense copies of substantiating documents. services for any of the reasons listed destined exclusively for the North Where appropriate, the documentation Atlantic Treaty Organization, any below and publish notice of such action should include, but not be limited to: in the Federal Register. Any such member country of that Organization, (1) Licensing documents (e.g., license Australia, Israel, Japan, New Zealand, or prohibition is referred to as a debarment applications, export licenses, and end- for purposes of this subchapter. The the Republic of Korea (see §§ 129.6(b)(2) user statements), exemption citation, or and 129.7(a)). Assistant Secretary of State for Political- other authorization description, if any; Military Affairs shall determine the (2) Shipping documents (e.g., (2) Brokering activities involving appropriate period of time for Shipper’s Export Declarations; defense articles or defense services debarment, which shall generally be for Electronic Export Information filing, covered by, or of a nature described by a period of three years. However, including the Internal Transaction part 121, of this subchapter, in addition reinstatement is not automatic and in all Number), air waybills, and bills of to those specified in § 129.7(a), that are cases the debarred person must submit laden, invoices, and any other designated as significant military a request for reinstatement and be associated documents); equipment under this subchapter, for or approved for reinstatement before (3) Any other relevant documents from any country not a member of the engaging in any export or brokering must be retained by the person making North Atlantic Treaty Organization, activities subject to the Arms Export the disclosure until the Directorate of Australia, Israel, Japan, New Zealand, or Control Act or this subchapter. Defense Trade Controls requests them or the Republic of Korea whenever any of * * * * * until a final decision on the disclosed the following factors are present: 34. Section 127.10 is amended by information has been made. * * * * * revising paragraph (a) to read as follows: * * * * * Dated: November 7, 2011. § 127.10 Civil penalty. Ellen O. Tauscher, PART 129—REGISTRATION AND Under Secretary, Arms Control and (a) The Assistant Secretary of State for LICENSING OF BROKERS Political-Military Affairs is authorized International Security, Department of State. to impose a civil penalty in an amount 36. The authority citation for part 129 [FR Doc. 2011–29328 Filed 11–21–11; 8:45 am] not to exceed that authorized by 22 continues to read as follows: BILLING CODE 4710–25–P

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Part III

United States Patent and Trademark Office

37 CFR Parts 1 and 41 Rules of Practice Before the Board of Patent Appeals and Interferences in Ex Parte Appeals; Final Rule

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DEPARTMENT OF COMMERCE Background the rulemaking process to review any On July 30, 2007, the Office published significant concerns involving law or United States Patent and Trademark a notice of proposed rulemaking policy that have been raised. Office governing practice before the Board in On December 22, 2009, the Office ex parte patent appeals (72 FR 41472 published an Advance Notice of 37 CFR Parts 1 and 41 Proposed Rulemaking (ANPRM) (July 30, 2007)). The notice was also proposing further modifications to the [No. PTO–P–2009–0021] published in the Official Gazette. 1321 indefinitely delayed 2008 final rule and Off. Gaz. Pat. Office 95 (Aug. 21, 2007). RIN 0651–AC37 seeking public comment via a public The public was invited to submit roundtable and written comment (74 FR written comments. Comments were to Rules of Practice Before the Board of 67987 (Dec. 22, 2009)). Patent Appeals and Interferences in Ex be received on or before September 28, In light of the comments received to Parte Appeals 2007. these notices, the Office then published On June 10, 2008, a final rulemaking a notice of proposed rulemaking AGENCY: United States Patent and was then published in the Federal Trademark Office, Commerce. (NPRM) in the Federal Register (75 FR Register (73 FR 32938 (June 10, 2008)). 69828 (Nov. 15, 2010)), which proposed ACTION: Final rule. This final rule stated that the effective to rescind the indefinitely delayed 2008 and applicability date was December 10, SUMMARY: The United States Patent and final rule and proposed new changes to 2008. On June 9, 2008, the Office the rules of practice before the Board in Trademark Office (USPTO or Office) published a 60-day Federal Register amends the rules governing practice ex parte appeals. The public was invited notice (73 FR 32559 (June 9, 2008)) to submit written comments. Comments before the Board of Patent Appeals and requesting the Office of Management Interferences (Board or BPAI) in ex were to be received on or before January and Budget (OMB) establish a new 14, 2011. Comments received on or parte patent appeals. The Office amends information collection for BPAI items in the rules to: Remove several of the before January 14, 2011, were the final rule and requesting public considered. briefing requirements for an appeal comment on the burden impact of the brief, provide for the Board to take The Office also considered three final rule under the provisions of the comments received after January 14, jurisdiction over the appeal earlier in Paperwork Reduction Act (PRA). On the appeal process, no longer require 2011. The Office now publishes this October 8, 2008, the Office published a final rule taking into consideration the examiners to acknowledge receipt of 30-day Federal Register notice (73 FR reply briefs, create specified procedures comments received to the NPRM. 58943 (Oct. 8, 2008)) stating that the The Office received a comment under which an appellant can seek proposal for the collection of offering an alternative rendition of the review of an undesignated new ground information under the final rule was procedural history of these rules and of rejection in either an examiner’s being submitted to OMB and requesting claiming that OMB rejected the Office’s answer or in a Board decision, provide that comments on the proposed original Information Collection Request. that the Board will presume that the information collection be submitted to The Preamble of the NPRM accurately appeal is taken from the rejection of all OMB. Because the information reflects the history of this rule. claims under rejection unless cancelled collection process had not been Accordingly, no changes have been by an applicant’s amendment, and completed by the original effective and made to the description of the clarify that, for purposes of the applicability date of the final rule, the procedural history in the Preamble of examiner’s answer, any rejection that Office published a Federal Register the final rule. Furthermore, OMB relies upon Evidence not relied upon in notice (73 FR 74972 (Dec. 10, 2008)) approved the Office’s original the Office action from which the appeal notifying the public that the effective Information Collection Request. See is taken shall be designated as a new and applicability date of the final rule Notice of Office of Management and ground of rejection. The Office also was not December 10, 2008, and that the Budget Action, ICR Ref. No. 200809– withdraws a previously published final effective and applicability date would 0651–003 (Dec. 22, 2009), http:// rule that never went into effect. be delayed until a subsequent notice. www.reginfo.gov/public/do/PRAMain DATES: Effective Date: This rule is On January 20, 2009, the Assistant to hyperlink; then search 0651–0063; then effective on January 23, 2012 except the President and Chief of Staff follow ‘‘Approved with change’’ withdrawal of the final rule published instructed agencies via a memorandum hyperlink. OMB has also pre-approved June 10, 2008 (73 FR 32938) and entitled, ‘‘Regulatory Review,’’ (74 FR the Information Collection Request delayed indefinitely on December 10, 4435 (Jan. 26, 2009)) to consider seeking associated with these final rules. See 2008 (73 FR 74972) is effective comments for an additional 30 days on Notice of Office of Management and November 22, 2011. rules that were published in the Federal Budget Action, ICR Ref. No. 201010– Applicability Date: This rule is Register and had not yet become 0651–001 (Jan. 4, 2011), http:// applicable to all appeals in which a effective by January 20, 2009. On www.reginfo.gov/public/do/PRAMain notice of appeal is filed on or after January 21, 2009, the Office of hyperlink; then search 0651–0063; then January 23, 2012. Management and Budget issued a follow ‘‘Preapproved’’ hyperlink. FOR FURTHER INFORMATION CONTACT: memorandum entitled, The Office received two comments Linda Horner, Administrative Patent ‘‘Implementation of Memorandum suggesting that the Board already Judge, Board of Patent Appeals and Concerning Regulatory Review,’’ implemented the delayed 2008 final Interferences, by telephone at (571) 272– (available at http://www.whitehouse rule (73 FR 32938 (June 10, 2008), 9797, or by mail addressed to: Mail Stop .gov/sites/default/files/omb/assets/ implementation of which was Interference, Director of the United agencyinformation_memor indefinitely delayed by 73 FR 74972 States Patent and Trademark Office, anda_2009_pdf/m09–08.pdf) which (Dec. 10, 2008)). This is not true. The P.O. Box 1450, Alexandria, VA 22313– provided agencies further guidance on Office has not implemented the 1450, marked to the attention of Linda such rules that had not yet taken effect. indefinitely delayed 2008 final rule. Horner. For such rules, both memoranda stated One commenter suggested that the SUPPLEMENTARY INFORMATION: that agencies should consider reopening fact that the Board sometimes has stated

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that an appellant must ‘‘map claims’’ this information to the Board. Moreover, claims were not on appeal, and noted indicates the delayed 2008 final rule is by eliminating these briefing that those non-appealed claims should already in effect. Since 2004, the Office requirements, the Office expects to be cancelled by the examiner. Ex parte has used this language to indicate that reduce the number of non-compliant Ghuman, 88 USPQ2d 1478, 2008 WL the appellant had not explained the appeal briefs and the number of 2109842 (BPAI 2008) (precedential) subject matter defined in each examiner’s answers returned to the (holding that when appellant does not independent claim by reference to the examiner due to non-compliance, which appeal some of the claims under specification by page and line number, are a significant cause of delays on rejection and does not challenge the and to the drawing, if any, by reference appeal. See USPTO, Top Eight Reasons Examiner’s rejection of these claims, the characters, as required by the 2004 Appeal Briefs are Non-Compliant, Board will treat these claims as regulations. The delayed 2008 http://www.uspto.gov/ip/boards/bpai/ withdrawn from the appeal, which regulations required annotation in procedures/ operates as an authorization for the addition to mapping. Those regulations top_8_reasons_appeal_brf_dec09.pdf. Examiner to cancel those claims from have not been implemented or enforced Another purpose of this final rule is the application). This final rule avoids with respect to any applicant. Another to eliminate any gap in time from the the unintended cancellation of claims commenter suggested that the end of briefing to the commencement of by the Office due to appellant’s mistake indefinitely delayed 2008 regulations the Board’s jurisdiction. For example, in the listing of the claims in either the must be in effect because the 2004 under the final rule, the Board takes notice of appeal or in the appeal brief. regulations permitted applicants to raise jurisdiction upon the earlier of the filing This final rule replaces the Office’s arguments in either the appeal brief or of a reply brief or the expiration of the procedure under Ghuman and also reply brief. This is an incorrect reading time in which to file a reply brief (final simplifies practice for examiners by no of the 2004 regulations. The inability to Bd.R. 41.35(a)). Examiners are no longer longer requiring examiners to cancel raise new arguments in a reply brief is required to acknowledge receipt of the non-appealed claims. inherent in the nature of a reply brief; reply brief (Bd.R. 41.43 [removed]). The Supplementary Information in it must reply to either an argument or The final rule is also intended to this notice provides: (1) An explanation response in an answer or the failure to clarify and simplify petitions practice of the final rule, (2) a discussion of the include a response in an answer. The on appeal. For example, except under differences between the final rule and indefinitely delayed 2008 regulations limited circumstances, any information the proposed rule, (3) a discussion of made this requirement clearer, but it has disclosure statement or petition filed the comments received to the NPRM, (4) always been a requirement. while the Board possesses jurisdiction a discussion of rule making The Board rules as published in 37 over the proceeding will be held in considerations and comments received CFR 41.1–41.81 (2010) will remain in abeyance until the Board’s jurisdiction regarding the discussion of rule making effect until the changes set forth in the ends (final Bd.R. 41.35(d)). Also, in considerations in the NPRM and (5) a instant final rule take effect on the response to public comments, and based copy of the amended regulatory text. effective date. The Office also on a comprehensive survey of case law Rules in 37 CFR part 1 are withdraws the indefinitely delayed 2008 from the United States Court of Appeals denominated as ‘‘Rule x’’ in this final rule (73 FR 32938 (June 10, 2008)) for the Federal Circuit (Federal Circuit) supplementary information. A reference that never went into effect. Therefore, and United States Court of Customs and to Rule 1.136(a) is a reference to 37 CFR any appeal brief filed in an application Patent Appeals (CCPA), the Office will 1.136(a) (2010). or ex parte reexamination proceeding in provide improved guidance in the Rules in 37 CFR part 11 are which a notice of appeal is filed on or Manual of Patent Examining Procedure denominated as ‘‘Rule x’’ in this after the instant effective date must be (MPEP), discussed infra, as to what supplementary information. A reference filed in compliance with final Bd.R. constitutes a new ground of rejection in to Rule 11.18(a) is a reference to 37 CFR 41.37 set forth in this final rule. an examiner’s answer. The final rule 11.18(a) (2010). explicitly sets forth the procedure under Rules in 37 CFR part 41 are Purposes for the Rule Changes which an appellant can seek review of denominated as ‘‘Bd.R. x’’ in this One purpose of this final rule is to the Office’s failure to designate a new supplementary information. For ensure that the Board has adequate ground of rejection in either an example, a reference to Bd.R. 41.3 is a information to decide ex parte appeals examiner’s answer (final Bd.R. 41.40) or reference to 37 CFR 41.3 (2010) (as first on the merits, while not unduly in a Board decision (final Bd.R. published in 69 FR 50003 (August 12, burdening appellants or examiners with 41.50(c)). 2004)). unnecessary briefing requirements. In Another purpose of this final rule is Changes proposed in the NPRM are particular, the goal of this final rule is to reduce confusion as to which claims denominated as ‘‘proposed Bd.R. x’’ in to effect an overall lessening of the are on appeal. For example, under the this supplementary information. A burden on appellants and examiners to final rule, the Board will presume that reference to ‘‘proposed Bd.R. 41.30’’ is present an appeal to the Board. For the appeal is taken from the rejection of a reference to the proposed rule as set example, statements of the status of all claims under rejection unless forth in 75 FR 69828, 69846 (Nov. 15, claims, the status of amendments, and cancelled by an applicant’s amendment 2010). the grounds of rejection to be reviewed (final Bd.R. 41.31(c)). This rule Final rules are denominated as ‘‘final on appeal are no longer required in the simplifies practice for appellants who Bd.R. x’’ in this supplementary appeal brief (final Bd.R. 41.37) or in the seek review of all claims under information. A reference to final Bd.R. examiner’s answer. Similarly, the final rejection—the majority of appellants— x is a reference to the rule that will take rule no longer requires appellants to file by obviating the need to enumerate the effect on the effective date of this final an evidence appendix or a related rejected claims that are being appealed. rule. proceedings appendix (final Bd.R. Under the previous practice, if an The Board has jurisdiction to consider 41.37). Because much of this appellant incorrectly listed the claims and decide ex parte appeals in patent information is already available in the on appeal, or was silent in the brief as applications (including reissue, design Image File Wrapper, it is unnecessary to some of the claims under rejection, and plant patent applications) and ex for appellants or examiners to provide then the Office assumed that such parte reexamination proceedings.

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The final rule does not change any of incorporated into final Bd.R. 41.54, and thus does not fall within the ambit the rules relating to inter partes except that ‘‘transmittal of the file’’ has of final Bd.R. 41.12(d). reexamination appeals. Nor does the been omitted. Most patent application Subpart B final rule change any of the rules files are electronic files (Image File relating to contested cases. Wrapper files), not paper files. Definitions For purposes of the NPRM, some Accordingly, a paper file is no longer Bd.R. 41.30 is amended to add a paragraphs that were proposed to be ‘‘transmitted’’ to the examiner. The definition of ‘‘Record’’ so that, when deleted were shown as ‘‘reserved.’’ changes to final Rule 1.197 and final subsequent sections of Subpart B refer These ‘‘reserved’’ paragraphs have been Bd.R. 41.54 are intended to more to the ‘‘Record’’, it is clear what deleted entirely in the final rule, and the accurately reflect the fact that files are constitutes the official record on appeal. remaining paragraphs in each section handled electronically within the The final rule states that the official have been renumbered, as appropriate. Office, and do not imply that there record contains the items listed in the would be a change in the practice for Explanation of the Final Rule content listing of the Image File passing jurisdiction back to the Wrapper or the official file of the Office The notable changes to the rules are: examiner after decision by the Board— if other than the Image File Wrapper, (1) The Board will presume that an the process remains the same under the excluding any amendments, Evidence, appeal is taken from the rejection of all final rule. or other documents that were not claims under rejection unless cancelled Part 41 entered. Because an examiner’s refusal by an amendment filed by appellant to enter an amendment, Evidence, or Authority (final Bd.R. 41.31(c)); (2) the Board will other documents is a petitionable matter take jurisdiction upon the filing of a The listing of authority for Part 41 is that is not subject to review by the reply brief or the expiration of time in revised to add references to 35 U.S.C. Board, the exclusion of such un-entered which to file such a reply brief, 132, 133, 306, and 315. Section 132 documents from the definition of whichever is earlier (final Bd.R. states that the Director shall prescribe ‘‘Record’’ reflects the fact that the 41.35(a)); (3) the requirements to regulations to provide for the continued Board’s review of patentability include statements of the status of examination of applications for patent at determinations is properly based on the claims, status of amendments, and the request of the applicant. Section 133 record of all entered documents in the grounds of rejection to be reviewed on provides that upon failure of the file. An information disclosure appeal and the requirements to include applicant to prosecute the application statement or petition that is held in an evidence appendix and a related within six months after any action abeyance while the Board possesses proceedings appendix are eliminated therein, the application shall be jurisdiction over the proceeding is not from the appeal brief (final Bd.R. regarded as abandoned. Section 306 an entered document and therefore is 41.37(c)); (4) the Board may apply establishes the patent owner’s right to excluded from the definition of default assumptions if a brief omits a appeal in an ex parte reexamination ‘‘Record’’ until such time as it is statement of the real party-in-interest or proceeding. Section 315 establishes the entered. The definition of ‘‘Record’’ a statement of related cases (final Bd.R. right to appeal in an inter partes includes the items listed in the content 41.37(c)(1)(i) and (ii)); (5) for purposes reexamination proceeding. listing of the Image File Wrapper of the examiner’s answer, any rejection Subpart A because, in some cases, physical items that relies upon Evidence not relied that form part of the official file are not upon in the Office action from which Citation of Authority able to be scanned into the Image File the appeal is taken (as modified by any Bd.R. 41.12 is amended by deleting Wrapper and are maintained elsewhere, advisory action) shall be designated as the following requirements: (1) To cite such as in an artifact file. Some a new ground of rejection (final Bd.R. to particular case law reporters, and (2) examples of such items include original 41.39(a)(2)); (6) an appellant can await to include parallel citations to multiple drawings in design patent applications a decision on a petition seeking review reporter systems. Because members of and sequence listings. In such cases, the of an examiner’s failure to designate a the Board have access to both the West Image File Wrapper will include an rejection in the answer as a new ground Reporter System and the United States entry in the content listing that points of rejection prior to filing a reply brief Patents Quarterly, it is unnecessary for to this artifact file. The final rule further (final Bd.R. 41.40) and thereby avoid appellants to cite to both reporters. The clarifies that in the case of an issued having to file a request for extension of rule indicates a Board preference, not a patent being reissued or reexamined, the time in which to file the reply brief; and requirement, for citations to certain Record further includes the Record of (7) the examiner’s response to a reply reporters and for limited use of non- the patent being reissued or reexamined. brief is eliminated (final Bd.R. 41.43 binding authority. The requirement to The Office further notes that all [removed]). A more detailed discussion include pinpoint citations, whenever a references listed on an Information of the final rule follows. specific holding or portion of an Disclosure Statement (i.e., PTO–Form Further information relevant to authority is invoked, is retained. PTO/SB/08a or 08b), which have been particular rules appears in the analysis The final rule states that appellants indicated as having been considered by of comments portion of this final rule. should provide a copy of an authority if the examiner, or listed on a PTO–Form Part 1 the authority is not an authority of the 892 are included in the definition of Office and is not reproduced in the Record even if each of the so listed Termination of Proceedings United States Reports or the West references does not separately appear in Final Rule 1.197 revises the title of Reporter System. This provision is the content listing of the Image File this section and deletes paragraph (a), designed to ensure that a full record is Wrapper. the provision that sets forth when before the judges to allow an efficient Final Bd.R. 41.30 adopts the jurisdiction passes from the Board to the and timely decision to be made on the definition of ‘‘Evidence’’ from Black’s examiner after a decision has been merits of the case. A BPAI precedential Law Dictionary to provide clarity issued by the Board. The operative decision is binding on the Board and is regarding the use of that term in Subpart language of this paragraph has been considered an ‘‘authority of the Office’’ B. Toward that end, final Bd.R. 41.30

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makes clear that for the purposes of ex parte appeals and the rules governing Amendments and Affidavits or Other Subpart B, ‘‘Evidence’’ does not practice by registered practitioners Evidence After Appeal encompass dictionaries. Excluding before the Office. The title of Bd.R. 41.33 is revised by dictionaries from the definition of Bd.R. 41.31(c) is amended so that an replacing ‘‘evidence’’ with ‘‘Evidence’’ ‘‘Evidence’’ thus allows appellants to appeal, when taken, is presumed to seek to refer to the definition added in final refer to dictionaries in their briefs, review of all of the claims under Bd.R. 41.30. which would otherwise be precluded rejection unless claims are cancelled by Bd.R. 41.33(c) is revised to delete the under final Bd.R. 41.33(d)(2) (absent an amendment filed by the applicant cross-reference to Bd.R. 41.50(c). As existence of one of the enumerated and entered by the Office. This change noted infra, Bd.R. 41.50(c) is amended exceptions). It further allows examiners so that it is no longer applicable to final to refer to dictionaries in the examiner’s obviates the need for the majority of appellants who seek review of all claims Bd.R. 41.33(c). answers without automatically Bd.R. 41.33(d)(1) is revised to replace rendering a rejection a new ground under rejection to affirmatively state (in ‘‘evidence’’ with ‘‘Evidence’’ to refer to under final Bd.R. 41.39(a)(2). Treating the notice of appeal and/or in the status the definition added in final Bd.R. dictionaries in this manner is consistent of claims section of the appeal brief) 41.30. with Supreme Court and Federal Circuit which claims are on appeal. Rather, Bd.R. 41.33(d)(2) is revised to replace precedent, which contemplate that such under final Bd.R. 41.31(c), the Board ‘‘evidence’’ with ‘‘Evidence’’ to refer to materials may be consulted by tribunals presumes that an appellant intends to the definition added in final Bd.R. ‘‘at any time.’’ See, e.g., Nix v. Hedden, appeal all claims under rejection except 41.30. 149 U.S. 304, 307 (1893) (citations for those that have been cancelled. This Bd.R. 41.33 is not substantively omitted) (admitting dictionaries to change avoids the unintended changed except as to submission of understand the ordinary meaning of cancellation of claims by the Office due dictionaries after the date of filing an terms ‘‘not as evidence, but only as aids to an appellant’s mistake in the listing appeal. Both Bd.R. 41.33 and final Bd.R. to the memory and understanding of the of the claims in either the notice of court’’); Phillips v. AWH Corp., 415 F.3d appeal or in the appeal brief. Under 41.33 otherwise restrict the types of amendments and evidence that can be 1303, 1322–23 (Fed. Cir. 2005) (en banc) previous practice, if an appellant filed after the date of filing an appeal. (‘‘[J]udges are free to consult incorrectly listed the claims on appeal, This approach is designed to promote dictionaries and technical treatises at or was silent in the brief as to any of the efficiency of the Board in its review by any time in order to better understand claims under rejection, then the Office ensuring that the Board has the benefit the underlying technology and may also often assumed that such claims were not of the examiner’s final evaluation of the rely on dictionary definitions when on appeal, and noted that those non- weight and sufficiency of any evidence construing claim terms, so long as the appealed claims should be cancelled by relied upon by appellants prior to the dictionary definition does not contradict the examiner. Ex parte Ghuman, 88 Board rendering a decision on appeal. any definition found in or ascertained USPQ2d 1478, 2008 WL 2109842 (BPAI by a reading of the patent documents.’’) 2008) (precedential) (holding that when Jurisdiction Over Appeal (citation omitted); In re Boon, 439 F.2d appellant does not appeal some of the Bd.R. 41.35(a) is amended to add a 724, 727–28 (CCPA 1971) (holding claims under rejection and does not citation to dictionary was not heading and to provide that jurisdiction challenge the Examiner’s rejection of over the appeal passes to the Board tantamount to the assertion of a new these claims, the Board will treat these ground of rejection ‘‘where such a upon the filing of a reply brief or the claims as withdrawn from the appeal, expiration of the time in which to file reference is a standard work, cited only which operates as an authorization for to support a fact judicially noticed and, such a reply brief, whichever is earlier. the Examiner to cancel those claims This change is necessary because Bd.R. as here, the fact so noticed plays a from the application). The final rule minor role, serving only to fill in the 41.35(a) provides that the Board avoids potential unintended acquires jurisdiction upon transmittal of gaps which might exist in the cancellation of claims due to oversight evidentiary showing made by the the file to the Board. The large majority or mistake by appellants in listing the of patent application files are electronic Examiner to support a particular ground claims on appeal. This final rule for rejection.’’ (emphasis and internal files (Image File Wrapper files), not replaces the Office’s procedure under quotations omitted)). Thus, the Office paper files. Accordingly, in most cases Ghuman and simplifies practice for feels it is logical to permit the applicant a paper file is no longer ‘‘transmitted’’ examiners by no longer requiring and examiner to submit them to the to the Board. examiners to cancel non-appealed Board during the briefing stage. The Board intends to continue claims. Any appellant who wishes to sending a docket notice as a courtesy to Appeal to the Board appeal fewer than all rejected claims appellants to indicate that the Board has Bd.R. 41.31(a) is amended to add should file an amendment cancelling assigned an appeal number to the preamble language to make clear that an the non-appealed claims. If an appellant appeal. By having the Board’s appeal to the Board is taken by filing a does not file an amendment cancelling jurisdiction commence immediately notice of appeal. This change is not claims that the appellant does not wish upon the filing of a reply brief or the intended to change the current practice to appeal, but then also fails to provide expiration of the time in which to file of the Office. The Office continues to any argument in the appeal brief such a reply brief, the Board must take require appellants to file a notice of directed to those claims, then the Board no affirmative steps prior to assuming appeal in order to appeal an adverse has discretion to simply affirm any jurisdiction and no gap in time will decision of the examiner to the Board. rejections against such claims. See, e.g., exist from the end of the briefing to the Bd.R. 41.31(b) is amended to make Hyatt v. Dudas, 551 F.3d 1307, 1314 commencement of jurisdiction by the clear that the signature requirements of (Fed. Cir. 2008) (appellant waives any Board. Rules 1.33 and 11.18(a) do not apply to argument about a ground of rejection Bd.R. 41.35(b) is amended by moving the notice of appeal. This change adds that he or she does not contest on some text to final Bd.R. 41.35(e), adding a reference to Rule 11.18(a) to avoid any appeal to the Board, and the Board may a new paragraph, and by adding new conflict between the rules of practice in simply affirm the rejection). text to make clear when the Board’s

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jurisdiction ends so that no gaps in time paragraph (c)(1) contain exceptions that brief to contain an indication of the exist between the end of the Board’s may result in an appeal brief containing status of claims. jurisdiction and further action by the fewer than all items listed in paragraph Appeal Brief—Content of Appeal Brief— examiner. (c)(1). Bd.R. 41.37(c)(1) is further Status of Amendments [Deleted] Bd.R. 41.35(c) is amended to add a amended to correct the cross-references heading and a cross-reference to a in light of further changes to this Bd.R. 41.37(c)(1)(iv) is amended to relevant section of the rule. section, discussed infra. delete the requirement for the appeal Final Bd.R. 41.35(d) is added to brief to contain an indication of the provide that, except for petitions Appeal Brief—Content of Appeal Brief— status of amendments filed subsequent authorized by part 41 of this title, the Real Party in Interest to final rejection. Board will not return or remand an Bd.R. 41.37(c)(1)(i) is amended to Appeal Brief—Content of Appeal Brief— application for consideration of an provide that the statement identifying Summary of Claimed Subject Matter information disclosure statement or a the real party in interest should be petition filed while the Board possesses accurate as of the date of filing of the Bd.R. 41.37(c)(1)(v) is renumbered as jurisdiction, and that consideration of appeal brief. Bd.R. 41.37(c)(1)(i) is also final Bd.R. 41.37(c)(1)(iii) and is further such filings will be held in abeyance amended to allow the Board to assume amended to require that appellants until the Board’s jurisdiction ends. The that, if the statement of real party in provide a concise explanation of the Board’s jurisdiction begins upon the interest is omitted from the appeal brief, subject matter defined in each of ‘‘the filing of the reply brief or upon the then the named inventors are the real rejected independent claims’’ rather expiration of the time for filing a reply party in interest. This final rule states than ‘‘each of the independent claims brief. Therefore, under both Bd.R. that the Office ‘‘may’’ make the involved in the appeal.’’ Similarly, final 41.33(d)(2) and final Bd.R. 41.33(d)(2), assumption. Thus, the Office is not Bd.R. 41.37(c)(1)(iii) is amended to the filing of an information disclosure required to make the assumption if it is further require that the concise statement during the Board’s aware of information to the contrary. explanation identify the corresponding jurisdiction constitutes the introduction These changes are intended to decrease structure, material, or acts for each of untimely Evidence before the Board. the burden on appellants by allowing ‘‘rejected independent claim’’ when the Similarly, because Rule 1.181 provides appellants to omit this statement if the claim contains a means or step plus that petitions must be filed within two named inventors are the real party in function recitation as permitted by 35 months of the mailing date of the action interest. The purpose of this section is U.S.C. 112, sixth paragraph. Under final or notice from which relief is requested, to enable judges to determine whether Bd.R. 41.31(c), discussed supra, the and because the Board’s jurisdiction they have a conflict of interest with the Board will presume that all rejections begins up to two months after the real parties in the case and then to made in the Office Action from which mailing date of the examiner’s answer appropriately recuse themselves if such the appeal was taken are before it on (assuming no petition under Rule 1.181 a conflict of interest is found. The appeal, unless appellant cancels the is filed), it follows that all petitions information required in final Bd.R. claim(s) subject to a particular rejection. relating to the examination phase of the 41.37(c)(1)(i) is the minimum Final Bd.R. 41.37(c)(1)(iii) also application or reexamination information needed by the Board to maintains the requirement that the proceeding ought to be filed prior to the effectively make this determination. concise explanation identify the corresponding structure, material, or time the Board takes jurisdiction. It is in Appeal Brief—Content of Appeal Brief— acts for each dependent claim argued the interest of compact prosecution that Related Appeals and Interferences the Office not delay a decision on separately when the claim contains a appeal for consideration of untimely Bd.R. 41.37(c)(1)(ii) is amended to means or step plus function recitation as Evidence and petitions. Final Bd.R. limit the required disclosure of related permitted by 35 U.S.C. 112, sixth 41.35(d) excludes ‘‘petitions authorized appeals, interferences and judicial paragraph. by this part.’’ For example, petitions proceedings (collectively ‘‘related Final Bd.R. 41.37(c)(1)(iii) is further authorized by part 41 include petitions cases’’) to only those which: (1) Involve amended to require that the concise under Bd.R. 41.3 to the Chief an application or patent owned by the explanation refer to the specification ‘‘in Administrative Patent Judge. appellant or assignee, (2) are known to the Record’’ by page and line number Final Bd.R. 41.35(e) is added with a appellant, the appellant’s legal ‘‘or by paragraph number.’’ The change new heading and it contains the text representative, or assignee, and (3) may incorporates the definition of Record previously in Bd.R. 41.35(b). This be related to, directly affect or be from final Bd.R. 41.30 and makes clear provision gives the Board the authority directly affected by, or have a bearing on that reference to the specification by to return an appeal to the examiner if the Board’s decision. Bd.R. paragraph number in lieu of page and the Board deems that a file is not 41.37(c)(1)(ii) is also amended to allow line number is permissible. complete or is not in compliance with appellants to omit the statement entirely Additionally, final Bd.R. the requirements of Subpart B. if there are no such related cases, and 41.37(c)(1)(iii) is amended to clarify that to provide a default assumption for the reference to the pre-grant patent Appeal Brief—Timing and Fee; and Office in the event the statement is application publication is not sufficient Failure to File a Brief omitted, so that a statement that there to satisfy the requirements of the Bd.R. 41.37(a) and (b) are amended by are ‘‘no known related cases’’ is not summary of claimed subject matter. adding new headings. required and that fact ‘‘may’’ be inferred Appeal Brief—Content of Appeal Brief— from the absence of a statement. The Appeal Brief—Content of Appeal Brief— Grounds of Rejection to be Reviewed on final rule also no longer requires filing Preamble Appeal [Removed] of copies of decisions in related cases. Bd.R. 41.37(c)(1) is amended to add a Bd.R. 41.37(c)(1)(vi) which required heading, and to add the introductory Appeal Brief—Content of Appeal Brief— appellants to provide a statement of the phrase ‘‘Except as otherwise provided in Status of Claims [Deleted] grounds of rejection from the brief is this paragraph’’ to clarify that several of Bd.R. 41.37(c)(1)(iii) is amended to removed. Under final Bd.R. 41.31(c), the content requirements listed in delete the requirement for the appeal discussed supra, the Board will

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presume that all claims under rejection This language in the final rule is which the appeal is taken unless are before it on appeal, unless applicant substantially the same as in Bd.R. cancelled by an amendment filed by the cancels the claim(s) subject to a 41.37(c)(1)(vii), which states that ‘‘[a]ny applicant and entered by the Office. particular rejection. Under final Bd.R. arguments or authorities not included in Appeal Brief—Content of Appeal Brief— 41.39(a)(1), discussed infra, the the brief or a reply brief filed pursuant Evidence Appendix examiner’s answer is deemed to to § 41.41 will be refused consideration incorporate all of the grounds of by the Board, unless good cause is Bd.R. 41.37(c)(1)(ix), which required rejection set forth in the Office action shown.’’ Final Bd.R. 41.41, 41.47, and appellants to include an evidence from which the appeal is taken (as 41.52 have provisions allowing certain appendix with the brief, is deleted. modified by any advisory action and new arguments in reply briefs, at oral While it is no longer a requirement to pre-appeal brief conference decision), hearing, or in requests for rehearing include an evidence appendix, the unless the answer expressly withdraws which ensure that appellants have a full Office strongly encourages and a ground of rejection. Moreover, under and fair opportunity to be heard before appreciates receiving copies of the final Bd.R. 41.37(c)(1)(iv), discussed the Board. The final rule clarifies that evidence relied upon (e.g., copies of infra, the headings of the argument the Board’s right to refuse consideration declarations and affidavits, evidence of section of the brief shall reasonably of arguments not raised is ‘‘for purposes secondary considerations, etc.). This identify the ground of rejection being of the present appeal’’ so as to clarify ensures that the Board is considering contested. Therefore, it is unnecessary that such right of refusal does not the proper evidence and avoids any for the appeal brief to contain a separate extend to subsequent Board appeals in confusion as to the particular evidence statement of the grounds of rejection on the same or related applications. See referenced in the appeal brief. In the appeal. Abbott Labs. v. TorPharm, Inc., 300 F.3d alternative, the Board recommends that 1367, 1379 (Fed. Cir. 2002) appellants clearly identify in the appeal Appeal Brief—Content of Appeal Brief— (‘‘[P]recedent has long supported the brief the evidence relied upon using a Argument right of an applicant to file a clear description of the evidence along Bd.R. 41.37(c)(1)(vii) is renumbered as continuation application despite an with the date of entry of such evidence final Bd.R. 41.37(c)(1)(iv). Subparagraph unappealed adverse Board decision, and into the Image File Wrapper. (vii) is deleted. Final Bd.R. to have that application examined on Appeal Brief—Content of Appeal Brief— 41.37(c)(1)(iv) is amended to clarify that the merits. Where the Patent Office has Related Proceedings Appendix the argument section should specifically reconsidered its position on explain why the examiner erred as to patentability in light of new arguments Bd.R. 41.37(c)(1)(x), which required each ground of rejection contested by or evidence submitted by the applicant, appellants to include a related appellants. The final rule also provides the Office is not forbidden by principles proceedings appendix with the brief, is that, except as provided for in final of preclusion to allow previously deleted. Bd.R. 41.41, 41.47, and 41.52, any rejected claims.’’ (internal citation While it is no longer a requirement to arguments not included in the appeal omitted)). include a related proceedings appendix, brief will not be considered by the Final Bd.R. 41.37(c)(1)(iv) is also the Office appreciates receiving copies Board ‘‘for purposes of the present amended to clarify the proper use of of decisions or relevant papers from appeal.’’ Additionally, final Bd.R. headings and to require the use of related proceedings. This ensures that 41.37(c)(1)(iv) further requires that each subheadings in order to clearly set out the Board can efficiently consider the ground of rejection argued be set forth the ground of rejection and the specific related proceedings information. In the in a separate section with a heading that claims to which each argument alternative, the Board recommends that reasonably identifies the ground being presented applies. These headings and appellants clearly identify in the appeal argued therein. Further, the final rule subheadings will make certain that brief any decisions or relevant requires that any claim(s) argued arguments are not overlooked by the documents from related proceedings separately or as a subgroup be placed examiner or the Board. The content using a clear description of the related under a separate subheading that requirements of this paragraph will not proceeding, so that the Board can identifies the claim(s) by number. be interpreted as requiring verbatim quickly and efficiently obtain copies of The Board will treat as waived, for recitation of the ground being contested any such relevant documents. purposes of the present appeal, any and briefs will not be held non- arguments not raised by appellant. See compliant for minor formatting issues. Appeal Brief—New or Non-Admitted Hyatt v. Dudas, 551 F.3d 1307, 1313–14 Amendments or Evidence (Fed. Cir. 2008) (the Board may treat Appeal Brief—Content of Appeal Brief— Bd.R. 41.37(c)(2) is amended to add a arguments appellant failed to make for Claims Appendix sentence to make clear in the rule the a given ground of rejection as waived); Bd.R. 41.37(c)(1)(viii) is renumbered current Office procedure for review of In re Watts, 354 F.3d 1362, 1368 (Fed. as final Bd.R. 41.37(c)(1)(v). an examiner’s refusal to admit an Cir. 2004) (declining to consider the Subparagraph (viii) is deleted. Final amendment or Evidence by petition to appellant’s new argument regarding the Bd.R. 41.37(c)(1)(v) is identical to Bd.R. the Director under Rule 1.181. Final scope of a prior art patent when that 41.37(c)(1)(viii) and requires appellants Bd.R. 41.37(c)(2) further replaces argument was not raised before the to include a claims appendix with the instances of ‘‘evidence’’ with Board); and In re Schreiber, 128 F.3d appeal brief containing ‘‘a copy of the ‘‘Evidence’’ where appropriate to 1473, 1479 (Fed. Cir. 1997) (declining to claims involved in the appeal.’’ Because incorporate the definition of ‘‘Evidence’’ consider whether prior art cited in an final Bd.R. 41.31(c) requires the Board provided in final Bd.R. 41.30. obviousness rejection was non- to presume that all rejections made in analogous art when that argument was the Office Action from which the appeal Appeal Brief—Notice of Non- not raised before the Board). was taken are before it on appeal unless Compliance The final rule permits the Board to appellant cancels the claim(s) subject to Bd.R. 41.37(d) is amended to add a refuse to consider arguments not raised a particular rejection, the claims heading and to provide that under the in the appeal brief, except as provided appendix must include all claims under Office’s new streamlined procedure for in final Bd.R. 41.41, 41.47, and 41.52. rejection in the Office action from review of ex parte appeal briefs for

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compliance with the rule, review of a ‘‘evidence’’ with ‘‘Evidence’’ where rejection be designated as a new ground determination of non-compliant appeal appropriate to refer to ‘‘Evidence’’ as of rejection. If the citation of a new prior brief should be requested via a petition defined in final Bd.R. 41.30. Bd.R. art reference is necessary to support a to the Chief Administrative Patent Judge 41.39(b)(2) is further amended to rejection, it must be included in the under Bd.R. 41.3. replace the cross-reference to Bd.R. statement of rejection, which would be 41.37(c)(1)(vii) with a reference to final considered to introduce a new ground of Appeal Brief—Extensions of Time Bd.R. 41.37(c)(1)(iv) in light of the rejection. Even if the prior art reference Bd.R. 41.37(e) is amended to add a renumbering of paragraphs within final is cited to support the rejection in a heading. Bd.R. 41.37(c)(1). minor capacity, it should be positively Examiner’s Answer Final Bd.R. 41.39(b)(1) and (b)(2) included in the statement of rejection continue to provide appellants the and be designated as a new ground of Bd.R. 41.39(a) is amended to add a option to reopen prosecution or rejection. In re Hoch, 428 F.2d 1341, heading and preamble. maintain the appeal by filing a reply 1342 n.3 (CCPA 1970). Bd.R. 41.39(a)(1) is amended to brief to respond to the new ground of Relying on new Evidence, however, is provide that the examiner’s answer, by rejection. not the only way to trigger a new ground default, incorporates all the grounds of Bd.R. 41.39(c) is amended to add a of rejection in an examiner’s answer. A rejection set forth in the Office action heading. position or rationale that changes the which is the basis for the appeal, Content requirements for the ‘‘basic thrust of the rejection’’ will give including any modifications made via examiner’s answer are not included in rise to a new ground of rejection. In re advisory action or pre-appeal brief the rule, because the Office needs to Kronig, 539 F.2d 1300, 1303 (CCPA conference decision, except for any retain flexibility to add content 1976). However, the examiner need not grounds of rejection indicated by the requirements as needed by revision of use identical language in both the examiner as withdrawn in the answer. the MPEP. The Office plans to continue examiner’s answer and the Office action Bd.R. 41.39(a)(1) is also amended to to require that the examiner’s answer from which the appeal is taken to avoid delete the requirement that the answer contain a grounds of rejection section triggering a new ground of rejection. It include an explanation of the invention that would set forth any rejections that is not a new ground of rejection, for claimed and of the grounds of rejection, have been withdrawn and any new example, if the examiner’s answer since the Board will rely on appellant’s grounds of rejection, and the answer responds to appellant’s arguments using specification and summary of claimed would further be required to contain a different language, or restates the subject matter for an explanation of the response to the arguments section to reasoning of the rejection in a different invention claimed and will rely on the include any response the examiner has way, so long as the ‘‘basic thrust of the statement of the rejection(s) in the to arguments raised in the appeal brief. rejection’’ is the same. In re Kronig, 539 Office action from which the appeal is See MPEP § 1207.02. The answer would F.2d at 1303; see also In re Jung, 637 taken, as modified by advisory action or no longer be required to restate the F.3d 1356, 1364–65 (Fed. Cir. 2001) pre-appeal brief conference decision. In grounds of rejection being maintained. (additional explanation responding to light of the streamlined review of appeal The Board would instead rely on the arguments offered for the first time ‘‘did briefs for compliance with the rules, statement of the grounds of rejection in not change the rejection’’ and appellant Bd.R. 41.39(a)(1) is further amended to the Office action from which the appeal had fair opportunity to respond); In re delete the requirement for the primary was taken (as modified by any Noznick, 391 F.2d 946, 949 (CCPA examiner to make any determination subsequent advisory action or pre- 1968) (no new ground of rejection made that an appeal does not comply with the appeal brief conference decision). when ‘‘explaining to appellants why provisions of final Bd.R. 41.31 and The following discussion provides their arguments were ineffective to 41.37. guidance to appellants and examiners as overcome the rejection made by the Bd.R. 41.39(a)(2) is amended to to the Office’s view of what constitutes examiner’’); In re Krammes, 314 F.2d provide that if a rejection set forth in the a new ground of rejection. This 813, 817 (CCPA 1963) (‘‘It is well answer relies on any Evidence not relied discussion is for the limited ‘‘purposes established that mere difference in form on in the Office action from which the of the examiner’s answer,’’ as per final of expression of the reasons for finding appeal is taken, then the rejection must Bd.R. 41.39(a)(2). This discussion does claims unpatentable or unobvious over be designated as a new ground of not apply to final rejections under Rule the references does not amount to rejection, and any answer that contains 1.113. The reason for this distinction is reliance on a different ground of such a new ground of rejection must be that Rule 1.116 affords applicants the rejection.’’ (citations omitted)); In re approved by the Director. The Director opportunity to submit rebuttal evidence Cowles, 156 F.2d 551, 1241 (CCPA 1946) may choose to delegate this authority as after a final rejection but before or on (holding that the use of ‘‘different appropriate. Bd.R. 41.39(a)(2), as the same date of filing a notice of language’’ does not necessarily trigger a amended, refers to ‘‘Evidence’’ as appeal. An appellant’s ability to new ground of rejection). defined in final Bd.R. 41.30. introduce new evidence after the filing The following examples are intended Bd.R. 41.39(b) is amended to add a of an appeal is more limited under final to provide guidance as to what heading. Bd.R. 41.33(d) than it is prior to the constitutes a new ground of rejection in Bd.R. 41.39(b)(1) is amended to appeal. Thus, applicants are able to an examiner’s answer. What constitutes replace instances of ‘‘evidence’’ with present rebuttal evidence in response to a ‘‘new ground of rejection’’ is a highly ‘‘Evidence’’ where appropriate to refer a final rejection, while they are not fact-specific question. See, e.g., Kronig, to ‘‘Evidence’’ as defined in final Bd.R. permitted to do so in response to an 539 F.2d at 1303 (finding new ground 41.30. examiner’s answer on appeal, unless an entered based upon ‘‘facts of this case’’ Bd.R. 41.39(b)(2) is amended to move answer is designated as containing a and declining to find other cases the phrase ‘‘each new ground of new ground of rejection. controlling given ‘‘the distinctive facts rejection’’ to a different location in the If Evidence (such as a new prior art at bar’’); In re Ahlert, 424 F.2d 1088, sentence to increase the clarity of the reference) is applied or cited for the first 1092 (CCPA 1970) (‘‘[l]ooking at the sentence. Bd.R. 41.39(b)(2) is also time in an examiner’s answer, then final facts of this case, we are constrained to amended to replace instances of Bd.R. 41.39(a)(2) requires that the hold’’ that a new ground was entered).

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If a situation arises that does not fall obvious based on prior art that falls examiner’s rejection stated that the neatly within any of the following within or overlaps with the claimed claimed ‘‘sodium iodide’’ constituted examples, it is recommended that the range (see MPEP §§ 2131.03 and new matter because the specification examiner identify the example below 2144.05), and the rejection is based was alleged only to disclose ‘‘sodium.’’ that is most analogous to the situation upon range values calculated for the The Board affirmed the rejection, but at hand, keeping in mind that ‘‘the first time in the examiner’s answer, then did so on a ‘‘wholly different basis,’’ ultimate criterion of whether a rejection the rejection should be designated as a namely, that the specification failed to is considered ‘new’ * * * is whether new ground of rejection. For example, disclose the claimed ‘‘0.17 mg./cc.’’ appellants have had fair opportunity to in In re Kumar, 418 F.3d 1361 (Fed. Cir. volume limitation. Waymouth, 486 F.2d react to the thrust of the rejection.’’ 2005), the examiner rejected the claims at 1060. The court held that the Board’s Kronig, 539 F.2d at 1302. under § 103 based on overlapping rationale constituted a new ground of ranges of particle sizes and size rejection, ‘‘necessitating different Factual Situations That Constitute a distributions. The Board affirmed the responses by appellants.’’ Id. at 1061. New Ground of Rejection rejection, but included in its decision an Factual Situations That Do Not 1. Changing the statutory basis of appendix containing calculations to Constitute a New Ground of Rejection rejection from § 102 to § 103. If the support the prima facie case of examiner’s answer changes the statutory obviousness. The court held the Board’s 1. Citing a different portion of a basis of the rejection from § 102 to § 103, reliance upon those values to constitute reference to elaborate upon that which then the rejection should be designated a new ground of rejection, stating that has been cited previously. If the as a new ground of rejection. For ‘‘the Board found facts not found by the examiner’s answer cites a different example, in In re Hughes, 345 F.2d 184 examiner regarding the differences portion of an applied reference which (CCPA 1965), the Board affirmed an between the prior art and the claimed goes no farther than, and merely examiner’s rejection under § 102 over a invention, which in fairness required an elaborates upon, what is taught in the single reference. On appeal, the opportunity for response.’’ Kumar, 418 previously cited portion of that Solicitor argued that the Board’s F.3d at 1368 (citation omitted). reference, then the rejection does not decision should be sustained under 4. Citing new structure in support of constitute a new ground of rejection. For § 103 over that same reference. The structural obviousness. If, in support of example, in In re DBC, 545 F.3d 1373 court declined to sustain the rejection an obviousness rejection based on close (Fed. Cir. 2008), the examiner rejected under § 103, holding that a change in structural similarity (see MPEP the claims under § 103 over a the statutory basis of rejection would § 2144.09), the examiner’s answer relies combination of references, including the constitute a new ground of rejection, on a different structure than the one on English translation of the abstract for a and observed that ‘‘the issues arising which the examiner previously relied, Japanese patent. The examiner cited the under the two sections [§§ 102 and 103] then the rejection should be designated English abstract for two claim may be vastly different, and may call for as a new ground of rejection. For limitations: (1) Mangosteen rind, and (2) the production and introduction of quite example, in In re Wiechert, 370 F.2d 927 fruit or vegetable juice. The Board different types of evidence.’’ Hughes, (CCPA 1967), the examiner rejected affirmed the rejection under § 103 over 345 F.2d at 186–87. claims to a chemical composition under the same references, but instead of 2. Changing the statutory basis of § 103 based on the composition’s citing the abstract, the Board cited an rejection from § 103 to § 102, based on structural similarity to a prior art Example on page 16 of the English a different teaching. If the examiner’s compound disclosed in a reference. The translation of the Japanese reference, answer changes the statutory basis of Board affirmed the rejection under § 103 which was not before the examiner. the rejection from § 103 to § 102, and over that same reference, but did so DBC, 545 F.3d at 1381. Importantly, the relies on a different portion of a based on a different compound than the Board cited the Example for the same reference which goes beyond the scope one the examiner cited. The court held two claim limitations taught in the of the portion that was previously relied that the Board’s decision constituted a abstract, and the Example merely upon, then the rejection should be new ground of rejection, stating, ‘‘Under elaborated upon the medicinal qualities designated as a new ground of rejection. such circumstances, we conclude that of the mangosteen rind (which For example, in In re Echerd, 471 F.2d when a rejection is factually based on an medicinal qualities were not claimed) 632 (CCPA 1973), the examiner rejected entirely different portion of an existing and taught orange juice as the preferred the claims under § 103 over a reference the appellant should be fruit juice (while the claim merely combination of two references. The afforded an opportunity to make a recited fruit or vegetable juice). Hence, Board then changed the ground of showing of unobviousness vis-a-vis the Example merely provided a more rejection to § 102 over one of those such portion of the reference.’’ specific disclosure of the same two references, relying on a different portion Wiechert, 370 F.2d at 933. generic limitations that were fully of that reference for some claim 5. Pointing to a different portion of the taught by the abstract. The court held limitations, and asserted that the claim to maintain a ‘‘new matter’’ that this did not constitute a new remaining claim limitations were rejection. If, in support of a claim ground of rejection because ‘‘the inherently present in that reference. The rejection under 35 U.S.C. 112, first example in the translation goes no court held that the Board’s affirmance paragraph, based on new matter (see farther than, and merely elaborates constituted a new ground of rejection. MPEP § 2163.06), a different feature or upon, what is taught by the abstract.’’ Echerd, 471 F.2d at 635 (‘‘[A]ppellants aspect of the rejected claim is believed DBC, 545 F.3d at 1382 n.5. should have been accorded an to constitute new matter, then the 2. Changing the statutory basis of opportunity to present rebuttal evidence rejection should be designated as a new rejection from § 103 to § 102, but relying as to the new assumptions of inherent ground of rejection. For example, in In on the same teachings. If the examiner’s characteristics. * * *’’ (citation re Waymouth, 486 F.2d 1058 (CCPA answer changes the statutory basis of omitted)). 1973), the claims included the the rejection from § 103 to § 102, and 3. Citing new calculations in support limitation ‘‘said sodium iodide * * * relies on the same teachings of the of overlapping ranges. If a claim reciting present in amount of at least 0.17 remaining reference to support the § 102 a range is rejected as anticipated or mg./cc. of said arc tube volume.’’ The rejection, then the rejection does not

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constitute a new ground of rejection. For rejection as to some of the rejected only arguments, the filing of a petition example, in In re May, 574 F.2d 1082 claims as ‘‘Seyfried in view of Foret,’’ under Rule 1.181 would not be (CCPA 1978), a claim directed to a but relied on the same teachings of necessary because appellant may submit genus of chemical compounds was Seyfried and Foret on which the the arguments in a reply brief. rejected under § 103 over a combination examiner relied. The court held that this Final Bd.R. 41.40(a) provides that any of references. The primary reference did not constitute a new ground of such petition under Rule 1.181 must be disclosed a species that fell within the rejection. Cowles, 156 F.2d at 554. See filed within two months from the entry claimed genus. Both the examiner and also In re Krammes, 314 F.2d 813, 816– of the examiner’s answer and prior to the Board cited the species to reject the 17 (CCPA 1963) (holding that a different the filing of a reply brief. claim under § 103. The court affirmed ‘‘order of combining the references’’ did Final Bd.R. 41.40(b) provides that a the rejection, but did so under § 102, not constitute a new ground of rejection decision granting such a Rule 1.181 stating that ‘‘lack of novelty is the because each reference was cited for the petition requires appellants to file a epitome of obviousness.’’ May, 574 F.2d ‘‘same teaching’’ previously cited). reply under Rule 1.111 within two at 1089 (citing In re Pearson, 494 F.2d 5. Considering, in order to respond to months from the date of the decision to 1399, 1402 (CCPA 1974)). Because the applicant’s arguments, other portions of reopen prosecution. If appellant fails to court relied on the same prior art a reference submitted by the applicant. species as both the examiner and Board, If an applicant submits a new reference timely file a reply, then the appeal will the court held that this did not to argue, for example, that the prior art be dismissed. constitute a new ground of rejection. ‘‘teaches away’’ from the claimed Final Bd.R. 41.40(c) provides that a May, 574 F.2d at 1089. invention (see MPEP § 2145), and the decision refusing to grant such a Rule 3. Relying on fewer than all references examiner’s answer points to portions of 1.181 petition allows appellants a two- in support of a § 103 rejection, but that same reference to counter the month time period in which to file a relying on the same teachings. If the argument, then the rejection does not single reply brief under final Bd.R. examiner’s answer removes one or more constitute a new ground of rejection. In 41.41. references from the statement of In re Hedges, 783 F.2d 1038 (Fed. Cir. Final Bd.R. 41.40(d) provides that if a rejection under § 103, and relies on the 1986), the claimed invention was reply brief is filed prior to a decision on same teachings of the remaining directed to a process for sulfonating the Rule 1.181 petition, then the filing references to support the § 103 rejection, diphenyl sulfone at a temperature above of the reply brief acts to withdraw the then the rejection does not constitute a 127° C. Id. at 1039. The examiner petition and maintain the appeal. new ground of rejection. For example, rejected the claims under § 103 over a Jurisdiction passes to the Board upon in In re Kronig, 539 F.2d 1300, 1302 single reference. The applicant the filing of the reply brief, and the (CCPA 1976), the examiner rejected the submitted three additional references as petition under Rule 1.181 will not be claims under § 103 over four references. evidence that the prior art teaches away decided on the merits. ° The Board affirmed the rejection under from performing sulfonation above 127 Final Bd.R. 41.40(e) provides that the § 103, but limited its discussion to three C, citing portions of those references time periods described in this section of the references applied by the which taught lower temperature are not extendable under Rule 1.136(a) examiner. Id. The Board relied upon the reactions. The Board affirmed the and appellant must seek any extensions references for the same teachings as did rejection, finding the applicant’s of time under the provisions of Rules the examiner. The court held that this evidence unpersuasive. On appeal, the 1.136(b) and 1.550(c) for extensions of did not constitute a new ground of Solicitor responded to the applicant’s time to reply for patent applications and rejection. Kronig, 539 F.2d at 1303 ‘‘teaching away’’ argument by pointing ex parte reexaminations, respectively. (‘‘Having compared the rationale of the to other portions of those same rejection advanced by the examiner and references which, contrary to Final Bd.R. 41.40 provides the proper the board on this record, we are applicant’s argument, disclosed manner for appellants to address a convinced that the basic thrust of the reactions occurring above 127° C. The situation where an appellant believes rejection at the examiner and board court held that this did not constitute a that an examiner’s answer contains an level was the same.’’). See also In re new ground of rejection because ‘‘[t]he undesignated new ground of rejection. Bush, 296 F.2d 491, 495–96 (CCPA Solicitor has done no more than search The rule does not create a new right of 1961) (Examiner rejected claims 28 and the references of record for disclosures petition—appellants have always had 29 under § 103 based upon ‘‘Whitney in pertinent to the same arguments for the opportunity to file a petition under view of Harth;’’ Board did not enter new which [applicant] cited the references.’’ Rule 1.181 if an appellant felt that the ground of rejection by relying only on Hedges, 783 F.2d at 1039–40. examiner’s answer contained a new Whitney). ground of rejection not so designated. 4. Changing the order of references in Tolling of Time Period To File a Reply This final rule merely lays out the the statement of rejection, but relying on Brief process to better enable appellants to the same teachings of those references. Final Bd.R. 41.40 sets forth the address such concerns. The final rule If the examiner’s answer changes the exclusive procedure for an appellant to also now tolls the time period for filing order of references in the statement of request review of the primary a reply brief, so appellants can avoid the rejection under § 103, and relies on the examiner’s failure to designate a cost of preparing and filing a reply brief same teachings of those references to rejection as a new ground of rejection prior to the petition being decided, and support the § 103 rejection, then the via a petition to the Director under Rule can avoid the cost altogether if the rejection does not constitute a new 1.181. This procedure should be used if petition is granted and prosecution is ground of rejection. For example, in In an appellant feels an answer includes a reopened. Similarly, the tolling re Cowles, 156 F.2d 551, 552 (CCPA new ground of rejection that has not provision will spare examiners the 1946), the examiner rejected the claims been designated as such and wishes to burden of having to act on appellants’ under § 103 over ‘‘Foret in view of reopen prosecution so that new requests under Rule 1.136(b) for either Preleuthner or Seyfried.’’ The amendments or evidence may be extension of the two-month time period Board affirmed the rejection under submitted in response to the rejection. for filing a reply brief while the Rule § 103, but styled the statement of However, if appellant wishes to submit 1.181 petition is being decided.

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Reply Brief incorporate the definition provided in permitted in a request for rehearing for Bd.R. 41.41(a) is amended to add a final Bd.R. 41.30. Bd.R. 41.50(a)(2)(i) is appellants seeking to have the Board heading and to clarify that appellants further amended by replacing designate its decision as containing a may file only one reply brief and that ‘‘supplemental’’ with ‘‘substitute’’ new ground of rejection that has not such a reply brief must be filed within examiner’s answer. been so designated. Bd.R. 41.50(b) is amended by adding the later of two months of either the Thus, the final rule provides a heading and is further amended to examiner’s answer or a decision appellants with a mechanism to address clarify the Board’s authority to enter a refusing to grant a petition under Rule Board decisions containing new new ground of rejection. Bd.R. 1.181 to designate a new ground of grounds of rejection through a request rejection in an examiner’s answer. 41.50(b)(1) is amended by incorporating the definitions of ‘‘Record’’ and for rehearing, whether or not designated Bd.R. 41.41(b) is amended to add a as such in a Board decision. Final Bd.R. heading and subsections, and to delete ‘‘Evidence’’ provided in final Bd.R. 41.30, and by clarifying the language of 41.52(a)(3) allows for new arguments in the provision that a reply brief which is a request for rehearing responding to the not in compliance with the provisions the rule. Bd.R. 41.50(b)(2) is amended to incorporate the definition of ‘‘Record’’ merits of a new ground of rejection of the remainder of final Bd.R. 41.41 designated as such, and final Bd.R. will not be considered by the Board. as provided for in final Bd.R. 41.30. 41.52(a)(4) allows for new arguments in Specifically, final Bd.R. 41.41(b)(1) is Bd.R. 41.50(c) is amended by a request for rehearing to argue that the added, which prohibits a reply brief removing the Board’s power to suggest Board’s decision contains an from including new or non-admitted in a decision how a claim may be amendments or Evidence, which is the amended to overcome a rejection and by undesignated new ground of rejection. If same language as in Bd.R. 41.41(a)(2). adding new language to the rule such a request for rehearing under final Final Bd.R. 41.41(b) refers to explaining the procedure by which Bd.R. 41.52(a)(4) is granted, then the ‘‘Evidence’’ as defined in final Bd.R. appellants can seek review of a panel’s Board would modify its original 41.30. Final Bd.R. 41.41(b)(2) is also failure to designate a decision as decision to designate the decision as added, which provides that any containing a new ground of rejection. containing a new ground of rejection arguments which were not raised in the The final rule provides that review of under final Bd.R. 41.50(b) and provide appeal brief or are not made in response decisions which appellants believe appellants with the option to either to arguments raised in the answer will contain a new ground of rejection reopen prosecution under final Bd.R. not be considered by the Board, absent should be requested through a request 41.50(b)(1) or request rehearing on the a showing of good cause. The final rule for rehearing consistent with the merits of the designated new ground of allows new arguments in the reply brief provisions of final Bd.R. 41.52. rejection under final Bd.R. 41.50(b)(2). that are responsive to arguments raised Bd.R. 41.50(d) is amended to add a The final Bd.R. 41.52(b) does not in the examiner’s answer, including any heading, and to delete the ‘‘non- modify Bd.R. 41.52(b). designated new ground of rejection. extendable’’ limitation on the response Bd.R. 41.41(c) is amended to add a time period. Action following decision heading. Bd.R. 41.50(e) is amended to add a heading. Bd.R. 41.54 is amended to specifically Examiner’s Response to Reply Brief Bd.R. 41.50(f) is amended to add a state that jurisdiction over an Bd.R. 41.43 is deleted. heading. application or a patent under ex parte reexamination passes to the examiner Rehearing Oral Hearing after a decision on appeal is issued by Bd.R. 41.47 is amended by removing Bd.R. 41.52(a)(1) is amended to add the Board. This revision to the language references to the supplemental cross-references to relevant sections of incorporates the language of Rule examiner’s answer in paragraphs (b) and the rule and to clarify that arguments 1.197(a), which is deleted from the final (e)(1), as the final rule does not allow for which are not raised and Evidence rule. By incorporating the language of supplemental examiner’s answers. Bd.R. which was not previously relied upon Rule 1.197(a) into final Bd.R. 41.54, the 41.47(b) is further amended to change are not permitted in the request for rule for passing jurisdiction back to the the time period in which a request for rehearing, except as provided in the examiner after decision by the Board is oral hearing is due to take into account remainder of final Bd.R. 41.52(a). Bd.R. not substantively changed from the the potential for the time period for 41.52(a)(1) is further amended to previous practice. filing a reply brief to be tolled under incorporate the definition of ‘‘Evidence’’ final Bd.R. 41.40. Bd.R. 41.47(e)(1) is provided in final Bd.R. 41.30. Differences Between the Final Rule and further amended to replace instances of Bd.R. 41.52(a)(2) is amended to delete the Proposed Rule ‘‘evidence’’ with ‘‘Evidence’’ to the requirement for appellants to make Several changes have been made to incorporate the definition provided in a showing of good cause to present new the rule as proposed in the NPRM. final Bd.R. 41.30. arguments based on a recent relevant decision of the Board or the Federal Because some of these changes add Decisions and Other Actions by the Circuit. It is the Office’s position that a briefing requirements to the appeal brief Board new argument based on a recent that the Office had proposed to remove Bd.R. 41.50(a)(1) is amended by relevant decision would inherently in the NPRM, the estimate of the burden adding a heading. make a showing of good cause. on applicants to produce the appeal Bd.R. 41.50(a)(2) is amended by Bd.R. 41.52(a)(3) is amended to brief has also changed. The Office allowing the examiner to write a change the word ‘‘made’’ to previously estimated that the rules ‘‘substitute’’ examiner’s answer in ‘‘designated’’ to clarify that new proposed in the NPRM would reduce an response to a remand by the Board for arguments are permitted in response to applicant’s paperwork burden from further consideration of a rejection. a new ground of rejection designated as 34 hours to 31 hours. The Office Bd.R. 41.50(a)(2)(i) and 41.50(a)(2)(ii) such in the Board’s opinion. estimates that the Final Rule will reduce are amended by replacing instances of Final Bd.R. 41.52(a)(4) is added to the paperwork burden from 34 hours to ‘‘evidence’’ with ‘‘Evidence’’ to make clear that new arguments are 32 hours.

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Response to Comments adopted. The USPTO takes this claims under rejection unless cancelled The Office published a notice of opportunity to note that 35 U.S.C. 42(d) by applicant’s amendment, and two proposed rulemaking proposing changes authorizes the USPTO to refund ‘‘any comments were opposed. One comment to the rules of practice before the Board fee paid by mistake or any amount paid opposed to proposed Bd.R. 41.31(c) suggested that claims declared cancelled of Patent Appeals and Interferences in in excess of that required.’’ If an for purposes of the appeal be ex parte appeals. See Rules of Practice applicant chooses to file a notice of automatically reinstated if prosecution Before the Board of Patent Appeals and appeal and an appeal brief with the is reopened by the examiner. Interferences in Ex Parte Appeals; accompanying fees, and the case does not reach the Board for a decision, Response: The USPTO declines to Notice of proposed rulemaking, 75 FR adopt the suggested change to the 69828 (Nov. 15, 2010) (NPRM). The either through actions taken by the examiner or applicant, then the appeal proposed rule. If an applicant chooses to Office received comments from six cancel a claim to avoid appeal of that intellectual property organizations, four fees have not been paid by mistake or in excess of that required, and the claim rejection, the claim remains corporations and foundations, three law cancelled. Nothing in this rule prohibits firms, and 21 individuals in response to USPTO lacks statutory authority to refund these appeal fees. applicants from adding back these this notice. The Office’s responses to the cancelled claims by amendment should comments follow. Bd.R. 41.30 prosecution be reopened. Eight entities submitted written Comment 4: Two comments opposed Comment 8: Another comment comments solely to express the view the proposed definition of ‘‘Record’’ opposed to Bd.R. 41.31(c) proposed that that they are wholeheartedly in favor of because it did not address file wrappers the USPTO allow appellants to appeal the changes to the rules as proposed in of older cases that are still maintained less than all of the claims, and that the NPRM. In light of all of the in paper format. allowing the USPTO to cancel or deem comments received, the USPTO has Response: The USPTO creates an claims cancelled or requiring decided not to adopt a few of the Image File Wrapper for any appeal to cancellation as a quid pro quo for changes proposed in the NPRM and to the Board that does not yet have one. appeal is ultra vires. adopt a few other proposed changes Further, the definition of ‘‘Record’’ in Response: It has long been USPTO with slight clarification to the language final Bd.R. 41.30 addresses a situation practice that an appellant must either used to make the rule clearer. On where the official file of the Office is appeal from the rejection of all the balance, however, the rule changes other than an Image File Wrapper. rejected claims or cancel those claims proposed in the NPRM are being not being appealed. See In re Benjamin, adopted substantially as proposed. Bd.R. 41.31 1903 Dec. Comm. Pat. 132, 134 (1903). Bd.R. 41.12 Comment 5: One comment requested Final Bd. R. 41.31(c) merely states that clarification of the term ‘‘twice rejected’’ an appeal is presumed to be taken from Comment 1: Two comments favored as used in paragraph (a) of this section the rejection of all rejected claims that extending the list of preferred citations because MPEP § 1204 is allegedly have not been cancelled. Nothing in the to include other sources, such as United narrower than the majority Board rule would require applicants, as a quid States Patent Quarterly, LEXIS, and decision in Ex Parte Lemoine, 46 pro quo for appeal, to cancel claims. Pacer. Two other comments favored the USPQ2d 1420 (BPAI 1994). Should an applicant desire to appeal proposed rule changes. Response: This comment is beyond less than all the rejected claims without Response: The USPTO declines to the scope of the NPRM. Bd.R. 41.31 rule actually cancelling the claims, applicant adopt the suggestion to extend the list uses the same ‘‘twice rejected’’ may simply say nothing as to the claims of preferred citations to other sources. language. No change will be made to applicant does not wish to appeal and This rule merely indicates to the public paragraph (a) as a result of this the Board may simply affirm the which citation sources are ‘‘preferred’’ comment. rejection of those claims. by the Board but it does not require Comment 6: One comment was in Comment 9: One comment suggested appellants to cite to any one particular favor of the proposed retention of the that the proposed revision to Bd.R. source. provision in paragraph (b) allowing a 41.31(c) violates the Paperwork Comment 2: One comment suggested notice of appeal to be filed without a Reduction Act because the commenter that paragraph (d) should be amended to signature. Another comment suggested claimed the Office had not stated the make clear that appellants are not that paragraph (b) be revised to cite utility to be gained by presuming required to provide copies of the BPAI’s more specifically to Rule 1.33(b). applicants are appealing all rejected own precedential decisions. Response: The USPTO declines to claims. Additionally, the commenter Response: A BPAI precedential make this change to the rule. Final Bd.R. suggested that a better solution would decision is binding on the Board and is 41.31(b) applies to ex parte appeals in be to allow the appellant to appeal some considered an ‘‘authority of the Office’’ both applications and reexamination claims and leave some claims rejected and thus does not fall within the ambit proceedings. Rule 1.33(b) applies only and pending. of paragraph (d). As such, the rule does to amendments and other papers filed in Response: The NPRM explains that not require appellants to submit a copy an application, while Rule 1.33(c) the change to Bd.R. 41.31(c) will save of a BPAI precedential decision. applies to amendments and other papers time and paperwork for the ‘‘majority of filed in a reexamination proceeding on appellants who seek review of all claims Bd.R. 41.20 behalf of the patent owner. As such, the under rejection’’ by eliminating the Comment 3: While no change was USPTO will retain the rule as proposed requirement that each claim on appeal proposed to this section of the rule, one with the more general reference to Rule be listed in the notice of appeal. See 75 comment was submitted suggesting that 1.33 to encompass both types of FR 69828–01, 2010 WL 4568003, at the USPTO should not charge fees for appeals. *69831 (Dep’t of Commerce Nov. 15, appeals that do not reach the BPAI for Comment 7: Three comments were in 2010). The NPRM further explains that decision. favor of the proposal in Bd.R. 41.31(c) the utility of this change is in Response: The suggestion is beyond that an appeal, when taken, is presumed ‘‘avoid[ing] the unintended cancellation the scope of the NPRM and will not be to be taken from the rejection of all of claims by the Office due to an

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appellant’s mistake in the listing of the Board will require appellant to file a allow examiners to cite to a dictionary claims in either the notice of the appeal substitute brief. for the first time in the examiner’s or in the appeal brief.’’ Id. Furthermore, Comment 13: Four comments answer without such citation the Office rejects the commenter’s opposed the rule in Bd.R. 41.33(d) automatically resulting in a new ground suggestion of allowing some claims to restricting affidavits or other evidence of rejection under final Bd.R. remain pending. Allowing such a filed after the date of filing an appeal. 41.39(a)(2). The USPTO will determine piecemeal approach to appeals would One comment suggested allowing based on controlling case law and the greatly decrease the efficiency of the appellants, with the payment of an facts of each case whether citation to a patent prosecution process. additional fee, to file rebuttal evidence dictionary in the examiner’s answer or Comment 10: One comment requested with an appeal brief. a Board decision constitutes a new clarification on the portion of Bd.R. Response: In response to the ground of rejection. The USPTO notes 41.31(c) that states, ‘‘Questions relating comments opposed to any restrictions that its rules are designed so that the to matters not affecting the merits of the on the amendments and evidence that scope of admissible evidence that can be invention may be required to be settled appellants can file after final and/or on submitted by the applicant narrows as before an appeal can be considered’’ or after the filing of a brief, the USPTO the application progresses toward because it is not clear whether this declines to make any additional changes appeal. In particular, the scope of sentence would apply to questions to the rule. Final Bd.R. 41.33(d) is admissible evidence narrows after created by the examiner, the appellant virtually identical to Bd.R. 41.33(d), the mailing of a final rejection, and then or the Board, or by all three. only changes being to incorporate the narrows further after applicant files a Response: This comment is beyond definition of Evidence from final Bd.R. notice of appeal, and then narrows even the scope of the NPRM. This language 41.30. The USPTO rules provide further after appellant files an appeal appellants with mechanisms for is in the 2004 version of Bd.R. 41.31(c), brief. Compare 37 CFR 1.116(e), introduction of new evidence and and the proposed rule making did not 41.33(d)(1), and 41.33(d)(2). To ensure amendments through petitions to propose any changes to this portion of that the USPTO is consistent in its challenge the finality of a rejection, the rule. treatment of dictionaries and is not petitions to challenge whether an Comment 11: One comment suggested more restrictive regarding admission of answer contains an undesignated new dictionaries in after-final practice than adding a provision to Bd.R. 41.31(c) to ground of rejection, and/or through address appeals filed while petitions on appeal under final Bd.R. 41.33(d), request for continued examination the USPTO will not treat dictionaries as under Rule 1.181 are pending, (RCE) practice. The available specifically that the Chief Judge be able ‘‘evidence’’ for purposes of Rule mechanisms provide appellants with a 1.116(e). However, the Office to decide if the appeal can proceed full and fair opportunity to present encourages applicants and examiners to without the petition being decided or a amendments and/or evidence so that the cite dictionaries early in the prosecution procedure for expediting the petition examiner can first consider them prior to aid in narrowing, and possibly decisions where that decision is to the case reaching the Board for resolving, issues before the appeal stage. necessary prior to decision on appeal. review. The Board’s main purpose is to Response: This comment is beyond review adverse decisions of examiners. Bd.R. 41.35 the scope of the NPRM. The language in The Board’s review is not a continuation Comment 15: One comment suggested the last sentence of paragraph (c) is in of the initial examination of a case. To that the Board take jurisdiction earlier the 2004 version of Bd.R. 41.31(c), and ensure that the Board reviews a than proposed in Bd.R. 41.35(a), i.e., at the proposed rulemaking did not complete record that has been fully the time of filing of the notice of appeal. propose any changes to this portion of considered first by the examiner, the Response: The USPTO declines to the rule. USPTO will maintain this rule as adopt this suggestion. Since examiners Bd.R. 41.33 proposed, except to add back in a cross- may choose to reopen prosecution or reference to final Bd.R. 41.50(a)(2)(i) allow applications after the filing of a Comment 12: One comment requested and to replace instances of ‘‘evidence’’ notice of appeal, changing the Board’s clarification stating that the limitations with ‘‘Evidence’’ so as to incorporate the jurisdiction to the point at which a in Bd.R. 41.37(c)(2) and Bd.R. definition provided in final Bd.R. 41.30. notice of appeal is filed would foreclose 41.41(b)(1) to preclude entry of a ‘‘new’’ Comment 14: One comment proposed the examiner’s options and could result or ‘‘non-admitted’’ amendments would that Bd.R. 41.33(d) be amended to allow in applicants unnecessarily going potentially bar submission of items appellants to reference encyclopedia or through a costly and lengthy appeal otherwise permitted under Bd.R. 41.33. dictionary definitions in the brief process. Response: Final Bd.R. 41.37(c)(2) and because these are materials that may be Comment 16: Two comments final Bd.R. 41.41(b)(1) are intended to judicially or officially noticed without suggested that the Board take preclude reliance on new or non- being formally admitted into evidence. jurisdiction later, i.e., after the examiner admitted amendments that are not Response: The USPTO agrees that has had an opportunity to consider the otherwise admitted by the examiner dictionaries can be judicially noticed reply brief, to allow for the instance under final Bd.R. 41.33. If the examiner without being formally admitted into where the examiner would find some or enters an amendment under final Bd.R. evidence and thus adopts a definition of all of the claims patentable in light of 41.33, appellant may rely on that ‘‘Evidence’’ in final Bd.R. 41.30 for this the reply brief. amendment in the briefs. If the subpart that excludes dictionaries from Response: USPTO data for the past amendment is filed concurrently with a this definition. This exclusion allows ten years (FY 2001–FY 2010) shows that brief, and if it complies with final Bd.R. appellants to submit dictionaries for the examiners allow applications in 41.33, then appellant may refer to the first time in an appeal brief, or for the approximately 1% of all appeals and amendment in the brief even prior to the first time in a reply brief if the reopen prosecution in approximately examiner rendering a decision on arguments pertaining thereto are 1% of all appeals after the filing of a whether to admit the amendment. responsive to an argument raised in the reply brief. It is most often the case that Should the examiner subsequently examiner’s answer or if good cause is once the examiner has held an appeal refuse to enter the amendment, then the shown. This exclusion will likewise conference on the case and prepared an

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examiner’s answer, the examiner simply Comment 19: One comment opposed amendment under proposed Bd.R. acknowledges and enters the reply brief Bd.R. 41.35(c) because, though the 41.37(c)(1)(iv). and the appeal proceeds to the Board for proposed rule removed the ability of the Response: The USPTO agrees with the review and decision. Meanwhile, Board to remand appeals, as the Director comments suggesting requiring pro se USPTO data shows over the same time can delegate the authority to remand, appellants to provide the same period that in those cases where the this rule would not remedy the problem information as other appellants examiner simply acknowledged and created by remands, i.e., that examiners regarding the claims on appeal. For entered the reply brief, the average can unduly draw out prosecution and reasons discussed below, the USPTO pendency from the filing of a reply brief not do a complete examination the first has decided to maintain the requirement to the time the examiner acknowledged time around. The comment proposed for a claims appendix in lieu of the and entered the reply brief was 55 days. that remands take place only at the statement of last entered amendment. As such, the advantage in shorter appellant’s request. As such, the final rule requires all pendency received by all appellants Response: The rule provides for the appellants, including pro se appellants, from the Board taking jurisdiction upon Director to sua sponte order a to provide a claims appendix. filing a reply brief—at which point, the proceeding remanded to the examiner Comment 25: One comment requested examiner has held an appeal conference prior to entry of a decision on the clarification as to whether pro se on the case and prepared an examiner’s appeal by the Board. The USPTO appellants must comply with all the answer—outweighs, in the view of the declines to adopt the suggestion to requirements, but only substantially as USPTO, the advantage gained in those change the rule to strip this power from to some, or whether the pro se appellant rare instances where an appeal may the Director. does not need to comply with all the become unnecessary after filing of the Comment 20: One comment opposed requirements and only substantially as reply brief. For these reasons, the the proposed changes to Bd.R. 41.35(d) to the identified paragraphs. USPTO will maintain the language of because it would prevent consideration Response: Final Bd.R. 41.37(c) Bd.R. 41.35(a) as proposed. by the examiner of newly discovered requires pro se appellants to Comment 17: Three comments were evidence that is more pertinent than the substantially comply with only the in favor of Bd.R. 41.35(a) as proposed. art used in the rejection on appeal. requirements in the identified Response: The USPTO adopts the Response: If an appeal needs to be subparagraphs, and pro se appellants proposed changes to Bd.R. 41.35(a). remanded for consideration of are not required to comply with the Comment 18: One comment suggested Information Disclosure Statements, the requirements in the remaining that the USPTO adopt a default remand may result in lengthy delays in subparagraphs of final Bd.R. 41.37(c). assumption for Bd.R. 41.35(b)(5) that the appeal process and ultimately result Comment 26: Two comments favored appellant wants to proceed on appeal in no change to the rejections that the default assumption provided for in for other appealed claims and abandon eventually reach the Board on appeal. Bd.R. 41.37(c)(1)(i), and one comment claims subject to an action under Bd.R. As such, the USPTO will maintain the suggested that absent a statement to the 41.39 or 41.50 requiring response, akin language of proposed Bd.R. 41.35(d) in contrary, the Board should assume that to the approach taken when some this final rule. the real party in interest consists of one claims are not dealt with in the appeal Comment 21: One comment stated, or more of the inventors of the brief context. with respect to proposed Bd.R. 41.35(d), application and/or the assignee of the Response: Under final Bd.R. 41.39(b), that petitions filed while the Board application as recorded at the USPTO. 41.50(a)(2) and 41.50(b), if appellant possesses jurisdiction are likely to be Response: The USPTO declines to does not file a paper in response to a untimely. The comment requested adopt this suggested change. The default new ground of rejection or in response reconsideration of the two-month provision is to address the situation in to a substitute examiner’s answer deadline for filing petitions. which the inventor(s) is the real party in prepared in response to a remand, the Response: This suggestion is outside interest. In such an instance, the Board Board will dismiss the appeal ‘‘as to the the scope of the NPRM, and the USPTO will not hold a brief non-compliant if claims subject to the new ground of declines to adopt any rule changes the statement of real party in interest is rejection’’ or ‘‘as to the claims subject to regarding the deadline for filing omitted. In the past, appellants the rejection for which the Board has petitions. mistakenly thought they could omit this remanded the proceeding.’’ If there are Comment 22: One comment suggested portion of the brief if the named remaining claims not subject to the new that the USPTO adopt a ‘‘restatement’’ inventor(s) was the real party in interest. ground of rejection or remand, then the clarifying what constitutes appealable This led to briefs being held to be non- appeal will proceed as to those subject matter to better enable the compliant based on a technicality. The remaining claims. The Board’s examining corps to address procedural default provision gives the USPTO the jurisdiction under final Bd.R. issues. flexibility to assume that the inventor(s) 41.35(b)(5) would end only if all of the Response: The USPTO will take this are the real party in interest and avoid claims on appeal require action under restatement into account when revising having to hold a brief non-compliant. final Bd.R. 41.39(b), 41.50(a)(2), or the MPEP in accordance with the final Comment 27: One comment was in 41.50(b) and the appellant fails to take rule. favor of Bd.R. 41.37(c)(1)(ii) as proposed such required action, in which case the Comment 23: Another comment was and another comment suggested we Board would enter an order of dismissal in favor of the proposed changes to employ the phrase ‘‘controlled by’’ for the entire appeal. As to final Bd.R. Bd.R. 41.35(d). instead of ‘‘owned’’ and ‘‘real party in 41.50(d), if an appellant fails to respond Response: The USPTO adopts interest’’ instead of ‘‘appellant or to the Board’s request for briefing and proposed Bd.R. 41.35(d) as part of this assignee’’ as the real party in interest information, the Board is entitled, at its final rule. may be in a better position to know of discretion, to construe appellant’s related appealed cases. failure to respond as an indication that Bd.R. 41.37 Response: While under certain appellant no longer wishes to pursue Comment 24: Two comments opposed circumstances, an entity other than the the appeal, in which case the Board may exempting pro se appellants from appellant, appellant’s legal enter an order dismissing the appeal. providing a statement of the last entered representative, or assignee may be in a

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better position to know of related cases, were concerned that the phrase ‘‘in as requiring annotation of dependent the USPTO declines to adopt the dispute’’ was vague and unclear. Some claims only if they are both argued suggested change, which would expand of the comments suggested eliminating separately and contain means plus the obligations to report related cases the summary of the claimed subject function language. beyond this enumerated group. matter requirement entirely, other Response: The final rule requires a Comment 28: Five comments were in comments suggested limiting the concise explanation of the subject favor of deleting the statement of the requirement to only those appeals matter of separately argued dependent status of claims from the 2004 version where the examiner raised a rejection claims only if such claims include a of Bd.R. 41.37(c)(1)(iii) and no under 35 U.S.C. 112, while other means plus function or step plus comments were received opposed to comments suggested amending the function recitation as permitted by 35 this proposed change. One comment in proposed rule to require annotations for U.S.C. 112, sixth paragraph. However, favor of the proposed change suggested each claim limitation. Another comment the rule does not prohibit an appellant that appellants should be allowed to was concerned that annotating only from providing a summary of claimed cancel a claim in the brief itself, thereby those claim elements deemed to be ‘‘in subject matter for all dependent claims saving the cost of filing a separate dispute’’ would amount to an implied argued separately, and the USPTO document formally cancelling the claim. waiver or admission regarding those considers it a best practice for Response: The USPTO declines to claim limitations not annotated. appellants to provide a summary of adopt this suggested change. The Another comment requested claimed subject matter for all dependent USPTO requires that claim amendments clarification of the goal of this briefing claims argued separately. be filed in a separate Amendment under requirement. Comment 32: One comment opposed final Bd.R. 41.33, so that they are Response: In light of the many adoption of a single format of the separately considered and separately comments received that expressed summary in proposed Bd.R. entered or refused entry as appropriate concern with determining which claim 41.37(c)(1)(v) as being too rigid and by the examiner. Under the new limitations are ‘‘in dispute’’ and suggested that the drafter of the appeal streamlined procedure for review of expressed further concern with implied brief should be allowed to use whatever appeal briefs, the Board now reviews waiver for those limitations not format they deem to be the most the appeal brief for entry into the annotated, the USPTO has decided not informative. The comment also Record, but the examiner continues to to amend this portion of the rule requested the BPAI to provide examples review Amendments under final Bd.R. relating to the summary of claim subject of confusing and uninformative formats, 41.33 for entry into the Record. matter to limit the summary to only rather than a single compliant format. Comment 29: One comment opposed those claims ‘‘in dispute.’’ Rather, the Response: The USPTO has decided to proposed Bd.R. 41.37(c)(1)(iv), another USPTO maintains the language of the maintain the 2004 rule in substantial comment suggested a change to the 2004 rule, which requires a concise part, which does not require a single proposed rule to make clear that the explanation of the subject matter format for compliance. The rule does statement should include the date of defined in each of the independent require, however, that regardless of the filing of the last entered amendment of claims. In light of the change to Bd.R. format provided by appellants, the the claims, as opposed to amendments 41.35, the USPTO retains the proposed summary of claimed subject matter must to the specification, and another change requiring the summary for ‘‘each ‘‘refer to the specification in the Record comment requested reconsideration of of the rejected independent claims’’, by page and line number or by the proposed rule because in reissue whereas the 2004 rule requires the paragraph number, and to the drawing, and reexamination proceedings the full summary for each of the independent if any, by reference characters.’’ The set of claims is not reproduced in claims ‘‘involved in the appeal.’’ The Board will find briefs to be non- amendments and thus in these instances USPTO further retains the proposed compliant if the summary of the the latest entered amendments may not changes that clarify that citation to the claimed subject matter does not include reflect all the pending claims on appeal. specification should be to the references to the specification by page Response: The USPTO agrees with the specification ‘‘in the Record’’ and not to and line number or by paragraph last comment, and has decided to delete the patent application publication. The number, and references to drawings, if the requirement in proposed Bd.R. USPTO further retains the proposed any, by reference characters. The Board 41.37(c)(1)(iv) requiring a statement of changes that permit appellant to refer to will post examples on its Web page of last entered amendment and to delete the specification by page and line both compliant and non-compliant the requirement in Bd.R. 41.37(c)(1)(iv) number or ‘‘by paragraph number.’’ As summaries. for a statement of the status of to the comment requesting clarification Comment 33: One comment stated amendments. Compare 37 CFR 1.121 about the goal of this section of the that the language in proposed Bd.R. (requiring all claims ever presented), brief, the goal is to familiarize the judges 41.37(c)(1)(v) requiring the summary to with 37 CFR 1.173 (reissues) and 37 with the claimed subject matter. This be ‘‘sufficient to allow the Board to CFR 1.530 (ex parte reexaminations) summary is helpful to the Board to work understand the claim’’ is vague. (requiring only claims being changed/ through cases as efficiently and Response: The USPTO has decided to added). As discussed in further detail expeditiously as possible. It helps to maintain the 2004 rule in substantial below, the USPTO will maintain the orient the judges so as to quickly and part. As such, this language is not requirement in Bd.R. 41.37(c)(1)(viii) efficiently focus on the determinative incorporated in the final rule (renumbered as final Bd.R. aspects of the claims and the (renumbered as final Bd.R. 41.37(c)(1)(v)) to provide a claims corresponding disclosure in the 41.37(c)(1)(iii)). appendix. specification. Comment 34: One comment opposed Comment 30: Five comments were Comment 31: One comment suggested the proposed Bd.R. 41.37(c)(1)(v) opposed to the proposed changes in amending the language of proposed because it removed the requirement for Bd.R. 41.37(c)(1)(v), which required a Bd.R. 41.37(c)(1)(v) to clarify whether appellants to identify the structure for summary of the claimed subject matter annotation of separately argued all means plus function elements of the to include annotations for each claim dependent claims is required, as the independent claims and separately limitation ‘‘in dispute.’’ The comments language in the 2004 rule could be read argued dependent claims.

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Response: The USPTO has decided to the statement of rejection in the office has been established would the Board maintain the 2004 rule in substantial action from which the appeal is taken proceed to review the appeal brief and part. The final rule requires: ‘‘For each and determine whether that establishes the answer, the USPTO declines to rejected independent claim, and for a prima facie case of unpatentability, adopt this suggestion. The Board is a each dependent claim argued separately and, only in the instance where the tribunal of appeal, where the appellant under the provisions of paragraph Board determines that a prima facie case is responsible for pointing out the (c)(1)(iv) of this section, if the claim has been established would the Board alleged error in the examiner’s decision contains a means plus function or step proceed to review the appeal brief and on appeal. See Ex parte Frye, 94 plus function recitation as permitted by the answer. Another comment suggested USPQ2d at 1075 (‘‘If an appellant fails 35 U.S.C. 112, sixth paragraph, then the amending proposed subparagraph to present arguments on a particular concise explanation must identify the (c)(1)(vii) to provide parity so that any issue—or, more broadly, on a particular structure, material, or acts described in arguments presented by an appellant rejection—the Board will not, as a the specification in the Record as and not addressed by the examiner in general matter, unilaterally review those corresponding to each claimed function the answer will be treated as waived by uncontested aspects of the rejection’’ with reference to the specification in the the Board. (citations omitted)); Jung, 637 F.3d at Record by page and line number or by Response: The USPTO reiterates its 1365–66. The Board’s role is not to paragraph number, and to the drawing, statements on waiver provided in the reexamine the application. At the time if any, by reference characters.’’ NPRM. The Board may treat as waived, of filing the notice of appeal, an Comment 35: Four comments were in for purposes of the present appeal, any appellant can request a panel review by favor of the proposed change that arguments not raised by appellant. See experienced examiners using the pre- eliminates the statement of the grounds Hyatt v. Dudas, 551 F.3d 1307, 1313–14 appeal brief conference program. The of rejection in Bd.R. 41.37(c)(1)(vi), and (Fed. Cir. 2008) (the Board may treat appellant can also challenge specific the USPTO received no comments arguments appellant failed to make for aspects of the prima facie case and opposed to this proposed change. merits of the rejection by argument and Response: The USPTO adopts the a given ground of rejection as waived); In re Watts, 354 F.3d 1362, 1368 (Fed. evidence in the appeal brief. See elimination of the requirement as set generally In re Jung, 637 F.3d 1356 (Fed. Cir. 2004) (declining to consider the forth in Bd.R. 41.37(c)(1)(vi) as Cir. 2011) (discussing nature of appellant’s new argument regarding the proposed. challenging rejections during Board scope of a prior art patent when that Comment 36: Two comments appeals). suggested that proposed Bd.R. argument was not raised before the Comment 38: One comment 41.37(c)(1)(vii) be amended to prohibit Board); In re Schreiber, 128 F.3d 1473, questioned whether the Office was appellants from raising arguments in the 1479 (Fed. Cir. 1997) (declining to shifting the burden of proof of appeal brief that have not been raised consider whether prior art cited in an patentability to the applicants by previously in prosecution. obviousness rejection was non- requiring an applicant to plead all Response: The USPTO declines to analogous art when that argument was grounds for appeal in the appeal brief adopt a rule prohibiting appellants from not raised before the Board). See also Ex and considering any grounds that were raising arguments in the appeal brief for parte Frye, 94 USPQ2d 1072 (BPAI not pled to be waived, and whether the first time. In the indefinitely delayed 2010). Final Bd.R. 41.37(c)(1)(iv) such a rule was substantive and thus 2008 final rule, the USPTO would have permits the Board to refuse to consider outside the Office’s rule making limited appellant’s ability to raise new arguments not raised in the appeal brief, authority. arguments in the appeal brief based on except as provided in final Bd.R. 41.41, Response: The Office is not shifting whether the argument had been raised 41.47, and 41.52. This language in the any burden of proof. The burden of before the examiner. See 73 FR 32943 final rule is substantially the same as proof of unpatentability remains on the (Jun. 10, 2008). Numerous comments the language of the 2004 version of Office. The Office is merely clarifying were received in opposition to this Bd.R. 41.37(c)(1)(vii), which states that an appellant’s responsibility to point proposed change. Keeping in mind the ‘‘[a]ny arguments or authorities not out what it is that the appellant wants comments received in the prior rule included in the brief or a reply brief the Board to review and what the making activity, the USPTO declines to filed pursuant to § 41.41 will be refused examiner’s error is believed to be. See set out a rule that limits appellants from consideration by the Board, unless good In re Jung, 637 F.3d 1356, 1356–66 (Fed. raising arguments in the appeal brief for cause is shown.’’ Any additional Cir. 2011). This requirement merely the first time. discussion of ‘‘waiver’’ as well as governs the manner in which appellants Comment 37: One comment requested ‘‘clarification’’ of how the Board will present their viewpoints to the agency; further clarification of the proposed review appeals is outside the scope of it does not foreclose effective Bd.R. 41.37(c)(1)(vii) as it relates to this rule making. Issues of waiver and opportunity to make one’s case on the waiver. Specifically, the comment how the Board will review appeals is merits. See JEM Broad. Co. v. F.C.C., 22 requested the USPTO clarify on what uniquely case-specific and thus best left F.3d 320, 326 (DC Cir. 1994) (stating basis the Board will review the to discussion in future Board decisions that a ‘‘critical feature’’ of a procedural examiner’s determination of as warranted. See Ex parte Frye, 94 rule ‘‘is that it covers agency actions patentability and explain the basis for USPQ2d 1072 (BPAI 2010) and In re that do not themselves alter the rights or that standard of review based on Jung, 637 F.3d 1356 (Fed. Cir. 2011) for interests of parties, although it may alter statutory authority and judicial a general discussion of how the Board the manner in which the parties present precedent. The comment suggested that conducts its review. As to the comment themselves or their viewpoints to the the Board should act as a fact finder, suggesting that the Board review the agency.’’). independently judge the examiner’s statement of the rejection in the Office Comment 39: Four comments were in findings, and conduct an independent action from which the appeal is taken favor of elimination of the claims review of the entire record, without and determine whether that establishes appendix from Bd.R. 41.37(c)(1)(viii) presuming any part of the examiner’s a prima facie case of unpatentability, because it would decrease the burden position to be correct. The comment and only in the instance where the on appellants in drafting briefs. Three suggested that the Board should review Board determines that a prima facie case comments opposed elimination of the

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claims appendix because it adds a Response: The USPTO chose not to examiner will provide only a response burden to the public and the Board to codify the new streamlined procedure to arguments raised in the appeal brief search through the Image File Wrapper since this procedure relates to an and/or a new ground of rejection, for the last entered amendment, because internal management practice. Such designated as such. The caveat in final Briefs should be reasonably self- practices are not typically codified in Bd.R. 41.39(a)(1), which allows for contained, and because in reissues and rules so as to provide the Office with the modification of the grounds of rejection reexaminations the last entered flexibility to make changes to the in an advisory action or pre-appeal brief amendment may not include a complete streamlined procedures should the need conference decision, was deemed listing of the claims on appeal. arise. necessary because often appellants raise Response: In order to ensure that the Comment 43: One comment suggested new arguments after the Office action examiner and appellants are presenting that the penalty for a non-compliant from which the appeal is taken, i.e., in arguments as to the same set of claims appeal brief in Bd.R. 41.37(d) should be a reply after final rejection or in a pre- on appeal, and in light of the comments that the non-compliant portion of the appeal brief conference request, and any raised regarding reissues and brief not be considered for purposes of modification to the rejections made by reexaminations, the USPTO has the appeal. The comment suggested that the examiner, such as the withdrawal of reconsidered the proposed deletion of the ‘‘two strikes’’ rule is harsh and a ground of rejection, should be taken the claims appendix and will instead capricious for something that may be a into account in the grounds of rejection maintain the requirement for appellants de minimus error, and that this type of on appeal. Therefore, the examiner to include a claims appendix in the response is not a default under the cannot reinstate a withdrawn rejection appeal brief (renumbered as final Bd.R. Federal Rules of Appellate Procedure. in the examiner’s answer without 41.37(c)(1)(v)). Response: The USPTO declines to designating it as a new ground of Comment 40: Three comments were adopt the suggested change. The penalty rejection. in favor of elimination of the evidence for failure to overcome the reasons for Comment 46: One comment opposed and related proceeding appendices from non-compliance, as set forth in final the portion of the proposed Bd.R. Bd.R. 41.37(c)(1). One comment Bd.R. 41.37(d), is the same penalty 41.39(a)(2) that allows modification of proposed that the rule regarding the provided for in the 2004 version of the grounds of rejection in an advisory evidence appendix should clarify that it Bd.R. 41.37(d). Further, the rule as action or pre-appeal brief conference is appropriate to include materials that proposed clarifies that appellants can decision. are not readily available to the Board petition the Chief Administrative Patent Response: The USPTO incorporates including dictionary definitions, Judge if they feel their brief has been by reference its response to comment 45 encyclopedias, unreported decisions, found to be non-compliant in error. provided supra. and administrative materials. Comment 47: Two comments favored Response: The USPTO declines to add Bd.R. 41.39 proposed Bd.R. 41.39(a)(2) because the back the requirement for an evidence Comment 44: One comment suggested proposed rule, along with the examples appendix simply to clarify what defining or deleting the use of ‘‘primary provided in the discussion portion of evidence is appropriate to include in examiner’’ in Bd.R. 41.39(a) and in the notice of proposed rule making, such an appendix. The USPTO notes Bd.R. 41.39(a)(2), (b)(1), and (b)(2), clarify when a new ground of rejection that elimination of this briefing because this term is not defined in the is made in an examiner’s answer. requirement does not prohibit CFR or the MPEP. Another comment opposed this appellants from including an evidence Response: The suggestion is beyond proposed rule because it would increase appendix, and that the USPTO views the scope of the NPRM and will not be burdens to the USPTO and permit inclusion of an evidence appendix, adopted. The term ‘‘primary examiner’’ delays in prosecution by appellants. where warranted, as a best practice. is used in 35 U.S.C. 134, the 2004 This comment suggested that it would However, the USPTO will determine on version of Bd.R. 41.39 and previous be better to address the issue of new a case-by-case basis whether evidence versions of the rule (e.g., Rule 1.193 evidence by not allowing appellants to referred to in and/or submitted with a (1959)). The USPTO is using ‘‘primary make arguments in the briefs that were brief should be considered under final examiner’’ in this paragraph to have the not presented during prosecution, or, by Bd.R. 41.33. As discussed previously, same meaning as used in 35 U.S.C. 134. allowing examiners ‘‘by default’’ to the USPTO has adopted a definition of Comment 45: One comment opposed introduce new evidence in the answer. ‘‘Evidence’’ that excludes dictionaries, the removal in Bd.R. 41.39(a)(1) of the Response: The USPTO declines to thus allowing appellants to refer to requirement for the examiner to present adopt a rule prohibiting appellants from dictionary definitions in the appeal an integrated statement of the grounds raising arguments in the appeal brief for brief. of rejection, because it would place an the first time. In the indefinitely delayed Comment 41: One comment requested undue burden on appellant and would 2008 final rule, the USPTO would have clarification as to the prohibition in discourage the examiner from being limited appellant’s ability to raise new Bd.R. 41.37(c)(2) against including consistent. arguments in the appeal brief based on ‘‘new’’ or ‘‘non-admitted’’ amendments, Response: By not requiring examiners whether the argument had been raised affidavits or other evidence in briefs, to restate the grounds of rejection in the before the examiner. See 73 FR 32943 because as written it could be construed answer, this rule will remove the (Jun. 10, 2008). Numerous comments to bar the submission of items otherwise possibility of any inconsistencies were received in opposition to this permitted under Bd.R. 41.33. between the articulation of the grounds proposed change. Keeping in mind the Response: This comment is addressed of rejection as stated in the Office action comments received in the prior rule above in the response to Comment 12. from which the appeal is taken and the making activity, the USPTO declines to Comment 42: One comment articulation of the grounds of rejection set out a rule that limits appellants from questioned why the proposed rules did in the answer, and will save appellants raising arguments in the appeal brief for not incorporate in Bd.R. 41.37(d) the and the Board the time of having to the first time. current streamlined review of briefs for compare the grounds of rejection in Comment 48: One comment favored compliance with the rules by the Chief each document to ensure that they are the requirement in Bd.R. 41.39(a)(2) for Judge or his designee. the same. Under the final rule, the Director approval of answers containing

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new grounds of rejection, but suggested Comment 50: One comment requested appellants who feel that an advisory that the rule should include a standard clarification of the term ‘‘new evidence’’ action contains a new ground of for the approval to include a substantive as used in Bd.R. 41.39(a)(2) and asked rejection have the right to petition under review of the pertinence of the newly whether new dictionary definitions first Rule 1.181 for supervisory review of the cited prior art. used in an answer are included in the examiner’s action to seek to have Response: The USPTO declines to term ‘‘new evidence.’’ prosecution reopened. codify a specific standard to be used by Response: The USPTO has added a Comment 53: One comment suggested the Director to approve a new ground of definition of ‘‘Evidence’’ in final Bd.R. that examiners should not get a count rejection. The question of whether to 41.30 to clarify that ‘‘Evidence’’ in this for new grounds of rejection issued in approve an answer that contains a new subpart does not include dictionaries. an examiner’s answer due to the ground of rejection is case-specific and, As such, the issue of whether citation to examiner’s own error. Additionally, the as such, is not amenable to a single a dictionary for the first time in an comment suggested that new grounds of standard. The USPTO notes that the text answer or in a Board decision rejection in an answer should trigger a of Bd.R. 41.39(a)(2) as contained in this constitutes a new ground of rejection reopening of prosecution by default. Final Rule reflects a minor modification will be determined based on controlling Response: The USPTO declines to from the version in the NPRM. The case law and the specific facts of each adopt these suggested changes. As to the revision was made to clarify that the case. suggestion not to award an examiner a rule requires that the examiner obtain Comment 51: One comment opposed count for an answer containing a new the Director’s approval of an answer allowing new grounds of rejection in an ground of rejection, this is a matter of containing a new ground of rejection, answer because it creates a ‘‘quagmire’’ internal management within the agency and that the Director is not required to and allows the examiner not to be and is outside the scope of the proposed provide such approval. diligent in conducting prosecution. The rules. As to the suggestion that a new Comment 49: One comment requested comment suggested limiting new ground of rejection should trigger clarification of ‘‘the references in this grounds of rejection to prior art reopening of prosecution by default, the rule to modification of a rejection by an references that first became publicly USPTO’s view is that it is more advisory action’’, the concern being that available after the date of the Office advantageous to appellants to give them the ‘‘continuation’’ portion of the action from which the appeal is taken. the flexibility to choose either to advisory action may be used to Response: The USPTO declines to proceed with an appeal or to reopen substantially modify the rejection, and adopt this suggestion. There are many prosecution, depending on the could raise the issue of whether the reasons why an examiner might make a circumstances of their particular case. examiner has entered a new ground of new ground of rejection based on prior The USPTO declines to adopt a default rejection in the advisory action even art that was available at the time of the rule that would limit appellants’ options before the filing of a notice of appeal. initial prosecution, including: in this situation. The comment stated that it would be Amendments made to the claims by Comment 54: One comment favored especially important to have this appellants, challenges to official notice, allowing new grounds of rejection as a language clear because Bd.R. 41.39(a)(1) etc. Further, the integrity of the patent ‘‘necessary evil’’ in advisory actions, would not require the examiner to system depends upon the examiner decisions on pre-appeal conferences, restate the grounds of rejection—which having the ability to rely on the best answers and BPAI decisions. The could lead to confusion. The comment prior art of which he/she is aware. See comment suggested that appellants suggested that the rule state that the BlackLight Power, Inc. v. Rogan, 295 should always have the opportunity to reference to a modification of a rejection F.3d 1269, 1273, 1274 (Fed. Cir. 2002) respond to a new ground of rejection, in an advisory action would be only (‘‘The PTO’s responsibility for issuing regardless of when the new ground of with regard to the status of the pending sound and reliable patents is critical to rejection is entered in the prosecution rejections or which claims are subject to the nation’’ and ‘‘[t]he object and policy history because the new grounds of a pending rejection, and that of the patent law require issuance of rejection are most often a result of modification beyond that should not be valid patents’’); In re Alappat, 33 F.3d examiner error in prosecution; encompassed by this rule, but should be 1526, 1535 (Fed. Cir. 1994) (en banc) specifically violations of Chapter 2100 achieved through reopening (‘‘The Commissioner has an obligation of the MPEP. The comment prosecution. to refuse to grant a patent if he believes recommended that the USPTO enforce Response: The USPTO declines to that doing so would be contrary to Chapter 2100 of the MPEP more modify the rule to specifically limit the law.’’); see also In re Gould, 673 F.2d thoroughly. content of an advisory action because it 1385, 1386 (CCPA 1982). For these Response: While the Office does not is impossible for the USPTO to foresee reasons, the USPTO declines to limit the agree with the comment that new every situation that may arise during examiner’s ability to enter new grounds grounds of rejection are most often a prosecution, and certain statements may of rejection as suggested. The final rule result of examiner error in prosecution, be necessary in an advisory action to provides appellants with adequate the Office will take the comments into make the Record clear on appeal in light safeguards by allowing appellants to consideration when revising the MPEP of actions, statements, or amendments choose either to proceed with the appeal in accordance with the final rule and in made by appellants in an after-final or reopen prosecution in response to a providing guidance to the examining amendment. To address the concern new ground of rejection raised in the corps in Chapter 1200 of the MPEP. The regarding new grounds of rejection, answer. Supplementary Information section of appellants who feel that an advisory Comment 52: One comment opposed the instant notice provides guidance to action contains a new ground of Bd.R. 41.39(a)(2) to the extent it does appellants and examiners as to what rejection have the right to petition under not provide a mechanism for appellants constitutes a new ground of rejection Rule 1.181 for supervisory review of the to gain relief from new ground of under final Bd.R. 41.39. examiner’s action to seek to have rejection entered in an advisory action. Comment 55: One comment opposed prosecution reopened. See also the Response: Just as in the case where a the explanation of new ground of response to comment 45 provided final Office action contains an rejection contained in the NPRM as too supra. undesignated new ground of rejection, narrow and as failing to give examiners

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‘‘good guidance’’ because the examples the application is in when the ground of Response: The USPTO declines to listed in the NPRM of new grounds for rejection is first raised (e.g., after final adopt this suggestion. The final rule rejection are not exhaustive. The rejection versus after filing an appeal provides appellants with a full and fair comment suggested deletion of the brief, versus in a Board decision). opportunity to respond to the rejections second sentence of Bd.R. 41.39(a)(2) Procedurally, an applicant’s opportunity and to petition if appellants feel that because it could be interpreted by to fully and fairly respond to the such an opportunity has not been examiners to imply that only a rejection rejection differs at different stages of the provided. that relies upon any new evidence is a prosecution. For example, an applicant Bd.R. 41.40 new ground of rejection that must be may be able to submit evidence after a designated and approved. final rejection to rebut a ground of Comment 60: The majority of the Response: The USPTO intends the list rejection that would not be admissible comments favored the proposed rule to to be exemplary. Whether new grounds at the time of filing an appeal brief. toll the time period to file a reply brief. of rejection have been raised is Compare Rule 1.116(e) and final Bd.R. Several of those comments in favor of dependent on the unique factual 41.33(d). the proposed rule expressed concern circumstances of each application or Comment 58: Two comments that the rule could be used by proceeding and any attempt to provide suggested that approval by a Technology appellants in ex parte reexamination to an exhaustive list would be Center Director be required for an delay prosecution. One comment counterproductive. examiner to reopen prosecution after proposed providing an expedited review Comment 56: Another comment filing of an appeal brief, and that the of ex parte patent reexamination opposed the explanation of new ground reasons for reopening should be petitions by requiring these petitions be of rejection in the notice of proposed delineated clearly for the Record. One filed within a non-extendable period of time from the answer (less than the time rule making and commented that In re comment further suggested that the for submitting a reply brief) and require DeBlauwe, 736 F.2d 699, 706 n.9 (Fed. rules or the MPEP include a that the USPTO make a decision within Cir. 1984), contains a stronger limitation requirement that Office actions a set time frame (i.e., 30 days). Another than the NPRM with respect to what reopening prosecution include an constitutes a new ground of rejection. comment suggested that petitions be authorization to search after a reversal. This comment suggested that a ground decided by a party removed from the Response: The USPTO declines to of rejection should be considered ‘‘new’’ Technology Center that conducted the whenever it departs from a previous adopt these suggestions because they are examination. statement of a ground of rejection, be it outside the scope of the proposed rules. Response: The USPTO appreciates the by relying on a different portion of the The proposed rules do not address concern raised in these comments. The same reference, a different reference or reopening of prosecution by the USPTO declines to adopt the suggestion merely different examiner reasoning. examiner after filing of an appeal brief. to set special expedited time limits for The comment further stated that the Rather, subparagraph (a)(2) of proposed ex parte reexamination proceedings ‘‘fact specific’’ approach proposed by and final Bd.R. 41.39 addresses only because depending on workloads and the Office invites abuse by the new grounds of rejection raised in an budgetary issues facing the Office, the examining corps. examiner’s answer, and subparagraph USPTO cannot guarantee that such Response: The USPTO appreciates the (b)(1) of final Bd.R. 41.39 addresses the petitions will be acted on within any comments submitted on the proposed appellant’s right to reopen prosecution specific time frame; however, the guidance on new grounds of rejection. in this instance. MPEP § 1207.04 already USPTO will take steps to ensure that The USPTO will follow applicable law requires approval from the supervisory such petitions are handled in determining on a case-by-case basis patent examiner to reopen prosecution expeditiously to avoid the incentive to whether a new ground of rejection has after appellant’s brief or reply brief has abuse the petition process simply as a been made. While the examples been filed. MPEP § 1214.04 also states delay tactic. As to the suggestion of how provided in the NPRM are intended to that the examiner should never regard a such petitions are decided, the USPTO provide sample factual situations based reversal as a challenge to make a new declines to modify the rule, as this is a on actual case law, as noted in the search and that if the examiner has matter of internal agency management. notice of proposed rule making, the specific knowledge of the existence of a Comment 61: One comment opposed inquiry of whether a new ground of particular reference(s) which indicate the petition procedure under Rule 1.181 rejection has been made in each case is nonpatentability of any claims, he or because it ‘‘adds unnecessary cost and highly fact specific. See, e.g., In re she should submit the matter to the delay to an already expensive and Kronig, 539 F.2d 1300, 1303 (CCPA Technology Center Director for lengthy appeal process’’ and creates 1976). The general test that the USPTO authorization to reopen prosecution. See delay and inefficiencies at USPTO. will apply is to determine whether the also 37 CFR 1.198 (after a Board Response: Given the majority of appellant has had a fair opportunity to decision has become final, prosecution comments received in favor of proposed respond to the basic thrust of the will not be reopened without the Bd.R. 41.40, the USPTO has decided to rejection. Id. written authority of the Director, and include this tolling provision in the Comment 57: One comment suggested then only for the consideration of final rule. The USPTO’s past practice that whether something constitutes a matters not already adjudicated, has been for the BPAI to remand any new ground of rejection should be sufficient cause being shown). docketed appeal back to the examiner if handled the same whether it appears in Comment 59: One comment opposed any undecided petition was pending a final rejection, an answer, or in a proposed Bd.R. 41.39(b) to the extent which had been filed prior to the BPAI’s Board decision. that rights arising out of this paragraph taking jurisdiction. This back-and-forth Response: For the reasons set forth in are dependent on the USPTO’s will be eliminated under the current the notice of proposed rule making, the designation of a new ground of rule, because the filing of a petition will USPTO’s view is that the question of rejection. The comment suggested that automatically toll the time for filing a whether an applicant has had a full and these rights should arise whenever the reply brief (and thus the start of the fair opportunity to respond to a action meets the definition of a new BPAI’s jurisdiction). The need to rejection depends in part on the stage ground of rejection. remand a docketed appeal due to a

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pending petition will therefore be petition, even if the appellant chooses to that there is no requirement to file a eliminated under the current rule. request reconsideration of the decision. reply brief, and that the absence of a Comment 62: One comment suggested Comment 65: One comment opposed reply brief should not raise an inference defining or deleting the use of ‘‘primary the new petition procedure because it or presumption that the appellant examiner’’ in Bd.R. 41.40 because this does not go far enough to allow for acquiesces to any new arguments made term is not defined in the CFR or the tolling of time periods when petitioning by the examiner in the answer. The MPEP. to have a new ground of rejection comment stated that even with a Response: The suggestion is not designated that appears in an advisory designated new ground of rejection, the adopted. The term ‘‘primary examiner’’ action or pre-appeal brief conference rule should not require appellants to is used in 35 U.S.C. 134, the 2004 decision. respond. version of Bd.R. 41.39 and previous Response: Appellants have a remedy Response: The USPTO declines to versions of the rule (e.g., Rule 1.193 under Rule 1.181 to file a petition for adopt this suggested change. To the (1959)). The USPTO is using ‘‘primary supervisory review of an examiner’s extent this comment suggests to make it examiner’’ in this section to have the final rejection, advisory action, or pre- purely optional for appellants to file a same meaning as used in 35 U.S.C. 134 appeal brief conference decision, should reply brief responding to new grounds and Bd.R. 41.39. any of those actions include statements of rejection, the Board must receive Comment 63: One comment opposed that appellants feel constitute a new appellant’s explanation as to ‘‘why the Bd.R. 41.40(b) to the extent that it calls ground of rejection to which appellants examiner erred’’ as to the new ground for dismissing the entire appeal if the feel they have not had ‘‘a fair of rejection appellants are contesting in petition is granted, and then appellant opportunity to respond.’’ order to review the rejection. The rules, fails to file a reply under Rule 1.111 in Comment 66: One comment stated however, do not require appellants to the instance where the new ground of that there appears to be no separate respond to a new ground of rejection if rejection does not cover all the appealed mechanism to ensure that examiners they wish not to challenge that ground claims. The comment suggested in this fulfill the prima facie case requirement. of rejection. If no arguments are raised situation allowing the appeal to proceed This comment suggested that the by appellants in response to a new and allowing the appellant to treat the USPTO implement a separate ground of rejection contained in the newly designated new ground of mechanism to allow applicants to answer, then the Board appropriately rejection in his reply brief. If appellant request review of whether an examiner will dispose of the appeal as to those failed to address the new ground of has made a prima facie showing prior to claims subject to the new ground, and rejection in the reply brief, then the appellate review by the Board. the appeal will proceed as to any appeal would be terminated as to those Response: This suggestion is outside remaining claims. The USPTO declines claims so rejected, but would continue the scope of the proposed rules. to amend the rule explicitly to provide as to any other appealed claims. Applicants who believe the examiner that the absence of a reply brief should Response: The USPTO declines to has failed to satisfy the notice-function not raise an inference or presumption adopt this suggestion. If an appellant of 35 U.S.C. 132, and thus failed to that the appellant acquiesces to any new desires to simply respond to the satisfy the Office’s burden of arguments made by the examiner. rejection (whether designated as a new establishing a prima facie case, can raise Comment 69: One comment requested ground of rejection or not) in the reply that issue with the examiner in their clarification on the prohibition against brief, then the appellant should simply response to the office action, and by including ‘‘new’’ or ‘‘non-admitted’’ file the reply brief within the two-month conducting an interview with the amendments, affidavits or other time period and not file a petition. The examiner early in the prosecution (e.g., evidence in briefs, as set forth in Bd.R. rule is written so that appellants will after the first office action). 41.41(b)(1), would not bar the not use the petition process simply as a Alternatively, the applicant can submission of items otherwise means to obtain an extension of time on challenge the merits of the rejection. But permitted under Bd.R. 41.33. filing a reply brief. There is no creating a mechanism by which the Response: This comment is addressed advantage to be gained by appellants applicant can first challenge the above in the response to Comment 12. from petitioning to have a rejection in procedural aspects of the rejection, and Comment 70: One comment favored the answer designated as a new ground then the merits if unsuccessful, is ‘‘both proposed Bd.R. 41.41(b)(2) and of rejection and then simply filing a manifestly inefficient and entirely suggested a similar rule be adopted with reply brief to respond to such rejection. unnecessary.’’ See generally In re Jung, respect to appeal briefs, i.e., that Final Bd.R. 41.41 allows appellants to 637 F.3d 1356, 1363 (Fed. Cir. 2011) appellants not be able to raise include in reply briefs arguments that (permitting applicant to ‘‘procedurally arguments in the appeal brief that have are responsive to arguments raised in challenge and appeal the prima facie not been raised after a non-final or final the examiner’s answer. procedural showing before having to action. Comment 64: One comment requested substantively respond to the merits of Response: This comment is addressed clarification of the rule with respect to the rejection * * * is both manifestly above in the response to Comment 36. tolling of time when ‘‘re-petitioning’’ or inefficient and entirely unnecessary.’’). The USPTO declines to adopt the requesting reconsideration of the suggestion to limit the scope of decision. The comment specifically Bd.R. 41.41 arguments that can be raised by asked whether an appellant would still Comment 67: One comment suggested appellants in the appeal brief. be required to file a reply brief within adding ‘‘within the later of’’ before ‘‘two Comment 71: One comment opposed two months of the decision refusing to months’’ in Bd.R. 41.41(a). proposed Bd.R. 41.41(b)(2) as being grant the original Rule 1.181 petition. Response: The USPTO appreciates the overly restrictive and creating a burden Response: The rule tolls the time suggested clarification to the language of on appellants by applying a stricter period for filing a reply brief only until Bd.R. 41.41(a) and adopts this language standard on appellants than on the initial petition is decided. Under in the final rule as it is in keeping with examiners. The comment stated that this this rule, the appellant would still be the intent of the proposed rule. limitation will prevent the Board from required to file a reply brief within two Comment 68: One comment suggested having a full record on which to make months of the decision on the initial that this section of the rule clearly state its decision. The comment requested

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clarification as to whether arguments in reasons, the final rule eliminates Bd.R. Board to decide all rejections on response to a reworded rejection in an 41.43. appeal—including, for instance, examiner’s answer would be permitted rejections under 35 U.S.C. 103 if there Bd.R. 41.50 as falling within the ‘‘good cause’’ is also a rejection under 35 U.S.C. 101. requirement of the proposed rule. The Comment 73: One comment suggested The comment stated that if the Board comment suggested that, to allow the extending the Board’s role, as set forth decides only a § 101 rejection that is Board to review a fully developed in proposed Bd.R. 41.50(a), to ‘‘allow’’ easily remedied by a Request for record, the rule should permit claims in an effort to simplify the Continued Examination, and does not appellants to respond to all arguments procedure after a reversal based on the address an art rejection, appellants appearing in the answer that do not current power of the Board to act as a would be required to file another appeal appear in haec verbae in the rejection ‘‘de facto’’ examiner in entering new brief, thereby increasing the number of from which the appeal is taken. grounds of rejection under Bd.R. appeals the Board has to decide. Response: The rule allows appellants 41.50(b). Response: This comment is outside the option to raise arguments in the Response: The USPTO declines to the scope of the NPRM. The USPTO reply brief which are ‘‘responsive to an adopt this suggestion, which effectively declines to institute a rule dictating how argument raised in the examiner’s would turn the Board into an extension individual panels of the Board must answer,’’ including those that do not of the examining corps. The Board’s resolve issues in cases that come before appear in haec verbae in the appealed principal role is to ‘‘review adverse them. rejection. Thus satisfying the good cause decisions of examiners.’’ 35 U.S.C. 6(b). Comment 76: One comment suggested requirement would not be necessary. While Bd.R. 41.50 permits the Board to revising Bd.R. 41.50(b) so that the Board include a new ground of rejection of is not allowed to issue decisions Bd.R. 41.43 which it has knowledge in its decision, containing an affirmance with a new Comment 72: The USPTO received the Board is not charged with ground of rejection, because these types three comments in favor of eliminating performing the tasks necessary to of decisions preclude applicants from Bd.R. 41.43, which requires the primary determine whether claims stand in gaining patent term protection that examiner to acknowledge receipt and condition for allowance (e.g., perform would otherwise be provided by 35 entry of the reply brief and allows searches of prior art). Nor should it be U.S.C. 154(b)(1)(C)(iii). The comment examiners to enter a supplemental required to do so, given its statutory suggested that the Board should reverse examiner’s answer, and three comments charge to review adverse examiner the examiner’s rejection and enter a new opposed to this change because it would decisions. ground of rejection, rather than eliminate the examiner’s opportunity to Comment 74: One comment was in affirming. The comment also stated that consider the reply brief and possibly favor of eliminating the Board’s the use of an affirmance and a new allow the case or reopen prosecution. independent authority to remand ground of rejection introduces One comment requested clarification of appeals in Bd.R. 41.50(a)(1). One confusion about how many times a whether the Examiner would still comment was opposed to stripping the claim has been rejected—which causes review the reply brief. Board of its power to remand difficulty in the case of RCEs. Response: In response to the applications because remands are the Response: This comment is outside comments opposing elimination of this best available remedy for inadequate the scope of the NPRM. The USPTO section of the rule, USPTO data for the fact finding and incomplete declines to institute a rule dictating how past ten years (FY 2001—FY 2010) examination in some instances. Another individual panels of the Board must shows that examiners allow comment was opposed to this proposed resolve issues in cases that come before applications in approximately 1% of all change to the extent that, even though them. appeals and reopen prosecution in this proposed modification would Comment 77: One comment suggested approximately 1% of appeals after the remove the independent ability of the that Bd.R. 41.50(b)(1) be revised so that filing of a reply brief. It is most often the Board to remand cases to the examiner, after a decision containing a new case that once the examiner has held an the Board would still be able to do so ground of rejection, prosecution could appeal conference on the case and with approval of the Director and the be reopened based on appellant prepared an examiner’s answer, the Director would be reluctant to block the argument alone—with no a requirement examiner simply acknowledges and Board’s request for a remand and thus to submit new evidence. The comment enters the reply brief and the appeal the remand process would be further suggested that the examiner proceeds to the Board for review and complicated rather than simplified. should not be bound by a new ground decision. Meanwhile, USPTO data Response: In light of comments of rejection in a Board decision because shows over the same time period that in received in response to this proposed examination should take place in front those cases where the examiner simply change and in light of considerations of of the examining corps—not in front of acknowledged and entered the reply administrative efficiencies, the USPTO the Board. brief, the average pendency from the has decided to retain the last sentence Response: The USPTO declines to filing of a reply brief to the time the of Bd.R. 41.50(a)(1) authorizing the adopt these suggestions. The Board, examiner acknowledged and entered the Board to remand an application to the having made the new ground of reply brief is 55 days. As such, the examiner. This change also necessitates rejection and thus having the most advantage in shorter pendency received retaining Bd.R. 41.50(a)(2), (a)(2)(i), and complete understanding of the logic and by all appellants from elimination of (a)(2)(ii) to address treatment of the case analysis that led to the new ground, is this section of the rule—at which point, when a ‘‘substitute’’ examiner’s answer in the best position to evaluate the examiner has held an appeal is written in response to a remand. The appellant’s rebuttal arguments in a conference on the case and prepared an USPTO will rely on internal request for rehearing. It is only in the examiner’s answer—outweighs, in the management controls to ensure that this instance where appellant chooses to view of the USPTO, the advantage remand authority is used only in amend the claims or submit new gained in those rare instances where an situations where remand is proper. evidence that prosecution must be appeal may become unnecessary after Comment 75: One comment suggested reopened and the case returned to the filing of the reply brief. For these amending Bd.R. 41.50(a) to require the examiner to consider the amendment

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and/or new evidence in the first Bd.R. 41.52 Response: The USPTO has considered instance. Comment 80: One comment favored the comment but the Office declines to Comment 78: Three comments the ‘‘flexible approach’’ reflected in adopt the suggested changes. Comment 84: One comment requested opposed eliminating the Board’s power Bd.R. 41.52(a)(4) that allows appellants that the USPTO adopt a separate to include a statement of how a claim to present new arguments when they mechanism to rigorously enforce Rule can be amended to overcome a rejection. believe the Board has made a new 1.104 and the prima facie case ground of rejection that has not been so One comment stated that use of such a requirement (i.e., a separate appellate statement would foster cooperation designated. body, below the Board, which reviews between the Board and appellants. Response: The final rule adopts Bd.R. only whether the examiner made a Another comment stated that the 41.52(a)(4) as proposed. prima facie case). They further suggest statement is merely a suggestion and Bd.R. 41.54 that examiners be required to use the does not obligate the examiner or the rationales set forth in MPEP § 2143 Comment 81: One comment opposed appellant in any way. The third except if granted an exception from two proposed Bd.R. 41.54, which requires comment stated that the Board should Supervisory Patent Examiners or a the Board to return jurisdiction to the not forego opportunities to suggest how Technology Center Director. prosecution can be concluded. examiner after decision by the Board Response: The USPTO notes that it because it would not permit the Board Response: To clarify, the 2004 version has already adopted a separate to allow applications and pass them to mechanism for review prior to appeal in of Bd.R. 41.50(c) allows the Board to issuance. The commenter would prefer include a statement of how a claim on the Pre-Appeal Brief Conference pilot that the Board be able to review program. The USPTO is considering a appeal may be amended to overcome a applications and pass them to issuance specific rejection. Under the 2004 different rule making initiative that rather than returning jurisdiction to the pertains to the pre-appeal brief version of Bd. R. 41.50(c), if the Board examiner. includes such a statement, appellant has conference option. As such, the USPTO Response: To the extent this comment declines to adopt these suggestions at the right to amend the claim in seeks to have the Board to allow this time because they are outside the conformity therewith, and such an applications and pass them to issuance, scope of the present proposed rule amendment will overcome the specific the USPTO declines to adopt the changes. rejection. Thus, the Board’s statement is suggestion to make the Board into an Comment 85: One comment requested binding on the examiner, and the extension of the examining corps. The that Image File Wrappers be made text examiner may reject a claim so- Board’s principal function is to review searchable and that applicants be amended only by instituting a new adverse decisions of examiners. allowed to submit .doc files to the ground of rejection. As such, this power USPTO to reduce the burden on of the Board under the 2004 rule puts Other Comments Not Related to a Particular Proposed Rule Change applicants and examiners and to allow the Board squarely in the shoes of the the patent bar to prepare statistics on examiner by allowing the Board to Comment 82: One comment noted success and failure rates for different mandate how a claim can be amended that some BPAI decisions have been so prosecution strategies, and to allow the to overcome a rejection. The USPTO brief that it was not possible to patent bar to identify outlier patent declines to adopt the suggestion to add determine what arguments the panel agents, attorneys, examiners, art units, back the Board’s power to include a found persuasive or unpersuasive. The and Board judges who receive or issue statement as to how a claim on appeal comment requested that the Board be either inordinate numbers of rejections may be amended to overcome a specific required by rule to state with or allowances. rejection. In the USPTO’s experience, particularity their reasoning in reaching Response: The USPTO declines to since the adoption of this rule in 2004, a decision and to state which arguments adopt this suggestion because it is this power has been used rarely by the of which party were and were not outside the scope of the proposed rule Board, and since the Board’s principal persuasive. changes. function is to review adverse decisions Response: The USPTO declines to Comment 86: Two entities of examiners, and in light of the backlog adopt a rule that dictates to a particular commented on the statistics presented of appeals at the Board, the USPTO sees panel of the Board a specific level of in the NPRM concerning pre-appeal no need for the Board to spend judicial detail of analysis that must be included brief conferences and appeal resources proposing amendments to the in each opinion. The level of specificity conferences. Specifically, one comment claims. of the panel’s reasons for affirming or noted that the statistics show that both reversing a decision of the examiner procedures have been reasonably Comment 79: One comment opposed will vary depending on the particular successful at preventing improper proposed Bd.R. 41.50(c), which facts and nature of each appeal. rejections from reaching the Board, but provides that failure of an appellant to Comment 83: One comment noted a that it is surprising to see no significant timely file a request for rehearing disparity between the amount of time change for either type of conference in seeking review of a panel’s failure to that appellants have to respond and the the percent of cases proceeding to the designate a new ground of rejection in amount of time that the Board and Board. The comment suggested that its decision will constitute a waiver of examiners have to respond. Specifically, USPTO should analyze what these any arguments that a decision contain the comment suggested that ‘‘however statistics mean with respect to the rest an undesignated new ground, stating long it takes from the time a brief is filed of the examination process, including that this waiver provision is ultra vires, till an answer is received shall be such training efforts to improve quality of inappropriate because the Board is not length of time as appellant has to file a final rejections. The other comment an Article III court, and incompatible reply brief’’ and that ‘‘however long it noted that the percentage of cases that with the new grounds provisions takes from the time a reply brief is filed were reopened or allowed after filing a proposed in the NPRM. till a board decision is received shall be request for a pre-appeal conference or Response: This comment is addressed such length of time as appellant has to an appeal brief are ‘‘unacceptably high.’’ above in the response to Comment 37. file a request for rehearing.’’ The comment requested the USPTO

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evaluate the entire appeal process, The Office will continue this practice in any rule that mentions any statute, including the steps that lead to an future rule makings. regulation, or case automatically should appeal, i.e., final office actions and after Administrative Procedure Act: The be designated as substantive because the final practice. changes in the final rule relate solely to rule must automatically affect Response: The USPTO thanks the the procedure to be followed in filing substantive rights. Such a designation public for their thoughtful comments on and prosecuting an ex parte appeal to would not comport with administrative ways to improve the patent process. the Board. Therefore, these rule changes law and would render the distinction While these suggestions are outside the involve rules of agency practice and between procedural and substantive scope of the proposed rule making, the procedure under 5 U.S.C. 553(b)(A), and rules meaningless. See id. at 327 (‘‘Of USPTO appreciates this input. prior notice and an opportunity for course, procedure impacts on outcomes Comment 87: One comment suggested public comment are not required and thus can virtually always be that the pre-appeal brief conference pursuant to 5 U.S.C. 553(b)(A) (or any described as affecting substance, but to option be included as part of the ex other law). See Bachow Commc’ns, Inc. pursue that line of analysis results in parte appeal rules to reflect that this v. F.C.C., 237 F.3d 683, 690 (D.C. Cir. the obliteration of the distinction that option is an important and significant 2001) (rules governing an application Congress demanded. The issue, part of the appeal process. process are ‘‘rules of agency therefore, is one of degree, and [a Response: The USPTO declines to organization, procedure, or practice’’ court’s] task is to identify which adopt this suggestion at this time and exempt from the Administrative substantive effects are sufficiently grave because it is outside the scope of the Procedure Act’s notice and comment so that notice and comment are needed proposed rule changes. The USPTO is requirement); Merck & Co. v. Kessler, 80 to safeguard the policies underlying the considering a different rule making F.3d 1543, 1549–50 (Fed. Cir. 1996) (the APA.’’ (internal quotations and citations initiative that pertains to the pre-appeal rules of practice promulgated under the omitted)). Because these rules are brief conference option. authority of former 35 U.S.C. 6(a) (now procedural, notice and comment were Rule Making Considerations in 35 U.S.C. 2(b)(2)) are not substantive not required under the Administrative rules to which the notice and comment Procedure Act (APA) or any other Executive Order 12866: This rule requirements of the Administrative statute. Furthermore, to ensure making has been determined to be Procedure Act apply); Fressola v. maximum efficacy of the rules and to significant for purposes of Executive Manbeck, 36 USPQ2d 1211, 1215 provide the public with an opportunity Order 12866 (Sept. 30, 1993). (D.D.C. 1995) (‘‘it is extremely doubtful to comment, the Office published notice The Office received one comment whether any of the rules formulated to of the proposed rules in the Federal regarding Executive Order 12866. govern patent or trade-mark practice are Register, sought comment on the Comment 88: The comment suggested other than ‘interpretive rules, general proposed rules, and fully considered that the Office should designate all of its statements of policy, * * * procedure, and responded to all comments rules as having an economically or practice’ ’’ (quoting C.W. Ooms, The received. significant effect under Executive Order United States Patent Office and the The Office submitted the proposed 12866, either because ‘‘innovation and Administrative Procedure Act, 38 and final rules to the Office of invention is a substantial part of the Trademark Rep. 149, 153 (1948)). Management and Budget (OMB) for full American economy,’’ or because the Because the rule is procedural, it is review prior to issuance. OMB commenter alleges the paperwork not required to be published for notice determined, and the Office agreed, that burdens of the information collections and comment. Nevertheless, the Office the final rules are not economically associated with some patent rules cost published a notice of proposed rule significant within the meaning of more than the $100 million threshold making in the Federal Register (75 FR Executive Order 12866. Additionally, for an economically significant action. 69828 (Nov. 15, 2010)) in order to solicit although analysis under the Regulatory Response: To the extent that this public comment before implementing Flexibility Act is not mandatory for comment is directed to regulatory this final rule. procedural rules such as these, the actions other than the BPAI rules, the The Office received the following Office fully complied with the Act. comment is outside the scope of this comments regarding the Administrative Under the Act, an agency need not rule making. To the extent that this Procedure Act. complete an Initial Regulatory comment is directed to the instant Comment 89: The Office received Flexibility Analysis ‘‘if the head of the regulatory action, the Office notes that three comments suggesting that these agency certifies that the rule will not, if it fully complied with Executive Order rules are substantive rather than promulgated, have a significant 12866 in the promulgation of this rule. procedural, are required to be economic impact on a substantial Moreover, the Office of Information and promulgated through notice and number of small entities.’’ See 5 U.S.C. Regulatory Affairs (OIRA) determines comment, and must be submitted to the 605(b). For the reasons set forth at whether the Office’s rules are Office of Management and Budget length in the NPRM (75 FR 69828–01, ‘‘significant’’ and/or ‘‘economically (OMB) for approval and analysis under 69843–44), the Deputy General Counsel significant’’ under Executive Order Executive Order 12866 and to the Small has certified to the Chief Counsel for 12866. See Exec. Order No. 12866, 58 Business Administration (SBA) for Advocacy of the Small Business FR 51735, § 6(b)(1) (Sept. 30, 1993). review under the Regulatory Flexibility Administration that this rule will not OIRA determined that these rules are Act. have a significant economic impact on ‘‘significant,’’ but not ‘‘economically Response: These rules are procedural a substantial number of small entities, significant.’’ Furthermore, there is because they are ‘‘rules of agency in accordance with 5 U.S.C. 605(b). The nothing in Executive Order 12866 that organization, procedure, or practice,’’ SBA’s Office of Advocacy did not requires that OIRA’s analysis begin with see 5 U.S.C. 553(b)(A), and because they disagree with this certification. the presumption that all rules are do not ‘‘foreclose effective opportunity Regulatory Flexibility Act: Prior notice economically significant. The Office to make one’s case on the merits,’’ JEM and an opportunity for public comment presents each proposed rule to OIRA, Broad. Co. v. F.C.C., 22 F.3d 320, 328 are not required pursuant to 5 U.S.C. which considers the economic (DC Cir. 1994). The Office declines to 553 or any other law. Neither a significance of each rule individually. accept one commenter’s suggestion that Regulatory Flexibility Act analysis nor a

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certification under the Regulatory consuming than a regular patent requirement for appellants to separately Flexibility Act (5 U.S.C. 601 et seq.) is application amendment/argument. identify the claims on appeal in the applicable to this final rule. See 5 U.S.C. Based on the Office’s experience, it appeal brief. Thus, in those instances 603. estimates that such an amendment where appellants wish to appeal all Nonetheless, the Deputy General cancelling claims will only be filed in claims under rejection, which Counsel for General Law of the United approximately 1% of appeals. The represents the majority of appeals, the States Patent and Trademark Office has Board decided Ex parte Ghuman, 88 appellant’s burden is lessened by not certified to the Chief Counsel for USPQ2d 1478, 2008 WL 2109842 (BPAI having to include a listing of the status Advocacy of the Small Business 2008) (precedential) in May 2008. Of the of all of the claims under rejection. Administration that, for the reasons approximately 2,056 reported Board discussed below, this final rule for the decisions and orders issued in the Changes to Appeal Brief Requirements Rules of Practice Before the Board of remainder of FY 2008, only ten such The Office also estimates a net cost Patent Appeals and Interferences in Ex decisions and orders cited Ghuman in savings to all appellants as a result of Parte Appeals [RIN 0651–AC37], will noting that an appellant had withdrawn the changes to the appeal brief not have a significant economic impact claims from appeal. In FY 2009 (October requirements in the final rule. In on a substantial number of small 2008–September 2009), of the particular, the Office estimates a savings entities. See 5 U.S.C. 605(b) (Regulatory approximately 5,612 reported Board due to the elimination of certain appeal Flexibility Act). decisions and orders, only twenty cited brief requirements and changes to other There are no fee changes associated Ghuman in noting that an appellant had requirements to make them more with the final rule. The estimates of withdrawn claims from appeal. In FY flexible. The Office estimates a small economic impact provided below are 2010 (October 2009—September 2010), increase in cost to the subset of based on agency expertise in patent of the approximately 5,990 reported appellants who choose to argue claims prosecution practice. Board decisions and orders, only separately or as a subgroup. For the subset of appellants who Claims on Appeal twenty-six cited Ghuman in noting that an appellant had withdrawn claims choose to argue claims separately or as In those instances where appellants from appeal. In FY 2011 (October 2010– a subgroup, the small increase in cost wish to appeal all claims under September 2011), of the approximately would merely be related to the addition rejection, which are the majority of 6,126 reported Board decisions and of subheadings before separately argued appeals, there will be a cost savings. orders, only thirty-five cited Ghuman in claims or subgroups. The Office The final rule eliminates the noting that an appellant had withdrawn estimates this added burden may requirement for appellants to claims from appeal. While these increase the time it takes to prepare an affirmatively state (by eliminating the numbers may not represent a precise appeal brief by 0.2 hours for those status of claims section of the appeal indication of the numbers of appeals appellants who choose to separately brief) all of the claims on appeal. There where appellants chose not to appeal all argue claims. This estimate is based on may be a slight increase in cost, of the rejected claims, these figures are the Office’s view of the time it would however, to a small subset of appellants provided as an indication of the take to add subheadings based on who choose not to appeal all of the relatively small number of appeals in agency expertise in patent prosecution rejected claims. For this small subset of which appellants choose to appeal practice. The estimated small increase appellants, the final rule requires fewer than all of the rejected claims in cost would not apply to all appeal cancellation of any non-appealed claims without cancelling such unappealed briefs because some appellants choose by filing an amendment. claims prior to appeal. Based on this to argue all of the claims rejected under The Office estimates that, for those data, the Office found that a ground of rejection as a single group. appellants choosing to appeal fewer approximately 0.46% of all appeals had However, since the Office does not track than all of the rejected claims, this Ghuman issues, i.e., where fewer than the number of appeals in which change may result in two hours of all of the rejected claims were appealed. appellants argue all claims as a single attorney time toward the preparation of For purposes of calculating additional group versus the number of appeals in such an amendment. For purposes of cost to appellants from this rule change, which appellants argue some claims comparison, the 2011 report of the the Office rounded up to 1% and used separately, the Office has applied this Committee on Economics of Legal this as a conservative (high) estimate for increase to the estimate of all appeal Practice of the American Intellectual the number of amendments expected. briefs filed. Applying this increase to Property Law Association (‘‘the AIPLA As this rule change will only impact 1% the estimate of all appeal briefs filed 2011 Report’’) notes that the median of all appellants, this final rule will not still will not have a significant cost for the preparation and filing of a have a significant economic impact on economic impact on a substantial patent application amendment/ a substantial number of small entities. number of small entities. argument of minimal complexity is Additionally, for the majority of Notably, the overall changes to the $1,800. Using the AIPLA 2011 Report’s appellants this final rule will likely appeal brief requirements in the final median billing rate for attorneys in result in cost savings. Because the rule rule will result in net savings to all private firms of $340 per hour, this cost had allowed appellants to appeal fewer appellants. By allowing more flexibility equates to approximately 5.3 hours of than all of the claims under rejection, in how an appellant chooses to present attorney time. The Office’s estimate of the rule also required appellants to an appeal to the Board and by two hours of attorney time ($680) for an affirmatively state (in the status of eliminating many appeal brief amendment merely cancelling claims is claims section of the appeal brief) all of requirements, appellants will incur less based on the fact that such an the claims on appeal. Under this final cost overall in preparation of appeal amendment will not contain an rule, the Board will presume that briefs. As discussed infra in the argument section, unlike a regular appellants intend to appeal all claims Paperwork Reduction Act section of the patent application amendment/ under rejection unless those claims notice, the Office estimates a net average argument. As such, the Office estimates under rejection for which review is not savings in preparation time under the that the amendment to cancel claims sought are cancelled. This change to the final rule of two hours of attorney time will be significantly less time- rule allows the Office to eliminate the as compared to the previous estimate

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under the 2004 rules. This estimate is technological information and the United States Patents Quarterly for based on the Office’s view of the net processes, to the extent applicable. any decision other than a United States time saved in preparation of an appeal Paperwork Reduction Act: This final Supreme Court decision, and further brief as a result of the final rule based rule involves information collection lessens the burden on appellant by no on agency expertise in patent requirements which are subject to longer requiring citation to a particular prosecution practice. As such, the review by the Office of Management and reporter. overall average attorney time and cost it Budget under the Paperwork Reduction 2. Final Bd.R. 41.37(c)(1)(i) lessens will take to prepare an appeal brief Act of 1995 (44 U.S.C. 3501 et seq.). The the burden on appellant because it under the final rule will be reduced collections of information in the rule provides for a default in the event that from 34 hours ($11,560) to 32 hours have been reviewed and previously this item is omitted from the brief, such ($10,880). Using the median billing rate approved by OMB under control that appellant is not required to include of $340 per hour, as published in the numbers 0651–0031 and 0651–0063. this section in the brief if the inventors AIPLA 2011 Report, the Office estimates As stated above in the Regulatory are the real party in interest. that the final rule will result in an Flexibility Act section of this notice, 3. Final Bd.R. 41.37(c)(1)(ii) lessens average savings of $680 per appeal brief. while the majority of the changes to the the burden on appellant because it (a) This savings will apply equally to large rule will either have no impact on or Limits the duty to provide information and small entities. will lessen the burden to the public as as to only those related cases that Accordingly, any costs related to the compared to the collection of involve an application or patent co- filing of an amendment cancelling information previously approved by owned by appellant or assignee; (b) claims and the addition of subheadings OMB, the Office has identified two provides a default assumption in the to an appeal brief will not have a changes that may, in certain event that this item is omitted from the significant economic impact on a circumstances, increase the burden to brief so that appellants are no longer substantial number of small entities. the public. required to make a statement that ‘‘there Specifically, the Office has estimated Moreover, this final rule as a whole will are no such related cases’’; and (c) no that final Bd.R. 41.31(c) will impose an likely result in a net cost savings to longer requires filing of copies of increased burden of two hours of added appellants and, therefore, also will not decisions in related proceedings. have a significant economic impact on time to a small subset of appellants (1%) who choose not to seek review of all 4. The final rule lessens the burden on a substantial number of small entities. appellant by eliminating the Unfunded Mandates: The Unfunded claims under rejection by requiring such requirement under the 2004 rule Mandates Reform Act requires, at 2 appellants to file an amendment (specifically Bd.R. 41.37(c)(1)(iii)) for U.S.C. 1532, that agencies prepare an cancelling any unappealed claims, or appellant to identify the status of claims assessment of anticipated costs and otherwise have the Board treat all benefits before issuing any rule that may rejected claims as being on appeal. in the appeal brief. result in expenditure by State, local, and Additionally, the Office estimated that 5. The final rule lessens the burden on tribal governments, in the aggregate, or the change to the briefing requirements appellant by eliminating the by the private sector, of $100 million or in final Bd.R. requirement under the 2004 rule more (adjusted annually for inflation) in 41.37(c)(1)(iv)(renumbered) (requiring (specifically Bd.R. 41.37(c)(1)(iv)) for any given year. This rule would have no appellants to place any claim(s) argued appellant to include a statement of the such effect on State, local, and tribal separately or as a subgroup under a status of any amendments. governments or the private sector. separate subheading that identifies the 6. Final Bd.R. 41.37(c)(1)(iii) Executive Order 13132: This rule claim(s) by number) would result in 0.2 (renumbered) lessens the burden on making does not contain policies with hours of added time for those appellants appellant by providing more flexibility federalism implications sufficient to who choose to separately argue their than corresponding Bd.R. 41.37(c)(1)(v) warrant preparation of a Federalism claims. These estimates are based on the by allowing citation to paragraph Assessment under Executive Order Office’s expertise in patent prosecution number (instead of limiting citation to 13132 (Aug. 4, 1999). practice. This increase in burden hours page and line number). The final rule Executive Order 13563 (Improving would not apply to all appeal briefs also clarifies the current Office policy, Regulation and Regulatory Review): The because some appellants choose to which does not allow reference to the Office has complied with Executive argue all of the claims rejected under a patent application publication in the Order 13563 (Jan. 8, 2011). Specifically, ground of rejection as a single group. summary of claim subject matter. Since the Office has: (1) Used the best However, since the Office does not track improper reference to the patent available techniques to quantify costs the number of appeals in which application publication is a current and benefits, and has considered values appellants argue all claims as a single cause of defective briefs, this rule such as equity, fairness and distributive group versus the number of appeals in change is intended to reduce confusion impacts; (2) provided the public with a which appellants argue some claims and thereby reduce the number of meaningful opportunity to participate in separately, for purposes of estimating defective briefs. the regulatory process, including the overall burden, the Office has 7. The final rule lessens the burden on soliciting the views of those likely applied this 0.2 hour increase to the appellant by eliminating the affected, by issuing a notice of proposed estimate of all appeal briefs filed. requirement under the 2004 rule rule making and providing on-line The Office has also specifically (specifically Bd.R. 41.37(c)(1)(vi)) for access to the rule making docket; (3) identified below at least nine changes in appellant to state the grounds of attempted to promote coordination, the final rule that will lessen the burden rejection to be reviewed on appeal in simplification and harmonization across to the public as compared to the 2004 the appeal brief. The Board would look government agencies and identified rule. to documents already of Record (i.e., the goals designed to promote innovation; 1. Final Bd.R. 41.12(b) lessens the Office action from which the appeal is (4) considered approaches that reduce burden on appellant by removing the taken and any subsequent Advisory burdens and maintain flexibility and requirement for appellant to include Action or Pre-Appeal Conference freedom of choice for the public; and (5) parallel citations (Bd.R. 41.12(a)(2)–(3)) Decision) to determine the grounds of ensured the objectivity of scientific and to both the West Reporter System and to rejection on appeal.

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8. Final Bd.R. 41.37(c)(1)(iv) concurrently with this final rule for its same or another collection. This data is (renumbered) lessens the burden on review and approval in light of the then combined with the Office’s appellant by allowing appellant’s changes made in the final rule as corporate planning and budget headings to ‘‘reasonably identify the compared to the rule as proposed in the estimations to forecast the estimates for ground being contested (e.g., by claim NPRM, and OMB approved the updated data for the next three years to include number, statutory basis, and applied information collection package. considerations such as the Office’s reference, if any).’’ The corresponding The USPTO received several projections for the growth in the number Bd.R. 41.37(c)(1)(vii) (the 2004 rule) has comments regarding the information of patent applications. Agency expertise occasionally been interpreted as a collection submitted to OMB along with in patent prosecution practice is relied verbatim requirement and resulted in the NPRM. upon to confirm a reasonable basis for briefs being found defective for failure Comment 90: The Office received a any trend suggested by the data and to to state the ground of rejection in the comment suggesting that it make clear identify the most closely analogous heading exactly the same as stated in where the supporting statement for the item(s), and Agency expertise in the Office action from which the appeal Information Collection Request for this corporate planning is relied upon to was taken. The final rule clarifies that rule may be obtained. project estimates over the next three this is not a verbatim requirement and Response: The supporting statement years. Estimates of the hours per allows more flexibility in the brief. is available at http://www.reginfo.gov/ response for items in the collection are 9. The final rule lessens the burden on public/do/PRAMain under OMB control derived from data from the biennial appellant by eliminating the number 0651–0063. See Proposed AIPLA economic survey report, data requirement under the 2004 rule Modification Supporting NPRM RIN from previous iterations of the renewal (specifically Bd.R. 41.37(c)(1)(x)) for 0651–AC37 (Rules of Practice Before the process, and Agency expertise in patent appellants to file a related proceedings Board of Patent Appeals and prosecution practice. To the extent that appendix containing copies of decisions Interferences in Ex Parte Appeals), 2 the Office uses staff expertise in crafting in related proceedings. The Board will (Nov. 4, 2010), http://www.reginfo.gov/ estimates, the BPAI on its own has look to the records in the Office and public/do/PRAMain (OMB Control No. many years of combined USPTO and other publicly available sources to 0651–0063) (hereinafter ‘‘Supporting non-USPTO patent prosecution locate and review decisions rendered in Statement’’). experience, and the BPAI is but one of any related proceedings. Comment 91: The Office received a the offices involved in providing In the approved information comment claiming that the Office had information contained in the Supporting collection [OMB Control Number 0651– not explained the practical utility of the Statement. Other offices include the 0063], the Office estimated the average information it sought to collect through Office of Planning and Budget and the appeal brief took 34 hours to prepare. In amendments to appeal briefs, reply Office of the Chief Economist. This light of the changes in the final rule briefs, and requests for rehearing. prosecution experience spans multiple (final Bd.R. 41.37) as compared to the Response: The Office fully explained technologies and provides views from 2004 rule for briefing requirements for the need for this information in the various perspectives, including the filing appeal briefs, and taking into supporting statement accompanying this perspectives of former patent agents, account the nine changes that will information collection request, under associate attorneys, and law firm lessen the burden and the one change the section entitled ‘‘Needs and Uses,’’ partners, working with both small and (i.e., addition of subheadings) that will which explained that the collections non-small entity patent applicants. One add a burden, the agency estimates that were necessary so the Board could commenter suggested that the informed the changes in the final rule as identify the claims the appellant wanted expertise of the BPAI staff should be compared to the 2004 rule will result in to appeal, and that the burdens for replaced with the opinions and beliefs a net average decrease of approximately collecting this information had changed of commenters of unverified expertise. 2 hours per appeal brief from the prior because the new rules decreased the This suggestion would result in less estimate, thereby lowering the previous paperwork burden on appellants. See verifiable and less trustworthy data. average estimate of approximately 34 Supporting Statement at 2. Accordingly, the Office does not adopt hours to 32 hours to prepare an appeal Comment 92: The Office received two this suggestion. The Supporting brief. This estimate is based on the net comments suggesting that the burden Statement is substantively objective in impact of the changes and time saved in estimates in the Supporting Statement that it presents all information in an preparation of an appeal brief based on were not supported by objective data ‘‘accurate, clear, complete, unbiased agency expertise in patent prosecution and allegedly based on opinion and manner, and within the proper context.’’ practice. Using the median billing rate belief. USPTO’s Information Quality of $340 per hour, as published in the Response: In general, estimates of the Guidelines, § IV, 6, a, http:// AIPLA 2011 Report, the Office estimates number of responses expected per year www.uspto.gov/products/cis/ that these rule changes will result in an for any particular item in the collection infoqualityguidelines.jsp (hereinafter average savings of $680 per appeal brief. are derived from the internal data ‘‘USPTO’s IQG’’). The Office notes that the number and collected from PALM, and/or IFW and Comment 93: The Office received a significance of these changes effecting a the data from previous iterations of the comment suggesting that its reliance on lessening of the burden to appellants renewal process. If data from PALM or third party data such as the AIPLA substantially outweigh the changes that IFW is available for a particular item in economic survey in determining the may result, in certain circumstances, in the collection, the data is examined to burden estimates for the proposed increased burden to appellants. The determine whether a trend exists that information collections associated with Office submitted an information can be used to provide annual estimates this rule violated the Information collection package to OMB for its review for the item for the next three years. If Quality Act (IQA). and approval at the same time as data from PALM or IFW is not available Response: In providing estimates of publication of the NPRM and OMB pre- for an item, e.g., if the item is a new burden hours, the Office sometimes approved the information collection. item, response estimates are arrived at referenced the AIPLA economic survey The Office also submitted an updated from an analysis of PALM or IFW data report, as a benchmark for the estimates. information collection package to OMB for a closely analogous item(s) in the Under the Office’s Information Quality

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Guidelines (IQG), the AIPLA economic which claims the appellant intends to By definition, estimates do not represent survey report is not a ‘‘dissemination’’ argue in each section of the appeal brief. knowledge such as facts or data. of information. The Guidelines state that Comment 95: One commenter noted a ‘‘Information,’’ not estimation, is subject ‘‘dissemination’’ means an ‘‘agency typographical error in the Supporting to certain reproducibility requirements. initiated or sponsored distribution of Statement. See USPTO’s IQG, Section IV, 7 information to the public.’’ USPTO’s Response: The Office has corrected (‘‘reproducibility’’ means the IQG, at § IV, A, 1. Subsection (a) further this error so that the Supporting ‘‘information is capable of being defines ‘‘agency initiated distribution of Statement now reads, ‘‘The Information substantially reproduced, subject to an information to the public’’ to mean Quality Guidelines * * * apply to this acceptable degree of imprecision.’’). No ‘‘information that the agency distributes information collection and this correction is warranted for matters not or releases which reflects, represents, or information collection and its involving ‘‘information.’’ See USPTO’s forms any part of the support of the supporting statement comply with all IQG, Section XI, A, 4, a. policies of the agency.’’ Id. at § IV, A, applicable information quality Comment 98: The Office also received 1, a. The Office did not distribute or guidelines * * *.’’ See Supporting a comment requesting the source of the release the AIPLA economic survey Statement at 3. data in the NPRM on the number of report. Likewise, the AIPLA economic Comment 96: The Office received two requests for pre-appeal brief conference survey report does not qualify as an comments suggesting it should have and appeal conference review the Office ‘‘agency sponsored distribution of used the mean rather than the median receives each year. information’’ under Subsection (b) of when calculating the average hourly rate Response: The Office tracks this the Guidelines, which ‘‘refers to and cost of the paperwork burden information in PALM. situations where the agency has directed created by these rules. Comment 99: The Office received a Response: OMB regulations do not a third party to distribute or release comment suggesting it does not require a particular arithmetic technique information, or where the agency has adequately consider public comments for calculating burden estimates. the authority to review and approve the on Information Collection Requests Nothing in the plain text of the information before release.’’ Id. at § IV, (ICRs). regulation or the Office’s IQG suggests Response: The Office greatly A, 1, b. The Office did not commission that mean values are required or that an appreciates the time and effort the the report, had no input into the agency’s use of median values is public expends commenting on ICRs structure of the report and does not rely inappropriate. See San Luis & Delta- and proposed rules. The Office fully exclusively upon the results of the Mendota Water Auth. v. Salazar, 2010 considers all comments and strives to report to arrive at estimates. Thus, there WL 5422597, at *88–93 (E.D. Ca. 2010) incorporate these comments to the is no violation under the IQA because (holding that nothing in the IQA or the greatest extent possible to improve the the Office utilized the AIPLA economic agency’s guidelines on the IQA ICRs and rules it promulgates. survey report in formulating some mandated how the agency conducted its Comment 100: The Office received a burden estimations. calculations). 5 CFR 1320.8(b)(3)(iii) comment on Bd.R. 41.33(d)(1) Comment 94: The Office received a simply requires an agency to provide suggesting that the rule precluding comment asking if these rules ‘‘an estimate, to the extent practicable, affidavits filed after the date of filing an inappropriately shift the paperwork of the average burden of the collection.’’ appeal and prior to the date of filing a burden onto applicants and away from The Office considers the median figure brief under some circumstances does the USPTO. to be an appropriate value upon which not comply with the Paperwork Response: As explained in the NPRM, to base estimates because attorneys Reduction Act’s requirement to the vast majority of the changes to this charging both above the median and minimize the paperwork burden on the rule will either decrease the paperwork below the median would be expected to public because the precluded affidavit burden on applicants or have no effect participate in the process. Supporting may have convinced the examiner to on the paperwork burden. The only Statement at 9. Accordingly, the burden reconsider the rejection and obviated changes that the Office estimates would calculations need no correction. the need for the appeal. add to any applicant’s paperwork Comment 97: The Office received one Response: First, no change has been burden are (1) The requirement that comment claiming that it must disclose proposed to this long-standing practice appellants cancel any unappealed the data, models, and analyses used to of the USPTO. Second, the Office is not claims and (2) the requirement that estimate the PRA burdens and requesting information in the form of subheadings with claim numbers be requesting correction of the supporting late-submitted affidavits; in most cases used to identify the claims or groups of statement to include that information. it will not even accept such information. claims argued in that particular section. Response: The basis for providing And finally, to the extent that the With regard to the first change, for 99% various estimates is explained in the commenter suggests that the Paperwork of appellants, this change will shift the Supporting Statement and further Reduction Act issue comes not from the paperwork burden away from appellants detailed in the responses to these affidavit itself but from the appeal that because they will no longer need to comments. Under the IQA, certain may result from the inability to submit identify which claims they wish to influential information must be the affidavit, the Office disagrees that appeal. For the 1% of appellants who do reproducible under certain this affects the burden on the appellant. not pursue appeals of all of their claims, circumstances. The burden ‘‘estimates’’ Appellant may still request continued this rule will result in a slight increase of which the commenter complains do examination under 37 CFR 1.114 rather in paperwork because they will be not qualify as ‘‘information’’ within the than pursue an appeal. required to identify which claims they meaning of the IQA. ‘‘Information’’ is Comment 101: One commenter are not appealing. Both changes defined as ‘‘any communication or suggested that the Office is required by appropriately place the burden on the representation of knowledge such as the Paperwork Reduction Act to submit appellant because only the appellant is facts or data, in any medium or form, an Information Collection Request for in a position to know which claims the including textual, numerical, graphic, oral hearings before the BPAI. appellant wants to appeal and the cartographic, narrative, or audiovisual Response: The Paperwork Reduction appellant is in the best position to know forms.’’ USPTO’s IQG, Section IV, A, 4. Act does not apply to oral hearings.

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First, under the Act, a ‘‘collection of ex parte patent appeals (as published in holding or portion of an authority is information’’ is defined as collecting 69 FR 50003 (August 12, 2004)). See 37 invoked. information ‘‘by means of identical CFR 41.1 et seq. (2010). The Office also (d) Non-binding authority should be questions posed to, or identical withdraws the indefinitely delayed 2008 used sparingly. If the authority is not an reporting, recordkeeping, or disclosure final rule (73 FR 32938 (June 10, 2008)) authority of the Office and is not requirements imposed on, ten or more that never went into effect. reproduced in the United States Reports persons * * *.’’ See 5 CFR 1320.3(c). or the West Reporter System, a copy of List of Subjects Oral hearings do not involve identical the authority should be provided. questions posed to 10 or more persons 37 CFR Part 1 Subpart B—Ex parte Appeals and thus are not ‘‘collections of Administrative practice and information.’’ Furthermore, the facts procedure, Courts, Freedom of ■ 5. Amend § 41.30 by adding and arguments recited at an oral hearing information, Inventions and patents, do not constitute ‘‘information’’ under definitions for ‘‘evidence’’ and ‘‘record’’ Reporting and recordkeeping in alphabetical order to read as follows: the Paperwork Reduction Act because requirements, Small businesses. the Act specifies that ‘‘ ‘[i]nformation’ § 41.30 Definitions. 37 CFR Part 41 does not generally include items in the * * * * * following categories * * *: (6) A Administrative practice and Evidence means something (including request for facts or opinions addressed procedure, Inventions and patents, testimony, documents and tangible to a single person.’’ See 5 CFR Lawyers. objects) that tends to prove or disprove 1320.3(h)(6). Accordingly, the Act does Amendments to the Regulatory Text the existence of an alleged fact, except not require the Office to submit an that for the purpose of this subpart Information Collection Request for oral For the reasons discussed in the Evidence does not include dictionaries, hearings and the Office has not preamble, under the authority of 35 which may be cited before the Board. submitted such a request. U.S.C. 2(b)(2), the Under Secretary of Comment 102: One commenter Commerce for Intellectual Property and * * * * * suggested that the Office did not comply Director of the United States Patent and Record means the items listed in the with the Paperwork Reduction Act Trademark Office withdraws the final content listing of the Image File because it allegedly did not seek public rule published June 10, 2008 (73 FR Wrapper of the official file of the comment on the estimation of burden 32938) and amends Parts 1 and 41 of application or reexamination hours for the new rules before title 37 of the Code of Federal proceeding on appeal or the official file publishing the NPRM in the Federal Regulations as follows: of the Office if other than the Image File Register. Wrapper, excluding amendments, Response: The commenter PART 1—RULES OF PRACTICE IN Evidence, and other documents that misunderstands the Paperwork PATENT CASES were not entered. In the case of an Reduction Act. The Paperwork issued patent being reissued or ■ Reduction Act clearly states that ‘‘[t]he 1. The authority citation for part 1 reexamined, the Record further includes agency need not separately seek such continues to read as follows: the Record of the patent being reissued public comment for any proposed Authority: 35 U.S.C. 2(b)(2), unless or reexamined. collection of information contained in a otherwise noted. ■ 6. Amend § 41.31 by revising proposed rule to be reviewed under ■ 2. Amend § 1.197 by revising the paragraphs (a) introductory text, (b), and § 1320.11, if the agency provides notice section heading and removing and the first sentence of paragraph (c) to and comment through the notice of reserving paragraph (a). The revision read as follows: proposed rulemaking for the proposed reads as follows: rule * * *.’’ 5 CFR 1320.8(d)(3). § 41.31 Appeal to Board. Because this collection associated with § 1.197 Termination of proceedings. (a) Who may appeal and how to file these rules is a collection of information * * * * * an appeal. An appeal is taken to the in a proposed rule under 5 CFR 1320.11, Board by filing a notice of appeal. the Office was not required to seek PART 41—PRACTICE BEFORE THE * * * * * public comment beyond notice and BOARD OF PATENT APPEALS AND (b) The signature requirements of comment through the NPRM. Moreover, INTERFERENCES §§ 1.33 and 11.18(a) of this title do not the Office did seek public participation apply to a notice of appeal filed under prior to publishing the NPRM. The ■ 3. Revise the authority citation for part this section. USPTO conducted a roundtable 41 to read as follows: (c) An appeal, when taken, is discussion with the public on the Board Authority: 35 U.S.C. 2(b)(2), 3(a)(2)(A), 21, presumed to be taken from the rejection rules. 23, 32, 41, 132, 133, 134, 135, 306, and 315. of all claims under rejection unless Notwithstanding any other provision cancelled by an amendment filed by the of law, no person is required to respond Subpart A—General Provisions applicant and entered by the Office. *** to nor shall a person be subject to a ■ 4. Revise § 41.12 to read as follows: penalty for failure to comply with a * * * * * collection of information subject to the § 41.12 Citation of authority. ■ 7. Amend § 41.33 by revising the requirements of the Paperwork (a) For any United States Supreme section heading, and revising Reduction Act unless that collection of Court decision, citation to the United paragraphs (c) and (d) to read as follows: information displays a currently valid States Reports is preferred. OMB control number. The valid OMB (b) For any decision other than a § 41.33 Amendments and affidavits or control number assigned to these final United States Supreme Court decision, other Evidence after appeal. regulations is OMB Control Number citation to the West Reporter System is * * * * * 0651–0063. preferred. (c) All other amendments filed after This final rule supersedes the rules (c) Citations to authority must include the date of filing an appeal pursuant to governing practice before the Board in pinpoint citations whenever a specific § 41.31(a)(1) through (a)(3) will not be

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admitted except as permitted by of the proceeding, the Board determines Record by page and line number or by §§ 41.39(b)(1), 41.50(a)(2)(i), and that the file is not complete or is not in paragraph number, and to the drawing, 41.50(b)(1). compliance with the requirements of if any, by reference characters. For each (d)(1) An affidavit or other Evidence this subpart, the Board may relinquish rejected independent claim, and for filed after the date of filing an appeal jurisdiction to the examiner or take each dependent claim argued separately pursuant to § 41.31(a)(1) through (a)(3) other appropriate action to permit under the provisions of paragraph and prior to the date of filing a brief completion of the file. (c)(1)(iv) of this section, if the claim pursuant to § 41.37 may be admitted if ■ 9. Amend § 41.37 by: contains a means plus function or step the examiner determines that the ■ a. Adding headings to paragraphs (a), plus function recitation as permitted by affidavit or other Evidence overcomes (b), (c), (d) and (e); 35 U.S.C. 112, sixth paragraph, then the all rejections under appeal and that a ■ b. Revising paragraph (c); concise explanation must identify the showing of good and sufficient reasons ■ d. Revising the second sentence in structure, material, or acts described in why the affidavit or other Evidence is paragraph (d); and the specification in the Record as necessary and was not earlier presented ■ e. Adding new third and fourth corresponding to each claimed function has been made. sentences to paragraph (d). with reference to the specification in the (2) All other affidavits or other The revisions and additions read as Record by page and line number or by Evidence filed after the date of filing an follows: paragraph number, and to the drawing, appeal pursuant to § 41.31(a)(1) through § 41.37 Appeal brief. if any, by reference characters. (a)(3) will not be admitted except as Reference to the patent application (a) Timing and fee. *** permitted by §§ 41.39(b)(1), publication does not satisfy the 41.50(a)(2)(i), and 41.50(b)(1). (b) Failure to file a brief. *** (c) Content of appeal brief. (1) Except requirements of this paragraph. ■ 8. Revise § 41.35 to read as follows: as otherwise provided in this paragraph, (iv) Argument. The arguments of § 41.35 Jurisdiction over appeal. the brief shall contain the following appellant with respect to each ground of rejection, and the basis therefor, with (a) Beginning of jurisdiction. items under appropriate headings and in the order indicated in paragraphs citations of the statutes, regulations, Jurisdiction over the proceeding passes authorities, and parts of the Record to the Board upon the filing of a reply (c)(1)(i) through (v) of this section, except that a brief filed by an appellant relied on. The arguments shall explain brief under § 41.41 or the expiration of why the examiner erred as to each the time in which to file such a reply who is not represented by a registered practitioner need only substantially ground of rejection contested by brief, whichever is earlier. appellant. Except as provided for in (b) End of jurisdiction. The comply with paragraphs (c)(1)(i), §§ 41.41, 41.47 and 41.52, any jurisdiction of the Board ends when: (c)(1)(ii), (c)(1)(iv), and (c)(1)(v) of this (1) The Director or the Board enters a section: arguments or authorities not included in remand order (see §§ 41.35(c), 41.35(e), (i) Real party in interest. A statement the appeal brief will be refused and 41.50(a)(1)), identifying by name the real party in consideration by the Board for purposes (2) The Board enters a final decision interest at the time the appeal brief is of the present appeal. Each ground of (see § 41.2) and judicial review is sought filed, except that such statement is not rejection contested by appellant must be or the time for seeking judicial review required if the named inventor or argued under a separate heading, and has expired, inventors are themselves the real party each heading shall reasonably identify (3) An express abandonment which in interest. If an appeal brief does not the ground of rejection being contested complies with § 1.138 of this title is contain a statement of the real party in (e.g., by claim number, statutory basis, recognized, interest, the Office may assume that the and applied reference, if any). For each (4) A request for continued named inventor or inventors are the real ground of rejection applying to two or examination is filed which complies party in interest. more claims, the claims may be argued with § 1.114 of this title, (ii) Related appeals and interferences. separately (claims are considered by (5) Appellant fails to take any A statement identifying by application, appellant as separately patentable), as a required action under §§ 41.39(b), patent, appeal or interference number group (all claims subject to the ground 41.50(a)(2), 41.50(b), or 41.50(d), and all other prior and pending appeals, of rejection stand or fall together), or as the Board enters an order of dismissal, interferences or judicial proceedings a subgroup (a subset of the claims or (collectively, ‘‘related cases’’) which subject to the ground of rejection stand (6) Appellant reopens prosecution satisfy all of the following conditions: or fall together). When multiple claims pursuant to § 41.40(b) or in response to Involve an application or patent owned subject to the same ground of rejection a new ground of rejection entered in a by the appellant or assignee, are known are argued as a group or subgroup by decision of the Board (see § 41.50(b)(1)). to appellant, the appellant’s legal appellant, the Board may select a single (c) Remand ordered by the Director. representative, or assignee, and may be claim from the group or subgroup and Prior to the entry of a decision on the related to, directly affect or be directly may decide the appeal as to the ground appeal by the Board (see § 41.50), the affected by or have a bearing on the of rejection with respect to the group or Director may sua sponte order the Board’s decision in the pending appeal, subgroup on the basis of the selected proceeding remanded to the examiner. except that such statement is not claim alone. Notwithstanding any other (d) Documents filed during Board’s required if there are no such related provision of this paragraph, the failure jurisdiction. Except for petitions cases. If an appeal brief does not contain of appellant to separately argue claims authorized by this part, consideration of a statement of related cases, the Office which appellant has grouped together any information disclosure statement or may assume that there are no such shall constitute a waiver of any petition filed while the Board possesses related cases. argument that the Board must consider jurisdiction over the proceeding will be (iii) Summary of claimed subject the patentability of any grouped claim held in abeyance until the Board’s matter. A concise explanation of the separately. Under each heading jurisdiction ends. subject matter defined in each of the identifying the ground of rejection being (e) Administrative remands ordered rejected independent claims, which contested, any claim(s) argued by the Board. If, after receipt and review shall refer to the specification in the separately or as a subgroup shall be

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argued under a separate subheading that (b) Appellant’s response to new § 1.181 to designate a new ground of identifies the claim(s) by number. A ground of rejection. *** rejection in an examiner’s answer, but statement which merely points out what (1) * * * Request that prosecution be before a decision on the petition, the a claim recites will not be considered an reopened before the primary examiner reply brief will be treated as a request argument for separate patentability of by filing a reply under § 1.111 of this to withdraw the petition and to the claim. title with or without amendment or maintain the appeal. (v) Claims appendix. An appendix submission of affidavits (§§ 1.130, 1.131 (e) Extensions of time. Extensions of containing a copy of the claims involved or 1.132 of this of this title) or other time under § 1.136(a) of this title for in the appeal. Evidence. Any amendment or patent applications are not applicable to (2) A brief shall not include any new submission of affidavits or other the time period set forth in this section. or non-admitted amendment, or any Evidence must be relevant to the new See § 1.136(b) of this title for extensions new or non-admitted affidavit or other ground of rejection. * * * of time to reply for patent applications Evidence. See § 1.116 of this title for (2) * * * Such a reply brief must and § 1.550(c) of this title for extensions treatment of amendments, affidavits or address as set forth in § 41.37(c)(1)(iv) of time to reply for ex parte other evidence filed after final action each new ground of rejection and reexamination proceedings. but before or on the same date of filing should follow the other requirements of ■ 12. Amend § 41.41 by revising an appeal and § 41.33 for treatment of a brief as set forth in § 41.37(c). A reply paragraph (a) and paragraph (b), and amendments, affidavits or other brief may not be accompanied by any adding a heading to paragraph (c) to Evidence filed after the date of filing the amendment, affidavit (§§ 1.130, 1.131 or read as follows: appeal. Review of an examiner’s refusal 1.132 of this of this title) or other to admit an amendment or Evidence is Evidence. If a reply brief filed pursuant § 41.41 Reply brief. by petition to the Director. See § 1.181 to this section is accompanied by any (a) Timing. Appellant may file only a of this title. amendment, affidavit or other Evidence, single reply brief to an examiner’s (d) Notice of non-compliance. *** it shall be treated as a request that answer within the later of two months If appellant does not, within the set time prosecution be reopened before the from the date of either the examiner’s period, file an amended brief that primary examiner under paragraph answer, or a decision refusing to grant overcomes all the reasons for non- (b)(1) of this section. a petition under § 1.181 of this title to compliance stated in the notification, (c) Extensions of time. *** designate a new ground of rejection in the appeal will stand dismissed. Review ■ 11. Add § 41.40 to read as follows: an examiner’s answer. of a determination of non-compliance is (b) Content. (1) A reply brief shall not by petition to the Chief Administrative § 41.40 Tolling of time period to file a reply include any new or non-admitted Patent Judge. See § 41.3. brief. (e) Extensions of time. *** (a) Timing. Any request to seek review amendment, or any new or non- ■ of the primary examiner’s failure to admitted affidavit or other Evidence. 10. Amend § 41.39 by revising See § 1.116 of this title for amendments, paragraph (a); adding a heading to designate a rejection as a new ground of rejection in an examiner’s answer must affidavits or other evidence filed after paragraph (b) introductory text; revising final action but before or on the same the first two sentences of paragraph be by way of a petition to the Director under § 1.181 of this title filed within date of filing an appeal and § 41.33 for (b)(1); revising the second, third, and amendments, affidavits or other fourth sentences of paragraph (b)(2); and two months from the entry of the examiner’s answer and before the filing Evidence filed after the date of filing the adding a heading to paragraph (c) to appeal. read as follows: of any reply brief. Failure of appellant to timely file such a petition will (2) Any argument raised in the reply § 41.39 Examiner’s answer. constitute a waiver of any arguments brief which was not raised in the appeal (a) Content of examiner’s answer. The that a rejection must be designated as a brief, or is not responsive to an primary examiner may, within such new ground of rejection. argument raised in the examiner’s time as may be directed by the Director, (b) Petition granted and prosecution answer, including any designated new furnish a written answer to the appeal reopened. A decision granting a petition ground of rejection, will not be brief. under § 1.181 to designate a new ground considered by the Board for purposes of (1) An examiner’s answer is deemed of rejection in an examiner’s answer the present appeal, unless good cause is to incorporate all of the grounds of will provide a two-month time period in shown. rejection set forth in the Office action which appellant must file a reply under (c) Extensions of time. *** from which the appeal is taken (as § 1.111 of this title to reopen the § 41.43 [Removed] modified by any advisory action and prosecution before the primary pre-appeal brief conference decision), examiner. On failure to timely file a ■ 13. Remove § 41.43. unless the examiner’s answer expressly reply under § 1.111, the appeal will ■ 14. Amend § 41.47 by revising indicates that a ground of rejection has stand dismissed. paragraph (b) and by revising the second been withdrawn. (c) Petition not granted and appeal and third sentences of paragraph (e)(1) (2) An examiner’s answer may maintained. A decision refusing to grant to read as follows: include a new ground of rejection. For a petition under § 1.181 of this title to purposes of the examiner’s answer, any designate a new ground of rejection in § 41.47 Oral hearing. rejection that relies upon any Evidence an examiner’s answer will provide a * * * * * not relied upon in the Office action from two-month time period in which (b) If appellant desires an oral which the appeal is taken (as modified appellant may file only a single reply hearing, appellant must file, as a by any advisory action) shall be brief under § 41.41. separate paper captioned ‘‘REQUEST designated by the primary examiner as (d) Withdrawal of petition and appeal FOR ORAL HEARING,’’ a written a new ground of rejection. The examiner maintained. If a reply brief under request for such hearing accompanied must obtain the approval of the Director § 41.41 is filed within two months from by the fee set forth in § 41.20(b)(3) to furnish an answer that includes a the date of the examiner’s answer and within two months from the date of the new ground of rejection. on or after the filing of a petition under examiner’s answer or on the date of

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filing of a reply brief, whichever is it shall be treated as a request that order may result in the sua sponte earlier. prosecution be reopened before the dismissal of the appeal. * * * * * examiner under paragraph (a)(2)(i) of (e) Remand not final action. (e)(1) * * * At the oral hearing, this section. Whenever a decision of the Board appellant may only rely on Evidence (b) New ground of rejection. Should includes a remand, that decision shall that has been previously entered and the Board have knowledge of any not be considered final for judicial considered by the primary examiner and grounds not involved in the appeal for review. When appropriate, upon present argument that has been relied rejecting any pending claim, it may conclusion of proceedings on remand upon in the brief or reply brief except include in its opinion a statement to before the examiner, the Board may as permitted by paragraph (e)(2) of this that effect with its reasons for so enter an order otherwise making its section. The primary examiner may only holding, and designate such a statement decision final for judicial review. rely on argument and Evidence relied as a new ground of rejection of the (f) Extensions of time. Extensions of upon in an answer except as permitted claim. A new ground of rejection time under § 1.136(a) of this title for by paragraph (e)(2) of this section. pursuant to this paragraph shall not be patent applications are not applicable to * * * * * considered final for judicial review. the time periods set forth in this section. When the Board enters such a non-final ■ 15. Revise § 41.50 to read as follows: See § 1.136(b) of this title for extensions decision, the appellant, within two of time to reply for patent applications § 41.50 Decisions and other actions by the months from the date of the decision, and § 1.550(c) of this title for extensions Board. must exercise one of the following two of time to reply for ex parte (a)(1) Affirmance and reversal. The options with respect to the new ground reexamination proceedings. Board, in its decision, may affirm or of rejection to avoid termination of the ■ 16. Amend § 41.52 by revising the reverse the decision of the examiner in appeal as to the rejected claims: fourth sentence of paragraph (a)(1), whole or in part on the grounds and on (1) Reopen prosecution. Submit an revising paragraphs (a)(2) and (a)(3), and the claims specified by the examiner. appropriate amendment of the claims so adding paragraph (a)(4) to read as The affirmance of the rejection of a rejected or new Evidence relating to the follows: claim on any of the grounds specified claims so rejected, or both, and have the constitutes a general affirmance of the matter reconsidered by the examiner, in § 41.52 Rehearing. decision of the examiner on that claim, which event the prosecution will be remanded to the examiner. The new (a)(1) * * * Arguments not raised, except as to any ground specifically and Evidence not previously relied reversed. The Board may also remand ground of rejection is binding upon the examiner unless an amendment or new upon, pursuant to §§ 41.37, 41.41, or an application to the examiner. 41.47 are not permitted in the request (2) If a substitute examiner’s answer is Evidence not previously of Record is for rehearing except as permitted by written in response to a remand by the made which, in the opinion of the paragraphs (a)(2) through (a)(4) of this Board for further consideration of a examiner, overcomes the new ground of section. * * * rejection pursuant to paragraph (a)(1) of rejection designated in the decision. this section, the appellant must within Should the examiner reject the claims, (2) Appellant may present a new two months from the date of the appellant may again appeal to the Board argument based upon a recent relevant substitute examiner’s answer exercise pursuant to this subpart. decision of either the Board or a Federal one of the following two options to (2) Request rehearing. Request that Court. avoid sua sponte dismissal of the appeal the proceeding be reheard under § 41.52 (3) New arguments responding to a as to the claims subject to the rejection by the Board upon the same Record. The new ground of rejection designated for which the Board has remanded the request for rehearing must address any pursuant to § 41.50(b) are permitted. proceeding: new ground of rejection and state with (4) New arguments that the Board’s (i) Reopen prosecution. Request that particularity the points believed to have decision contains an undesignated new prosecution be reopened before the been misapprehended or overlooked in ground of rejection are permitted. examiner by filing a reply under § 1.111 entering the new ground of rejection * * * * * of this title with or without amendment and also state all other grounds upon ■ 17. Revise § 41.54 to read as follows: or submission of affidavits (§§ 1.130, which rehearing is sought. 1.131 or 1.132 of this title) or other (c) Review of undesignated new § 41.54 Action following decision. Evidence. Any amendment or ground of rejection. Any request to seek After decision by the Board, submission of affidavits or other review of a panel’s failure to designate jurisdiction over an application or Evidence must be relevant to the issues a new ground of rejection in its decision patent under ex parte reexamination set forth in the remand or raised in the must be raised by filing a request for proceeding passes to the examiner, substitute examiner’s answer. A request rehearing as set forth in § 41.52. Failure subject to appellant’s right of appeal or that complies with this paragraph (a) of appellant to timely file such a request other review, for such further action by will be entered and the application or for rehearing will constitute a waiver of appellant or by the examiner, as the the patent under ex parte reexamination any arguments that a decision contains condition of the application or patent will be reconsidered by the examiner an undesignated new ground of under ex parte reexamination under the provisions of § 1.112 of this rejection. proceeding may require, to carry into title. Any request that prosecution be (d) Request for briefing and effect the decision. reopened under this paragraph will be information. The Board may order treated as a request to withdraw the appellant to additionally brief any Dated: November 8, 2011. appeal. matter that the Board considers to be of David J. Kappos, (ii) Maintain appeal. Request that the assistance in reaching a reasoned Under Secretary of Commerce for Intellectual appeal be maintained by filing a reply decision on the pending appeal. Property and Director of the United States brief as provided in § 41.41. If such a Appellant will be given a time period Patent and Trademark Office. reply brief is accompanied by any within which to respond to such an [FR Doc. 2011–29446 Filed 11–21–11; 8:45 am] amendment, affidavit or other Evidence, order. Failure to timely comply with the BILLING CODE 3510–16–P

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Reader Aids Federal Register Vol. 76, No. 225 Tuesday, November 22, 2011

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING NOVEMBER

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 319...... 67581, 68057 Executive orders and proclamations 741–6000 958...... 67317 Proposed Rules: The United States Government Manual 741–6000 984...... 67320 Ch. XX ...... 70913 1205...... 69083 Other Services 3 CFR 1214 ...... 69094, 69110, 71241 Electronic and on-line services (voice) 741–6020 2502...... 69114, 70639 Proclamations: Privacy Act Compilation 741–6064 Proposed Rules: 8742...... 68273 Public Laws Update Service (numbers, dates, etc.) 741–6043 205...... 69141 8743...... 68611 TTY for the deaf-and-hard-of-hearing 741–6086 319...... 67379 8744...... 68613 457...... 71271, 71276 8745...... 68615 ELECTRONIC RESEARCH 759...... 70368 8746...... 68617 762...... 70368 World Wide Web 8747...... 68619 930...... 69673 Full text of the daily Federal Register, CFR and other publications 8748...... 68621 987...... 69678 is located at: www.fdsys.gov. 8749...... 68623 1945...... 70368 Federal Register information and research tools, including Public 8750...... 68625 2502...... 69146 Inspection List, indexes, and links to GPO Access are located at: 8751...... 69081 www.ofr.gov. 8752...... 70633 8 CFR E-mail 8753...... 71447 103...... 69119 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 8754...... 71863 8755...... 72079 an open e-mail service that provides subscribers with a digital 9 CFR form of the Federal Register Table of Contents. The digital form Executive Orders: of the Federal Register Table of Contents includes HTML and 13588...... 68295 93...... 70037 PDF links to the full text of each document. 13589...... 70863 94...... 70037 98...... 70037 To join or leave, go to http://listserv.access.gpo.gov and select Administrative Orders: Online mailing list archives, FEDREGTOC-L, Join or leave the list Memorandums: 381...... 68058 (or change settings); then follow the instructions. Memorandums of Proposed Rules: PENS (Public Law Electronic Notification Service) is an e-mail October 28, 2011 ...... 68049 319...... 69146 service that notifies subscribers of recently enacted laws. Notices: 381...... 69146 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Notice of November 1, 10 CFR and select Join or leave the list (or change settings); then follow 2011 ...... 68055 the instructions. Notice of November 7, 1...... 72082 FEDREGTOC-L and PENS are mailing lists only. We cannot 2011 ...... 70035 9...... 72082 respond to specific inquiries. Notice of November 9, 19...... 72082 Reference questions. Send questions and comments about the 2011 ...... 70319 20...... 72082 Federal Register system to: [email protected] Presidential 30...... 72082 The Federal Register staff cannot interpret specific documents or Determination No. 35...... 72082 regulations. 2012–02 of October 40...... 69120, 72082 Reminders. Effective January 1, 2009, the Reminders, including 14, 2011 ...... 70635 52...... 72082 Rules Going Into Effect and Comments Due Next Week, no longer 55...... 72082 5 CFR appear in the Reader Aids section of the Federal Register. This 60...... 72082 information can be found online at http://www.regulations.gov. 530...... 68631 61...... 72082 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 531...... 68631 70...... 72082 longer appears in the Federal Register. This information can be 532...... 70321 72...... 70331 found online at http://bookstore.gpo.gov/. 536...... 68631 73...... 72082 731...... 69601 110...... 72082 170...... 72082 FEDERAL REGISTER PAGES AND DATE, NOVEMBER Ch. III ...... 70037 Ch. XXXVII ...... 70322 171...... 72082 67315–67580...... 1 Proposed Rules: 430 ...... 70548, 70865, 71836 67581–68056...... 2 532...... 70365 431...... 69122 68057–68296...... 3 2635...... 70667 Proposed Rules: 68297–68624...... 4 Ch. XXIV...... 70913 Ch. I ...... 70913 68625–69082...... 7 Ch. XLVIII ...... 70913 51...... 70067 69083–69600...... 8 72...... 70374 69601–70036...... 9 6 CFR 429...... 69870, 70918 70037–70320...... 10 5...... 70637, 70638 430 ...... 69147, 69870, 70918 70321–70634...... 14 Proposed Rules: 431...... 70376 70635–70864...... 15 5...... 67621 609...... 67622 70865–71240...... 16 31...... 70366 950...... 67622 71241–71448...... 17 71449–71864...... 18 7 CFR 11 CFR 71865–72080...... 21 275...... 67315 7...... 70322 72081–72300...... 22 301...... 72081 201...... 70322

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12 CFR 4...... 71128 26...... 70340 40 CFR 204...... 68064 21...... 69334 31...... 67363 9...... 69134 243...... 67323 39...... 69334 301 ...... 67363, 70057, 70340, 26...... 71880 381...... 67323 140...... 69334 71259 52 ...... 67366, 67369, 67600, 701...... 67583 150...... 71626 Proposed Rules: 68103, 68106, 68317, 68638, 705...... 67583 151...... 71626 1 ...... 68119, 68370, 68373, 69052, 69135, 69896, 69928, 741...... 67583 200 ...... 67597, 71449, 71872 69172, 69188, 71919 70352, 70354, 70361, 70656, 201...... 71872 Proposed Rules: 20...... 71491 70886, 70888, 71260, 71450, 202...... 71872 44...... 68846 31...... 67384 71452, 71455, 71881, 71886 210...... 71872 248...... 68846 301...... 67384 63...... 70834, 72050 229...... 71872 351...... 68846 602...... 68119 81 ...... 70361, 71452, 71455, 230...... 71872 652...... 71798 72097 232...... 71872 27 CFR 1290...... 70069 112...... 72120 239...... 71872 9...... 70866 180 ...... 69636, 69642, 69648, 13 CFR 240...... 71872 Proposed Rules: 69653, 69659, 69662, 70890, 243...... 71872 Proposed Rules: 4...... 68373 70896, 71459 249...... 71872 121 ...... 69154, 70667, 70680 9...... 69198 300...... 70057 250...... 71872 124...... 69154 372...... 69136, 70361 251...... 71872 29 CFR 125...... 69154 Proposed Rules: 256...... 71872 126...... 69154 1980...... 68084 52 ...... 67396, 67640, 68378, 257...... 71872 127...... 69154 4022...... 70639 68381, 68385, 68698, 68699, 259...... 71872 69214, 69217, 70078, 70091, 260...... 71872 30 CFR 14 CFR 70929, 70940, 70952, 71922, 270...... 71872 23...... 72087 Proposed Rules: 72142 274...... 71872 75...... 70075 81...... 70078, 70091 275...... 71128, 71872 25...... 71865 902...... 67635 158...... 71294 279...... 71128 39 ...... 67341, 67343, 67346, 948...... 67637 161...... 71294 Proposed Rules: 180 ...... 69680, 69692, 69693 67591, 67594, 68297, 68299, 31 CFR 68301, 68304, 68306, 68634, 255...... 68846 280...... 71708 1...... 70640 68636, 69123, 70040, 70042, 18 CFR 281...... 71708 70044, 70046, 70334, 70336, Proposed Rules: 300...... 70105, 71500 71241, 71246, 72091 Proposed Rules: 1...... 71293 71 ...... 67596, 69608, 70051, 11...... 72134 1010...... 69204 41 CFR 70865, 72093 Ch. I ...... 70913 1030...... 69204 101–26...... 67370 73...... 69125 102–39...... 67371 19 CFR 32 CFR 95...... 72094 302–3...... 71888 97...... 70053, 70055 4...... 68066 174...... 70878 302–9...... 71888 Proposed Rules: 10...... 68067 706...... 68097 303–70...... 71890 39 ...... 67625, 67628, 67631, 24...... 68067 1701...... 67599 67633, 68366, 68368, 68660, 162...... 68067 Proposed Rules: 42 CFR 68661, 68663, 68666, 68668, 163...... 68067 165...... 68376 Ch. IV...... 67992 68671, 69155, 69157, 69159, 178...... 68067 409...... 68526 69161, 69163, 69166, 69168, 210...... 71248 33 CFR 413...... 70228 69685, 70377, 70379, 70382, Proposed Rules: 100 ...... 68314, 69613, 69622, 414...... 70228 71470, 71472, 72128, 72130 101...... 69688 70342, 70644 424...... 68526 71 ...... 68674, 70919, 70920 117 ...... 68098, 69131, 69632, 425...... 67802 21 CFR 183...... 69171 69633, 70342, 70345, 70346, 484...... 68526 382...... 71914 501...... 71248 70348, 70349, 71260 Ch. V...... 67992 Proposed Rules: 165 ...... 68098, 68101, 69131, 15 CFR 866...... 69034 69613, 69622, 69634, 70342, 44 CFR 738...... 70337 1140...... 71281 70350, 70647, 70649, 70882 64...... 67372, 70899 740...... 70337 Proposed Rules: 65...... 68322, 68325 744...... 71867 22 CFR 117...... 70384 67...... 68107, 69665 748...... 69609, 70337 42...... 67361 135...... 67385 Proposed Rules: 902...... 68310 123...... 68311 136...... 67385 67 ...... 70386, 70397, 70403 922...... 67348 126...... 68313, 69612 167...... 67395 Proposed Rules: Proposed Rules: Ch. II ...... 70927 45 CFR 738...... 68675 120...... 72246 1307...... 70010 740...... 68675 121...... 68694 37 CFR 742...... 68675 123...... 72246 1...... 70651, 72270 46 CFR 770...... 68675 124...... 72246 2...... 69132 160...... 70062 772...... 68675 126...... 72246 7...... 69132 180...... 70062 774...... 68675 127...... 72246 41...... 72270 199...... 70062 129...... 72246 16 CFR 38 CFR 47 CFR 24 CFR 1107...... 69586 3...... 70883 0...... 70902, 70904 1109...... 69546 17...... 69044 59...... 70885 1...... 68641, 70904 Proposed Rules: Proposed Rules: Proposed Rules: 2...... 67604 301...... 72132 100...... 70921 17...... 71920 15...... 71892 303...... 68690 905...... 71287 51...... 70076 27...... 71909 Ch. II ...... 69596 1000...... 71474 43...... 68641 1107...... 69482 39 CFR 64 ...... 68116, 68328, 68642, 26 CFR 3055...... 70653 72124 17 CFR 1 ...... 71255, 71450, 71878 Proposed Rules: 73 ...... 67375, 68117, 70660, 1...... 69334, 71626 20...... 69126 3050...... 71498 70904, 71267, 71909

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74...... 70660, 70904 31...... 68040 209...... 71922 300 ...... 67401, 68332, 70062, 79 ...... 67366, 67377, 68117 38...... 68032 212...... 71926 71469 80...... 67604 52 ...... 68015, 68026, 68027, 216...... 71922 622 ...... 67618, 68310, 68339, 90...... 71909 68028, 68032, 68039 229...... 71922 69136 Proposed Rules: Ch. 2 ...... 71467 232...... 71928 635 ...... 69137, 69139, 70064 73 ...... 67397, 68124, 69222, 202...... 71833 244...... 71926 648 ...... 68642, 68657, 70912, 72144 203...... 71826 252 ...... 70106, 71922, 71926, 72125 79...... 67397 211...... 71831 71928 660 ...... 68349, 68658, 70362 212...... 71464 679 ...... 68354, 68658, 70665, 48 CFR 215...... 71465 49 CFR 71269, 71913 Ch. 1...... 68014, 68044, 70037 216...... 71465 242...... 69802 680...... 68358 1 ...... 68015, 68017, 68043 218...... 71833 384...... 68328 Proposed Rules: 2...... 68015, 68026 219...... 71467 391...... 70661 17 ...... 67401, 68393, 71300 3...... 68017 225...... 71831 805...... 71909 21 ...... 67650, 69223, 69225 4 ...... 68027, 68028, 68043 232...... 71468 1011...... 70664 92...... 68264 8...... 68032, 68043 242...... 71830 Proposed Rules: 216...... 70695 12...... 68017, 68032 245...... 71824 10...... 71930 218...... 70695 16...... 68032 252...... 71464, 71826 192...... 70953 223...... 67652 19...... 68026, 68032 3009...... 70660 633...... 67400 224...... 67652 22...... 68015 3052...... 70660 226...... 68710 25 ...... 68027, 68028, 68037, Proposed Rules: 50 CFR 622 ...... 67656, 68711, 69230 68039 204...... 70106, 71922 21...... 71910 697...... 71501

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The text of laws is not S. 1487/P.L. 112–54 enacted public laws. To published in the Federal Asia-Pacific Economic subscribe, go to http:// LIST OF PUBLIC LAWS Register but may be ordered Cooperation Business Travel listserv.gsa.gov/archives/ in ‘‘slip law’’ (individual Cards Act of 2011 (Nov. 12, publaws-l.html This is a continuing list of pamphlet) form from the 2011; 125 Stat. 550) public bills from the current Superintendent of Documents, Last List November 9, 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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