Vol. 82 Wednesday, No. 147 August 2, 2017
Pages 35883–36076
OFFICE OF THE FEDERAL REGISTER
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Contents Federal Register Vol. 82, No. 147
Wednesday, August 2, 2017
Agricultural Marketing Service Employment and Training Administration NOTICES NOTICES Charter Renewals and Requests for Nominations: Job Corps Center Proposed for Closure, 35992–35995 Fruit and Vegetable Industry Advisory Committee, 35926 Energy Department Agriculture Department See Federal Energy Regulatory Commission See Agricultural Marketing Service NOTICES See National Institute of Food and Agriculture Meetings: See Rural Business-Cooperative Service Biomass Research and Development Technical Advisory Committee, 35939–35940 Antitrust Division Environmental Management Site-Specific Advisory NOTICES Board, Oak Ridge Reservation, 35938–35939 Changes under National Cooperative Research and Environmental Management Site-Specific Advisory Production Act: Board, Paducah, 35939 Vehicle Safety Communications 5 Consortium, 35992 Environmental Protection Agency Bureau of Consumer Financial Protection RULES RULES Air Quality State Implementation Plans; Approvals and Supplemental Standards of Ethical Conduct for Employees, Promulgations: 35883–35888 NOTICES Colorado, Montana, North Dakota, South Dakota, Utah, Compliance Bulletins: and Wyoming; Negative Declarations; Correction, Phone Pay Fees, 35936–35938 35906 PROPOSED RULES Air Quality State Implementation Plans; Approvals and Children and Families Administration Promulgations: NOTICES California; Enhanced Monitoring, 35922–35924 Agency Information Collection Activities; Proposals, Health and Environmental Protection Standards for Submissions, and Approvals: Uranium and Thorium Mill Tailings, 35924–35925 Procedural Justice Informed Alternatives to Contempt, NOTICES 35953–35954 Certain New Chemicals or Significant New Uses: Statements of Findings for April 2017, 35944–35945 Coast Guard Clean Air Act Operating Permit Program: RULES Petitions for Objection to State Operating Permits for Safety Zones: Duke Energy, LLC, 35945–35946 Brandon Road Lock and Dam to Lake Michigan including Des Plaines River, Chicago Sanitary and Ship Canal, Chicago River, and Calumet-Saganashkee Channel, Federal Aviation Administration Chicago, IL, 35900 RULES South Branch of Chicago River, Chicago, IL, 35900–35902 Airworthiness Directives: NOTICES SOCATA Airplanes, 35888–35890 Agency Information Collection Activities; Proposals, Standard Instrument Approach Procedures, and Takeoff Submissions, and Approvals, 35979–35981 Minimums and Obstacle Departure Procedures; Miscellaneous Amendment, 35890–35898 Commerce Department PROPOSED RULES See International Trade Administration Air Traffic Service Routes; Establishments, Modifications, See National Institute of Standards and Technology and Revocations: See National Oceanic and Atmospheric Administration Northcentral United States, 35918–35920 See National Telecommunications and Information Airworthiness Directives: Administration Airbus Airplanes, 35911–35914 Honeywell International Inc. Turbofan Engines, 35914– Defense Department 35918 See Navy Department Temporary Flight Restrictions in the Proximity of Launch NOTICES and Reentry Operations; Withdrawal, 35920–35921 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Federal Energy Regulatory Commission Statement and Acknowledgment, 35953 NOTICES Combined Filings, 35940–35944 Drug Enforcement Administration Initial Market-Based Rate Filings Including Requests for NOTICES Blanket Section 204 Authorizations: Importers of Controlled Substances; Applications: Great Valley Solar 1, LLC, 35943 Cambrex High Point, Inc., 35992 Great Valley Solar 2, LLC, 35941
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Federal Maritime Commission See U.S. Customs and Border Protection NOTICES NOTICES Agreements Filed, 35946 Determinations, 35984–35985 Controlled Carriers under Shipping Act of 1984, 35946– 35947 Indian Affairs Bureau NOTICES Federal Motor Carrier Safety Administration Indian Gaming Approvals: NOTICES Tribal-State Class III Gaming Compact in State of South Qualification of Drivers; Exemption Applications Dakota, 35989 Epilepsy and Seizure Disorders, 36072–36074 Interior Department Federal Reserve System See Fish and Wildlife Service NOTICES See Indian Affairs Bureau Agency Information Collection Activities; Proposals, See National Park Service Submissions, and Approvals, 35947–35952
Fish and Wildlife Service Internal Revenue Service NOTICES NOTICES Environmental Assessments; Availability, etc.: Meetings: Lost Hills Solar Project, Kern County, CA, 35986–35988 Taxpayer Advocacy Panel Joint Committee, 36075 Oil and Gas Activities in Santa Barbara County, CA, 35988–35989 International Trade Administration NOTICES Food and Drug Administration Antidumping or Countervailing Duty Investigations, Orders, NOTICES or Reviews: Agency Information Collection Activities; Proposals, Wooden Bedroom Furniture, from the People’s Republic Submissions, and Approvals: of China, 35929–35931 De Novo Classification Process, 35971–35973 Animal Drug User Fee Rates and Payment Procedures for International Trade Commission Fiscal Year 2018, 35966–35971 NOTICES Animal Generic Drug User Fee Rates and Payment Investigations; Determinations, Modifications, and Rulings, Procedures for Fiscal Year 2018, 35957–35962 etc.: Food Safety Modernization Act Domestic and Foreign Certain Flash Memory Devices and Components Thereof, Facility Reinspection, Recall, and Importer 35991 Reinspection Fee Rates for Fiscal Year 2018, 35954– Meetings; Sunshine Act, 35990–35992 35957 Guidance: Justice Department Antibacterial Therapies for Patients with Unmet Medical See Antitrust Division Need for Treatment of Serious Bacterial Diseases, See Drug Enforcement Administration 35973–35974 Meetings: Labor Department Over-the-Counter Monograph User Fees, 35965–35966 See Employment and Training Administration Outsourcing Facility Fee Rates for Fiscal Year 2018, 35962– See Occupational Safety and Health Administration 35965 National Aeronautics and Space Administration General Services Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals: Statement and Acknowledgment, 35953 Statement and Acknowledgment, 35953
Health and Human Services Department National Highway Traffic Safety Administration See Children and Families Administration NOTICES See Food and Drug Administration Meetings: See National Institutes of Health Federal Advisory Committee National Emergency See Substance Abuse and Mental Health Services Medical Services Advisory Council and Federal Administration Interagency Committee on Emergency Medical NOTICES Services, 36074–36075 Meetings: National Advisory Committee on Children and Disasters, National Institute of Food and Agriculture 35974 NOTICES Requests for Nominations: Meetings: Secretary’s Advisory Committee on Human Research Capacity Building Grants for Non-Land-Grant Colleges of Protections, 35974–35975 Agriculture, Secondary Education, Two-Year Postsecondary Education and Agriculture in K–12 Homeland Security Department Classroom Challenge Grants Program, etc.; See Coast Guard Stakeholder and Public Listening Session, 35927– See U.S. Citizenship and Immigration Services 35928
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Higher Education Multicultural Scholars Program and Postal Regulatory Commission National Needs Graduate and Postgraduate NOTICES Fellowship Grants Program; Stakeholder and Public Postal Rate and Classification Changes, 36007 Listening Session, 35928–35929 Postal Service National Institute of Standards and Technology NOTICES NOTICES Meetings; Sunshine Act, 36007–36008 National Cybersecurity Center of Excellence Secure Inter- Domain Routing Building Block, 35931–35933 Rural Business-Cooperative Service NOTICES National Institutes of Health Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 35929 Meetings: National Cancer Institute, 35978–35979 Securities and Exchange Commission National Heart, Lung, and Blood Institute, 35979 NOTICES National Institute of Diabetes and Digestive and Kidney Agency Information Collection Activities; Proposals, Diseases, 35975–35976 Submissions, and Approvals, 36064–36065 Requests for Letters of Interest: Applications: NCI–MATCH Laboratories, 35976–35978 Change Finance, PBC, et al., 36032–36033 Deregistration Applications, 36030–36031 National Oceanic and Atmospheric Administration Self-Regulatory Organizations; Proposed Rule Changes: RULES Bats BZX Exchange, Inc., 36031–36032 Fisheries of Exclusive Economic Zone Off Alaska: Depository Trust Co., 36057–36064 Pacific Cod in Western Aleutian Islands District of Bering Depository Trust Co.; National Securities Clearing Corp.; Sea and Aleutian Islands Management Area, 35910 Fixed Income Clearing Corp., 36049–36054 NOTICES Miami International Securities Exchange, LLC, 36023– Agency Information Collection Activities; Proposals, 36030 Submissions, and Approvals: Municipal Securities Rulemaking Board, 36039–36046 Atlantic Highly Migratory Species (HMS) Individual NASDAQ BX, Inc., 36046–36049 Bluefin Tuna Quota Tracking, 35933 NASDAQ PHLX, LLC, 36020–36023 Day 8 to 10 Forecast Focus Groups, Interviews and NASDAQ Stock Market, LLC, 36017–36020, 36037–36039 Survey, 35935 New York Stock Exchange, LLC, 36008–36009, 36033– Northeast Region Dealer Purchase Reports, 35934–35935 36037, 36054–36056 Requests for Nominations; Meetings: NYSE American, LLC, 36010–36012 Northwest Atlantic Fisheries Organization Consultative NYSE Arca, Inc., 36030 Committee, 35933–35934 NYSE MKT, LLC, 36012–36017
National Park Service State Department NOTICES NOTICES National Register of Historic Places: Agency Information Collection Activities; Proposals, Notification of Pending Nominations and Related Submissions, and Approvals: Actions, 35990 Online Application for Nonimmigrant Visa; Correction, 36067 Request for Approval to Travel to Restricted Country or National Telecommunications and Information Area, 36065–36067 Administration Arms Export Control Act and International Traffic in Arms Regulations: NOTICES Rescission of Statutory Debarment and Reinstatement of Agency Information Collection Activities; Proposals, Pratt and Whitney Canada Corp., 36068 Submissions, and Approvals, 35935–35936 Culturally Significant Objects Imported for Exhibition: After Darkness: Southeast Asian Art in Wake of History Navy Department Exhibition, 36068 RULES Casanova: Seduction of Europe, 36067 Certifications and Exemptions under International United States Passports Invalid for Travel to, in, or through Regulations for Preventing Collisions at Sea, 35898– Democratic People’s Republic of Korea, 36067–36068 35900 Substance Abuse and Mental Health Services Nuclear Regulatory Commission Administration NOTICES Requests for Comments: NOTICES Draft Test Plan High Energy Arcing Faults Phase 2, Meetings: 36006–36007 Advisory Committee for Women’s Services, 35979
Occupational Safety and Health Administration Surface Transportation Board NOTICES RULES Permanent Variance and Interim Orders; Applications: Fees for Services Performed in Connection with Licensing Jardon and Howard Technologies, Inc., 35995–36005 and Related Services, 35906–35909
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Trade Representative, Office of United States U.S. Customs and Border Protection NOTICES NOTICES Allocation of Additional Tariff-Rate Quota Volume for Raw Agency Information Collection Activities; Proposals, Cane Sugar, 36071 Submissions, and Approvals: Hearings: Cargo Manifest/Declaration, Stow Plan, Container Status China’s Compliance with WTO Commitments, 36071– Messages and Importer Security Filing, 35982–35984 36072 Documentation Requirements for Articles Entered Under Reallocation of Unused Fiscal Year 2017 Tariff-Rate Quota Various Special Tariff Treatment Provisions, 35981– Volume for Raw Cane Sugar, 36070–36071 35982 Requests for Comments: National Trade Estimate Report on Foreign Trade Veterans Affairs Department Barriers, 36069–36070 RULES Fisher Houses and Other Temporary Lodging; Correction, Transportation Department 35905 See Federal Aviation Administration Loan Guaranty: See Federal Motor Carrier Safety Administration Vendee Loan Fees, 35902–35905 See National Highway Traffic Safety Administration PROPOSED RULES VA Homeless Providers Grant and Per Diem Program; Correction, 35922 Treasury Department See Internal Revenue Service NOTICES List of Countries Requiring Cooperation with International Reader Aids Boycott, 36076 Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, and notice U.S. Citizenship and Immigration Services of recently enacted public laws. NOTICES To subscribe to the Federal Register Table of Contents Agency Information Collection Activities; Proposals, electronic mailing list, go to https://public.govdelivery.com/ Submissions, and Approvals: accounts/USGPOOFR/subscriber/new, enter your e-mail Application for Action on Approved Application or address, then follow the instructions to join, leave, or Petition, 35985–35986 manage your subscription.
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
5 CFR 9401...... 35883 14 CFR 39...... 35888 97 (2 documents) ...... 35890, 35896 Proposed Rules: 39 (2 documents) ...... 35911, 35914 71...... 35918 91...... 35920 32 CFR 706...... 35898 33 CFR 165 (2 documents) ...... 35900 38 CFR 36...... 35902 60...... 35905 Proposed Rules: 61...... 35922 40 CFR 62...... 35906 Proposed Rules: 52...... 35922 192...... 35924 49 CFR 1002...... 35906 50 CFR 679...... 35910
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Rules and Regulations Federal Register Vol. 82, No. 147
Wednesday, August 2, 2017
This section of the FEDERAL REGISTER The proposed rule provided a 30-day impact of its regulations on small contains regulatory documents having general comment period, which ended on entities, including small businesses, applicability and legal effect, most of which February 9, 2017. The Bureau did not small governmental units, and small are keyed to and codified in the Code of receive any comments. The rationale for not-for-profit organizations, unless the Federal Regulations, which is published under the proposed rule, which the Bureau is head of the agency certifies that the 50 titles pursuant to 44 U.S.C. 1510. now adopting as final, is explained in rules will not have a significant The Code of Federal Regulations is sold by the preamble at: https:// economic impact on a substantial the Superintendent of Documents. www.federalregister.gov/documents/ number of small entities. The Director of 2017/01/10/2016-31596/supplemental- the Bureau so certifies. The rule does standards-of-ethical-conduct-for- not impose any obligations or standards BUREAU OF CONSUMER FINANCIAL employees-of-the-bureau-of-consumer- of conduct for purposes of analysis PROTECTION financial. under the RFA, and it therefore does not The Bureau has made six technical give rise to a regulatory compliance 5 CFR Part 9401 changes in the final rule that are not burden for small entities. [Docket No. CFPB–2016–0050] intended to change the substantive meaning of the rule. First, in 5 CFR Paperwork Reduction Act RIN 3209–AA15 9401.102, the Bureau removed the The Bureau has determined that this phrase ‘‘on a mortgage’’ from the rule does not impose any new Supplemental Standards of Ethical definition of ‘‘indebted to an entity’’ to recordkeeping, reporting, or disclosure Conduct for Employees of the Bureau clarify that the term includes any type requirements on members of the public of Consumer Financial Protection of servicer to whom payments are made. that would be collections of information AGENCY: Bureau of Consumer Financial Second, the Bureau replaced the phrase requiring approval under the Paperwork Protection. ‘‘he or she’’ with the term ‘‘employee’’ Reduction Act of 1995 (44 U.S.C. 3501 ACTION: Final rule. in the definition of ‘‘participate’’ in 5 et seq.). CFR 9401.102. Third, the Bureau List of Subjects in 5 CFR Part 9401 SUMMARY: The Bureau of Consumer inserted the phrase ‘‘or indebtedness’’ in Financial Protection (CFPB or Bureau), the section heading of 5 CFR 9401.108 Conflict of interests, Government with the concurrence of the Office of and the subsection heading in employees. Government Ethics (OGE), is issuing a § 9401.108(d) to highlight that the Authority and Issuance final rule amending the Supplemental restrictions in this section apply to both Standards of Ethical Conduct for credit and indebtedness. Fourth, the For the reasons set forth in the Employees of the Bureau of Consumer Bureau added the phrase ‘‘or lenders’’ to preamble, the Bureau, in concurrence Financial Protection (CFPB Ethics the section heading of 5 CFR 9401.109 with OGE, is amending part 9401 of title Regulations) involving: Outside to clarify that the restrictions in this 5 of the Code of Federal Regulations as employment for covered employees; section apply to both creditors and follows: Bureau employees’ ownership or control lenders. The Bureau added the phrase to PART 9401—SUPPLEMENTAL of certain securities; restrictions on ensure that the language in the section STANDARDS OF ETHICAL CONDUCT seeking, obtaining, or renegotiating heading is parallel to the substantive FOR EMPLOYEES OF THE BUREAU credit or indebtedness; disqualification language regarding credit or OF CONSUMER FINANCIAL requirements based on existing credit or indebtedness in the text of that section. PROTECTION indebtedness; and restrictions on The revision does not change the participating in matters involving substance of the rule. Fifth, the Bureau ■ 1. The authority citation for part 9401 covered entities. The final rule also made a grammatical correction by is revised to read as follows: clarifies and makes minor revisions to changing the word ‘‘with’’ to ‘‘within’’ Authority: 5 U.S.C. 7301; 5 U.S.C. App. certain definitions. in 5 CFR 9401.111(b)(1). Finally, in (Ethics in Government Act of 1978); E.O. DATES: This final rule is effective several places within the regulation, the 12674, 54 FR 15159 (April 12, 1989); 3 CFR, September 1, 2017. Bureau revised the phrase ‘‘is or 1898 Comp., p.215, as modified by E.O. FOR FURTHER INFORMATION CONTACT: represents a party’’ to read ‘‘is a party 12731, 55 FR 42547 (October 17, 1990); 3 Amber Vail, Senior Ethics Counsel, at or represents a party.’’ This revision is CFR, 1990 Comp., p. 306; 5 CFR 2635.105, intended to clarify that the regulation 2635.403, 2635.502 and 2635.803. (202) 435–7305 or Amy Mertz Brown, ■ Alternate Designated Agency Ethics applies when an entity is a party, as 2. Revise § 9401.102 to read as Official, at (202) 435–7256 at the Legal well as when an entity is representing follows: Division, Consumer Financial a party in a particular matter involving § 9401.102 Definitions. specific parties. Protection Bureau. For purposes of this part: SUPPLEMENTARY INFORMATION: II. Matters of Regulatory Procedure CFPB Ethics Regulations means the supplemental ethics standards set forth I. Background Regulatory Flexibility Act in this part. On January 10, 2017, the Bureau, with The Regulatory Flexibility Act, 5 Control means the possession, direct OGE’s concurrence, published a U.S.C. 601 et seq., as amended by the or indirect, of the power or authority to proposed rule in the Federal Register, Small Business Regulatory Enforcement manage, direct, or oversee. 82 FR 2921, Jan. 10, 2017, proposing to Fairness Act of 1996 (the RFA), requires Credit has the meaning set forth in 12 amend the CFPB Ethics Regulations. each agency to consider the potential U.S.C. 5481(7) and as further defined in
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regulations promulgated by the Bureau or assets on credit, and currently owes intended to affect interests in real or to implement that statute. A person may payment. personal property, wills, codicils, have credit without any outstanding Indebted to an entity means an instruments intended to affect the balance owed. obligation to make payments to an disposition of property of decedents’ Dependent child has the meaning set entity as a result of an indebtedness, estates, other instruments intended to forth in 5 CFR 2634.105(d). It includes whether originally made with that entity affect or secure legal rights, and an employee’s son, daughter, stepson, or or with another entity. This includes contracts except routine agreements stepdaughter if: without limitation, a servicer to whom incidental to a regular course of (1) Unmarried, under the age of 21, payments are made. business; and living in the employee’s household; OGE Standards mean the Standards of (2) Preparing or expressing legal or Ethical Conduct for Employees of the opinions; (2) Claimed as a ‘‘dependent’’ on the Executive Branch contained in 5 CFR (3) Appearing or acting as an attorney employee’s income tax return. part 2635. in any tribunal; Designated Agency Ethics Official Participate means personal and (4) Preparing any claims, demands or (DAEO) means the official within the substantial participation and has the pleadings of any kind, or any written Bureau that the Director has appointed meaning set forth in 5 CFR documents containing legal argument or 2635.402(b)(4). An employee to coordinate and manage the ethics interpretation of law, for filing in any participates when, for example, the program at the Bureau, under 5 CFR court, administrative agency, or other employee makes a decision, gives 2638.104(a). For purposes of this part, tribunal; approval or disapproval, renders advice, the term ‘‘DAEO’’ also includes the (5) Providing advice or counsel as to provides a recommendation, conducts Alternate DAEO appointed under 5 CFR how any of the activities described in an investigation or examination, or takes 2638.104(d), and a designee of the paragraphs (1) through (4) of this an official action in a particular matter, DAEO or Alternate DAEO unless a definition might be done, or whether and such involvement is of significance particular provision says an authority is they were done, in accordance with to the matter. It requires more than reserved to the DAEO. applicable law; or official responsibility, knowledge, Director means the Director of the (6) Furnishing an attorney or perfunctory involvement, or Bureau. attorneys, or other persons, to render the involvement on an administrative or services described in paragraphs (1) Domestic partner means a person peripheral issue. through (5) of this definition. with whom a Bureau employee: Particular matter has the meaning set Security means an interest in debt or (1) Has a close and committed forth in 5 CFR 2635.402(b)(3). The term equity instruments. The term includes personal relationship and both parties includes a matter that involves without limitation, secured and are at least 18 years of age, are each deliberation, decision, or action and is unsecured bonds, debentures, notes, other’s sole domestic partner and intend focused upon the interests of specific securitized assets, commercial papers, to remain in the relationship persons or a discrete and identifiable and preferred and common stock. The indefinitely, and neither is married to, class of persons. It may include term encompasses both current and in a civil union with, or partnered with governmental action such as legislation, contingent ownership interests; a any other spouse or domestic partner; regulations, or policy-making that is beneficial or legal interest derived from (2) Is not related by blood in a manner narrowly focused on the interests of a a trust; a right to acquire or dispose of that would bar marriage under the laws discrete and identifiable class of any long or short position in debt or of the jurisdiction in which the persons. equity interests; interests convertible employee resides; Particular matter involving specific into debt or equity interests; and (3) Is in a financially interdependent parties has the meaning set forth in 5 options, rights, warrants, puts, calls, relationship in which both agree to be CFR 2641.201(h). Such a matter straddles, derivatives, and other similar responsible for each other’s common typically involves a specific proceeding interests. It does not include deposits; welfare and share in financial affecting the legal rights of the parties or credit union shares; a future interest obligations; and an isolatable transaction or related set of created by someone other than the (4) Has shared for at least six months transactions between identified parties. employee or the employee’s spouse or the same regular and permanent The term includes without limitation, a dependent child; or a right as a residence in a committed relationship contract, audit, enforcement action, beneficiary of an estate that has not been and both parties intend to do so examination, investigation, litigation settled. indefinitely, or would maintain a proceeding, or request for a ruling. Special Government employee has the common residence but for an Person has the same meaning set forth meaning set forth in 5 CFR 2635.102(l). assignment abroad or other in 5 CFR 2635.102(k). It includes Spouse means an employee’s husband employment-related, financial, or without limitation, an individual, or wife by lawful marriage, but does not similar obstacle. corporation and subsidiaries it controls, include an employee’s spouse if: Employee means an employee of the company, association, firm, partnership, (1) The employee and the employee’s Bureau, other than a special society, joint stock company, or any spouse are separated; Government employee. other organization or institution. (2) The employee and the employee’s Entity supervised by the Bureau Practice of law means the provision of spouse live apart; means a person that is subject to the legal advice or services where there is (3) There is an intention to end the Bureau’s supervision authority pursuant a client relationship of trust or reliance. marriage or separate permanently; and to 12 U.S.C. 5514(a)(1) or 5515(a) and in One is presumed to be practicing law (4) The employee has no control over regulations promulgated thereunder, as when engaging in any of the following the separated spouse’s securities. identified on a list to be maintained by conduct on behalf of another: Vested legal or beneficial interest the Bureau. (1) Preparing any legal document, means a present right or title to Indebted or indebtedness means a including any deeds, mortgages, property, which carries with it an legal obligation under which an assignments, discharges, leases, trust existing right of alienation, even though individual or borrower received money instruments, or any other instruments the right to possession or enjoyment
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may be postponed to some uncertain § 9401.105 Additional rules concerning services, deferred income, or retirement time in the future. This includes a outside employment for Bureau attorneys. income (employee plan), provided: future interest when one has a right, (a) Prohibited outside practice of law. (i) The employee plan does not have defeasible or indefeasible, to immediate In addition to the prior approval a stated policy of concentrating its possession or enjoyment of the property, requirements under § 9401.103 and the investments in any industry, business, upon the ceasing of another’s interest. outside employment restrictions under single country other than the United ■ 3. Revise § 9401.104 to read as § 9401.104, an employee serving in an States, or bonds of a single State within follows: attorney position shall not engage in the the United States; practice of law outside the employee’s (ii) The investments of the employee § 9401.104 Additional rules concerning official Bureau duties that might require plan are administered by an outside employment for covered the attorney to: independent trustee; employees. (1) Take a position that is or appears (iii) The employee plan’s trustee has (a) Prohibited outside employment to be in conflict with the interests of the a written policy of varying the plan with an entity supervised by the Bureau. Bureau; or investments; A covered employee shall not engage in (iv) Neither the employee nor the * * * * * compensated outside employment for employee’s spouse or minor child (b) * * * an entity supervised by the Bureau or participates in the selection of the (1) In those matters in which the for an officer, director, or employee of employee plan’s investments or attorney has participated personally and such entity. For purposes of this section, designates specific plan investments substantially as a Government ‘‘employment’’ has the same meaning as (except for directing that contributions employee; or set forth in § 9401.103(b). be divided among several different (2) In those matters which are the (b) Use of professional licenses related categories of investments, such as subject of the attorney’s official to real estate. A covered employee who stocks, bonds, or mutual funds, which responsibility. holds a license related to real estate, are available to plan participants); and mortgage brokerage, property appraisals, ■ 5. Revise § 9401.106 to read as (v) The employee plan is not a profit- or real property insurance is prohibited follows: sharing or stock bonus plan. (3) Federal retirement and thrift from using such license for the § 9401.106 Prohibited financial interests. production of income. The DAEO, in savings plans. Funds administered by consultation with senior management in (a) Prohibited interests. Except as the Thrift Plan for Employees of the the Division in which the employee permitted by this section, an employee Federal Reserve System, the Retirement works, may grant a limited waiver to or an employee’s spouse or minor child Plan for Employees of the Federal this prohibition based on a written shall not own or control a security in: Reserve System, the Thrift Savings Plan, finding that the specific transaction (1) An entity supervised by the or a Federal government agency. which requires use of the license will Bureau; or (4) State pension plans. A pension not create an appearance of loss of (2) A collective investment fund that plan established or maintained by a impartiality or use of public office for has a stated policy of concentrating its State government or any political private gain. investments in the financial services or subdivision of a State government for its (c) Definition of covered employee. banking industry. A collective employees. For purposes of this section, ‘‘covered investment fund includes, without (c) Reporting and divestiture of employee’’ means: limitation, mutual funds, unit prohibited interests—(1) New (1) An employee in the Division of investment trusts (UITs), exchange employees. Within 30 calendar days Supervision, Enforcement, and Fair traded funds (ETFs), real estate from the start of employment with the Lending; investment trusts (REITs), and limited Bureau, an employee must notify the (2) An employee serving in an partnerships. DAEO in writing of a financial interest attorney position; (b) Exceptions. Interests prohibited in prohibited under paragraph (a) of this (3) An employee in the Office of paragraph (a) of this section do not section that the employee or the Research, serving as a section chief at include the ownership or control of a employee’s spouse or minor child Bureau pay band 71 or above or as a security in: acquired prior to the start of the senior economist in the Compliance (1) Collective investment funds. A employee’s employment with the Analytics and Policy Section; publicly traded or publicly available Bureau. The employee or the (4) An employee serving in the Office collective investment fund if: employee’s spouse or minor child shall of Consumer Response in an (i) The fund does not have a stated divest prohibited securities within 90 investigations position; policy of concentrating its investments days after the start of the employee’s (5) An employee required to file a in the financial services or banking employment at the Bureau. Public Financial Disclosure Report industry; and (2) Newly prohibited interest. Within (OGE Form 278e) under 5 CFR part (ii) Neither the employee nor the 30 days after the Bureau updates and 2634; or employee’s spouse or minor child internally publishes a new list of (6) Any other Bureau employee exercises or has the ability to exercise entities supervised by the Bureau, an specified in a Bureau order or directive control over or selection of the financial employee who owns or controls, or whose duties and responsibilities, as interests held by the fund. whose spouse or minor child owns or determined by the DAEO, require (2) Diversified employee benefit plans. controls, a security in an entity newly application of the prohibition on A pension or other retirement fund, added to that list must notify the DAEO outside employment contained in this trust, or plan established or maintained in writing. The employee or the section to ensure public confidence that by an employer or an employee employee’s spouse or minor child shall the Bureau’s programs are conducted organization, or both, to provide its divest prohibited securities within 90 impartially and objectively. participants with medical, disability, days after internal publication of the ■ 4. Amend § 9401.105 by revising death, unemployment, or vacation new list. paragraphs (a) introductory text, (a)(1), benefits, training programs, day care (3) Interests acquired without specific (b)(1), and (b)(2) to read as follows: centers, scholarship funds, prepaid legal intent. If an employee or an employee’s
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spouse or minor child acquires a security. Mitigating circumstances may (5) A qualified profit sharing, financial interest prohibited under include without limitation: retirement, or similar plan in which the paragraph (a) of this section as a result (i) The employee or the employee’s employee or the employee’s spouse or of marriage, inheritance, or otherwise spouse or minor child acquired the minor child has an interest; or without specific intent to acquire, the security through inheritance, merger, (6) An entity in which the employee employee must notify the DAEO in acquisition, or other change in corporate or the employee’s spouse or minor child writing within 30 days of the structure, or otherwise without specific individually or jointly holds more than acquisition. The employee or the intent on the part of the employee or the a 25 percent equity interest. employee’s spouse or minor child shall employee’s spouse or minor child; or ■ 6. Revise § 9401.107 to read as divest prohibited securities within 90 (ii) The employee’s spouse received follows: days of the acquisition. the security as part of a compensation (d) Disqualification and divestiture— package in connection with § 9401.107 Prohibition on acceptance of (1) Securities in entities supervised by employment or prior to marriage to the credit or indebtedness on preferential terms from an entity supervised by the Bureau. the Bureau. If an employee or an employee; employee’s spouse or minor child owns (2) The employee makes a prompt and An employee or the employee’s or controls a security in an entity that complete written disclosure of the spouse or minor child may not accept is prohibited under paragraph (a)(1) of security to the DAEO; credit from, become indebted to, or this section, the employee shall (3) The disqualification of the enter into a financial relationship with immediately disqualify himself or employee from participating in an entity supervised by the Bureau, herself from participating in all particular matters pursuant to paragraph unless the credit, indebtedness, or other particular matters affecting that entity, (d) of this section, as specified in the financial relationship: unless and until the security is divested written waiver, would not unduly (a) Is offered on terms and conditions or the employee is granted a waiver interfere with the full performance of no more favorable than those offered to pursuant to paragraph (e) of this section the employee’s duties; and the general public; and and the waiver includes an (4) The granting of the waiver would (b) Is not otherwise prohibited by law authorization allowing the employee to not unduly undermine the public’s or inconsistent with the OGE Standards participate in such matters. confidence in the impartiality and or the CFPB Ethics Regulations. objectivity with which: (2) Securities in collective investment ■ 7. Revise § 9401.108 to read as (i) The employee performs the funds. If an employee or an employee’s follows: employee’s official Bureau duties; and spouse or minor child owns or controls (ii) The Division in which the § 9401.108 Restrictions on seeking, a security in a collective investment employee works executes its programs obtaining, or renegotiating credit or fund that is prohibited under paragraph and functions. indebtedness from an entity that is a party (a)(2) of this section, the employee shall (f) Covered third party entities. or represents a party to a matter to which immediately disqualify himself or Immediately after becoming aware that an employee is assigned or may be herself from participating in all a covered third party entity owns or assigned. particular matters affecting one or more controls a security that an employee (a) General rules regarding seeking, holdings of the collective investment would be prohibited from owning or obtaining, or renegotiating credit or fund if the affected holding is invested controlling under paragraph (a) of this indebtedness—(1) Prohibition. While an in the financial services or banking section, the employee shall report the employee is assigned to participate in a industry, unless and until the collective interest in writing to the DAEO. The particular matter involving specific investment fund is divested or the DAEO may require the employee to parties, the employee or the employee’s employee is granted a waiver pursuant terminate the relationship with the spouse or minor child shall not seek, to paragraph (e) of this section and the covered third party entity, disqualify obtain, or renegotiate credit or waiver includes an authorization himself or herself from certain indebtedness with an entity that is a allowing the employee to participate in particular matters, or take other action party or represents a party to the matter. such matters. as necessary to avoid a statutory This prohibition also applies to a (e) Waivers. Upon request by the violation, a violation of the OGE particular matter involving specific employee, the DAEO in the DAEO’s sole Standards, or the CFPB Ethics parties pending at the Bureau in which discretion has the authority to grant an Regulations, including an appearance of the employee is not currently individual waiver under this paragraph. misuse of position or loss of participating but of which the employee The DAEO’s authority to grant an impartiality. For purposes of this is aware and believes it is likely that the individual waiver under this paragraph paragraph, ‘‘covered third party entity’’ employee will participate. may not be delegated to any person includes: (2) Cooling off period. The prohibition except the Alternate DAEO. The DAEO, (1) A partnership in which the in paragraph (a)(1) of this section in consultation with senior management employee or the employee’s spouse or continues for two years after the in the Division in which the employee minor child is a general partner; employee’s participation in the works, may issue a written waiver (2) A partnership or closely held particular matter has ended. permitting the employee or the corporation in which the employee or (b) Rules regarding credit or employee’s spouse or minor child to the employee’s spouse or minor child indebtedness secured by principal own or control a particular security that individually or jointly holds more than residence. Notwithstanding paragraph otherwise would be prohibited by this a 10 percent equity interest; (a) of this section, an employee or an section, after considering all relevant (3) A trust in which the employee or employee’s spouse or minor child may factors. Relevant factors include, the employee’s spouse or minor child seek, obtain, or renegotiate credit or without limitation, whether: has a vested legal or beneficial interest; indebtedness secured by residential real (1) Mitigating circumstances exist due (4) An investment club or similar property with an entity, subject to the to the way the employee or the informal investment arrangement following conditions: employee’s spouse or minor child between the employee or the employee’s (1) The residential real property is or acquired ownership or control of the spouse or minor child, and others; will be the principal residence of the
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employee or the employee’s spouse or or jointly owns or controls more than a involving specific parties if the minor child; 10 percent equity interest; employee is aware that any of the (2) A minimum of three months have (4) A trust in which the employee or following have credit with or are passed since the end of the employee’s the employee’s spouse, domestic indebted to an entity that is a party or participation in each particular matter partner, or dependent child has a vested represents a party to the matter: involving specific parties in which that legal or beneficial interest; * * * * * entity was a party or represented a (5) An investment club or similar (5) A trust in which the employee or party; informal investment arrangement the employee’s spouse, domestic (3) The employee is disqualified from between the employee or the employee’s partner, or dependent child has a vested participating in particular matters spouse, domestic partner, or dependent legal or beneficial interest; involving specific parties in which that child, and others; * * * * * entity is a party or represents a party (6) A qualified profit sharing, (b) * * * while the employee or the employee’s retirement, or similar plan in which the (1) Revolving consumer credit or spouse or minor child is seeking, employee or the employee’s spouse, charge cards; obtaining, or renegotiating the credit or domestic partner, or dependent child (2) Overdraft protection on checking indebtedness; has an interest; or accounts and similar accounts; (4) The employee or the employee’s (7) An entity in which the employee (3) Amortizing indebtedness on spouse or minor child seeking, or the employee’s spouse, domestic consumer goods (e.g., automobiles); obtaining, or negotiating the credit or partner, or dependent child individually (4) Automobile leases for primarily indebtedness must satisfy all financial or jointly holds more than a 25 percent personal (consumer) use vehicles; requirements generally applicable to all equity interest. (5) The provision of telephone, cable, applicants for the same type of credit or (e) Exemptions. The following forms gas, electricity, water, or other similar indebtedness for residential real of credit are exempted from the utility services provided on credit (i.e., property; and prohibitions in paragraphs (a) and (b) of the service is provided before payment (5) The credit or indebtedness is this section and the disqualification is due such that consumers incur debt obtained on terms and conditions no requirement in paragraph (d) of this as they use the service and receive more favorable than those offered to the section, provided the credit is offered on periodic bills for the services used); general public. terms and conditions no more favorable (6) Educational loans (e.g., student (c) Specific rules for employee’s than those offered to the general public: loans; loans taken out by a parent or spouse and minor child. The (1) Revolving consumer credit or guardian to pay for a child’s education prohibitions in paragraphs (a) and (b) of charge cards; costs); and this section do not apply when the (2) Overdraft protection on checking (7) Loans on residential homes (e.g., employee’s spouse or minor child is accounts and similar accounts; and home mortgages; home equity lines of seeking, obtaining, or renegotiating (3) The provision of telephone, cable, credit). credit or indebtedness and: gas, electricity, water, or other similar * * * * * (1) The credit or indebtedness is utility services provided on credit (i.e., ■ 9. Revise § 9401.110 to read as supported only by the income or the service is provided before payment follows: independent means of the spouse or is due such that consumers incur debt minor child; as they use the service and receive § 9401.110 Prohibited recommendations. (2) The credit or indebtedness is periodic bills for the services used). An employee shall not make obtained on terms and conditions no (f) Waivers. The DAEO, after recommendations or suggestions, more favorable than those offered to the consultation with senior management in directly or indirectly, concerning the general public; and the Division in which the employee acquisition or sale or other divestiture of (3) The employee does not participate works, may grant a written waiver from a security in an entity supervised by the in the negotiating for the credit or the prohibition in paragraphs (a) or (b) Bureau, or an entity that is a party or indebtedness or serve as co-maker, of this section or the disqualification represents a party to a particular matter endorser or guarantor of the credit or requirement in paragraph (d) of this involving specific parties to which the indebtedness. section, based on a determination that employee is assigned. (d) Disqualification requirement for participation in matters otherwise ■ 10. Revise § 9401.111 to read as credit or indebtedness sought by person prohibited by this section would not be follows: related to an employee. An employee prohibited by law (18 U.S.C. 208) or shall disqualify himself or herself from create an appearance of loss of § 9401.111 Restriction on participating in participating in a particular matter impartiality or use of public office for matters involving covered entities. involving specific parties as soon as the private gain, and would not otherwise (a) Disqualification required. Absent employee learns that any of the be inconsistent with the OGE Standards an authorization pursuant to paragraph following persons are seeking, or the CFPB Ethics Regulations. (c) of this section, an employee shall not obtaining, or renegotiating credit or ■ 8. Amend § 9401.109 by revising the participate in a particular matter indebtedness with an entity that is a section heading, paragraphs (a) involving specific parties if a covered party or represents a party to the matter: introductory text, (a)(5) and (b)(1) entity is a party or represents a party to (1) The employee’s spouse, domestic through (5) and adding paragraphs (b)(6) the matter. partner, or dependent child; and (7) to read as follows: (b) ‘‘Covered entity’’ defined. For (2) A partnership in which the purposes of this section, a ‘‘covered employee or the employee’s spouse, § 9401.109 Disqualification of employees entity’’ includes: domestic partner, or dependent child is from particular matters involving existing (1) Any person for whom the a general partner; creditors or lenders. employee is serving or seeking to serve, (3) A partnership or closely held (a) Disqualification required. Absent or has served within the last year, as corporation in which the employee or an authorization pursuant to paragraph officer, director, trustee, general partner, the employee’s spouse, domestic (d) of this section, an employee shall not agent, attorney, consultant, contractor, partner, or dependent child individually participate in a particular matter or employee; or
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(2) Any person for whom the The Director of the Federal Register Prompted by these findings, SOCATA employee is aware the employee’s approved the incorporation by reference issued Service Bulletin (SB) 70–095–27 to spouse, domestic partner, fiance´, child, of certain publications listed in the AD provide inspection instructions. parent, sibling, stepfather, stepmother, as of September 6, 2017. To address this unsafe condition, DGAC France issued AD 2001–582(A) to require stepson, stepdaughter, stepbrother, The Director of the Federal Register repetitive inspections of the flight control stepsister, half-brother, half-sister, or approved the incorporation by reference system after any maintenance operation on member of the employee’s household is of a certain other publication listed in flight controls. That AD was later revised to serving or seeking to serve as an officer, this AD as of October 29, 2002 (67 FR update the list of affected aeroplane MSN. director, trustee, general partner, agent, 59137; September 20, 2002). Since DGAC France AD 2001–582(A) R1 was issued, SOCATA issued Revision 2 of SB attorney, consultant, contractor, or ADDRESSES: You may examine the AD 70–095–27 to provide instructions for employee. docket on the Internet at http:// (c) Waivers. The DAEO may authorize replacement of the rivets in the roll primary www.regulations.gov by searching for stops as a terminating action for the the employee to participate in a matter and locating Docket No. FAA–2017– that would require disqualification repetitive inspections. 0417; or in person at the Docket For the reasons described above, this under paragraph (a) of this section, Management Facility, U.S. Department [EASA] AD, which supersedes DGAC France using the authorization process set forth of Transportation, Docket Operations, AD 2001–582(A) R1, requires replacement of in 5 CFR 2635.502(d) of the OGE M–30, West Building Ground Floor, the rivets in the roll primary stops of the Standards. The DAEO will consult with Room W12–140, 1200 New Jersey flight control wheels at the next maintenance senior management in the Division in Avenue SE., Washington, DC 20590. operation on flight controls. which the employee works before For service information identified in The MCAI can be found in the AD issuing such an authorization. this AD, contact SOCATA, Direction des docket on the Internet at: https:// Dated: July 17, 2017. services, 65921 Tarbes Cedex 9, France; www.regulations.gov/ Richard Cordray, phone: +33 (0) 5 62 41 73 00; fax: +33 document?D=FAA-2017-0417-0002. Director, Bureau of Consumer Financial (0) 5 62 41 76 54; email: info@ Comments Protection. socata.daher.com; Internet: https:// Approved: www.mysocata.com/login/accueil.php. We gave the public the opportunity to Walter M. Shaub, Jr., You may view this referenced service participate in developing this AD. We received no comments on the NPRM or Director, Office of Government Ethics. information at the FAA, Small Airplane Directorate, 901 Locust, Kansas City, on the determination of the cost to the [FR Doc. 2017–15597 Filed 8–1–17; 8:45 am] public. BILLING CODE 4810–AM–P Missouri 64106. For information on the availability of this material at the FAA, Conclusion call (816) 329–4148. It is also available We reviewed the relevant data and on the Internet at http:// DEPARTMENT OF TRANSPORTATION determined that air safety and the www.regulations.gov by searching for public interest require adopting the AD Docket No. FAA–2017–0417. Federal Aviation Administration as proposed except for minor editorial FOR FURTHER INFORMATION CONTACT: changes. We have determined that these 14 CFR Part 39 Albert Mercado, Aerospace Engineer, minor changes: [Docket No. FAA–2017–0417; Directorate 901 Locust, Room 301, Kansas City, • Are consistent with the intent that Identifier 2017–CE–008–AD; Amendment Missouri 64106; telephone: (816) 329– was proposed in the NPRM for 39–18975; AD 2017–15–15] 4119; fax: (816) 329–4090; email: correcting the unsafe condition; and [email protected]. • Do not add any additional burden RIN 2120–AA64 SUPPLEMENTARY INFORMATION: upon the public than was already proposed in the NPRM. Airworthiness Directives; SOCATA Discussion Airplanes We issued a notice of proposed Related Service Information Under 1 AGENCY: Federal Aviation rulemaking (NPRM) to amend 14 CFR CFR 51 Administration (FAA), Department of part 39 by adding an AD that would We reviewed DAHER SOCATA Transportation (DOT). apply to SOCATA Model TBM 700 Mandatory Service Bulletin SB 70–095, ACTION: Final rule. airplanes. That NPRM was published in Revision 2, dated October 2016, which the Federal Register on May 8, 2017 (82 describes procedures for replacement of SUMMARY: We are superseding FR 21328), and proposed to supersede the flight control wheel primary stop Airworthiness Directive (AD) 2002–19– AD 2002–19–01, Amendment 39–12881 rivets. We also reviewed EADS 01 for SOCATA Model TBM 700 (67 FR 59137; September 20, 2002) (‘‘AD SOCATA Recommended Service airplanes. This AD results from 2002–19–01’’). Bulletin SB 70–114, dated December mandatory continuing airworthiness The NPRM proposed to correct an 2004, which describes procedures for information (MCAI) issued by an unsafe condition for the specified installation of roll control emergency aviation authority of another country to products and was based on mandatory stops on the flight control wheel. This identify and correct an unsafe condition continuing airworthiness information service information is reasonably on an aviation product. The MCAI (MCAI) originated by an aviation available because the interested parties describes the unsafe condition as the authority of another country. The MCAI have access to it through their normal flight control wheel traveling beyond states that: course of business or by the means normal roll control limits and jamming ADDRESSES An event occurred in 2001 on an in-service identified in the section of in a position that could cause loss of the AD. control. We are issuing this AD to aeroplane where, during a pre-flight check of the flight controls, the pilot control wheel require actions to address the unsafe Differences Between This AD and the jammed in full nose up and full left position Service Information condition on these products. after having exceeded the control stop of roll. DATES: This AD is effective September 6, This condition, if not corrected, could lead DAHER SOCATA Mandatory Service 2017. to reduced control of the aeroplane. Bulletin SB 70–095, Revision 2, dated
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October 2016, requires a modification We are issuing this rulemaking under PART 39—AIRWORTHINESS that terminates any repetitive the authority described in ‘‘Subtitle VII, DIRECTIVES inspections and also gives credit for Part A, Subpart III, Section 44701: another modification that may have General requirements.’’ Under that ■ 1. The authority citation for part 39 previously been done. We are retaining section, Congress charges the FAA with continues to read as follows: the repetitive inspection requirement promoting safe flight of civil aircraft in Authority: 49 U.S.C. 106(g), 40113, 44701. from AD 2002–19–01 and allowing air commerce by prescribing regulations installation of one of the two different for practices, methods, and procedures § 39.13 [Amended] modifications as terminating action for the Administrator finds necessary for ■ 2. The FAA amends § 39.13 by the repetitive inspections. safety in air commerce. This regulation removing Amendment 39–12881 (67 FR is within the scope of that authority 59137; September 20, 2002) and adding Costs of Compliance because it addresses an unsafe condition the following new AD: We estimate that this AD will affect that is likely to exist or develop on 2017–15–15 SOCATA: Amendment 39– 203 products of U.S. registry. products identified in this rulemaking 18975; Docket No. FAA–2017–0417; We estimate that it will take about 1 action. Directorate Identifier 2017–CE–008–AD. hour per product to comply with the Regulatory Findings (a) Effective Date basic requirements of this AD. The average labor rate is $85 per work-hour. We determined that this AD will not This airworthiness directive (AD) becomes effective September 6, 2017. Based on these figures, we estimate the have federalism implications under cost of the inspection on U.S. operators Executive Order 13132. This AD will (b) Affected ADs to be $17,255, or $85 per product. not have a substantial direct effect on This AD supersedes AD 2002–19–01, In addition, we estimate that any the States, on the relationship between Amendment 39–12881 (67 FR 59137, necessary follow-on actions will take the national government and the States, September 20, 2002) (‘‘AD 2002–19–01’’). or on the distribution of power and about 3 work-hours per product. The (c) Applicability responsibilities among the various average labor rate is $85 per work-hour. This AD applies to SOCATA Model TBM Based on these figures, we estimate the levels of government. For the reasons discussed above, I 700 airplanes, serial numbers 1 through 184, cost of this action on U.S. operators to 186, 187, 189 through 204, 206, and 207, be $255 per product. We have no way certify this AD: certificated in any category. of determining the number of products (1) Is not a ‘‘significant regulatory (d) Subject that may need these actions. action’’ under Executive Order 12866, (2) Is not a ‘‘significant rule’’ under For the optional actions to terminate Air Transport Association of America the DOT Regulatory Policies and (ATA) Code 27: Flight Controls. the repetitive inspections, we estimate Procedures (44 FR 11034, February 26, the following costs. We have no way of (e) Reason 1979), determining how many operators may (3) Will not affect intrastate aviation This AD was prompted by mandatory choose to do either of the optional continuing airworthiness information (MCAI) in Alaska, and actions. For replacement of the rivets in originated by an aviation authority of another (4) Will not have a significant country to identify and correct an unsafe the roll primary stops, we estimate that economic impact, positive or negative, it will take about 3.5 work-hours per condition on an aviation product. The MCAI on a substantial number of small entities describes the unsafe condition as the flight product to comply with the basic under the criteria of the Regulatory control wheel traveling beyond normal roll requirements of this AD. The average Flexibility Act. control limits. We are issuing this AD to labor rate is $85 per work-hour. prevent the flight control wheel from Required parts would cost about $10 per Examining the AD Docket becoming jammed and leading to reduced or product. Based on these figures, for You may examine the AD docket on loss of control. replacement of the rivets we estimate the Internet at http:// (f) Actions and Compliance the cost of this action on U.S. operators www.regulations.gov by searching for Unless already done, do the actions in to be $307.50 per product. and locating Docket No. FAA–2017– paragraphs (f)(1) and (2) of this AD or For the installation of a roll control 0417; or in person at the Docket paragraph (f)(3) of this AD: emergency stop on each control wheel, Management Facility between 9 a.m. (1) Within the next 100 hours time-in- we estimate that it will take about 19.5 and 5 p.m., Monday through Friday, service (TIS) after October 29, 2002 (the work-hours per product to comply with except Federal holidays. The AD docket effective date retained from AD 2002–19–01) the basic requirements of this AD. The contains the NPRM, the regulatory and repetitively thereafter every time the average labor rate is $85 per work-hour. flight control system undergoes maintenance, evaluation, any comments received, and perform a test of the pilot and right-hand Required parts would cost about $1,650 other information. The street address for per product. Based on these figures, for (RH) station control wheels to determine if the Docket Office (telephone (800) 647– either control wheel becomes jammed installation of the roll control 5527) is in the ADDRESSES section. following SOCATA TBM Aircraft Mandatory emergency stop, we estimate the cost of Comments will be available in the AD Service Bulletin (SB) 70–095 27, dated this action on U.S. operators to be docket shortly after receipt. November 2001. $3,307.50 per product. (2) If any jamming is found during any test List of Subjects in 14 CFR Part 39 required by paragraph (f)(1) of this AD, before Authority for This Rulemaking Air transportation, Aircraft, Aviation further flight, adjust the roll control stops on Title 49 of the United States Code safety, Incorporation by reference, either the pilot control wheel or the RH specifies the FAA’s authority to issue Safety. station control wheel following SOCATA rules on aviation safety. Subtitle I, TBM Aircraft Mandatory SB 70–095 27, Adoption of the Amendment dated November 2001. section 106, describes the authority of (3) To terminate the repetitive inspections the FAA Administrator. ‘‘Subtitle VII: Accordingly, under the authority required in paragraph (f)(1) of this AD either Aviation Programs,’’ describes in more delegated to me by the Administrator, of the following actions may be done: detail the scope of the Agency’s the FAA amends 14 CFR part 39 as (i) Replace the rivets in the roll primary authority. follows: stops of both control wheels following the
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Accomplishment Instructions in DAHER (5) For SOCATA service information and ODP is specified in the amendatory SOCATA Mandatory SB 70–095, Revision 2, identified in this AD, contact SOCATA, provisions. dated October 2016; or Direction des services, 65921 Tarbes Cedex 9, The incorporation by reference of (ii) Install a roll control emergency stop on France; phone: +33 (0) 5 62 41 73 00; fax: +33 certain publications listed in the each control wheel following the (0) 5 62 41 76 54; email: info@ Accomplishment Instructions of EADS socata.daher.com; Internet: https:// regulations is approved by the Director SOCATA Recommended SB 70–114, dated www.mysocata.com/login/accueil.php. of the Federal Register as of August 2, December 2004. (6) You may view this service information 2017. at FAA, Small Airplane Directorate, 901 (g) Credit for Actions Done Following ADDRESSES: Availability of matter Locust, Kansas City, Missouri 64106. For Previous Service Information incorporated by reference in the information on the availability of this amendment is as follows: If done before September 6, 2017 (the material at the FAA, call 816–329–4148. In effective date of this AD), this AD allows addition, you can access this service For Examination credit for replacement of the roll primary information on the Internet at http:// 1. U.S. Department of Transportation, stop rivets on an airplane as specified in www.regulations.gov by searching for and paragraph (f)(3)(i) of this AD following the locating Docket No. FAA–2017–0417. Docket Ops-M30, 1200 New Jersey Accomplishment Instructions of SOCATA (7) You may view this service information Avenue SE., West Bldg., Ground Floor, TBM Mandatory SB 70–095, original issue or that is incorporated by reference at the Washington, DC 20590–0001; revision 1. National Archives and Records 2. The FAA Air Traffic Organization (h) Other FAA AD Provisions Administration (NARA). For information on Service Area in which the affected the availability of this material at NARA, call airport is located; The following provisions also apply to this 202–741–6030, or go to: http:// AD: 3. The office of Aeronautical www.archives.gov/federal-register/cfr/ibr- Navigation Products, 6500 South (1) Alternative Methods of Compliance locations.html. (AMOCs): The Manager, Standards Office, MacArthur Blvd., Oklahoma City, OK FAA, has the authority to approve AMOCs Issued in Kansas City, Missouri, on July 19, 73169 or, for this AD, if requested using the procedures 2017. 4. The National Archives and Records found in 14 CFR 39.19. Send information to Melvin Johnson, Administration (NARA). ATTN: Albert Mercado, Aerospace Engineer, Acting Manager, Small Airplane Directorate, For information on the availability of 901 Locust, Room 301, Kansas City, Missouri Aircraft Certification Service. this material at NARA, call 202–741– 64106; telephone: (816) 329–4119; fax: (816) [FR Doc. 2017–15556 Filed 8–1–17; 8:45 am] 6030, or go to: http://www.archives.gov/ 329–4090; email: [email protected]. _ _ _ _ Before using any approved AMOC on any BILLING CODE 4910–13–P federal register/code of federal airplane to which the AMOC applies, notify regulations/ibr_locations.html. your appropriate principal inspector (PI) in Availability the FAA Flight Standards District Office DEPARTMENT OF TRANSPORTATION (FSDO), or lacking a PI, your local FSDO. All SIAPs and Takeoff Minimums and (2) Airworthy Product: For any requirement Federal Aviation Administration ODPs are available online free of charge. in this AD to obtain corrective actions from Visit the National Flight Data Center a manufacturer or other source, use these 14 CFR Part 97 online at nfdc.faa.gov to register. actions if they are FAA-approved. Corrective actions are considered FAA-approved if they Additionally, individual SIAP and [Docket No. 31144; Amdt. No. 3756] are approved by the State of Design Authority Takeoff Minimums and ODP copies may be obtained from the FAA Air Traffic (or their delegated agent). You are required Standard Instrument Approach to assure the product is airworthy before it Organization Service Area in which the is returned to service. Procedures, and Takeoff Minimums affected airport is located. and Obstacle Departure Procedures; (i) Related Information Miscellaneous Amendments FOR FURTHER INFORMATION CONTACT: Refer to MCAI EASA AD No.: 2017–0018, Thomas J. Nichols, Flight Procedure dated February 3, 2017. The MCAI can be AGENCY: Federal Aviation Standards Branch (AFS–420) Flight found in the AD docket on the Internet at: Administration (FAA), DOT. Technologies and Procedures Division, https://www.regulations.gov/document?D= ACTION: Final rule. Flight Standards Service, Federal FAA-2017-0417-0002. Aviation Administration, Mike (j) Material Incorporated by Reference SUMMARY: This rule amends, suspends, Monroney Aeronautical Center, 6500 or removes Standard Instrument South MacArthur Blvd., Oklahoma City, (1) The Director of the Federal Register approved the incorporation by reference Approach Procedures (SIAPs) and OK 73169 (Mail Address: P.O. Box (IBR) of the service information listed in this associated Takeoff Minimums and 25082 Oklahoma City, OK 73125) paragraph under 5 U.S.C. 552(a) and 1 CFR Obstacle Departure Procedures for telephone: (405) 954–4164. part 51. operations at certain airports. These SUPPLEMENTARY INFORMATION: This rule (2) You must use this service information regulatory actions are needed because of amends Title 14, Code of Federal as applicable to do the actions required by the adoption of new or revised criteria, Regulations, Part 97 (14 CFR part 97) by this AD, unless the AD specifies otherwise. or because of changes occurring in the amending the referenced SIAPs. The (3) The following service information was National Airspace System, such as the approved for IBR on September 6, 2017 (the complete regulatory description of each effective date of this AD). commissioning of new navigational SIAP is listed on the appropriate FAA (i) DAHER SOCATA Mandatory Service facilities, adding new obstacles, or Form 8260, as modified by the National Bulletin SB 70–095, Revision 2, dated changing air traffic requirements. These Flight Data Center (NFDC)/Permanent October 2016. changes are designed to provide for the Notice to Airmen (P–NOTAM), and is (ii) EADS SOCATA Recommended Service safe and efficient use of the navigable incorporated by reference under 5 Bulletin SB 70–114, dated December 2004. airspace and to promote safe flight U.S.C. 552(a), 1 CFR part 51, and 14 (4) The following service information was operations under instrument flight rules CFR 97.20. The large number of SIAPs, approved for IBR on October 29, 2002 (67 FR at the affected airports. 59137, September 20, 2002). their complex nature, and the need for (i) SOCATA TBM Aircraft Mandatory SB DATES: This rule is effective August 2, a special format make their verbatim 70–095 27, dated November 2001. 2017. The compliance date for each publication in the Federal Register (ii) Reserved. SIAP, associated Takeoff Minimums, expensive and impractical. Further,
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airmen do not use the regulatory text of for Terminal Instrument Procedures under the criteria of the Regulatory the SIAPs, but refer to their graphic (TERPS). In developing these changes to Flexibility Act. depiction on charts printed by SIAPs and Takeoff Minimums and List of Subjects in 14 CFR Part 97 publishers of aeronautical materials. ODPs, the TERPS criteria were applied Thus, the advantages of incorporation only to specific conditions existing at Air traffic control, Airports, by reference are realized and the affected airports. All SIAP Incorporation by reference, Navigation publication of the complete description amendments in this rule have been (air). of each SIAP contained on FAA form previously issued by the FAA in a FDC Issued in Washington, DC, on June 30, documents is unnecessary. NOTAM as an emergency action of 2017. This amendment provides the affected immediate flight safety relating directly John S. Duncan, CFR sections, and specifies the SIAPs to published aeronautical charts. Director, Flight Standards Service. and Takeoff Minimums and ODPs with The circumstances that created the their applicable effective dates. This need for these SIAP and Takeoff Adoption of the Amendment amendment also identifies the airport Minimums and ODP amendments Accordingly, pursuant to the and its location, the procedure and the require making them effective in less amendment number. authority delegated to me, Title 14, than 30 days. Code of Federal regulations, part 97, (14 Availability and Summary of Material Because of the close and immediate CFR part 97), is amended by amending Incorporated by Reference relationship between these SIAPs, Standard Instrument Approach Takeoff Minimums and ODPs, and The material incorporated by Procedures and Takeoff Minimums and safety in air commerce, I find that notice reference is publicly available as listed ODPs, effective at 0901 UTC on the and public procedure under 5 U.S.C. in the ADDRESSES section. dates specified, as follows: The material incorporated by 553(b) are impracticable and contrary to reference describes SIAPs, Takeoff the public interest and, where PART 97—STANDARD INSTRUMENT Minimums and ODPs as identified in applicable, under 5 U.S.C. 553(d), good APPROACH PROCEDURES the amendatory language for part 97 of cause exists for making these SIAPs this final rule. effective in less than 30 days. ■ 1. The authority citation for part 97 The FAA has determined that this continues to read as follows: The Rule regulation only involves an established Authority: 49 U.S.C. 106(f), 106(g), 40103, This amendment to 14 CFR part 97 is body of technical regulations for which 40106, 40113, 40114, 40120, 44502, 44514, effective upon publication of each frequent and routine amendments are 44701, 44719, 44721–44722. necessary to keep them operationally separate SIAP and Takeoff Minimums ■ 2. Part 97 is amended to read as current. It, therefore—(1) is not a and ODP as amended in the transmittal. follows: For safety and timeliness of change ‘‘significant regulatory action’’ under By amending: § 97.23 VOR, VOR/ considerations, this amendment Executive Order 12866; (2) is not a DME, VOR or TACAN, and VOR/DME incorporates only specific changes ‘‘significant rule’’ under DOT regulatory or TACAN; § 97.25 LOC, LOC/DME, contained for each SIAP and Takeoff Policies and Procedures (44 FR 11034; LDA, LDA/DME, SDF, SDF/DME; Minimums and ODP as modified by February 26, 1979); and (3) does not § 97.27 NDB, NDB/DME; § 97.29 ILS, FDC permanent NOTAMs. warrant preparation of a regulatory The SIAPs and Takeoff Minimums evaluation as the anticipated impact is ILS/DME, MLS, MLS/DME, MLS/RNAV; and ODPs, as modified by FDC so minimal. For the same reason, the § 97.31 RADAR SIAPs; § 97.33 RNAV permanent NOTAM, and contained in FAA certifies that this amendment will SIAPs; and § 97.35 COPTER SIAPs, this amendment are based on the not have a significant economic impact Identified as follows: criteria contained in the U.S. Standard on a substantial number of small entities * * * Effective Upon Publication
AIRAC Date State City Airport FDC No. FDC Date Subject
17–Aug–17 ...... MS Greenwood ...... Greenwood-Leflore ..... 7/0297 6/9/17 VOR RWY 5, Amdt 13A. 17–Aug–17 ...... MS Greenwood ...... Greenwood-Leflore ..... 7/0298 6/9/17 ILS OR LOC RWY 18, Amdt 8A. 17–Aug–17 ...... MS Greenwood ...... Greenwood-Leflore ..... 7/0299 6/9/17 RNAV (GPS) RWY 5, Amdt 2. 17–Aug–17 ...... MS Greenwood ...... Greenwood-Leflore ..... 7/0300 6/9/17 RNAV (GPS) RWY 18, Amdt 2A. 17–Aug–17 ...... MS Greenwood ...... Greenwood-Leflore ..... 7/0301 6/9/17 RNAV (GPS) RWY 36, Amdt 1. 17–Aug–17 ...... GA Lawrenceville ...... Gwinnett County- 7/0630 6/27/17 VOR/DME RWY 7, Amdt 2A. Briscoe Field. 17–Aug–17 ...... ME Portland ...... Portland Intl Jetport .... 7/0637 6/14/17 RNAV (GPS) RWY 11, Amdt 4. 17–Aug–17 ...... NY Batavia ...... Genesee County ...... 7/0660 6/8/17 RNAV (GPS) RWY 10, Orig. 17–Aug–17 ...... NC Charlotte ...... Charlotte/Douglas Intl 7/0701 6/21/17 RNAV (GPS) Y RWY 36L, Amdt 1. 17–Aug–17 ...... NC Charlotte ...... Charlotte/Douglas Intl 7/0702 6/21/17 RNAV (GPS) Y RWY 36R, Amdt 4. 17–Aug–17 ...... LA Alexandria ...... Alexandria Intl ...... 7/0759 6/27/17 RNAV (GPS) RWY 36, Orig-A. 17–Aug–17 ...... TX Jacksonville ...... Cherokee County ...... 7/0782 6/8/17 RNAV (GPS) RWY 14, Amdt 1. 17–Aug–17 ...... SC Georgetown ...... Georgetown County .... 7/0981 6/27/17 RNAV (GPS) RWY 23, Amdt 2. 17–Aug–17 ...... KY Louisville ...... Louisville Intl- 7/1220 6/21/17 RNAV (GPS) Y RWY 35L, Amdt Standiford Field. 1B. 17–Aug–17 ...... KY Louisville ...... Louisville Intl- 7/1224 6/21/17 RNAV (GPS) Y RWY 17L, Amdt Standiford Field. 1C. 17–Aug–17 ...... KY Louisville ...... Louisville Intl- 7/1227 6/21/17 RNAV (GPS) Y RWY 17R, Amdt Standiford Field. 1C. 17–Aug–17 ...... NY Rochester ...... Greater Rochester Intl 7/1339 6/21/17 RNAV (GPS) RWY 4, Amdt 2A. 17–Aug–17 ...... NY Buffalo ...... Buffalo Niagara Intl ..... 7/1340 6/21/17 RNAV (GPS) Y RWY 5, Amdt 2B.
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AIRAC Date State City Airport FDC No. FDC Date Subject
17–Aug–17 ...... NY Buffalo ...... Buffalo Niagara Intl ..... 7/1341 6/21/17 RNAV (GPS) Y RWY 23, Amdt 2B. 17–Aug–17 ...... SC Greer ...... Greenville Spartanburg 7/1472 6/27/17 ILS OR LOC/DME RWY 4, ILS Intl. RWY 4 (SA CAT I), ILS RWY 4 (CAT II AND III), Amdt 24. 17–Aug–17 ...... SC Greer ...... Greenville Spartanburg 7/1480 6/27/17 RNAV (GPS) RWY 4, Amdt 2. Intl. 17–Aug–17 ...... MN Minneapolis ...... Minneapolis-St Paul 7/1588 6/21/17 RNAV (GPS) Z RWY 30L, Amdt Intl/Wold-Chamber- 5. lain. 17–Aug–17 ...... MN Minneapolis ...... Minneapolis-St Paul 7/1589 6/21/17 RNAV (GPS) Z RWY 35, Amdt 4. Intl/Wold-Chamber- lain. 17–Aug–17 ...... MN Minneapolis ...... Minneapolis-St Paul 7/1590 6/21/17 RNAV (GPS) Z RWY 12L, Amdt Intl/Wold-Chamber- 5. lain. 17–Aug–17 ...... TX Lufkin ...... Angelina County ...... 7/1592 6/21/17 VOR RWY 15, Amdt 4. 17–Aug–17 ...... TX Dallas-Fort Worth ...... Dallas-Fort Worth Intl 7/1606 6/16/17 RNAV (GPS) RWY 17C, Amdt 2A. 17–Aug–17 ...... TX Dallas-Fort Worth ...... Dallas-Fort Worth Intl 7/1607 6/16/17 RNAV (GPS) RWY 17L, Amdt 5. 17–Aug–17 ...... TX Dallas-Fort Worth ...... Dallas-Fort Worth Intl 7/1608 6/16/17 RNAV (GPS) RWY 17R, Amdt 2A. 17–Aug–17 ...... TX Dallas-Fort Worth ...... Dallas-Fort Worth Intl 7/1609 6/16/17 RNAV (GPS) RWY 18L, Amdt 1A. 17–Aug–17 ...... TX Dallas-Fort Worth ...... Dallas-Fort Worth Intl 7/1612 6/16/17 RNAV (GPS) RWY 18R, Amdt 1A. 17–Aug–17 ...... TX Dallas-Fort Worth ...... Dallas-Fort Worth Intl 7/1614 6/16/17 RNAV (GPS) RWY 35C, Amdt 3A. 17–Aug–17 ...... TX Dallas-Fort Worth ...... Dallas-Fort Worth Intl 7/1616 6/16/17 RNAV (GPS) RWY 35L, Amdt 2A. 17–Aug–17 ...... TX Dallas-Fort Worth ...... Dallas-Fort Worth Intl 7/1619 6/16/17 RNAV (GPS) RWY 35R, Amdt 3A. 17–Aug–17 ...... TX Dallas-Fort Worth ...... Dallas-Fort Worth Intl 7/1621 6/16/17 RNAV (GPS) RWY 36L, Amdt 3C. 17–Aug–17 ...... TX Dallas-Fort Worth ...... Dallas-Fort Worth Intl 7/1623 6/16/17 RNAV (GPS) RWY 36R, Amdt 3B. 17–Aug–17 ...... TN Nashville ...... Nashville Intl ...... 7/1987 6/21/17 RNAV (GPS) Y RWY 2R, Amdt 2C. 17–Aug–17 ...... TN Nashville ...... Nashville Intl ...... 7/1990 6/21/17 RNAV (GPS) Y RWY 2L, Amdt 3. 17–Aug–17 ...... TX Houston ...... George Bush Inter- 7/2031 6/21/17 RNAV (GPS) RWY 15R, Amdt continental/Houston. 2A. 17–Aug–17 ...... TX Houston ...... George Bush Inter- 7/2032 6/21/17 RNAV (GPS) Z RWY 8L, Amdt continental/Houston. 5B. 17–Aug–17 ...... TX Houston ...... George Bush Inter- 7/2033 6/21/17 RNAV (GPS) Z RWY 8R, Amdt continental/Houston. 4B. 17–Aug–17 ...... TX Houston ...... George Bush Inter- 7/2034 6/21/17 RNAV (GPS) Z RWY 26L, Amdt continental/Houston. 4A. 17–Aug–17 ...... TX Houston ...... George Bush Inter- 7/2036 6/21/17 RNAV (GPS) Z RWY 26R, Amdt continental/Houston. 4A. 17–Aug–17 ...... TX Houston ...... George Bush Inter- 7/2037 6/21/17 RNAV (GPS) Z RWY 27, Amdt 5. continental/Houston. 17–Aug–17 ...... MS Columbus/W Point/ Golden Triangle Rgnl 7/2048 6/9/17 RNAV (GPS) RWY 36, Amdt 1. Starkville. 17–Aug–17 ...... MO Kansas City ...... Kansas City Intl ...... 7/2051 6/19/17 RNAV (GPS) Y RWY 1R, Amdt 2A. 17–Aug–17 ...... MO Kansas City ...... Kansas City Intl ...... 7/2073 6/19/17 RNAV (GPS) Y RWY 19R, Amdt 2A. 17–Aug–17 ...... AR Fayetteville/Springdale/ Northwest Arkansas 7/2074 6/19/17 RNAV (GPS) RWY 34, Amdt 2. Rgnl. 17–Aug–17 ...... AR Fayetteville/Springdale/ Northwest Arkansas 7/2075 6/19/17 RNAV (GPS) RWY 16, Amdt 4. Rgnl. 17–Aug–17 ...... CO Grand Junction ...... Grand Junction Re- 7/2260 6/21/17 RNAV (GPS) Y RWY 11, Amdt gional. 1B. 17–Aug–17 ...... FL Pensacola ...... Pensacola Intl ...... 7/2307 6/21/17 RNAV (GPS) RWY 17, Amdt 2C. 17–Aug–17 ...... NH Portsmouth ...... Portsmouth Intl At 7/2345 6/21/17 RNAV (GPS) RWY 16, Amdt 2. Pease. 17–Aug–17 ...... CA Santa Maria ...... Santa Maria Pub/Capt 7/2346 6/21/17 RNAV (GPS) RWY 12, Amdt 1A. G Allan Hancock Fld. 17–Aug–17 ...... MI Detroit ...... Detroit Metropolitan 7/2347 6/19/17 RNAV (GPS) RWY 3R, Amdt 3. Wayne County. 17–Aug–17 ...... MI Detroit ...... Detroit Metropolitan 7/2350 6/19/17 RNAV (GPS) RWY 4R, Amdt 3. Wayne County.
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AIRAC Date State City Airport FDC No. FDC Date Subject
17–Aug–17 ...... MI Detroit ...... Detroit Metropolitan 7/2362 6/19/17 RNAV (GPS) PRM RWY 4R, Wayne County. Orig. 17–Aug–17 ...... VA Richmond ...... Richmond Intl ...... 7/2368 6/21/17 RNAV (GPS) Z RWY 34, Amdt 1B. 17–Aug–17 ...... AR Rogers ...... Rogers Executive— 7/2644 5/26/17 VOR RWY 2, Amdt 13D. Carter Field. 17–Aug–17 ...... AR Rogers ...... Rogers Executive— 7/2645 5/26/17 RNAV (GPS) RWY 20, Amdt 1A. Carter Field. 17–Aug–17 ...... FL Avon Park ...... Avon Park Executive .. 7/2706 6/14/17 RNAV (GPS) RWY 10, Orig-A. 17–Aug–17 ...... FL Avon Park ...... Avon Park Executive .. 7/2707 6/14/17 RNAV (GPS) RWY 5, Orig-A. 17–Aug–17 ...... OH Wauseon ...... Fulton County ...... 7/2709 6/8/17 Takeoff Minimums and (Obsta- cle) DP, Amdt 1. 17–Aug–17 ...... AL Mobile ...... Mobile Rgnl ...... 7/2791 6/19/17 RNAV (GPS) RWY 15, Amdt 2A. 17–Aug–17 ...... AL Mobile ...... Mobile Rgnl ...... 7/2792 6/19/17 RNAV (GPS) RWY 33, Amdt 2A. 17–Aug–17 ...... NY Rochester ...... Greater Rochester Intl 7/2794 6/21/17 RNAV (GPS) RWY 22, Amdt 2A. 17–Aug–17 ...... NY New York ...... Long Island Mac Ar- 7/2795 6/21/17 RNAV (GPS) RWY 6, Amdt 2. thur. 17–Aug–17 ...... NH Concord ...... Concord Muni ...... 7/2832 6/21/17 RNAV (GPS) RWY 12, Orig-C. 17–Aug–17 ...... FL Orlando ...... Orlando Intl ...... 7/2874 6/19/17 RNAV (GPS) RWY 17L, Amdt 1. 17–Aug–17 ...... FL Orlando ...... Orlando Intl ...... 7/2878 6/19/17 RNAV (GPS) RWY 17R, Orig-C. 17–Aug–17 ...... FL Orlando ...... Orlando Intl ...... 7/2879 6/19/17 RNAV (GPS) RWY 18R, Amdt 1. 17–Aug–17 ...... FL Orlando ...... Orlando Intl ...... 7/2881 6/19/17 RNAV (GPS) RWY 35L, Amdt 1. 17–Aug–17 ...... FL Orlando ...... Orlando Intl ...... 7/2885 6/19/17 RNAV (GPS) RWY 35R, Amdt 1. 17–Aug–17 ...... NJ Newark ...... Newark Liberty Intl ...... 7/2916 6/27/17 RNAV (GPS) Z RWY 22L, Amdt 2. 17–Aug–17 ...... FL Orlando ...... Executive ...... 7/2974 6/21/17 RNAV (GPS) RWY 7, Amdt 2. 17–Aug–17 ...... TX Houston ...... Ellington ...... 7/2975 6/21/17 RNAV (GPS) RWY 22, Amdt 2B. 17–Aug–17 ...... FL Miami ...... Miami Intl ...... 7/3045 6/21/17 RNAV (GPS) RWY 9, Amdt 1A. 17–Aug–17 ...... FL Miami ...... Miami Intl ...... 7/3046 6/21/17 RNAV (GPS) Z RWY 27, Amdt 3. 17–Aug–17 ...... NY Albany ...... Albany Intl ...... 7/3084 6/19/17 RNAV (GPS) Y RWY 1, Amdt 1A. 17–Aug–17 ...... MA Hyannis ...... Barnstable Muni- 7/3261 6/27/17 RNAV (GPS) RWY 15, Orig. Boardman/Polando Field. 17–Aug–17 ...... AR Crossett ...... Z M Jack Stell Field .... 7/3273 6/8/17 RNAV (GPS) RWY 23, Orig. 17–Aug–17 ...... AR Crossett ...... Z M Jack Stell Field .... 7/3274 6/8/17 VOR/DME–A, Orig-C. 17–Aug–17 ...... CT Groton (New London) Groton-New London ... 7/3373 6/19/17 RNAV (GPS) RWY 5, Orig-D. 17–Aug–17 ...... NC Raleigh/Durham ...... Raleigh-Durham Intl .... 7/3375 6/19/17 RNAV (GPS) Y RWY 23L, Amdt 1A. 17–Aug–17 ...... NC Raleigh/Durham ...... Raleigh-Durham Intl .... 7/3376 6/19/17 RNAV (GPS) Y RWY 23R, Amdt 1A. 17–Aug–17 ...... NJ Atlantic City ...... Atlantic City Intl ...... 7/3381 6/19/17 RNAV (GPS) Y RWY 13, Amdt 4. 17–Aug–17 ...... OH Dayton ...... James M Cox Dayton 7/3398 6/19/17 RNAV (GPS) Z RWY 6L, Amdt Intl. 1B. 17–Aug–17 ...... FL Melbourne ...... Melbourne Intl ...... 7/3480 6/19/17 RNAV (GPS) RWY 9R, Amdt 1A. 17–Aug–17 ...... LA New Orleans ...... Louis Armstrong New 7/3481 6/21/17 RNAV (GPS) Y RWY 11, Amdt Orleans Intl. 2A. 17–Aug–17 ...... IA Sioux City ...... Sioux Gateway/Col 7/3489 6/21/17 RNAV (GPS) RWY 31, Orig-D. Bud Day Field. 17–Aug–17 ...... MD Baltimore ...... Baltimore/Washington 7/3490 6/21/17 RNAV (GPS) Y RWY 33L, Amdt Intl Thurgood Mar- 4. shall. 17–Aug–17 ...... IA Cedar Rapids ...... The Eastern Iowa ...... 7/3503 6/21/17 RNAV (GPS) RWY 9, Amdt 2A. 17–Aug–17 ...... OH Dayton ...... James M Cox Dayton 7/3565 6/21/17 RNAV (GPS) RWY 24L, Amdt Intl. 1B. 17–Aug–17 ...... OH Dayton ...... James M Cox Dayton 7/3576 6/21/17 RNAV (GPS) RWY 18, Amdt 1. Intl. 17–Aug–17 ...... LA Shreveport ...... Shreveport Rgnl ...... 7/3581 6/21/17 RNAV (GPS) RWY 14, Amdt 2. 17–Aug–17 ...... LA Baton Rouge ...... Baton Rouge Metro- 7/3590 6/21/17 RNAV (GPS) RWY 22R, Amdt 3. politan, Ryan Field. 17–Aug–17 ...... FL Miami ...... Miami Executive ...... 7/3767 6/8/17 ILS OR LOC RWY 9R, Amdt 11B. 17–Aug–17 ...... FL Miami ...... Miami Executive ...... 7/3768 6/8/17 RNAV (GPS) RWY 9R, Amdt 2B. 17–Aug–17 ...... FL Miami ...... Miami Executive ...... 7/3769 6/8/17 RNAV (GPS) RWY 27L, Amdt 2B. 17–Aug–17 ...... GA Lawrenceville ...... Gwinnett County- 7/3791 6/8/17 RNAV (GPS) RWY 7, Orig-B. Briscoe Field. 17–Aug–17 ...... MD Ridgely ...... Ridgely Airpark ...... 7/3795 6/9/17 RNAV (GPS) RWY 30, Orig-A. 17–Aug–17 ...... ME Augusta ...... Augusta State ...... 7/3797 6/8/17 VOR RWY 35, Amdt 6. 17–Aug–17 ...... ME Augusta ...... Augusta State ...... 7/3798 6/8/17 RNAV (GPS) RWY 17, Orig. 17–Aug–17 ...... ME Augusta ...... Augusta State ...... 7/3799 6/8/17 ILS OR LOC RWY 17, Amdt 3. 17–Aug–17 ...... MI Muskegon ...... Muskegon County ...... 7/3819 6/8/17 ILS OR LOC RWY 32, Amdt 19. 17–Aug–17 ...... MI Muskegon ...... Muskegon County ...... 7/3820 6/8/17 LOC BC RWY 14, Amdt 9A.
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AIRAC Date State City Airport FDC No. FDC Date Subject
17–Aug–17 ...... AZ Bullhead City ...... Laughlin/Bullhead Intl 7/3821 6/14/17 RNAV (GPS) RWY 16, Amdt 2A. 17–Aug–17 ...... MS Columbia ...... Columbia-Marion 7/3834 6/8/17 RNAV (GPS) RWY 5, Orig. County. 17–Aug–17 ...... MS Columbia ...... Columbia-Marion 7/3835 6/8/17 RNAV (GPS) RWY 23, Amdt 1. County. 17–Aug–17 ...... AK Elim ...... Elim ...... 7/4069 6/9/17 RNAV (GPS) RWY 1, Orig. 17–Aug–17 ...... AK Elim ...... Elim ...... 7/4077 6/9/17 RNAV (GPS) RWY 19, Orig -A. 17–Aug–17 ...... AK Clarks Point ...... Clarks Point ...... 7/4095 6/9/17 RNAV (GPS) RWY 36, Orig-A. 17–Aug–17 ...... AK Clarks Point ...... Clarks Point ...... 7/4096 6/9/17 RNAV (GPS) RWY 18, Orig-A. 17–Aug–17 ...... AR Arkadelphia ...... Dexter B Florence Me- 7/4207 6/20/17 RNAV (GPS) RWY 22, Orig-A. morial Field. 17–Aug–17 ...... AR Malvern ...... Malvern Muni ...... 7/4209 6/20/17 RNAV (GPS) RWY 22, Orig-A. 17–Aug–17 ...... AR Manila ...... Manila Muni ...... 7/4212 6/20/17 RNAV (GPS) RWY 18, Amdt 1A. 17–Aug–17 ...... IA Maquoketa ...... Maquoketa Muni ...... 7/4215 6/20/17 RNAV (GPS) RWY 15, Amdt 1A. 17–Aug–17 ...... IL Lacon ...... Marshall County ...... 7/4217 6/20/17 RNAV (GPS) RWY 13, Orig-A. 17–Aug–17 ...... IL Cairo ...... Cairo Rgnl ...... 7/4219 6/20/17 RNAV (GPS) RWY 14, Orig-A. 17–Aug–17 ...... IL Carmi ...... Carmi Muni ...... 7/4221 6/20/17 RNAV (GPS) RWY 36, Orig-B. 17–Aug–17 ...... IL Savanna ...... Tri-Township ...... 7/4222 6/20/17 RNAV (GPS) RWY 13, Orig-B. 17–Aug–17 ...... IN Bedford ...... Virgil I Grissom Muni .. 7/4224 6/20/17 RNAV (GPS) RWY 31, Amdt 1B. 17–Aug–17 ...... MI Lakeview ...... Lakeview-Griffith Field 7/4226 6/20/17 RNAV (GPS) RWY 10, Orig. 17–Aug–17 ...... MI Grand Ledge ...... Abrams Muni ...... 7/4229 6/20/17 RNAV (GPS) RWY 9, Orig-B. 17–Aug–17 ...... MI East Tawas ...... Iosco County ...... 7/4232 6/20/17 RNAV (GPS) RWY 8, Orig-A. 17–Aug–17 ...... MI Bad Axe ...... Huron County Memo- 7/4233 6/20/17 RNAV (GPS) RWY 22, Orig-A. rial. 17–Aug–17 ...... MI Romeo ...... Romeo State ...... 7/4236 6/20/17 RNAV (GPS) RWY 18, Amdt 1A. 17–Aug–17 ...... MI Romeo ...... Romeo State ...... 7/4239 6/20/17 RNAV (GPS) RWY 36, Amdt 1B. 17–Aug–17 ...... MI Three Rivers ...... Three Rivers Muni Dr 7/4244 6/20/17 RNAV (GPS) RWY 27, Orig-B. Haines. 17–Aug–17 ...... MI Houghton Lake ...... Roscommon County- 7/4245 6/20/17 RNAV (GPS) RWY 9, Amdt 2C. Blodgett Memorial. 17–Aug–17 ...... MI Houghton Lake ...... Roscommon County- 7/4248 6/20/17 RNAV (GPS) RWY 27, Amdt 1B. Blodgett Memorial. 17–Aug–17 ...... MI Ludington ...... Mason County ...... 7/4249 6/20/17 RNAV (GPS) RWY 8, Orig-B. 17–Aug–17 ...... MI South Haven ...... South Haven Area 7/4251 6/20/17 RNAV (GPS) RWY 5, Amdt 1C. Rgnl. 17–Aug–17 ...... MI South Haven ...... South Haven Area 7/4252 6/20/17 RNAV (GPS) RWY 23, Amdt 1C. Rgnl. 17–Aug–17 ...... MI Menominee ...... Menominee-Marinette 7/4253 6/20/17 RNAV (GPS) RWY 32, Amdt 1A. Twin County. 17–Aug–17 ...... MI Mason ...... Mason Jewett Field .... 7/4254 6/20/17 RNAV (GPS) RWY 10, Orig-B. 17–Aug–17 ...... MI Mason ...... Mason Jewett Field .... 7/4255 6/20/17 RNAV (GPS) RWY 28, Orig-B. 17–Aug–17 ...... MI Traverse City ...... Cherry Capital ...... 7/4256 6/20/17 RNAV (GPS) RWY 18, Orig-A. 17–Aug–17 ...... MI Detroit ...... Willow Run ...... 7/4257 6/20/17 RNAV (GPS) RWY 5L, Amdt 1A. 17–Aug–17 ...... MN Waseca ...... Waseca Muni ...... 7/4258 6/20/17 RNAV (GPS) RWY 33, Orig-A. 17–Aug–17 ...... MN Minneapolis ...... Flying Cloud ...... 7/4259 6/20/17 RNAV (GPS) RWY 36, Amdt 2A. 17–Aug–17 ...... MO Mountain Grove ...... Mountain Grove Me- 7/4260 6/20/17 RNAV (GPS) RWY 8, Orig-A. morial. 17–Aug–17 ...... MO Mountain Grove ...... Mountain Grove Me- 7/4261 6/20/17 RNAV (GPS) RWY 26, Orig-B. morial. 17–Aug–17 ...... MO Springfield ...... Downtown ...... 7/4262 6/20/17 RNAV (GPS)-B, Orig. 17–Aug–17 ...... MO Excelsior Springs ...... Excelsior Springs Me- 7/4263 6/20/17 RNAV (GPS)-B, Orig. morial. 17–Aug–17 ...... MO Ava ...... Ava Bill Martin Memo- 7/4264 6/20/17 RNAV (GPS) RWY 31, Orig-A. rial. 17–Aug–17 ...... MO Osage Beach ...... Grand Glaize-Osage 7/4267 6/20/17 RNAV (GPS) RWY 14, Amdt 1A. Beach. 17–Aug–17 ...... MO Osage Beach ...... Grand Glaize-Osage 7/4269 6/20/17 RNAV (GPS) RWY 32, Amdt 1A. Beach. 17–Aug–17 ...... MO Mountain View ...... Mountain View ...... 7/4271 6/20/17 RNAV (GPS) RWY 10, Orig-B. 17–Aug–17 ...... MO Mountain View ...... Mountain View ...... 7/4273 6/20/17 RNAV (GPS) RWY 28, Orig-B. 17–Aug–17 ...... MO Stockton ...... Stockton Muni ...... 7/4275 6/20/17 RNAV (GPS) RWY 1, Orig-A. 17–Aug–17 ...... MO Stockton ...... Stockton Muni ...... 7/4277 6/20/17 RNAV (GPS) RWY 19, Orig-B. 17–Aug–17 ...... OH Millersburg ...... Holmes County ...... 7/4279 6/20/17 RNAV (GPS) RWY 9, Orig. 17–Aug–17 ...... OH Woodsfield ...... Monroe County ...... 7/4281 6/20/17 RNAV (GPS) RWY 25, Orig-A. 17–Aug–17 ...... OH Middlefield ...... Geauga County ...... 7/4282 6/20/17 RNAV (GPS) RWY 29, Orig-A. 17–Aug–17 ...... OH Middlefield ...... Geauga County ...... 7/4283 6/20/17 RNAV (GPS) RWY 11, Orig-A. 17–Aug–17 ...... OH Cambridge ...... Cambridge Muni ...... 7/4285 6/20/17 RNAV (GPS) RWY 22, Orig-B. 17–Aug–17 ...... OH Cambridge ...... Cambridge Muni ...... 7/4287 6/20/17 RNAV (GPS) RWY 4, Orig-B. 17–Aug–17 ...... OH Waverly ...... Pike County ...... 7/4289 6/20/17 RNAV (GPS) RWY 7, Amdt 1. 17–Aug–17 ...... OK Prague ...... Prague Muni ...... 7/4291 6/20/17 RNAV (GPS) RWY 17, Orig-A. 17–Aug–17 ...... TX Devine ...... Devine Muni ...... 7/4294 6/20/17 RNAV (GPS) RWY 35, Orig-A. 17–Aug–17 ...... TX Houston ...... David Wayne Hooks 7/4297 6/20/17 LOC RWY 17R, Amdt 3C. Memorial. 17–Aug–17 ...... TX Rocksprings ...... Edwards County ...... 7/4301 6/20/17 VOR RWY 14, Amdt 5A.
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AIRAC Date State City Airport FDC No. FDC Date Subject
17–Aug–17 ...... TX Graford ...... Possum Kingdom ...... 7/4302 6/20/17 RNAV (GPS) RWY 2, Orig-B. 17–Aug–17 ...... TX Graford ...... Possum Kingdom ...... 7/4304 6/20/17 RNAV (GPS) RWY 20, Orig-B. 17–Aug–17 ...... TX Comanche ...... Comanche County-City 7/4306 6/20/17 RNAV (GPS) RWY 35, Orig. 17–Aug–17 ...... WI Burlington ...... Burlington Muni ...... 7/4313 6/20/17 RNAV (GPS) RWY 29, Amdt 1A. 17–Aug–17 ...... WI Burlington ...... Burlington Muni ...... 7/4315 6/20/17 RNAV (GPS) RWY 11, Orig-A. 17–Aug–17 ...... WI Grantsburg ...... Grantsburg Muni ...... 7/4316 6/20/17 RNAV (GPS) RWY 30, Orig-A. 17–Aug–17 ...... KY Mayfield ...... Mayfield Graves Coun- 7/4429 6/8/17 RNAV (GPS) Z RWY 1, Orig. ty. 17–Aug–17 ...... KY Mayfield ...... Mayfield Graves Coun- 7/4430 6/8/17 RNAV (GPS) RWY 19, Amdt 1. ty. 17–Aug–17 ...... KY Mayfield ...... Mayfield Graves Coun- 7/4431 6/8/17 RNAV (GPS) Y RWY 1, Amdt 1. ty. 17–Aug–17 ...... PR San Juan ...... Luis Munoz Marin Intl 7/4470 6/9/17 ILS OR LOC RWY 10, Amdt 6. 17–Aug–17 ...... PR San Juan ...... Luis Munoz Marin Intl 7/4472 6/9/17 VOR OR TACAN RWY 10, Amdt 2. 17–Aug–17 ...... PR San Juan ...... Luis Munoz Marin Intl 7/4474 6/9/17 RNAV (GPS) RWY 10, Amdt 2. 17–Aug–17 ...... OH Cleveland ...... Burke Lakefront ...... 7/4788 6/9/17 RNAV (GPS) RWY 24R, Orig. 17–Aug–17 ...... TX Commerce ...... Commerce Muni ...... 7/4945 6/9/17 RNAV (GPS) RWY 18, Orig-A. 17–Aug–17 ...... TX Commerce ...... Commerce Muni ...... 7/4946 6/9/17 VOR/DME–A, Amdt 3A. 17–Aug–17 ...... TX Commerce ...... Commerce Muni ...... 7/4947 6/9/17 RNAV (GPS) RWY 36, Orig-A. 17–Aug–17 ...... AK Kasigluk ...... Kasigluk ...... 7/5505 6/8/17 RNAV (GPS) RWY 17, Orig-A. 17–Aug–17 ...... AK Kasigluk ...... Kasigluk ...... 7/5506 6/8/17 RNAV (GPS) RWY 35, Orig-A. 17–Aug–17 ...... TN Copperhill ...... Martin Campbell Field 7/5773 6/8/17 RNAV (GPS) RWY 2, Orig. 17–Aug–17 ...... TN Copperhill ...... Martin Campbell Field 7/5775 6/8/17 RNAV (GPS) RWY 20, Orig. 17–Aug–17 ...... NJ Belmar/Farmingdale ... Monmouth Executive .. 7/5872 6/8/17 RNAV (GPS) RWY 14, Orig-B. 17–Aug–17 ...... NJ Belmar/Farmingdale ... Monmouth Executive .. 7/5873 6/8/17 RNAV (GPS) RWY 32, Orig-A. 17–Aug–17 ...... OH Cleveland ...... Burke Lakefront ...... 7/5992 6/9/17 ILS OR LOC RWY 24R, Amdt 1. 17–Aug–17 ...... TX Athens ...... Athens Muni ...... 7/6474 6/27/17 NDB RWY 35, Amdt 4D. 17–Aug–17 ...... TX Athens ...... Athens Muni ...... 7/6484 6/27/17 RNAV (GPS) RWY 35, Orig. 17–Aug–17 ...... MS Batesville ...... Panola County ...... 7/6489 6/9/17 LOC/DME RWY 19, Amdt 1. 17–Aug–17 ...... MN Rochester ...... Rochester Intl ...... 7/6514 6/8/17 VOR/DME RWY 20, Amdt 14. 17–Aug–17 ...... AR Decatur ...... Crystal Lake ...... 7/6516 6/8/17 VOR/DME RWY 13, Amdt 9. 17–Aug–17 ...... AR Decatur ...... Crystal Lake ...... 7/6517 6/8/17 RNAV (GPS) RWY 13, Orig. 17–Aug–17 ...... AZ Springerville ...... Springerville Muni ...... 7/6540 6/27/17 RNAV (GPS) RWY 21, Amdt 1B. 17–Aug–17 ...... FL West Palm Beach ...... North Palm Beach 7/6693 6/14/17 VOR RWY 8R, Amdt 1C. County General Aviation. 17–Aug–17 ...... NC Greensboro ...... Piedmont Triad Intl..... 7/6715 6/8/17 ILS OR LOC RWY 23L, ILS RWY 23L (CAT II), Amdt 9B. 17–Aug–17 ...... NY Glens Falls ...... Floyd Bennett Memo- 7/6716 6/8/17 RNAV (GPS) RWY 19, Amdt 1A. rial. 17–Aug–17 ...... CA Tracy ...... Tracy Muni ...... 7/6735 6/27/17 RNAV (GPS) RWY 30, Amdt 1. 17–Aug–17 ...... CA Tracy ...... Tracy Muni ...... 7/6736 6/27/17 RNAV (GPS) RWY 12, Amdt 2. 17–Aug–17 ...... OH Columbus ...... Port Columbus Intl...... 7/6986 6/27/17 Takeoff Minimums and (Obsta- cle) DP, Amdt 7. 17–Aug–17 ...... CA Big Bear City ...... Big Bear City ...... 7/7099 6/14/17 RNAV (GPS) RWY 26, Amdt 2. 17–Aug–17 ...... CA Los Angeles ...... Los Angeles Intl ...... 7/7306 6/14/17 ILS OR LOC RWY 24L, Amdt 27. 17–Aug–17 ...... NE Gothenburg ...... Quinn Field ...... 7/7342 6/27/17 Takeoff Minimums and (Obsta- cle) DP, Amdt 1. 17–Aug–17 ...... MS Indianola ...... Indianola Muni ...... 7/7809 6/8/17 RNAV (GPS) RWY 18, Amdt 2. 17–Aug–17 ...... FL St Petersburg-Clear- St Pete-Clearwater Intl 7/7861 6/14/17 RNAV (GPS) RWY 18, Orig. water. 17–Aug–17 ...... NJ Lumberton ...... Flying W ...... 7/8140 6/19/17 RNAV (GPS) RWY 19, Amdt 1B. 17–Aug–17 ...... NJ Lumberton ...... Flying W ...... 7/8146 6/19/17 RNAV (GPS) RWY 1, Amdt 1B. 17–Aug–17 ...... AL Birmingham ...... Birmingham- 7/8329 6/14/17 RNAV (GPS) Y RWY 6, Amdt Shuttlesworth Intl. 1A. 17–Aug–17 ...... MA Nantucket ...... Nantucket Memorial .... 7/8388 6/16/17 RNAV (GPS) RWY 24, Amdt 1. 17–Aug–17 ...... AL Mobile ...... Mobile Downtown ...... 7/8433 6/14/17 RNAV (GPS) RWY 32, Amdt 2. 17–Aug–17 ...... DC Washington ...... Washington Dulles Intl 7/8435 6/14/17 RNAV (GPS) RWY 12, Amdt 1B. 17–Aug–17 ...... FL Jacksonville ...... Jacksonville Intl ...... 7/8438 6/14/17 RNAV (GPS) Z RWY 8, Amdt 2A. 17–Aug–17 ...... FL Jacksonville ...... Jacksonville Intl ...... 7/8443 6/14/17 RNAV (GPS) Z RWY 26, Amdt 2B. 17–Aug–17 ...... SC Georgetown ...... Georgetown County .... 7/8659 6/8/17 NDB RWY 5, Amdt 6. 17–Aug–17 ...... SC Georgetown ...... Georgetown County .... 7/8660 6/8/17 RNAV (GPS) RWY 5, Orig. 17–Aug–17 ...... TN Crossville ...... Crossville Memorial- 7/9031 6/27/17 ILS Y OR LOC Y RWY 26, Orig- Whitson Field. B. 17–Aug–17 ...... TN Crossville ...... Crossville Memorial- 7/9032 6/27/17 ILS Z OR LOC Z RWY 26, Amdt Whitson Field. 14B. 17–Aug–17 ...... TN Crossville ...... Crossville Memorial- 7/9033 6/27/17 VOR/DME–A, Amdt 9A. Whitson Field. 17–Aug–17 ...... NE Superior ...... Superior Muni ...... 7/9182 6/8/17 RNAV (GPS) RWY 32, Orig-A. 17–Aug–17 ...... WA Pullman/Moscow ...... Pullman/Moscow Rgnl 7/9607 6/27/17 RNAV (GPS) Y RWY 6, Amdt 2D.
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[FR Doc. 2017–16100 Filed 8–1–17; 8:45 am] or go to: http://www.archives.gov/ Availability and Summary of Material BILLING CODE 4910–13–P federal_register/code_of_federal_ Incorporated by Reference _ regulations/ibr locations.html. The material incorporated by reference is publicly available as listed DEPARTMENT OF TRANSPORTATION Availability in the ADDRESSES section. Federal Aviation Administration All SIAPs and Takeoff Minimums and The material incorporated by ODPs are available online free of charge. reference describes SIAPS, Takeoff 14 CFR Part 97 Visit the National Flight Data Center at Minimums and/or ODPS as identified in nfdc.faa.gov to register. Additionally, the amendatory language for part 97 of [Docket No. 31143; Amdt. No. 3755] individual SIAP and Takeoff Minimums this final rule. Standard Instrument Approach and ODP copies may be obtained from The Rule Procedures, and Takeoff Minimums the FAA Air Traffic Organization Service Area in which the affected This amendment to 14 CFR part 97 is and Obstacle Departure Procedures; effective upon publication of each airport is located. Miscellaneous Amendments separate SIAP, Takeoff Minimums and AGENCY: Federal Aviation FOR FURTHER INFORMATION CONTACT: ODP as Amended in the transmittal. Administration (FAA), DOT. Thomas J. Nichols, Flight Procedure Some SIAP and Takeoff Minimums and textual ODP amendments may have ACTION: Final rule. Standards Branch (AFS–420), Flight Technologies and Programs Divisions, been issued previously by the FAA in a SUMMARY: This rule establishes, amends, Flight Standards Service, Federal Flight Data Center (FDC) Notice to suspends, or removes Standard Aviation Administration, Mike Airmen (NOTAM) as an emergency Instrument Approach Procedures Monroney Aeronautical Center, 6500 action of immediate flight safety relating (SIAPs) and associated Takeoff South MacArthur Blvd., Oklahoma City, directly to published aeronautical Minimums and Obstacle Departure OK 73169 (Mail Address: P.O. Box charts. Procedures (ODPs) for operations at 25082, Oklahoma City, OK 73125) The circumstances that created the certain airports. These regulatory Telephone: (405) 954–4164. need for some SIAP and Takeoff actions are needed because of the Minimums and ODP amendments may adoption of new or revised criteria, or SUPPLEMENTARY INFORMATION: This rule require making them effective in less because of changes occurring in the amends Title 14 of the Code of Federal than 30 days. For the remaining SIAPs National Airspace System, such as the Regulations, Part 97 (14 CFR part 97), by and Takeoff Minimums and ODPs, an commissioning of new navigational establishing, amending, suspending, or effective date at least 30 days after facilities, adding new obstacles, or removes SIAPS, Takeoff Minimums publication is provided. changing air traffic requirements. These and/or ODPS. The complete regulatory Further, the SIAPs and Takeoff changes are designed to provide safe description of each SIAP and its Minimums and ODPs contained in this and efficient use of the navigable associated Takeoff Minimums or ODP amendment are based on the criteria airspace and to promote safe flight for an identified airport is listed on FAA contained in the U.S. Standard for operations under instrument flight rules form documents which are incorporated Terminal Instrument Procedures at the affected airports. by reference in this amendment under 5 (TERPS). In developing these SIAPs and DATES: This rule is effective August 2, U.S.C. 552(a), 1 CFR part 51, and 14 Takeoff Minimums and ODPs, the 2017. The compliance date for each CFR part 97.20. The applicable FAA TERPS criteria were applied to the conditions existing or anticipated at the SIAP, associated Takeoff Minimums, forms are FAA Forms 8260–3, 8260–4, affected airports. Because of the close and ODP is specified in the amendatory 8260–5, 8260–15A, and 8260–15B when and immediate relationship between provisions. required by an entry on 8260–15A. The incorporation by reference of these SIAPs, Takeoff Minimums and certain publications listed in the The large number of SIAPs, Takeoff ODPs, and safety in air commerce, I find regulations is approved by the Director Minimums and ODPs, their complex that notice and public procedure under of the Federal Register as of August 2, nature, and the need for a special format 5 U.S.C. 553(b) are impracticable and 2017. make publication in the Federal contrary to the public interest and, ADDRESSES: Availability of matters Register expensive and impractical. where applicable, under 5 U.S.C. 553(d), incorporated by reference in the Further, airmen do not use the good cause exists for making some amendment is as follows: regulatory text of the SIAPs, Takeoff SIAPs effective in less than 30 days. Minimums or ODPs, but instead refer to The FAA has determined that this For Examination their graphic depiction on charts regulation only involves an established 1. U.S. Department of Transportation, printed by publishers of aeronautical body of technical regulations for which Docket Ops-M30, 1200 New Jersey materials. Thus, the advantages of frequent and routine amendments are Avenue SE., West Bldg., Ground Floor, incorporation by reference are realized necessary to keep them operationally Washington, DC 20590–0001. and publication of the complete current. It, therefore—(1) is not a 2. The FAA Air Traffic Organization description of each SIAP, Takeoff ‘‘significant regulatory action’’ under Service Area in which the affected Minimums and ODP listed on FAA form Executive Order 12866; (2) is not a ‘‘significant rule’’ under DOT airport is located; documents is unnecessary. This 3. The office of Aeronautical Regulatory Policies and Procedures (44 amendment provides the affected CFR Navigation Products, 6500 South FR 11034; February 26,1979); and (3) sections and specifies the types of MacArthur Blvd., Oklahoma City, OK does not warrant preparation of a SIAPs, Takeoff Minimums and ODPs 73169 or, regulatory evaluation as the anticipated 4. The National Archives and Records with their applicable effective dates. impact is so minimal. For the same Administration (NARA). For This amendment also identifies the reason, the FAA certifies that this information on the availability of this airport and its location, the procedure, amendment will not have a significant material at NARA, call 202–741–6030, and the amendment number. economic impact on a substantial
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number of small entities under the Ontario, CA, Ontario Intl, ILS OR LOC Walker, MN, Walker Muni, RNAV (GPS) criteria of the Regulatory Flexibility Act. RWY 26R, Amdt 5 RWY 15, Amdt 2 Vacaville, CA, Nut Tree, Takeoff Walker, MN, Walker Muni, RNAV (GPS) List of Subjects in 14 CFR Part 97 Minimums and Obstacle DP, Amdt 5 RWY 33, Amdt 2 Air traffic control, Airports, Immokalee, FL, Immokalee Rgnl, RNAV Kansas City, MO, Charles B Wheeler Incorporation by reference, Navigation (GPS) RWY 9, Amdt 1 Downtown, ILS OR LOC RWY 3, (air). Immokalee, FL, Immokalee Rgnl, RNAV Amdt 5 Issued in Washington, DC, on June 30, (GPS) RWY 18, Amdt 1 Kansas City, MO, Charles B Wheeler 2017. Immokalee, FL, Immokalee Rgnl, RNAV Downtown, ILS OR LOC RWY 19, John S. Duncan, (GPS) RWY 27, Amdt 1 Amdt 24 Immokalee, FL, Immokalee Rgnl, RNAV Director, Flight Standards Service. Kansas City, MO, Charles B Wheeler (GPS) RWY 36, Amdt 1 Downtown, RNAV (GPS) RWY 3, Adoption of the Amendment Immokalee, FL, Immokalee Rgnl, Amdt 3 Takeoff Minimums and Obstacle DP, Accordingly, pursuant to the Kansas City, MO, Charles B Wheeler Amdt 2 authority delegated to me, Title 14, Downtown, RNAV (GPS) RWY 19, Immokalee, FL, Immokalee Rgnl, VOR Amdt 1 Code of Federal Regulations, Part 97 (14 RWY 18, Amdt 7 CFR part 97) is amended by Kansas City, MO, Charles B Wheeler West Palm Beach, FL, Palm Beach Intl, Downtown, RNAV (GPS) RWY 21, establishing, amending, suspending, or RNAV (GPS) X RWY 28R, Orig-A removing Standard Instrument Amdt 2 Fort Stewart (Hinesville), GA, Wright Kansas City, MO, Charles B Wheeler Approach Procedures and/or Takeoff AAF (Fort Stewart)/Midcoast Rgnl, Minimums and Obstacle Departure Downtown, Takeoff Minimums and RNAV (GPS) RWY 33R, Amdt 1 Obstacle DP, Amdt 4 Procedures effective at 0901 UTC on the Macon, GA, Middle Georgia Rgnl, ILS St Louis, MO, St Louis Lambert Intl, ILS dates specified, as follows: OR LOC RWY 5, ILS RWY 5 (SA CAT OR LOC RWY 6, Amdt 1F I), ILS RWY 5 (SA CAT II), Amdt 3 St Louis, MO, St Louis Lambert Intl, ILS PART 97—STANDARD INSTRUMENT Macon, GA, Middle Georgia Rgnl, OR LOC RWY 11, ILS RWY 11 (CAT APPROACH PROCEDURES RNAV (GPS) RWY 5, Amdt 3 Caldwell, ID, Caldwell Industrial, NDB II), ILS RWY 11 (CAT III), Orig-D ■ 1. The authority citation for part 97 St Louis, MO, St Louis Lambert Intl, ILS RWY 30, Amdt 1B, CANCELED continues to read as follows: Mc Call, ID, Mc Call Muni, PEPUC OR LOC RWY 12L, ILS RWY 12L Authority: 49 U.S.C. 106(f), 106(g), 40103, TWO, Graphic DP (CAT II), ILS RWY 12L (CAT III), 40106, 40113, 40114, 40120, 44502, 44514, Peoria, IL, General Downing—Peoria Amdt 6B 44701, 44719, 44721–44722. Intl, ILS OR LOC RWY 4, ILS RWY 4 St Louis, MO, St Louis Lambert Intl, ILS ■ 2. Part 97 is amended to read as (SA CAT I), ILS RWY 4 (SA CAT II), OR LOC RWY 24, Amdt 46B follows: Amdt 3 St Louis, MO, St Louis Lambert Intl, ILS Indianapolis, IN, Indianapolis Rgnl, ILS OR LOC RWY 29, Amdt 1D Effective 17 August 2017 OR LOC RWY 25, Amdt 3 St Louis, MO, St Louis Lambert Intl, ILS Barrow, AK, Wiley Post-Will Rogers Gonzales, LA, Louisiana Rgnl, RNAV OR LOC RWY 30R, ILS RWY 30R Memorial, ILS OR LOC RWY 7, Amdt (GPS) RWY 35, Orig (CAT II), ILS RWY 30R (CAT III), 1 Gaithersburg, MD, Montgomery County Amdt 10C Barrow, AK, Wiley Post-Will Rogers Airpark, VOR RWY 14, Amdt 3A, St Louis, MO, St Louis Lambert Intl, Memorial, LOC BC RWY 25, Amdt 1 CANCELED RNAV (GPS) RWY 6, Amdt 1C Barrow, AK, Wiley Post-Will Rogers Indian Head, MD, Maryland, RNAV St Louis, MO, St Louis Lambert Intl, Memorial, VOR RWY 25, Amdt 1 (GPS) RWY 2, Amdt 1A RNAV (GPS) RWY 24, Amdt 1C Dillingham, AK, Dillingham, LOC RWY Berrien Springs, MI, Andrews St Louis, MO, St Louis Lambert Intl, 19, Amdt 7 University Airpark, RNAV (GPS) RNAV (GPS) Y RWY 11, Orig-C Dillingham, AK, Dillingham, RNAV RWY 13, Orig St Louis, MO, St Louis Lambert Intl, (GPS) RWY 19, Amdt 3 Berrien Springs, MI, Andrews RNAV (GPS) Y RWY 12L, Amdt 2C Wainwright, AK, Wainwright, NDB University Airpark, RNAV (GPS) St Louis, MO, St Louis Lambert Intl, RWY 5, Amdt 1A, CANCELED RWY 31, Orig RNAV (GPS) Y RWY 29, Orig-D Wainwright, AK, Wainwright, NDB Berrien Springs, MI, Andrews St Louis, MO, St Louis Lambert Intl, RWY 23, Amdt 1, CANCELED University Airpark, VOR–A, Orig, RNAV (GPS) Y RWY 30R, Amdt 1E Anniston, AL, Anniston Rgnl, Takeoff CANCELED St Louis, MO, St Louis Lambert Intl, Minimums and Obstacle DP, Amdt 7 Minneapolis, MN, Anoka County-Blaine RNAV (RNP) Z RWY 11, Orig-B Corning, AR, Corning Muni, RNAV (Janes Field), ILS OR LOC RWY 27, St Louis, MO, St Louis Lambert Intl, (GPS) RWY 18, Orig-B Orig-B RNAV (RNP) Z RWY 12L, Orig-B Corning, AR, Corning Muni, RNAV Minneapolis, MN, Anoka County-Blaine St Louis, MO, St Louis Lambert Intl, (GPS) RWY 36, Orig-B (Janes Field), RNAV (GPS) RWY 9, RNAV (RNP) Z RWY 29, Orig-B Corning, AR, Corning Muni, VOR–A, Orig-E St Louis, MO, St Louis Lambert Intl, Amdt 2B Minneapolis, MN, Anoka County-Blaine RNAV (RNP) Z RWY 30R, Orig-B Magnolia, AR, Ralph C Weiser Field, (Janes Field), RNAV (GPS) RWY 18, Wilmington, NC, Wilmington Intl, ILS Y RNAV (GPS) RWY 18, Orig-A Orig-E OR LOC RWY 6, Amdt 2B Magnolia, AR, Ralph C Weiser Field, Minneapolis, MN, Anoka County-Blaine Wilmington, NC, Wilmington Intl, ILS Y RNAV (GPS) RWY 36, Amdt 1A (Janes Field), RNAV (GPS) RWY 27, OR LOC RWY 24, ILS Y RWY 24 (SA Arcata/Eureka, CA, California Redwood Orig-C CAT I), ILS Y RWY 24 (SA CAT II), Coast—Humboldt County, Takeoff Minneapolis, MN, Anoka County-Blaine Amdt 2 Minimums and Obstacle DP, Amdt 8 (Janes Field), Takeoff Minimums and Wilmington, NC, Wilmington Intl, ILS Y Ontario, CA, Ontario Intl, ILS OR LOC Obstacle DP, Amdt 5B OR LOC RWY 35, Amdt 22C RWY 26L, ILS RWY 26L (CAT II), ILS Minneapolis, MN, Anoka County-Blaine Wilmington, NC, Wilmington Intl, ILS Z RWY 26L (CAT III), Amdt 8 (Janes Field), VOR RWY 9, Amdt 12C RWY 6, Orig-B
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Wilmington, NC, Wilmington Intl, ILS Z DEPARTMENT OF DEFENSE of the vessel in the athwartship RWY 24, Amdt 1 direction; Rule 21(a) and Annex I, Wilmington, NC, Wilmington Intl, ILS Z Department of the Navy paragraph 9(b), pertaining to the RWY 35, Orig-B visibility of tasks lights (restricted 32 CFR Part 706 Wilmington, NC, Wilmington Intl, maneuverability) obstructions; Rule RADAR–1, Amdt 7A 27(b)(i) and Annex I, paragraph 9(b)(i), Certifications and Exemptions Under pertaining to the arc of visibility of Wilmington, NC, Wilmington Intl, the International Regulations for middle tasks lights. The DAJAG RNAV (GPS) RWY 6, AMDT 3B Preventing Collisions at Sea, 1972 (Admiralty and Maritime Law) has also Wilmington, NC, Wilmington Intl, AGENCY: Department of the Navy, DoD. certified that the lights involved are RNAV (GPS) RWY 17, Amdt 4A ACTION: Final rule. located in closest possible compliance Wilmington, NC, Wilmington Intl, with the applicable 72 COLREGS RNAV (GPS) RWY 24, Amdt 3 SUMMARY: The Department of the Navy requirements. Wilmington, NC, Wilmington Intl, (DoN) is amending its certifications and Moreover, it has been determined, in exemptions under the International RNAV (GPS) RWY 35, Amdt 3C accordance with 32 CFR parts 296 and Regulations for Preventing Collisions at 701, that publication of this amendment Manchester, NH, Manchester, Takeoff Sea, 1972 (72 COLREGS), to reflect that for public comment prior to adoption is Minimums and Obstacle DP, Amdt the Deputy Assistant Judge Advocate impracticable, unnecessary, and 10A General (DAJAG) (Admiralty and contrary to public interest since it is Cushing, OK, Cushing Muni, RNAV Maritime Law) has determined that USS based on technical findings that the (GPS) RWY 18, Orig MANCHESTER (LCS 14) is a vessel of placement of lights on this vessel in a Cushing, OK, Cushing Muni, RNAV the Navy which, due to its special manner differently from that prescribed (GPS) RWY 36, Amdt 2 construction and purpose, cannot fully herein will adversely affect the vessel’s Orangeburg, SC, Orangeburg Muni, comply with certain provisions of the 72 ability to perform its military functions. RNAV (GPS) RWY 35, Amdt 1B COLREGS without interfering with its special function as a naval ship. The List of Subjects in 32 CFR Part 706 Beeville, TX, Chase Field Industrial, intended effect of this rule is to warn RNAV (GPS) RWY 13, Orig Marine safety, Navigation (water), and mariners in waters where 72 COLREGS Vessels. Beeville, TX, Chase Field Industrial, apply. For the reasons set forth in the RNAV (GPS) RWY 31, Orig DATES: This rule is effective August 2, preamble, the DoN amends part 706 of Beeville, TX, Chase Field Industrial, 2017 and is applicable beginning July title 32 of the Code of Federal Takeoff Minimums and Obstacle DP, 25, 2017. Regulations as follows: Orig FOR FURTHER INFORMATION CONTACT: Falfurrias, TX, Brooks County, RNAV Lieutenant Commander Kyle Fralick, PART 706—CERTIFICATIONS AND (GPS) RWY 17, Amdt 1 JAGC, U.S. Navy, Admiralty Attorney, EXEMPTIONS UNDER THE Falfurrias, TX, Brooks County, RNAV (Admiralty and Maritime Law), Office of INTERNATIONAL REGULATIONS FOR (GPS) RWY 35, Amdt 1 the Judge Advocate General, Department PREVENTING COLLISIONS AT SEA, of the Navy, 1322 Patterson Ave. SE., Houston, TX, George Bush 1972 Suite 3000, Washington Navy Yard, DC Intercontinental/Houston, ILS OR 20374–5066, telephone number: 202– ■ 1. The authority citation for part 706 LOC RWY 8L, ILS RWY 8L (CAT II), 685–5040. ILS RWY 8L (CAT III), ILS RWY 8L continues to read as follows: SUPPLEMENTARY INFORMATION: (SA CAT I), Amdt 4C Pursuant Authority: 33 U.S.C. 1605. to the authority granted in 33 U.S.C. Tangier, VA, Tangier Island, VOR/DME– 1605, the DoN amends 32 CFR part 706. ■ 2. Section 706.2 is amended: A, Orig, SUSPENDED This amendment provides notice that ■ a. In Table One, by adding in alpha Morrisville, VT, Morrisville-Stowe the DAJAG (Admiralty and Maritime numerical order by vessel number, an State, RNAV (GPS)–A, Orig Law), under authority delegated by the entry for USS MANCHESTER (LCS 14); Fairmont, WV, Fairmont Muni- Secretary of the Navy, has certified that ■ b. In Table Four, under paragraph 15, Frankman Field, RNAV (GPS) RWY USS MANCHESTER (LCS 14) is a vessel by adding in alpha numerical order by 23, Amdt 1B of the Navy which, due to its special vessel number, an entry for USS Fairmont, WV, Fairmont Muni- construction and purpose, cannot fully MANCHESTER (LCS 14); Frankman Field, VOR–A, Amdt 1A comply with the following specific ■ c. In Table Four, under paragraph 16, provisions of 72 COLREGS without by adding in alpha numerical order by Wheeling, WV, Wheeling Ohio Co, ILS interfering with its special function as a vessel number, an entry for USS OR LOC RWY 3, Amdt 23 naval ship: Annex I paragraph 2(a)(i), MANCHESTER (LCS 14); Wheeling, WV, Wheeling Ohio Co, pertaining to the height of the forward ■ d. In Table Four, under paragraph 27, RNAV (GPS) RWY 3, Amdt 1 masthead light above the hull; Annex I, by adding in alpha numerical order by Wheeling, WV, Wheeling Ohio Co, paragraph 2(f)(i), pertaining to the vessel number, an entry for USS RNAV (GPS) RWY 16, Amdt 1 placement of the masthead light or MANCHESTER (LCS 14); and Wheeling, WV, Wheeling Ohio Co, lights above and clear of all other lights ■ e. In Table Five, by adding in alpha RNAV (GPS) RWY 21, Amdt 1 and obstructions; Annex I, paragraph numerical order by vessel number, an 3(a), pertaining to the location of the Wheeling, WV, Wheeling Ohio Co, entry for USS MANCHESTER (LCS 14). forward masthead light in the forward RNAV (GPS) RWY 34, Amdt 1 The additions read as follows: quarter of the ship, and the horizontal Wheeling, WV, Wheeling Ohio Co, VOR distance between the forward and after § 706.2 Certifications of the Secretary of RWY 21, Amdt 16 masthead light; Annex I, paragraph 3(c), the Navy under Executive Order 11964 and [FR Doc. 2017–16104 Filed 8–1–17; 8:45 am] pertaining to the task light’s horizontal 33 U.S.C. 1605. BILLING CODE 4910–13–P distance from the fore and aft centerline * * * * *
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TABLE ONE
Distance in meters of forward masthead Vessel No. light below minimum required height. § 2(a)(i), Annex I
******* USS MANCHESTER ...... LCS 14 4.3
*******
* * * * *
TABLE FOUR
*******
* * * * * 15. ** *
Horizontal distances from the fore and aft centerline of the Vessel No. vessel in the athwartship direction
******* USS MANCHESTER ...... LCS 14 Upper—0.16 meters. Middle—1.27 meters. Lower—1.24 meters.
*******
16. * * *
Obstruction angle relative Vessel No. ship’s headings
******* USS MANCHESTER ...... LCS 14 72° thru 74°. 286° thru 288°.
*******
27. On the following ships, the arc of the rule 27(b)(i) and Annex I, paragraph following angles relative to ship’s visibility of the middle task light 9(b)(i), may be obstructed at the heading; (restricted maneuverability), required by
Obstruction angle relative Vessel No. ship heading
USS MANCHESTER ...... LCS 14 47° thru 59°. 301° thru 313°.
* * * * *
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TABLE FIVE
Forward After masthead Masthead lights Percentage not over all masthead light light less than not in forward 1⁄2 ship’s length horizontal Vessel No. other lights and quarter of aft of forward separation obstructions. ship. masthead light. attained Annex I, sec. 2(f) Annex I, sec. 3(a) Annex I, sec. 3(a)
******* USS MANCHESTER ...... LCS 14 ...... X X 14.5
*******
Approved: July 25, 2017. through 6 p.m. on September 1, 2017. determines that the regulated area need A.S. Janin, For purposes of enforcement, actual not be enforced for the full duration Captain, USN, JAGC, Deputy Assistant Judge notice will be used from 8 a.m. on July stated in this notice of enforcement, he Advocate, General (Admiralty and Maritime 31, 2017, through August 2, 2017. or she may use a Broadcast Notice to Law). FOR FURTHER INFORMATION CONTACT: If Mariners to grant general permission to Dated: July 27, 2017. you have questions about this notice of enter the regulated area. The Captain of B.D. Corcoran, enforcement, call or email LT John the Port Lake Michigan or a designated Lieutenant, Judge Advocate General’s Corps, Ramos Waterways Management on-scene representative may be U.S. Navy, Alternate Federal Register Liaison Division, Marine Safety Unit Chicago, contacted via Channel 16, VHF–FM or Officer. U.S. Coast Guard; telephone 630–986– at (414) 747–7182. [FR Doc. 2017–16257 Filed 8–1–17; 8:45 am] 2155; email address D09-DG- Dated: July 27, 2017. BILLING CODE 3810–FF–P [email protected]. Thomas J. Stuhlreyer, SUPPLEMENTARY INFORMATION: The Coast Captain, U.S. Coast Guard, Captain of the Guard will enforce a segment of the Port Lake Michigan. DEPARTMENT OF HOMELAND Safety Zone; Brandon Road Lock and [FR Doc. 2017–16248 Filed 8–1–17; 8:45 am] SECURITY Dam to Lake Michigan including Des BILLING CODE 9110–04–P Plaines River, Chicago Sanitary and Coast Guard Ship Canal, Chicago River, Calumet- Saganashkee Channel, Chicago, IL, DEPARTMENT OF HOMELAND 33 CFR Part 165 listed in 33 CFR 165.930. Specifically, SECURITY the Coast Guard will enforce this safety [Docket Number USCG–2011–0228] zone on all waters of the Chicago Coast Guard Sanitary and Ship Canal between Mile Safety Zone, Brandon Road Lock and 33 CFR Part 165 Dam to Lake Michigan Including Des Marker 296.1 to Mile Marker 296.7. Plaines River, Chicago Sanitary and Enforcement will occur on each Monday [Docket Number USCG–2017–0702] through Friday from 8 a.m. until 6 p.m., Ship Canal, Chicago River, and RIN 1625–AA00 Calumet-Saganashkee Channel, from July 31, 2017 through September 1, Chicago, IL 2017. During the enforcement period, no Safety Zone; South Branch of the vessel may transit this regulated area Chicago River, Chicago, IL AGENCY: Coast Guard, DHS. without approval from the Captain of ACTION: Notice of enforcement of the Port Lake Michigan or a Captain of AGENCY: Coast Guard, DHS. regulation. the Port Lake Michigan designated ACTION: Temporary final rule. representative. Vessels and persons SUMMARY: The Coast Guard will enforce granted permission to enter the safety SUMMARY: The Coast Guard is a segment of the Safety Zone; Brandon zone shall obey all lawful orders or establishing a temporary safety zone on Road Lock and Dam to Lake Michigan directions of the Captain of the Port the South Branch of the Chicago River, including Des Plaines River, Chicago Lake Michigan, or his or her on-scene Chicago, IL. This action is necessary and Sanitary and Ship Canal, Chicago River, representative. intended to ensure safety of life on the Calumet-Saganashkee Channel on all This notice of enforcement is issued navigable waters of the United States waters of the Chicago Sanitary and Ship under the authority of 33 CFR 165.930 immediately prior to, during, and after Canal between Mile Marker 296.1 to and 5 U.S.C. 552(a). In addition to this the filming of a scene for a television Mile Marker 296.7 at specified times publication in the Federal Register, the series, where objects will be thrown off from July 31, 2017 until September 1, Captain of the Port Lake Michigan will a bridge. Entry of vessels or persons into 2017. This action is necessary to protect also provide notice through other this zone is prohibited unless the waterway and vessels from the means, which will include Broadcast specifically authorized by the Captain of potential hazards associated with barge Notice to Mariners, Local Notice to the Port Lake Michigan. entrainment mitigation trials conducted Mariners, distribution in leaflet form, DATES: This rule is effective from 8 p.m. by the U.S. Fish and Wildlife Service at and on-scene oral notice. Additionally, to 11:59 p.m. on August 4, 2017. the U.S. Army Corps of Engineer’s the Captain of the Port Lake Michigan ADDRESSES: To view documents electric dispersal barrier. may notify representatives from the mentioned in this preamble as being DATES: The regulations in 33 Code of maritime industry through telephonic available in the docket, go to http:// Federal Regulations (CFR) 165.930 will and email notifications. If the Captain of www.regulations.gov, type USCG–2017– be enforced from August 2, 2017, the Port or a designated representative 0702 in the ‘‘SEARCH’’ box and click
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‘‘SEARCH.’’ Click on Open Docket On August 4, 2017, the filming of a regulatory action,’’ under Executive Folder on the line associated with this scene for a television series, where Order 12866. Accordingly, it has not rule. objects will be thrown off a bridge will been reviewed by the Office of FOR FURTHER INFORMATION CONTACT: If take place on the South Branch of the Management and Budget. you have questions about this rule, call Chicago River on the Cermak Road As this rule is not a significant or email LT John Ramos, Marine Safety Bridge. The Captain of the Port Lake regulatory action, this rule is exempt from the requirements of Executive Unit Chicago, U.S. Coast Guard; Michigan has determined that objects Order 13771. See OMB’s Memorandum telephone (630) 986–2155, email D09- being thrown off the bridge will pose a titled ‘‘Interim Guidance Implementing [email protected]. significant risk to public safety and property. Such hazards include falling Section 2 of the Executive Order of SUPPLEMENTARY INFORMATION: television props and collisions among January 30, 2017 titled ‘Reducing I. Table of Abbreviations passing vessels. Regulation and Controlling Regulatory Costs’’’ (February 2, 2017). CFR Code of Federal Regulations IV. Discussion of the Rule We conclude that this rule is not a DHS Department of Homeland Security With the aforementioned hazards in significant regulatory action because we FR Federal Register mind, the Captain of the Port Lake anticipate that it will have minimal NPRM Notice of proposed rulemaking Michigan has determined that this impact on the economy, will not § Section U.S.C. United States Code temporary safety zone is necessary to interfere with other agencies, will not ensure the safety of the public during adversely alter the budget of any grant II. Background Information and the filming of a scene for a television or loan recipients, and will not raise any Regulatory History series, where objects will be thrown off novel legal or policy issues. The safety The Coast Guard is issuing this the Cermak Road Bridge on the South zone created by this rule will be temporary rule without prior notice and Branch of the Chicago River. This safety relatively small and enforced opportunity to comment pursuant to zone will be enforced intermittently intermittently on August 4, 2017 from 8 authority under section 4(a) of the from 8 p.m. to 11:59 on August 4, 2017. p.m. to 11:59 p.m. Under certain Administrative Procedure Act (APA) (5 This zone will encompass all waters of conditions, moreover, vessels may still U.S.C. 553(b)). This provision the South Branch of the Chicago River transit through the safety zone when authorizes an agency to issue a rule within a 300 foot radius of the Cermak permitted by the Captain of the Port. without prior notice and opportunity to Road Bridge in Chicago, IL. B. Impact on Small Entities Entry into, transiting, or anchoring comment when the agency for good within the safety zone is prohibited The Regulatory Flexibility Act of cause finds that those procedures are unless authorized by the Captain of the 1980, 5 U.S.C. 601–612, as amended, ‘‘impracticable, unnecessary, or contrary Port Lake Michigan, or a designated on- requires Federal agencies to consider to public interest.’’ Under 5 U.S.C. scene representative. The Captain of the the potential impact of regulations on 553(b)(B), the Coast Guard finds that Port or a designated on-scene small entities during rulemaking. The good cause exists for not publishing a representative may be contacted via term ‘‘small entities’’ comprises small notice of proposed rulemaking (NPRM) VHF Channel 16 or at (414) 747–7182. businesses, not-for-profit organizations with respect to this rule because doing that are independently owned and so would be impracticable. The Coast V. Regulatory Analyses operated and are not dominant in their Guard did not receive the final details We developed this rule after fields, and governmental jurisdictions for this event until there was considering numerous statutes and with populations of less than 50,000. insufficient time remaining before the Executive Orders related to rulemaking. The Coast Guard certifies under 5 U.S.C. event to publish a NPRM. Thus, Below we summarize our analyses 605(b) that this rule will not have a delaying the effective date of this rule to based on a number of these statutes and significant economic impact on a wait for a comment period to run would Executive Orders, and we discuss First substantial number of small entities. be impracticable because it would Amendment rights of protestors. Under the Regulatory Flexibility Act inhibit the Coast Guard’s ability to (5 U.S.C. 601–612), we have considered A. Regulatory Planning and Review protect the public and vessels from the the impact of this temporary rule on hazards associated with the filming of a Executive Orders 12866 and 13563 small entities. This rule will affect the scene for a television series, where direct agencies to assess the costs and following entities, some of which might objects will be thrown off a bridge on benefits of available regulatory be small entities: The owners or August 4, 2017. alternatives and, if regulation is operators of vessels intending to transit We are issuing this rule, and under 5 necessary, to select regulatory on a portion of the South Branch of the U.S.C. 553(d)(3), the Coast Guard finds approaches that maximize net benefits. Chicago River on August 4, 2017 from that good cause exists for making this Executive Order 13563 emphasizes the 8 p.m. to 11:59 p.m. temporary rule effective less than 30 importance of quantifying both costs This safety zone will not have a days after publication in the Federal and benefits, of reducing costs, of significant economic impact on a Register. For the same reasons harmonizing rules, and of promoting substantial number of small entities for discussed in the preceding paragraph, flexibility. Executive Order 13771 the reasons cited in the Regulatory waiting for a 30 day notice period to run (‘‘Reducing Regulation and Controlling Planning and Review section. would be impracticable. Regulatory Costs’’), directs agencies to Additionally, before the enforcement of reduce regulation and control regulatory III. Legal Authority and Need for Rule the zone, we will issue local Broadcast costs and provides that ‘‘for every one Notice to Mariners and Local Notice to The legal basis for the rule is the new regulation issued, at least two prior Mariners so vessel owners and operators Coast Guard’s authority to establish regulations be identified for elimination, can plan accordingly. safety zones: 33 U.S.C. 1231; 50 U.S.C. and that the cost of planned regulations Under section 213(a) of the Small 191; 33 CFR 1.05–1, 6.04–1, 6.04–6 and be prudently managed and controlled Business Regulatory Enforcement 160.5; Department of Homeland through a budgeting process.’’ This rule Fairness Act of 1996 (Pub. L. 104–121), Security Delegation No. 0170.1. has not been designated a ‘‘significant we want to assist small entities in
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understanding this rule. If the rule their discretionary regulatory actions. In Department of Homeland Security Delegation would affect your small business, particular, the Act addresses actions No. 0170.1. organization, or governmental that may result in the expenditure by a ■ 2. Add § 165.T09–0702 to read as jurisdiction and you have questions State, local, or tribal government, in the follows: concerning its provisions or options for aggregate, or by the private sector of compliance, please contact the person $100,000,000 (adjusted for inflation) or § 165.T09–0702 Safety Zone; South Branch listed in the FOR FURTHER INFORMATION more in any one year. Though this rule of the Chicago River, Chicago, IL. CONTACT section. will not result in such an expenditure, (a) Location. All U.S. navigable waters Small businesses may send comments we do discuss the effects of this rule of the South Branch of the Chicago on the actions of Federal employees elsewhere in this preamble. River, within a 300 foot radius of the who enforce, or otherwise determine F. Environment Cermak Road Bridge in Chicago, IL. compliance with, Federal regulations to (b) Enforcement period. This rule will the Small Business and Agriculture We have analyzed this rule under be enforced on August 4, 2017 from 8 Regulatory Enforcement Ombudsman Department of Homeland Security p.m. to 11:59 p.m. and the Regional Small Business Management Directive 023–01 and (c) Regulations. (1) In accordance with Regulatory Fairness Boards. The Commandant Instruction M16475.lD, the general regulations in § 165.23, entry Ombudsman evaluates these actions which guide the Coast Guard in into, transiting, or anchoring within this annually and rates each agency’s complying with the National safety zone is prohibited unless responsiveness to small business. If you Environmental Policy Act of 1969 (42 authorized by the Captain of the Port wish to comment on actions by U.S.C. 4321–4370f), and have Lake Michigan or a designated on-scene employees of the Coast Guard, call 1– determined that this action is one of a representative. 888–REG–FAIR (1–888–734–3247). The category of actions that do not (2) This safety zone is closed to all Coast Guard will not retaliate against individually or cumulatively have a vessel traffic, except as may be small entities that question or complain significant effect on the human permitted by the Captain of the Port about this rule or any policy or action environment. This rule involves the Lake Michigan or a designated on-scene of the Coast Guard. establishment of a safety zone for the representative. filming of a scene for a television series, C. Collection of Information (3) The ‘‘on-scene representative’’ of where objects will be thrown off the the Captain of the Port Lake Michigan This rule will not call for a new bridge on the South Branch of the is any Coast Guard commissioned, collection of information under the Chicago River in Chicago, IL. It is warrant or petty officer who has been Paperwork Reduction Act of 1995 (44 categorically excluded from further designated by the Captain of the Port U.S.C. 3501–3520). review under paragraph 34(g) of Figure Lake Michigan to act on his or her D. Federalism and Indian Tribal 2–1 of the Commandant Instruction. A behalf. Governments Record of Environmental Consideration (4) Vessel operators desiring to enter (REC) supporting this determination is or operate within the safety zone shall A rule has implications for federalism available in the docket where indicated contact the Captain of the Port Lake under Executive Order 13132, in the ADDRESSES section of this Michigan or an on-scene representative Federalism, if it has a substantial direct preamble. We seek any comments or to obtain permission to do so. The effect on the States, on the relationship information that may lead to the Captain of the Port Lake Michigan or an between the national government and discovery of a significant environmental on-scene representative may be the States, or on the distribution of impact from this rule. contacted via VHF Channel 16 or at power and responsibilities among the (414) 747–7182. Vessel operators given various levels of government. We have G. Protest Activities permission to enter or operate in the analyzed this rule under that Order and The Coast Guard respects the First safety zone must comply with all have determined that it is consistent Amendment rights of protesters. directions given to them by the Captain with the fundamental federalism Protesters are asked to contact the of the Port Lake Michigan, or an on- principles and preemption requirements person listed in the FOR FURTHER scene representative. described in Executive Order 13132. INFORMATION CONTACT section to Also, this rule does not have tribal coordinate protest activities so that your Dated: July 27, 2017. implications under Executive Order message can be received without Thomas J. Stuhlreyer, 13175, Consultation and Coordination jeopardizing the safety or security of Captain, U.S. Coast Guard, Captain of the with Indian Tribal Governments, people, places or vessels. Port, Lake Michigan. because it does not have a substantial [FR Doc. 2017–16253 Filed 8–1–17; 8:45 am] List of Subjects in 33 CFR Part 165 direct effect on one or more Indian BILLING CODE 9110–04–P tribes, on the relationship between the Harbors, Marine safety, Navigation Federal Government and Indian tribes, (water), Reporting and recordkeeping or on the distribution of power and requirements, Security measures, DEPARTMENT OF VETERANS responsibilities between the Federal Waterways. AFFAIRS Government and Indian tribes. If you For the reasons discussed in the believe this rule has implications for preamble, the Coast Guard amends 33 38 CFR Part 36 federalism or Indian tribes, please CFR parts 165 as follows: RIN 2900–AP32 contact the person listed in the FOR FURTHER INFORMATION CONTACT section PART 165—REGULATED NAVIGATION Loan Guaranty: Vendee Loan Fees above. AREAS AND LIMITED ACCESS AREAS AGENCY: Department of Veterans Affairs. E. Unfunded Mandates Reform Act ■ 1. The authority citation for part 165 ACTION: Final rule. The Unfunded Mandates Reform Act continues to read as follows: of 1995 (2 U.S.C. 1531–1538) requires Authority: 33 U.S.C. 1231; 50 U.S.C. 191; SUMMARY: This document adopts as final Federal agencies to assess the effects of 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; a proposed rule of the Department of
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Veterans Affairs (VA) Loan Guaranty whether or not VA will use discretion that not all loans will carry the loan fee Service to amend its regulations to in determining fees. The commenter described in section 3729. establish reasonable fees that VA may questioned whether fees will be waived In regard to the commenter’s concern charge in connection with the under the following circumstances: that the vendee loan program is not a origination and servicing of vendee When a veteran is purchasing a home home retention option, VA notes that, loans made by VA. Fees mentioned in from another veteran, including prior to a holder foreclosing a VA- this rulemaking are consistent with circumstances where the purchaser is a guaranteed loan, there are specific those charged in the private mortgage disabled veteran in receipt of required actions the holder must take industry, and such fees will help VA to compensation; when a non-profit or that emphasize loss mitigation and ensure the sustainability of this vendee non-veteran purchaser seeks a vendee retention options for borrowers. All loan program. The loans that will be loan to house homeless veterans; or participating VA servicers adhere to subject to the fees are not veterans’ when an individual in receipt of VA these regulations prior to initiating benefits. This rule will also ensure that Family Caregiver Program benefits seeks foreclosure sales. VA also notes that the all direct and vendee loans made by the to purchase a repossessed home to principal and interest resulting from the Secretary are safe harbor qualified provide care for a veteran with a serious repayment of vendee loans are mortgages. injury. The commenter also expressed deposited into the Veterans Housing Benefit Program Fund (VHBPF) to help DATES: Effective Date: This rule is concern that this was not a veterans’ effective September 1, 2017. benefit program intended to keep a offset the housing operation costs of the Home Loan Guaranty Program. Lastly, FOR FURTHER INFORMATION CONTACT: veteran in his or her home and that the Secretary’s focus should essentially be in response to the commenter’s Andrew Trevayne, Assistant Director for statement asking VA not to use veterans’ Loan and Property Management (261), on retention options. Lastly, the commenter requested veterans’ benefits benefits to fund this program, VA notes Veterans Benefits Administration, that vendee loans are not classified as Department of Veterans Affairs, 810 not be used to fund this program. In its proposed rule, VA discussed veterans’ benefits and are available to Vermont Ave. NW., Washington, DC any purchaser VA determines 20420, (202) 632–8795 (this is not a toll- that the Secretary has the discretion to negotiate fees on a case-by-case basis (81 creditworthy and whose offer is free number). awarded a sales contract. Vendee loans SUPPLEMENTARY INFORMATION: On FR 74382, 74383). The very nature of the Secretary’s discretion might permit enable VA to sell more of its properties October 26, 2016, VA published a and to sell them at a faster rate, and as the waiver of fees in unique situations. proposed rule in the Federal Register, at previously stated, the proceeds are Additionally, as stated in the preamble 81 FR 74382, to amend VA regulations deposited into the VHBPF. The fees are to the proposed rule, VA states that the to establish reasonable fees in consistent with the private mortgage Secretary may make vendee loans to connection with loans made by VA, industry and will ensure the certain entities pursuant to 38 U.S.C. commonly referred to as vendee loans. sustainability of the vendee loan 2041 for the purpose of assisting The fees associated with vendee loans program. are standard in the mortgage industry. homeless veterans and their families in Therefore, this rule finalizes the The vendee loans that are subject to the acquiring shelter (81 FR 74382). proposed rule with the change noted fees are not veterans’ benefits and are Specifically, 38 U.S.C. 2041(b)(2)(C) above. available to any purchasers, including states that the Secretary may use investors, who qualify for the loan. discretion when determining whether or Executive Orders 12866 and 13563 Specifically, this rulemaking will permit not to waive fees if appropriate in Executive Orders 12866 and 13563 VA to establish a fee to help cover costs situations regarding homeless veterans. direct agencies to assess the costs and associated with loan origination. The In regard to the commenter’s concern benefits of available regulatory rule will also permit certain reasonable regarding purchasers who are disabled alternatives and, when regulation is fees to be charged following loan veterans in receipt of compensation, VA necessary, to select regulatory origination, during loan servicing. notes that 38 U.S.C. 3729(c) prohibits approaches that maximize net benefits Pursuant to this rulemaking, VA will VA from charging a loan fee to ‘‘a (including potential economic, begin charging fees for ad-hoc services veteran who is receiving compensation environmental, public health and safety performed at the borrower’s request or (or who, but for the receipt of retirement effects, and other advantages; for the borrower’s benefit, as well as pay or active service pay, would be distributive impacts; and equity). standard fees specified in loan entitled to receive compensation) or [to] Executive Order 13563 (Improving instruments. Lastly, third-party fees, a surviving spouse of any veteran Regulation and Regulatory Review) those not charged by VA, are included (including a person who died in the emphasizes the importance of in this rule solely to clarify for active military, naval, or air service) quantifying both costs and benefits, borrowers the various costs that a who died from a service-connected reducing costs, harmonizing rules, and borrower may incur when obtaining a disability.’’ In proposed § 36.4528, VA promoting flexibility. Executive Order vendee loan. stated that the Secretary may charge a 12866 (Regulatory Planning and The public comment period for the loan origination fee ‘‘[i]n addition to the Review) defines a ‘‘significant proposed rule closed on December 27, loan fee required pursuant to 38 U.S.C. regulatory action’’ requiring review by 2016. VA received one comment. For 3729.’’ VA understands that this the Office of Management and Budget the reasons explained below, VA language may be interpreted as VA (OMB), unless OMB waives such adopts, with a change, the proposed rule attempting to charge a loan fee to those review, as ‘‘any regulatory action that is that revises VA’s authority to charge veterans or surviving spouses who likely to result in a rule that may: (1) reasonable fees associated with vendee Congress exempted from loan fees in 38 Have an annual effect on the economy loans at 38 CFR 36.4500, 36.4501, U.S.C. 3729(c). In order to clarify that of $100 million or more or adversely 36.4528, 36.4529, and 36.4530. VA is not charging a fee prohibited by affect in a material way the economy, a VA received one comment on the statute, VA is adding ‘‘if any’’ following sector of the economy, productivity, proposed rule from an individual. The ‘‘[i]n addition to the loan fee required competition, jobs, the environment, commenter was unclear regarding pursuant to 38 U.S.C. 3729’’ to clarify public health or safety, or State, local,
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or tribal governments or communities; obtain alternate financing. Parties would § 36.4500 Applicability and qualified (2) Create a serious inconsistency or have to choose to be subject to the mortgage status. otherwise interfere with an action taken impact, if any, imposed by this rule. * * * * * or planned by another agency; (3) Accordingly, the Secretary certifies (c) * * * Materially alter the budgetary impact of that the adoption of this final rule will (2) Applicability of safe harbor entitlements, grants, user fees, or loan not have a significant economic impact qualified mortgage. Any VA direct loan programs or the rights and obligations of on a substantial number of small entities made by the Secretary pursuant to recipients thereof; or (4) Raise novel as they are defined in the Regulatory chapter 20 or 37 of title 38, U.S.C., is a legal or policy issues arising out of legal Flexibility Act, 5 U.S.C. 601–612. safe harbor qualified mortgage. mandates, the President’s priorities, or Therefore, under 5 U.S.C. 605(b), this * * * * * the principles set forth in this Executive rulemaking is exempt from the final (e) Sections 36.4528, 36.4529, and Order.’’ regulatory flexibility analysis 36.4530, which concern vendee loans, The economic, interagency, requirements of section 604. shall be applicable to all vendee loans. budgetary, legal, and policy Catalog of Federal Domestic Assistance (Authority: 15 U.S.C. 1639C(b)(3)(B)(ii), 38 implications of this regulatory action U.S.C. 2041, 3710, 3711, 3720, 3733, and have been examined, and it has been The Catalog of Federal Domestic 3761) determined not to be a significant Assistance number and title for the regulatory action under Executive Order program affected by this document is ■ 3. Amend § 36.4501 by: 12866. VA’s impact analysis can be 64.114, Veterans Housing—Guaranteed ■ a. Adding in alphabetical order a found as a supporting document at and Insured Loans. definition for ‘‘Safe harbor qualified http://www.regulations.gov, usually mortgage.’’ List of Subjects in 38 CFR Part 36 ■ within 48 hours after the rulemaking b. Revising the definition ‘‘Vendee document is published. Additionally, a Condominiums, Flood insurance, loan.’’ ■ copy of the rulemaking and its impact Housing, Indians, Individuals with c. Removing the authority citation analysis are available on VA’s Web site disabilities, Loan programs—housing following the definition ‘‘Vendee loan.’’ The addition and revision read as at http://www.va.gov/orpm/, by and community development, Loan follows: following the link for ‘‘VA Regulations programs—Indians, Loan programs— Published from FY 2004 Through Fiscal veterans, Manufactured homes, § 36.4501 Definitions. Mortgage insurance, Reporting and Year to Date.’’ * * * * * recordkeeping requirements, Veterans. Unfunded Mandates Safe harbor qualified mortgage means a mortgage that meets the Ability-to- The Unfunded Mandates Reform Act Signing Authority Repay requirements of sections 129B of 1995 requires, at 2 U.S.C. 1532, that The Secretary of Veterans Affairs, or and 129C of the Truth-in-Lending Act agencies prepare an assessment of designee, approved this document and (TILA) regardless of whether the loan anticipated costs and benefits before authorized the undersigned to sign and might be considered a high cost issuing any rule that may result in the submit the document to the Office of the mortgage transaction as defined by expenditure by State, local, and tribal Federal Register for publication section 103bb of TILA (15 U.S.C. governments, in the aggregate, or by the electronically as an official document of 1602bb). private sector, of $100 million or more the Department of Veterans Affairs. Gina (adjusted annually for inflation) in any S. Farrisee, Deputy Chief of Staff, * * * * * one year. This final rule will have no Department of Veterans Affairs, Vendee loan means a loan made by such effect on State, local, and tribal approved this document on July 25, the Secretary for the purpose of governments, or on the private sector. 2017, for publication. financing the purchase of a property acquired pursuant to chapter 37 of title Paperwork Reduction Act Dated: July 26, 2017. 38, United States Code. The terms of a This final rule contains no provisions Michael Shores, vendee loan (e.g., amount of down constituting a collection of information Director, Regulation Policy & Management, payment; amortization term; whether to under the Paperwork Reduction Act of Office of the Secretary, Department of escrow taxes, insurance premiums, or Veterans Affairs. 1995 (44 U.S.C. 3501–3521). homeowners’ association dues; fees, For the reasons set out in the etc.) are negotiated between the Regulatory Flexibility Act preamble, VA amends 38 CFR part 36, Secretary and the borrower on a case-by- This final rule will affect individuals subpart D, as set forth below: case basis, subject to the requirements of and small businesses who choose to 38 U.S.C. 2041 or 3733. Terms related PART 36—LOAN GUARANTY obtain a vendee loan from VA to finance to allowable fees are also subject to the purchase of a VA-owned property ■ 1. The authority citation for part 36 §§ 36.4528 through 36.4530. rather than alternate financing. A party continues to read as follows: * * * * * who wants to purchase a VA-owned ■ Authority: 38 U.S.C. 501 and 3720. 4. Add §§ 36.4528, 36.4529, and property may choose whatever source of 36.4530 to read as follows: financing he wishes. Presumably the Subpart D—Direct Loans purchaser would select the least § 36.4528 Vendee loan origination fee. expensive financing option available, ■ 2. Amend § 36.4500 by: (a) In addition to the loan fee required which may or may not be a VA vendee ■ a. Revising paragraph (c)(2). pursuant to 38 U.S.C. 3729, if any, the loan. VA does not believe that this final ■ b. Removing the authority citation Secretary may, in connection with the rule will impose any significant following paragraph (c)(2). origination of a vendee loan, charge a economic impact for the following ■ c. Adding paragraph (e). borrower a loan origination fee not to reasons. Should the purchaser decide ■ d. Adding an authority citation at the exceed one-and-a-half percent of the that the VA vendee program was not the end of the section. loan amount. most economically advantageous to the The revision and additions read as (b) All or part of such fee may be paid purchaser then the purchaser would follows: in cash at loan closing or all or part may
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be included in the loan. The Secretary (3) Appraisal fees; Work (10P4C), Veterans Health will not increase the loan origination fee (4) Attorneys’ fees; Administration, Department of Veterans because the borrower chooses to include (5) Returned-check fees; Affairs, 810 Vermont Avenue NW., such fee in the loan amount financed. (6) Late fees; and Washington, DC 20420, (202) 461–6780. (c) In no event may the total fee (7) Any other fee the Secretary (This is not a toll-free number.) agreed upon between the Secretary and determines reasonably necessary for the SUPPLEMENTARY INFORMATION: On June 8, the borrower result in an amount that protection of the Secretary’s investment. 2017, at 82 FR 26592, VA amended will cause the loan to be designated as (d) Any fee included in the loan what had been the § 60.15 series of 38 a high-cost mortgage as defined in 15 instrument and permitted under CFR part 60 to eliminate use of VA U.S.C. 1602(bb) and 12 CFR part 1026. paragraph (c) of this section would be Form 10–0408A, found at 38 CFR 60.15. based on the amount customarily (Authority: 38 U.S.C. 2041, 3720, 3733) VA amended the section heading and charged in the industry for the heading for paragraph (b) in the § 60.15 § 36.4529 Vendee loan post-origination performance of the service in the series to reflect the June 8, 2017, fees. particular area, the status of the loan, amendment. At the time of the (a) The Secretary may charge a and the characteristics of the affected amendments, VA inadvertently failed to borrower the following reasonable fees, property. include the accompanying instruction per use, following origination, in (Authority: 38 U.S.C. 2041, 3720, 3733) connection with the servicing of any amending the section and paragraph vendee loan: § 36.4530 Vendee loan other fees. headings. The rule became effective on July 10, 2017; however, the Federal (1) Processing assumption fee for the (a) In addition to the fees that may be transfer of legal liability of repaying the Register could not revise the section charged pursuant to §§ 36.4528 and and corresponding paragraph (b) mortgage when the individual assuming 36.4529 and the statutory loan fee the loan is approved. Such fee will not heading without the missing charged pursuant to 38 U.S.C. 3729, the amendatory instruction. exceed $300, plus the actual cost of the borrower may be required to pay third- credit report. If the assumption is party fees for services performed in Consequently, the Electronic Code of denied, the fee will not exceed the connection with a vendee loan. Federal Regulations, published by the actual cost of the credit report; (b) Examples of the third party fees Government Printing Office, could not (2) Processing subordination fee, not that may be charged in connection with implement the change, noting an to exceed $350, to ensure that a a vendee loan include, but are not ‘‘inaccurate amendatory instruction’’ at modified vendee loan retains its first limited to: 38 CFR 60.15. With this notice, VA is lien position; (1) Termite inspections; amending § 60.15 to correct the (3) Processing partial release fee, not (2) Hazard insurance premiums; accompanying instruction amending the to exceed $350, to exclude collateral (3) Force-placed insurance premiums; section and paragraph headings in the from the mortgage contract once a (4) Courier fees; regulation. certain amount of the mortgage loan has (5) Tax certificates; and List of Subjects in 38 CFR Part 60 been paid; (6) Recorder’s fees. (4) Processing release of lien fee, not (Authority: 38 U.S.C. 2041, 3720, 3733) Health care, Housing, Reporting and to exceed $15, for the release of an recordkeeping requirements, Travel, obligor from a mortgage loan in [FR Doc. 2017–16106 Filed 8–1–17; 8:45 am] Veterans. connection with a division of real BILLING CODE 8320–01–P property; Correcting Amendments (5) Processing payoff statement fee, For the reasons discussed in the not to exceed $30, for a payoff statement DEPARTMENT OF VETERANS AFFAIRS preamble, VA is correcting 38 CFR part showing the itemized amount due to 60 with the following amendments: satisfy a mortgage loan as of a specific 38 CFR Part 60 date; PART 60—FISHER HOUSES AND (6) Processing payment by phone fee, RIN 2900–AP45 OTHER TEMPORARY HOUSING not to exceed $12, when a payment is made by phone and handled by a Fisher Houses and Other Temporary ■ 1. The authority citation for part 60 servicing representative; and Lodging; Correction continues to read as follows: (7) Processing payment by phone fee, AGENCY: Department of Veterans Affairs. not to exceed $10, when a payment is Authority: 38 U.S.C. 501, 1708. ACTION: Correcting amendments. made by phone and handled through an ■ 2. In § 60.15, revise the section interactive voice response system, SUMMARY: The Department of Veterans heading and the paragraph (b) heading without contacting a servicing Affairs is correcting a final rule that are revised to read as follows: representative. eliminated the use of VA Form 10– (b) The specific fees to be charged on § 60.15 Process for requesting Fisher 0408A when veterans receiving House or other temporary lodging. each account may be negotiated treatment or care seek temporary * * * * * between the Secretary and the borrower. lodging at a VA Fisher House for their The Secretary will review the maximum relatives, close friends, or caregivers (b) Processing requests. *** fees under paragraph (a) of this section that was published in the Federal * * * * * bi-annually to determine that they Register (82 FR 26592) on June 8, 2017. remain reasonable. Dated: July 27, 2017. (c) The Secretary may charge a DATES: The correction is effective Michael Shores, borrower reasonable fees established in August 2, 2017. Director, Regulation Policy & Management, the loan instrument, including but not FOR FURTHER INFORMATION CONTACT: Office of the Secretary, Department of limited to the following: Jennifer Koget, National Fisher House Veterans Affairs. (1) Property inspection fees; and Family Hospitality Program [FR Doc. 2017–16196 Filed 8–1–17; 8:45 am] (2) Property preservation fees; Manager, Care Management and Social BILLING CODE 8320–01–P
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ENVIRONMENTAL PROTECTION reference to ‘‘Utah’’ is corrected to read List of Subjects in 49 CFR Part 1002 AGENCY ‘‘Wyoming.’’ Administrative practice and Dated: July 14, 2017. procedure, Common carriers, and 40 CFR Part 62 Debra H. Thomas, Freedom of information. Acting Regional Administrator, Region 8. [EPA–R08–OAR–2017–0171; FRL–9965–11– Decided: July 27, 2017. [FR Doc. 2017–16278 Filed 8–1–17; 8:45 am] Region 8] By the Board, Board Members Begeman, BILLING CODE 6560–50–P Elliott, and Miller. Approval and Promulgation of State Marline Simeon, Plans for Designated Facilities and Clearance Clerk. Pollutants: Colorado, Montana, North SURFACE TRANSPORTATION BOARD For the reasons set forth in the Dakota, South Dakota, Utah, and 49 CFR Part 1002 preamble, title 49, chapter X, part 1002, Wyoming; Negative Declarations; of the Code of Federal Regulations is Correction [Docket No. EP 542 (Sub-No. 25)] amended as follows: AGENCY: Environmental Protection Regulations Governing Fees for PART 1002—FEES Agency (EPA). Services Performed in Connection ACTION: Final rule; correction. With Licensing and Related Services— ■ 1. The authority citation for part 1002 2017 Update continues to read as follows: SUMMARY: The Environmental Protection Agency (EPA) is correcting a direct final AGENCY: Surface Transportation Board. Authority: 5 U.S.C. 552(a)(4)(A) and 553; 31 U.S.C. 9701 and 49 U.S.C. 1321(a). Section ACTION: Final rules. rule that appeared in the Federal 1002.1(g)(11) is also issued under 5 U.S.C. Register on June 5, 2017. The document SUMMARY: 5514 and 31 U.S.C. 3717. approved a total of 20 negative The Board updates for 2017 declarations from all EPA Region 8 the fees that the public must pay to file ■ 2. Section 1002.1 is amended by states declaring an absence of existing certain cases and pleadings with the revising paragraphs (a) through (c), Board. Pursuant to this update, 83 of the designated facilities, of certain (f)(1), and (g)(6) to read as follows: Board’s 133 fees will be increased, incinerator classes, regulated under one while 50 fees will be maintained at their § 1002.1 Fees for records search, review, of the Emissions Guidelines for solid current levels. copying, certification, and related services. waste incineration units. An approved DATES: These rules are effective * * * * * and promulgated negative declaration (a) Certificate of the Records Officer, exempts a state from certain September 1, 2017. FOR FURTHER INFORMATION CONTACT: $19.00. implementation plan development (b) Services involved in examination requirements of Clean Air Act sections David T. Groves, (202) 245–0327, or Andrea Pope-Matheson (202) 245–0363. of tariffs or schedules for preparation of 111 and 129. An error in the proposed certified copies of tariffs or schedules or regulatory text amending 40 CFR part 62 [TDD for the hearing impaired: 1–800– 877–8339.] extracts therefrom at the rate of $43.00 is identified and corrected in this per hour. SUPPLEMENTARY INFORMATION: The action. (c) Services involved in checking Board’s regulations at 49 CFR 1002.3 DATES: This correction is effective on records to be certified to determine provide for an annual update of the August 4, 2017. authenticity, including clerical work, Board’s entire user-fee schedule. Fees etc. identical thereto, at the rate of FOR FURTHER INFORMATION CONTACT: are generally revised based on the cost $30.00 per hour. Gregory Lohrke, Air Program, U.S. study formula set forth at 49 CFR Environmental Protection Agency 1002.3(d), which looks to changes in * * * * * (EPA), Region 8, Mail Code 8P–AR, salary costs, publication costs, and (f) * * * 1595 Wynkoop Street, Denver, Colorado Board overhead cost factors. Applying (1) A fee of $76.00 per hour for 80202–1129, (303) 312–6396, that formula, 83 of the Board’s 133 fees professional staff time will be charged [email protected]. will be increased, while 50 will remain when it is required to fulfill a request SUPPLEMENTARY INFORMATION: In FR Doc. at their current levels. for ADP data. 2017–11576 appearing on page 25734 in Additional information is contained * * * * * the Federal Register of Monday, June 5, in the Board’s decision. To obtain a free (g) * * * 2017, the following correction is made: copy of the full decision, visit the (6) The search and review hourly fees Board’s Web site at http://www.stb.gov will be based upon employee grade § 62.12620 [Corrected] or call (202) 245–0245. [Assistance for levels in order to recoup the full, ■ 1. On page 25738, in the third column, the hearing impaired is available allowable direct costs attributable to in § 62.12620, in the sole paragraph through Federal Information Relay their performance of these functions. under this section, in the sixth line, the Services (FIRS): (800) 877–8339.] They are as follows:
Grade Rate Grade Rate
GS–1 ...... $12.78 GS–9 ...... $29.85 GS–2 ...... 13.92 GS–10 ...... 32.88 GS–3 ...... 15.69 GS–11 ...... 36.12 GS–4 ...... 17.61 GS–12 ...... 43.29 GS–5 ...... 19.70 GS–13 ...... 51.48 GS–6 ...... 21.96 GS–14 ...... 60.83 GS–7 ...... 24.41 GS–15 and over ...... 71.56 GS–8 ...... 27.03 ......
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* * * * * § 1002.2 Filing fees. ■ 3. In 1002.2, paragraph (f) is revised * * * * * to read as follows: (f) Schedule of filing fees.
Type of proceeding Fee
PART I: Non-Rail Applications or Proceedings to Enter Into a Particular Financial Transaction or Joint Arrangement: (1) An application for the pooling or division of traffic ...... $5,100. (2) (i) An application involving the purchase, lease, consolidation, merger, or acquisition of control of a motor carrier $2,300. of passengers under 49 U.S.C. 14303. (ii) A petition for exemption under 49 U.S.C. 13541 (other than a rulemaking) filed by a non-rail carrier not oth- $3,600. erwise covered. (iii) A petition to revoke an exemption filed under 49 U.S.C. 13541(d) ...... $3,000. (3) An application for approval of a non-rail rate association agreement. 49 U.S.C. 13703 ...... $31,800. (4) An application for approval of an amendment to a non-rail rate association agreement: (i) Significant amendment ...... $5,200. (ii) Minor amendment ...... $100. (5) An application for temporary authority to operate a motor carrier of passengers. 49 U.S.C. 14303(i) ...... $550. (6) A notice of exemption for transaction within a motor passenger corporate family that does not result in adverse $1,900. changes in service levels, significant operational changes, or a change in the competitive balance with motor pas- senger carriers outside the corporate family. (7)–(10) [Reserved] PART II: Rail Licensing Proceedings other than Abandonment or Discontinuance Proceedings: (11) (i) An application for a certificate authorizing the extension, acquisition, or operation of lines of railroad. 49 $8,300. U.S.C. 10901. (ii) Notice of exemption under 49 CFR ...... $2,000. 1150.31–1150.35 ...... (iii) Petition for exemption under 49 U.S.C. 10502 ...... $14,400. (12) (i) An application involving the construction of a rail line ...... $85,900. (ii) A notice of exemption involving construction of a rail line under 49 CFR 1150.36 ...... $2,000. (iii) A petition for exemption under 49 U.S.C. 10502 involving construction of a rail line ...... $85,900. (iv) A request for determination of a dispute involving a rail construction that crosses the line of another carrier $300. under 49 U.S.C. 10902(d). (13) A Feeder Line Development Program application filed under 49 U.S.C. 10907(b)(1)(A)(i) or 10907(b)(1)(A)(ii) ... $2,600. (14) (i) An application of a class II or class III carrier to acquire an extended or additional rail line under 49 U.S.C. $7,100. 10902. (ii) Notice of exemption under 49 CFR 1150.41–1150.45 ...... $2,000. (iii) Petition for exemption under 49 U.S.C. 10502 relating to an exemption from the provisions of 49 U.S.C. $7,600. 10902. (15) A notice of a modified certificate of public convenience and necessity under 49 CFR 1150.21–1150.24 ...... $1,900. (16) An application for a land-use-exemption permit for a facility existing as of October 16, 2008 under 49 U.S.C. $6,900. 10909. (17) An application for a land-use-exemption permit for a facility not existing as of October 16, 2008 under 49 $24,300. U.S.C. 10909. (18)–(20) [Reserved] PART III: Rail Abandonment or Discontinuance of Transportation Services Proceedings: (21) (i) An application for authority to abandon all or a portion of a line of railroad or discontinue operation thereof $25,500. filed by a railroad (except applications filed by Consolidated Rail Corporation pursuant to the Northeast Rail Serv- ice Act [Subtitle E of Title XI of Pub. L. 97–35], bankrupt railroads, or exempt abandonments). (ii) Notice of an exempt abandonment or discontinuance under 49 CFR 1152.50 ...... $4,100. (iii) A petition for exemption under 49 U.S.C. 10502 ...... $7,200. (22) An application for authority to abandon all or a portion of a line of a railroad or operation thereof filed by Con- $500. solidated Rail Corporation pursuant to Northeast Rail Service Act. (23) Abandonments filed by bankrupt railroads ...... $2,100. (24) A request for waiver of filing requirements for abandonment application proceedings ...... $2,000. (25) An offer of financial assistance under 49 U.S.C. 10904 relating to the purchase of or subsidy for a rail line pro- $1,800. posed for abandonment. (26) A request to set terms and conditions for the sale of or subsidy for a rail line proposed to be abandoned ...... $26,100. (27) (i) A request for a trail use condition in an abandonment proceeding under 16 U.S.C.1247(d) ...... $300. (ii) A request to extend the period to negotiate a trail use agreement ...... $500. (28)–(35) [Reserved] PART IV: Rail Applications to Enter Into a Particular Financial Transaction or Joint Arrangement: (36) An application for use of terminal facilities or other applications under 49 U.S.C. 11102 ...... $21,800. (37) An application for the pooling or division of traffic. 49 U.S.C. 11322 ...... $11,700. (38) An application for two or more carriers to consolidate or merge their properties or franchises (or a part thereof) into one corporation for ownership, management, and operation of the properties previously in separate owner- ship. 49 U.S.C. 11324: (i) Major transaction ...... $1,716,200. (ii) Significant transaction ...... $343,200. (iii) Minor transaction ...... $8,400. (iv) Notice of an exempt transaction under 49 CFR 1180.2(d) ...... $1,900. (v) Responsive application ...... $8,400. (vi) Petition for exemption under 49 U.S.C. 10502 ...... $10,700. (vii) A request for waiver or clarification of regulations filed in a major financial proceeding as defined at 49 $6,300. CFR 1180.2(a).
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Type of proceeding Fee
(39) An application of a non-carrier to acquire control of two or more carriers through ownership of stock or other- wise. 49 U.S.C. 11324: (i) Major transaction ...... $1,716,200. (ii) Significant transaction ...... $343,200. (iii) Minor transaction ...... $8,400. (iv) A notice of an exempt transaction under 49 CFR 1180.2(d) ...... $1,400. (v) Responsive application ...... $8,400. (vi) Petition for exemption under 49 U.S.C. 10502 ...... $10,700. (vii) A request for waiver or clarification of regulations filed in a major financial proceeding as defined at 49 $6,300. CFR 1180.2(a). (40) An application to acquire trackage rights over, joint ownership in, or joint use of any railroad lines owned and operated by any other carrier and terminals incidental thereto. 49 U.S.C. 11324: (i) Major transaction ...... $1,716,200. (ii) Significant transaction ...... $343,200. (iii) Minor transaction ...... $8,400. (iv) Notice of an exempt transaction under 49 CFR 1180.2(d) ...... $1,300. (v) Responsive application ...... $8,400. (vi) Petition for exemption under 49 U.S.C. 10502 ...... $10,700. (vii) A request for waiver or clarification of regulations filed in a major financial proceeding as defined at 49 $6,300. CFR 1180.2(a). (41) An application of a carrier or carriers to purchase, lease, or contract to operate the properties of another, or to acquire control of another by purchase of stock or otherwise. 49 U.S.C. 11324: (i) Major transaction ...... $1,716,200. (ii) Significant transaction ...... $343,200. (iii) Minor transaction ...... $8,400. (iv) Notice of an exempt transaction under 49 CFR 1180.2(d) ...... $1,500. (v) Responsive application ...... $8,400. (vi) Petition for exemption under 49 U.S.C. 10502 ...... $7,600. (vii) A request for waiver or clarification of regulations filed in a major financial proceeding as defined at 49 $6,300. CFR 1180.2(a). (42) Notice of a joint project involving relocation of a rail line under 49 CFR 1180.2(d)(5) ...... $2,700. (43) An application for approval of a rail rate association agreement. 49 U.S.C. 10706 ...... $80,300. (44) An application for approval of an amendment to a rail rate association agreement. 49 U.S.C. 10706: (i) Significant amendment ...... $14,800. (ii) Minor amendment ...... $100. (45) An application for authority to hold a position as officer or director under 49 U.S.C. 11328 ...... $900. (46) A petition for exemption under 49 U.S.C. 10502 (other than a rulemaking) filed by rail carrier not otherwise cov- $9,200. ered. (47) National Railroad Passenger Corporation (Amtrak) conveyance proceeding under 45 U.S.C. 562 ...... $300. (48) National Railroad Passenger Corporation (Amtrak) compensation proceeding under Section 402(a) of the Rail $300. Passenger Service Act. (49)–(55) [Reserved] PART V: Formal Proceedings: (56) A formal complaint alleging unlawful rates or practices of carriers: (i) A formal complaint filed under the coal rate guidelines (Stand-Alone Cost Methodology) alleging unlawful $350. rates and/or practices of rail carriers under 49 U.S.C. 10704(c)(1). (ii) A formal complaint involving rail maximum rates filed under the Simplified-SAC methodology ...... $350. (iii) A formal complaint involving rail maximum rates filed under the Three Benchmark methodology ...... $150. (iv) All other formal complaints (except competitive access complaints) ...... $350. (v) Competitive access complaints ...... $150. (vi) A request for an order compelling a rail carrier to establish a common carrier rate ...... $300. (57) A complaint seeking or a petition requesting institution of an investigation seeking the prescription or division of $10,200. joint rates or charges. 49 U.S.C. 10705. (58) A petition for declaratory order: (i) A petition for declaratory order involving a dispute over an existing rate or practice which is comparable to a $1,000. complaint proceeding. (ii) All other petitions for declaratory order ...... $1,400. (59) An application for shipper antitrust immunity. 49 U.S.C. 10706(a)(5)(A) ...... $8,000. (60) Labor arbitration proceedings ...... $300. (61) (i) An appeal of a Surface Transportation Board decision on the merits or petition to revoke an exemption pur- $300. suant to 49 U.S.C. 10502(d). (ii) An appeal of a Surface Transportation Board decision on procedural matters except discovery rulings ...... $400. (62) Motor carrier undercharge proceedings ...... $300. (63) (i) Expedited relief for service inadequacies: A request for expedited relief under 49 U.S.C. 11123 and 49 CFR $300. part 1146 for service emergency. (ii) Expedited relief for service inadequacies: A request for temporary relief under 49 U.S.C. 10705 and 11102, $300. and 49 CFR part 1147 for service inadequacy. (64) A request for waiver or clarification of regulations except one filed in an abandonment or discontinuance pro- $650. ceeding, or in a major financial proceeding as defined at 49 CFR 1180.2(a). (65)–(75) [Reserved] PART VI: Informal Proceedings: (76) An application for authority to establish released value rates or ratings for motor carriers and freight forwarders $1,400. of household goods under 49 U.S.C. 14706. (77) An application for special permission for short notice or the waiver of other tariff publishing requirements ...... $150.
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Type of proceeding Fee
(78) The filing of tariffs, including supplements, or contract summaries ...... $1 per page. ($28 min. charge.) (79) Special docket applications from rail and water carriers: (i) Applications involving $25,000 or less ...... $75. (ii) Applications involving over $25,000 ...... $150. (80) Informal complaint about rail rate applications ...... $700. (81) Tariff reconciliation petitions from motor common carriers: (i) Petitions involving $25,000 or less ...... $75. (ii) Petitions involving over $25,000 ...... $150. (82) Request for a determination of the applicability or reasonableness of motor carrier rates under 49 U.S.C. $250. 13710(a)(2) and (3). (83) Filing of documents for recordation. 49 U.S.C. 11301 and 49 CFR 1177.3(c) ...... $47 per document. (84) Informal opinions about rate applications (all modes) ...... $300. (85) A railroad accounting interpretation ...... $1,300. (86) (i) A request for an informal opinion not otherwise covered ...... $1,700. (ii) A proposal to use on a voting trust agreement pursuant to 49 CFR 1013 and 49 CFR 1180.4(b)(4)(iv) in $5,900. connection with a major control proceeding as defined at 49 CFR 1180.2(a). (iii) A request for an informal opinion on a voting trust agreement pursuant to 49 CFR 1013.3(a) not otherwise $600. covered. (87) Arbitration of Certain Disputes Subject to the Statutory Jurisdiction of the Surface Transportation Board under 49 CFR 1108: (i) Complaint ...... $75. (ii) Answer (per defendant), Unless Declining to Submit to Any Arbitration ...... $75. (iii) Third Party Complaint ...... $75. (iv) Third Party Answer (per defendant), Unless Declining to Submit to Any Arbitration ...... $75. (v) Appeals of Arbitration Decisions or Petitions to Modify or Vacate an Arbitration Award ...... $150. (88) Basic fee for STB adjudicatory services not otherwise covered ...... $300. (89)–(95) [Reserved] PART VII: Services: (96) Messenger delivery of decision to a railroad carrier’s Washington, DC, agent ...... $37 per delivery. (97) Request for service or pleading list for proceedings ...... $28 per list. (98) Processing the paperwork related to a request for the Carload Waybill Sample to be used in an STB or State proceeding that: (i) Annual request does not require a Federal Register notice: (A) Set cost portion ...... $150. (B) Sliding cost portion ...... $54 per party. (ii) Annual request does require a FR notice. (A) Set cost portion ...... $450. (B) Sliding cost portion ...... $54 per party. (iii) Quarterly request does not require a FR notice: (A) Set cost portion ...... $46. (B) Sliding cost portion ...... $13 per party. (iv) Quarterly request does require a FR notice: (A) Set cost portion ...... $230. (B) Sliding cost portion ...... $13 per party. (v) Monthly request does not require a FR notice: (A) Set cost portion ...... $15. (B) Sliding cost portion ...... $4 per party. (vi) Monthly request does require a FR notice: (A) Set cost portion ...... $180. (B) Sliding cost portion ...... $4 per party. (99) (i) Application fee for the STB’s Practitioners’ Exam ...... $200. (ii) Practitioners’ Exam Information Package ...... $25. (100) Carload Waybill Sample data: (i) Requests for Public Use File for all years prior to the most current year Carload Waybill Sample data avail- $250 per year. able, provided on CD–R. (ii) Specialized programming for Waybill requests to the Board ...... $119 per hour.
* * * * * [FR Doc. 2017–16280 Filed 8–1–17; 8:45 am] BILLING CODE 4915–01–P
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DEPARTMENT OF COMMERCE Management Plan for Groundfish of the Classification Bering Sea and Aleutian Islands This action responds to the best National Oceanic and Atmospheric Management Area (FMP) prepared by available information recently obtained Administration the North Pacific Fishery Management from the fishery. The Assistant Council under authority of the Administrator for Fisheries, NOAA 50 CFR Part 679 Magnuson-Stevens Fishery (AA), finds good cause to waive the Conservation and Management Act. [Docket No. 161020985–7181–02] requirement to provide prior notice and Regulations governing fishing by U.S. opportunity for public comment RIN 0648–XF576 vessels in accordance with the FMP pursuant to the authority set forth at 5 appear at subpart H of 50 CFR part 600 Fisheries of the Exclusive Economic U.S.C. 553(b)(B) as such requirement is and 50 CFR part 679. Zone Off Alaska; Pacific Cod in the impracticable and contrary to the public Western Aleutian Islands District of the The Western Aleutian Islands district interest. This requirement is Bering Sea and Aleutian Islands Pacific cod harvest limit of the 2017 impracticable and contrary to the public Management Area TAC in the Aleutian Islands subarea of interest as it would prevent NMFS from the BSAI is 4,018 metric tons (mt) as responding to the most recent fisheries AGENCY: National Marine Fisheries established by the final 2017 and 2018 data in a timely fashion and would Service (NMFS), National Oceanic and harvest specifications for groundfish in delay the directed fishing closure of Atmospheric Administration (NOAA), the BSAI (82 FR 11826, February 27, Pacific cod in the Western Aleutian Commerce. 2017). In accordance with Islands district of the BSAI. NMFS was ACTION: Temporary rule; closure. § 679.20(d)(1)(i), the Administrator, unable to publish a notice providing Alaska Region, NMFS, has determined time for public comment because the SUMMARY: NMFS is prohibiting directed that the Area 543 Pacific cod harvest most recent, relevant data only became fishing for Pacific cod, including for the limit of the 2017 Pacific cod TAC in the available as of July 27, 2017. Community Development Quota Aleutian Islands subarea of the BSAI program (CDQ), in the Western Aleutian The AA also finds good cause to will soon be reached. Therefore, the waive the 30-day delay in the effective Islands district of the Bering Sea and Regional Administrator is establishing a Aleutian Islands management area date of this action under 5 U.S.C. directed fishing allowance of 2,818 mt, 553(d)(3). This finding is based upon (BSAI). This action is necessary to and is setting aside the remaining 1,200 prevent exceeding the Western Aleutian the reasons provided above for waiver of mt as incidental catch in directed prior notice and opportunity for public Islands district Pacific cod harvest limit fishing for other species. In accordance of the 2017 total allowable catch (TAC) comment. with § 679.20(d)(1)(iii), the Regional This action is required by § 679.20 in the Aleutian Islands subarea of the Administrator finds that this directed BSAI. and is exempt from review under fishing allowance has been reached. Executive Order 12866. DATES: Effective 1200 hrs, Alaska local Consequently, NMFS is prohibiting time (A.l.t.), July 29, 2017, through 2400 directed fishing for Pacific cod in the Authority: 16 U.S.C. 1801 et seq. hrs, A.l.t., December 31, 2017. Western Aleutian Islands district of the Dated: July 27, 2017. FOR FURTHER INFORMATION CONTACT: Josh BSAI. Jennifer M. Wallace, Keaton, 907–586–7228. After the effective date of this closure Acting Director, Office of Sustainable SUPPLEMENTARY INFORMATION: NMFS the maximum retainable amounts at Fisheries, National Marine Fisheries Service. manages the groundfish fishery in the § 679.20(e) and (f) apply at any time [FR Doc. 2017–16187 Filed 7–28–17; 8:45 am] BSAI according to the Fishery during a trip. BILLING CODE 3510–22–P
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Proposed Rules Federal Register Vol. 82, No. 147
Wednesday, August 2, 2017
This section of the FEDERAL REGISTER • Mail: U.S. Department of consider all comments received by the contains notices to the public of the proposed Transportation, Docket Operations, M– closing date and may amend this issuance of rules and regulations. The 30, West Building Ground Floor, Room proposed AD based on those comments. purpose of these notices is to give interested W12–140, 1200 New Jersey Avenue SE., We will post all comments we persons an opportunity to participate in the Washington, DC 20590. receive, without change, to http:// rule making prior to the adoption of the final • rules. Hand Delivery: Deliver to Mail www.regulations.gov, including any address above between 9 a.m. and 5 personal information you provide. We p.m., Monday through Friday, except will also post a report summarizing each DEPARTMENT OF TRANSPORTATION Federal holidays. substantive verbal contact we receive For service information identified in about this proposed AD. Federal Aviation Administration this NPRM, contact Airbus SAS, Airworthiness Office—EAW, 1 Rond Discussion 14 CFR Part 39 Point Maurice Bellonte, 31707 Blagnac On October 25, 2012, we issued AD Cedex, France; telephone: +33 5 61 93 2012–21–04, Amendment 39–17220 (77 [Docket No. FAA–2017–0714; Directorate 36 96; fax: +33 5 61 93 44 51; email: FR 64701, October 23, 2012) (‘‘AD Identifier 2017–NM–042–AD] [email protected]; 2012–21–04’’), for all Airbus Model RIN 2120–AA64 Internet: http://www.airbus.com. You A300 series airplanes; Model A310 may view this referenced service series airplanes; and Model A300 B4– Airworthiness Directives; Airbus information at the FAA, Transport 600, B4–600R, and Model A300–600 Airplanes Airplane Directorate, 1601 Lind Avenue series airplanes. AD 2012–21–04 was SW., Renton, WA. For information on prompted by reports of cracked fuel AGENCY: Federal Aviation the availability of this material at the pump canister hoods located in fuel Administration (FAA), DOT. FAA, call 425–227–1221. tanks. AD 2012–21–04 requires ACTION: Notice of proposed rulemaking repetitive inspections for, and Examining the AD Docket (NPRM). replacement of, any cracked hood You may examine the AD docket on halves of fuel pump canisters. We SUMMARY: We propose to supersede the Internet at http:// Airworthiness Directive (AD) 2012–21– issued AD 2012–21–04 to prevent any www.regulations.gov by searching for detached canister hood fragments/debris 04, which applies to all Airbus Model and locating Docket No. FAA–2017– A300 series airplanes; Model A310 from being ingested into the fuel feed 0714; or in person at the Docket system, and becoming a potential source series airplanes; and Model A300 B4– Management Facility between 9 a.m. 600, B4–600R, and F4–600R series of ignition with consequent fire or and 5 p.m., Monday through Friday, explosion. airplanes, and Model A300 C4–605R except Federal holidays. The AD docket Variant F airplanes (collectively called Since we issued AD 2012–21–04 contains this proposed AD, the (which corresponds to European Model A300–600 series airplanes). AD regulatory evaluation, any comments 2012–21–04 currently requires Aviation Safety Agency (EASA) AD received, and other information. The 2011–0124, dated June 30, 2011), EASA repetitive inspections for, and street address for the Docket Operations replacement of, any cracked hood has issued EASA AD 2011–0124R1, office (telephone: 800–647–5527) is in dated September 5, 2014. That EASA halves of fuel pump canisters. Since we the ADDRESSES section. Comments will issued AD 2012–21–04, we allowed AD introduced optional terminating be available in the AD docket shortly action for the wing inner and center fuel inspections of the outer tank and trim after receipt. tank fuel pump canister hood halves to tanks, and cancelled the repetitive FOR FURTHER INFORMATION CONTACT: be terminated. However, we have Dan inspections of the fuel pump canister received reports of new in-service Rodina, Aerospace Engineer, hood halves in outer wing and trim events of outer tank fuel pump canister International Branch, ANM–116, tanks, for which no cracks had been hood cracking. This proposed AD would Transport Airplane Directorate, FAA, reported following the initial retain the requirements of AD 2012–21– 1601 Lind Avenue SW., Renton, WA inspection. The FAA provided a global 04, reinstate the terminated inspections, 98057–3356; telephone: 425–227–2125; alternative method of compliance and add optional terminating actions. fax: 425–227–1149. (AMOC) to AD 2012–21–04 providing We are proposing this AD to address the SUPPLEMENTARY INFORMATION: relief to operators from conducting the unsafe condition on these products. inspection for the fuel pump canister Comments Invited hoods in the outer wing and trim tanks. DATES: We must receive comments on We invite you to send any written Since the FAA provided the global this proposed AD by September 18, relevant data, views, or arguments about AMOC, we have received reports of new 2017. this proposed AD. Send your comments in-service events of outer tank fuel ADDRESSES: You may send comments, to an address listed under the pump canister hood cracking. using the procedures found in 14 CFR ADDRESSES section. Include ‘‘Docket No. EASA has issued AD 2017–0051, 11.43 and 11.45, by any of the following FAA–2017–0714; Directorate Identifier dated March 23, 2017 (referred to after methods: 2017–NM–042–AD’’ at the beginning of this as the Mandatory Continuing • Federal eRulemaking Portal: Go to your comments. We specifically invite Airworthiness Information, or ‘‘the http://www.regulations.gov. Follow the comments on the overall regulatory, MCAI’’), to correct an unsafe condition instructions for submitting comments. economic, environmental, and energy for all Airbus Model A300 series • Fax: 202–493–2251. aspects of this proposed AD. We will airplanes; Model A310 series airplanes;
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and Model A300–600 series airplanes. • Airbus Service Bulletin A300–28– Costs of Compliance The MCAI states: 0092, Revision 01, dated August 29, We estimate that this proposed AD Reports were received of finding cracked 2014; Airbus Service Bulletin A300–28– affects 168 airplanes of U.S. registry. fuel pump canister hoods located in fuel 6110, Revision 01, dated August 29, The actions required by AD 2012–21– tanks on in-service aeroplanes. Initial 2014; and Airbus Service Bulletin 04, and retained in this proposed AD analyses, laboratory testing and examinations A310–28–2175, Revision 01, dated take about 12 work-hours per product, suggested that vibration-induced fatigue August 29, 2014. This service at an average labor rate of $85 per work- could have caused these cracks. However, information describes procedures for initial data could not exclude some other hour. Based on these figures, the replacement of the hood halves of the estimated cost of the actions that are potential contributing factors. fuel pump canisters with newer design This condition, if not detected and required by AD 2012–21–04 is $1,020 corrected, could lead to detached canister hood halves for the wing-inner tank and per product. hood fragments or debris being ingested into the center tank fuel pumps. These We also estimate that it would take the fuel feed system. In addition, metallic documents are distinct since they apply about 9 work-hours per product to debris inside the fuel tank could result in a to different airplane models. comply with the new basic potential source of fuel vapour ignition, • Airbus Service Bulletin A300–28– requirements of this proposed AD, at an possibly resulting in a fire or fuel tank 0094, Revision 00, dated January 9, explosion and consequent loss of the average labor rate of $85 per work-hour. aeroplane. 2017. This service information describes Based on these figures, we estimate the To address this potential unsafe condition, procedures for replacement of the hood cost of the new basic requirements of EASA issued AD 2011–0124 (later revised) halves of the fuel pump canisters with this proposed AD on U.S. operators to [FAA AD 2012–21–04 corresponds to EASA newer design hood halves for the wing- be $128,520, or $765 per product. AD 2011–0124] to require repetitive outer tank. In addition, we estimate that the inspections of the canister hood halves • Airbus Mandatory Service Bulletin optional terminating actions would take installed on all fuel pump canisters and, if A300–28–6106, Revision 03, dated about 1 work-hour and require parts any damage was found, replacement. EASA costing $255, for a cost of $340 per AD 2011–0124R1 introduced an optional December 16, 2016; and Airbus terminating action for the wing inner and Mandatory Service Bulletin A310–28– product. We have no way of centre fuel tanks, and cancelled the repetitive 2173, Revision 03, dated December 16, determining the number of aircraft that inspections of the fuel pump canister hoods 2016. This service information describes might need these actions. in outer wing and trim tanks, for which no procedures for repetitive detailed Authority for This Rulemaking cracks had been reported following the initial inspections of all fuel pump locations inspection. (center, wing-inner, wing-outer, and Title 49 of the United States Code Since that [EASA] AD was issued, new in trim tank), and replacing any cracked specifies the FAA’s authority to issue service events of outer tank fuel pump rules on aviation safety. Subtitle I, canister hood cracking have been reported. hood halves of fuel pump canisters. These documents are distinct since they section 106, describes the authority of Consequently, the canister hoods of the outer the FAA Administrator. ‘‘Subtitle VII: tank fuel pumps and trim tank fuel pumps apply to different airplane models. Aviation Programs,’’ describes in more will need to be inspected. • Airbus Service Bulletin A300–28– detail the scope of the Agency’s For the reasons described above, this 6114, Revision 00, dated January 9, authority. [EASA] AD retains the requirements of EASA 2017; and Airbus Service Bulletin We are issuing this rulemaking under AD 2011–0124R1, which is superseded, A310–28–2178, Revision 00, January 9, retaining the repetitive inspections of fuel the authority described in ‘‘Subtitle VII, 2017. This service information describes pump canister hoods in wing inner and Part A, Subpart III, Section 44701: procedures for replacement of the hood centre tanks, and reintroduces repetitive General requirements.’’ Under that halves of the fuel pump canisters with detailed inspections (DET) for outer tank and section, Congress charges the FAA with newer design hood halves for the wing- trim tank fuel pump canister hoods. This promoting safe flight of civil aircraft in [EASA] AD also retains the existing optional outer tank and the trim tank fuel pumps. air commerce by prescribing regulations terminating action for the repetitive DET of These documents are distinct since they for practices, methods, and procedures wing inner and centre tank fuel pump apply to different airplane models. canister hoods, and introduces a new the Administrator finds necessary for optional terminating action for the repetitive This service information is reasonably safety in air commerce. This regulation DET of the outer and trim tank fuel pump available because the interested parties is within the scope of that authority canister hoods required by this [EASA] AD. have access to it through their normal because it addresses an unsafe condition You may examine the MCAI in the course of business or by the means that is likely to exist or develop on AD docket on the Internet at http:// identified in the ADDRESSES section. products identified in this rulemaking www.regulations.gov by searching for FAA’s Determination and Requirements action. and locating Docket No. FAA–2017– of This Proposed AD Regulatory Findings 0714. This product has been approved by We determined that this proposed AD Related Service Information Under 1 the aviation authority of another would not have federalism implications CFR Part 51 country, and is approved for operation under Executive Order 13132. This Airbus has issued the following in the United States. Pursuant to our proposed AD would not have a service information. bilateral agreement with the State of substantial direct effect on the States, on • Airbus Mandatory Service Bulletin Design Authority, we have been notified the relationship between the national A300–28–0089, Revision 03, dated of the unsafe condition described in the Government and the States, or on the December 16, 2016. This service MCAI and service information distribution of power and information describes procedures for referenced above. We are proposing this responsibilities among the various repetitive detailed inspections of all fuel AD because we evaluated all pertinent levels of government. pump locations (center, wing-inner, and information and determined an unsafe For the reasons discussed above, I wing-outer tank), and replacing any condition exists and is likely to exist or certify this proposed regulation: cracked hood halves of fuel pump develop on other products of these same 1. Is not a ‘‘significant regulatory canisters. type designs. action’’ under Executive Order 12866;
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2. Is not a ‘‘significant rule’’ under the are issuing this AD to prevent any detached (i) New Repetitive Inspections and DOT Regulatory Policies and Procedures canister hood fragments/debris from being Replacement of the Outer Tank and Trim (44 FR 11034, February 26, 1979); ingested into the fuel feed system, and Tank Fuel Pump Canister Hood Halves 3. Will not affect intrastate aviation in becoming a potential source of ignition with Within 30 months after the effective date Alaska; and consequent fire or explosion. of this AD, do a detailed inspection for cracking of the outer tank and trim tank, as 4. Will not have a significant (f) Compliance economic impact, positive or negative, applicable, fuel pump canister hood halves Comply with this AD within the installed on all fuel pump canisters having on a substantial number of small entities part numbers (P/N) 2052C11, 2052C12, and under the criteria of the Regulatory compliance times specified, unless already done. C93R51–601, in accordance with the Flexibility Act. Accomplishment Instructions of the service (g) Retained Initial Inspection and List of Subjects in 14 CFR Part 39 bulletin specified in paragraph (i)(1), (i)(2), or Replacement, With Revised Requirements (i)(3) of this AD, as applicable. Repeat the Air transportation, Aircraft, Aviation and Service Information inspection thereafter at intervals not to safety, Incorporation by reference, This paragraph restates the requirements of exceed 30 months. If any crack is found on any fuel pump canister hood half during any Safety. paragraph (g) of AD 2012–21–04, with inspection, before further flight, replace the The Proposed Amendment revised service information. Within 30 fuel pump canister hood half, in accordance months after November 27, 2012 (the Accordingly, under the authority with the Accomplishment Instructions of the effective date of AD 2012–21–04), do a service bulletin specified in paragraph (i)(1), delegated to me by the Administrator, detailed inspection for cracking of the fuel (i)(2), or (i)(3) of this AD, as applicable. the FAA proposes to amend 14 CFR part pump canister hood halves installed on all (1) For Model A300 series airplanes: 39 as follows: wing center and inner tank fuel pump Airbus Service Bulletin A300–28–0089, canisters having part numbers (P/N) Revision 03, dated December 16, 2016. PART 39—AIRWORTHINESS 2052C11, 2052C12, and C93R51–601, in (2) For Model A300–600 series airplanes: DIRECTIVES accordance with the Accomplishment Airbus Service Bulletin A300–28–6106, Instructions of the service bulletin specified Revision 03, dated December 16, 2016. ■ (3) For Model A310 series airplanes: 1. The authority citation for part 39 in paragraph (g)(1), (g)(2), or (g)(3) of this AD, continues to read as follows: Airbus Service Bulletin A310–28–2173, as applicable. If any crack is found on any Revision 03, dated December 16, 2016. Authority: 49 U.S.C. 106(g), 40113, 44701. fuel pump canister hood half during any inspection, before further flight, replace the (j) New Optional Terminating Actions § 39.13 [Amended] fuel pump canister hood half, in accordance Replacement of the fuel pump canister ■ 2. The FAA amends § 39.13 by with the Accomplishment Instructions of the hood halves installed on all fuel pump removing Airworthiness Directive (AD) service bulletin specified in paragraph (g)(1), canisters having P/Ns 2052C11, 2052C12, 2012–21–04, Amendment 39–17220 (77 (g)(2), or (g)(3) of this AD, as applicable. and C93R51–601, constitutes terminating FR 64701, October 23, 2012), and (1) For Model A300 series airplanes: action for the inspections required by adding the following new AD: Airbus Mandatory Service Bulletin A300–28– paragraphs (g) and (h) of this AD. The replacement of the fuel pump canister hood 0089, Revision 01, including Inspection Airbus: Docket No. FAA–2017–0714; halves must be done in accordance with the Directorate Identifier 2017–NM–042–AD. Findings—Reporting Sheet, dated April 15, Accomplishment Instructions of the service 2011; or Airbus Service Bulletin A300–28– information specified in paragraph (j)(1), (a) Comments Due Date 0089, Revision 03, dated December 16, 2016. (j)(2), or (j)(3) of this AD, as applicable. We must receive comments by September As of the effective date of this AD, only use (1) For Model A300 series airplanes: 18, 2017. Airbus Service Bulletin A300–28–0089, Airbus Service Bulletin A300–28–0092, Revision 03, dated December 16, 2016. Revision 01, dated August 29, 2014 (for wing (b) Affected ADs (2) For Model A300–600 series airplanes: center and inner tank fuel pump canister This AD replaces AD 2012–21–04, Airbus Mandatory Service Bulletin A300–28– hood halves); and Airbus Service Bulletin Amendment 39–17220 (77 FR 64701, October 6106, Revision 01, including Inspection A300–28–0094, Revision 00, dated January 9, 23, 2012) (‘‘AD 2012–21–04’’). Findings—Reporting Sheet, dated April 15, 2017 (for outer tank fuel pump canister hood halves). (c) Applicability 2011; or Airbus Service Bulletin A300–28– (2) For Model A300–600 series airplanes: This AD applies to the airplanes identified 6106, Revision 03, dated December 16, 2016. Airbus Service Bulletin A300–28–6110, in paragraphs (c)(1), (c)(2), and (c)(3) of this As of the effective date of this AD, only use Revision 01, dated August 29, 2014 (for wing AD, certificated in any category, all Airbus Service Bulletin A300–28–6106, center and inner tank fuel pump canister certificated models, all manufacturer serial Revision 03, dated December 16, 2016. hood halves); and Airbus Service Bulletin numbers. (3) For Model A310 series airplanes: A300–28–6114, Revision 00, dated January 9, (1) Airbus Model A300 B2–1A, B2–1C, Airbus Mandatory Service Bulletin A310–28– 2017 (for outer tank and trim tank fuel pump B2K–3C, B2–203, B4–2C, B4–103, and B4– 2173, Revision 01, including Inspection canister hood halves). 203 airplanes. Findings—Reporting Sheet, dated April 15, (3) For Model A310 series airplanes: (2) Airbus Model A310–203, –204, –221, 2011; or Airbus Service Bulletin A310–28– Airbus Service Bulletin A310–28–2175, –222, –304, –322, –324, and –325 airplanes. 2173, Revision 03, dated December 16, 2016. Revision 01, dated August 29, 2014 (for wing (3) Airbus Model A300 B4–601, B4–603, As of the effective date of this AD, only use center and inner tank fuel pump canister B4–620, and B4–622 airplanes, Model A300 Airbus Service Bulletin A310–28–2173, hood halves); and Airbus Service Bulletin B4–605R and B4–622R airplanes, Model Revision 03, dated December 16, 2016. A310–28–2178, Revision 00, January 9, 2017 A300 F4–605R and F4–622R airplanes, and (for outer tank and trim tank fuel pump Model A300 C4–605R Variant F airplanes. (h) Retained Repetitive Inspections, With No canister hood halves). Changes (d) Subject (k) Credit for Previous Actions This paragraph restates the requirements of Air Transport Association (ATA) of (1) This paragraph provides credit for the paragraph (h) of AD 2012–21–04, with no America Code 28, Fuel. actions required by paragraph (g) of this AD, changes. Within 30 months after if those actions were performed before the (e) Reason accomplishing the actions specified in effective date of this AD using the service This AD was prompted by reports of paragraph (g) of this AD, and thereafter at information specified in paragraph (k)(1)(i), cracked fuel pump canister hoods located in intervals not to exceed 30 months, repeat the (k)(1)(ii), or (k)(1)(iii) of this AD. fuel tanks and new in-service events of outer detailed inspection specified in paragraph (g) (i) Airbus Service Bulletin A300–28–0089, tank fuel pump canister hood cracking. We of this AD. dated January 13, 2011; or Airbus Service
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Bulletin A300–28–0089, Revision 02, dated the DOA, the approval must include the AD to correct the unsafe condition on April 25, 2014. DOA-authorized signature. these products. (ii) Airbus Service Bulletin A300–28–6106, DATES: We must receive comments on dated January 13, 2011; or Airbus Service (m) Related Information Bulletin A300–28–6106, Revision 02, dated (1) Refer to Mandatory Continuing this proposed AD by September 18, April 25, 2014. Airworthiness Information (MCAI) EASA AD 2017. (iii) Airbus Service Bulletin A310–28– 2017–0051, dated March 23, 2017, for related ADDRESSES: You may send comments, 2173, dated January 13, 2011; or Airbus information. This MCAI may be found in the using the procedures found in 14 CFR Mandatory Service Bulletin A310–28–2173, AD docket on the Internet at http:// 11.43 and 11.45, by any of the following Revision 02, dated April 25, 2014. www.regulations.gov by searching for and methods: (2) This paragraph provides credit for the locating Docket No. FAA–2017–0714. • actions required by paragraph (h) of this AD, (2) For more information about this AD, Federal eRulemaking Portal: Go to if those actions were performed before the contact Dan Rodina, Aerospace Engineer, http://www.regulations.gov. Follow the effective date of this AD using the service International Branch, ANM–116, Transport instructions for submitting comments. information specified in paragraph (k)(2)(i), Airplane Directorate, FAA, 1601 Lind • Fax: 202–493–2251. (k)(2)(ii), or (k)(2)(iii) of this AD. Avenue SW., Renton, WA 98057–3356; • Mail: U.S. Department of (i) Airbus Service Bulletin A300–28–0089, telephone: 425–227–2125; fax: 425–227– Transportation, Docket Operations, M– dated January 13, 2011; Airbus Service 1149. 30, West Building Ground Floor, Room Bulletin A300–28–0089, Revision 01, dated (3) For service information identified in W12–140, 1200 New Jersey Avenue SE., April 15, 2011; or Airbus Service Bulletin this AD, contact Airbus SAS, Airworthiness Washington, DC 20590. A300–28–0089, Revision 02, dated April 25, Office—EAW, 1 Rond Point Maurice • Hand Delivery: Deliver to Mail 2014. Bellonte, 31707 Blagnac Cedex, France; address above between 9 a.m. and 5 (ii) Airbus Service Bulletin A300–28–6106, telephone: +33 5 61 93 36 96; fax: +33 5 61 dated January 13, 2011; Airbus Service 93 44 51; email: account.airworth-eas@ p.m., Monday through Friday, except Bulletin A300–28–6106, Revision 01, dated airbus.com; Internet: http://www.airbus.com. Federal holidays. April 15, 2011; or Airbus Service Bulletin You may view this service information at the For service information identified in A300–28–6106, Revision 02, dated April 25, FAA, Transport Airplane Directorate, 1601 this NPRM, contact Honeywell 2014. Lind Avenue SW., Renton, WA. For International Inc., 111 S. 34th Street, (iii) Airbus Service Bulletin A310–28– information on the availability of this Phoenix, AZ 85034–2802; phone: 800– 2173, dated January 13, 2011; Airbus Service material at the FAA, call 425–227–1221. 601–3099; Internet: https:// Bulletin A310–28–2173, Revision 01, dated Issued in Renton, Washington, on July 19, myaerospace.honeywell.com/wps/ April 15, 2011; or Airbus Service Bulletin 2017. portal/!ut/. You may view this service A310–28–2173, Revision 02, dated April 25, 2014. Michael Kaszycki, information at the FAA, Engine & (3) This paragraph provides credit for the Acting Manager, Transport Airplane Propeller Directorate, 1200 District actions specified in paragraph (j) of this AD, Directorate, Aircraft Certification Service. Avenue, Burlington, MA 01803. For if those actions were performed before the [FR Doc. 2017–16052 Filed 8–1–17; 8:45 am] information on the availability of this effective date of this AD using Airbus Service BILLING CODE 4910–13–P material at the FAA, call (781) 238– Bulletin A300–28–6110, Revision 00, dated 7125. November 28, 2013. Examining the AD Docket (l) Other FAA AD Provisions DEPARTMENT OF TRANSPORTATION You may examine the AD docket on (1) Alternative Methods of Compliance the Internet at http:// (AMOCs): The Manager, International Federal Aviation Administration Branch, ANM–116, Transport Airplane www.regulations.gov by searching for Directorate, FAA, has the authority to 14 CFR Part 39 and locating Docket No. FAA–2017– approve AMOCs for this AD, if requested 0020; or in person at the Docket [Docket No. FAA–2017–0020; Directorate Management Facility between 9 a.m. using the procedures found in 14 CFR 39.19. Identifier 2016–NE–33–AD] In accordance with 14 CFR 39.19, send your and 5 p.m., Monday through Friday, request to your principal inspector or local RIN 2120–AA64 except Federal holidays. The AD docket Flight Standards District Office, as contains this proposed AD, the appropriate. If sending information directly Airworthiness Directives; Honeywell regulatory evaluation, any comments to the International Branch, send it to the International Inc. Turbofan Engines received, and other information. The attention of the person identified in paragraph (m)(2) of this AD. Information may AGENCY: Federal Aviation street address for the Docket Office be emailed to: 9-ANM-116-AMOC- Administration (FAA), DOT. (phone: 800–647–5527) is in the ADDRESSES section. Comments will be [email protected]. ACTION: Notice of proposed rulemaking available in the AD docket shortly after (i) Before using any approved AMOC, (NPRM). notify your appropriate principal inspector, receipt. or lacking a principal inspector, the manager SUMMARY: We propose to adopt a new FOR FURTHER INFORMATION CONTACT: of the local flight standards district office/ airworthiness directive (AD) for certain Joseph Costa, Aerospace Engineer, Los certificate holding district office. Angeles Aircraft Certification Office, (ii) AMOCs approved previously for AD Honeywell International Inc. AS907 2012–21–04, Amendment 39–17220 (77 FR series turbofan engines. This proposed FAA, Transport Airplane Directorate, 64701, October 23, 2012), are not approved AD was prompted by two loss-of-thrust- 3960 Paramount Blvd., Lakewood, CA as AMOCs with this AD. control events, and two in-flight 90712–4137; phone: 562–627–5246; fax: (2) Contacting the Manufacturer: As of the shutdowns (IFSDs) of new production, 562–627–5210; email: joseph.costa@ effective date of this AD, for any requirement low-time engines attributed to water faa.gov. in this AD to obtain corrective actions from intrusion of the engine electronic SUPPLEMENTARY INFORMATION: a manufacturer, the action must be control unit (ECU). This proposed AD accomplished using a method approved by Comments Invited the Manager, International Branch, ANM– would require applying sealant to 116, Transport Airplane Directorate, FAA; or identified areas of the ECU and requires We invite you to send any written the European Aviation Safety Agency inserting a copy of certain airplane relevant data, views, or arguments about (EASA); or Airbus’s EASA Design operating procedures into the applicable this NPRM. Send your comments to an Organization Approval (DOA). If approved by flight manuals. We are proposing this address listed under the ADDRESSES
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section. Include ‘‘Docket No. FAA– These procedures describe interim FAA’s Determination 2017–0020; Directorate Identifier 2016– actions for not dispatching the airplane We are proposing this AD because we NE–33 AD’’ at the beginning of your under certain engine electronic fault evaluated all the relevant information comments. We specifically invite conditions. This condition, if not and determined the unsafe condition comments on the overall regulatory, corrected, could result in dual engine described previously is likely to exist or economic, environmental, and energy power loss, loss of thrust control, and develop in other products of the same aspects of this NPRM. We will consider damage to the engine and airplane. type design. all comments received by the closing date and may amend this NPRM Related Service Information Under 1 Proposed AD Requirements because of those comments. CFR Part 51 This proposed AD would require We will post all comments we We reviewed Honeywell Service applying sealant to identified areas of receive, without change, to http:// the ECU. www.regulations.gov, including any Bulletin (SB); SB AS907–76–9021, personal information you provide. We Revision 1, dated April 20, 2017; Differences Between This Proposed AD will also post a report summarizing each Operating Information Letter (OIL) and the Service Information OIAS907–0001R00, dated March 14, substantive verbal contact we receive Honeywell SB AS907–76–9021, about this NPRM. 2017; Component Maintenance Manual Revision 1, dated April 20, 2017 (CMM) 2119576, Temporary Revision Discussion recommends complying after 400 engine (TR) No. 76–1, Section 76–10–15, dated operating hours, not to exceed 18 We received reports of two loss-of- September 6, 2016; and CMM 2119576, months from the date of issuance of the thrust-control events and two IFSDs of TR No. 76–1, Section 76–10–29, dated SB. This NPRM proposes complying new production, low-time AS907–2–1A August 2, 2016. within 200 engine operating hours or 9 engines, attributed to water intrusion In combination, the SB and TRs months after the effective date of the into the ECU at the ECU cover-to-body describe procedures for applying sealant AD, whichever occurs first. splitline, cover screws and cavities, to identified areas of the ECU to prevent Interim Action leading to internal board electrical water from entering the ECU on AS907 faults. Similar events have occurred on series engines. The OIL provides We consider this proposed AD AS907–1–1A engines when rainwater instructions for interrogating the interim action. Honeywell is developing dripped through the ECU and T2 engine onboard Maintenance Data Computer to design changes that will eliminate the access panels at 10 and 2 o’clock need to apply sealant to the ECU. locations onto the ECU and harnesses clear engine electronic fault conditions. while the airplane was on the ground. This service information is reasonably Costs of Compliance This proposed AD would require available because the interested parties We estimate that this ECU sealing application of sealant to identified areas have access to it through their normal affects 477 engines installed on of the ECU and requires inserting a copy course of business or by the means airplanes of U.S. registry. of certain airplane operating procedures identified in the ADDRESSES section. We estimate the following costs to into the applicable flight manuals. comply with this proposed AD:
ESTIMATED COSTS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Inserting Figure into AFM ...... 2 work-hours × $85 per hour = $170.00 ...... $0 $170.00 $81,090.00 Application of sealant, on-wing ...... 5.5 work-hours × $85 per hour = $467.50 ..... 50.00 517.50 246,847.50
We estimate the following costs to do Maintenance Data Computer (MDC)/ estimate that 20 engines will need this any necessary fault checks of the Onboard Messaging System (OMS). We fault check.
ON-CONDITION COSTS
Cost per Action Labor cost Parts cost product
Fault Check of Maintenance Data Computer ...... 5 work-hours × $85 per hour = $425.00 ...... $0 $425.00
According to the manufacturer, some Authority for This Rulemaking Part A, Subpart III, Section 44701: of the costs of this AD may be covered Title 49 of the United States Code ‘‘General requirements.’’ Under that under warranty, thereby reducing the specifies the FAA’s authority to issue section, Congress charges the FAA with cost impact on affected individuals. We rules on aviation safety. Subtitle I, promoting safe flight of civil aircraft in do not control warranty coverage for section 106, describes the authority of air commerce by prescribing regulations affected individuals. As a result, we the FAA Administrator. Subtitle VII: for practices, methods, and procedures have included all costs in our cost Aviation Programs, describes in more the Administrator finds necessary for estimate. detail the scope of the Agency’s safety in air commerce. This regulation authority. is within the scope of that authority We are issuing this rulemaking under because it addresses an unsafe condition the authority described in Subtitle VII, that is likely to exist or develop on
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products identified in this rulemaking PART 39—AIRWORTHINESS (e) Unsafe Condition action. DIRECTIVES This AD was prompted by two low-time loss-of-thrust-control events and two in-flight Regulatory Findings ■ 1. The authority citation for part 39 shut downs (IFSDs) attributed to water We determined that this proposed AD continues to read as follows: intrusion of the engine ECU. We are issuing would not have federalism implications Authority: 49 U.S.C. 106(g), 40113, 44701. this AD to prevent a dual engine power loss, under Executive Order 13132. This and loss of thrust control and damage to the § 39.13 [Amended] proposed AD would not have a engine and airplane. substantial direct effect on the States, on ■ 2. The FAA amends § 39.13 by adding the relationship between the national the following new airworthiness (f) Compliance Government and the States, or on the directive (AD): Comply with this AD within the distribution of power and Honeywell International Inc.: Docket No. compliance times specified, unless already responsibilities among the various FAA–2017–0020; Directorate Identifier done. 2016–NE–33–AD. levels of government. (g) Required Actions For the reasons discussed above, I (a) Comments Due Date (1) For applicable engines, apply sealant to certify this proposed regulation: We must receive comments by September (1) Is not a ‘‘significant regulatory both ECUs within 200 engine operating 18, 2017. hours, or 9 months after the effective date of action’’ under Executive Order 12866, this AD whichever occurs first, using (2) Is not a ‘‘significant rule’’ under (b) Affected ADs None. Accomplishment Instructions, paragraph 3.C. the DOT Regulatory Policies and of Honeywell SB AS907–76–9021, Revision Procedures (44 FR 11034, February 26, (c) Applicability 1, dated April 20, 2017. 1979), This AD applies to all Honeywell (2) If the ECU sealant is removed or (3) Will not affect intrastate aviation International Inc. AS907–1–1A, –2–1A, –2– becomes defective, re-apply sealant using in Alaska, and 1G, and –3–1E model turbofan engines, with Accomplishment Instructions, paragraph 3.C. (4) Will not have a significant engine serial numbers (S/Ns) listed in Table of Honeywell SB AS907–76–9021, Revision economic impact, positive or negative, 3 of Honeywell Service Bulletin (SB) AS907– 1, dated April 20, 2017; or Component 76–9021 Revision 1, dated April 20, 2017; or on a substantial number of small entities Maintenance Manual (CMM) 2119576, under the criteria of the Regulatory with engine electronic control unit (ECU), part numbers (P/Ns) 2119576–1001 through Temporary Revision (TR) No. 76–1, Section Flexibility Act. –1011, with no Mod Record or with a Mod 76–10–15, dated September 6, 2016; or CMM List of Subjects in 14 CFR Part 39 Record 1 through 5 (for the AS907–1–1A 2119576, TR No. 76–1, Section 76–10–29, engine); or with ECU, P/N 2119576–1102, dated August 2, 2016. Air transportation, Aircraft, Aviation with no Mod Record (for the AS907–2–1A (3) Within 60 days after the effective date safety, Incorporation by reference, engine); or with ECU, P/Ns 2119576–3002 of this AD, for all airplanes that have an Safety. and –3102, with no Mod Record (for the affected engine installed with an ECU not in AS907–2–1G engine); or with ECU, P/Ns compliance with paragraph (g)(1) or (g)(2) of The Proposed Amendment 2119576–4102 and –4103, with no Mod this AD, insert a copy of Figure 1, 2, or 3 to Record (for the AS907–3–1E), installed. Accordingly, under the authority paragraph (g) of this AD, as applicable to delegated to me by the Administrator, (d) Subject your airplane, into the Emergency Procedures the FAA proposes to amend 14 CFR part Joint Aircraft System Component (JASC) Section of the Airplane Flight Manual (AFM). 39 as follows: Code 7600, Engine Controls Section. BILLING CODE 4910–13–P
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BILLING CODE 4910–13–C (h) Installation Prohibition AMOCs for this AD. Use the procedures (4) If a cyan warning is announced, before (i) Do not install an ECU if any of the fault found in 14 CFR 39.19 to make your request. next flight, check the current fault messages messages listed in paragraph (g)(4) of this AD (l) Related Information in the Maintenance Data Computer (MDC)/ are in the MDC OMS. Onboard Messaging System (OMS) for any of (ii) Do not install an ECU that has a P/N (1) For more information about this AD, contact Joseph Costa, Aerospace Engineer, the following: and Mod Record listed in paragraph (c) of Los Angeles Aircraft Certification Office, (i) FADEC ECU A this AD unless it was either sealed as specified in paragraph (g)(1) of this AD or if FAA, Transport Airplane Directorate, 3960 (ii) FADEC ECU B the ECU is not affected by this AD. Paramount Blvd., Lakewood, CA 90712– (iii) THROTTLE LEVER 1A 4137; phone: 562–627–5246; fax: 562–627– (iv) THROTTLE LEVER 1B (i) Terminating Action 5210; email: [email protected]. (v) THROTTLE RIGGING 1A Remove from the AFM, Figure 1, 2, or 3 to (2) Honeywell SB AS907–76–9021, (vi) THROTTLE RIGGING 1B paragraph (g) of this AD, after paragraph Revision 1, dated April 20, 2017; OIL OIAS907–0001R00, dated March 14, 2017; (5) Replace the ECU if any of the fault (g)(1) or (g)(2) of this AD is accomplished. CMM 2119576, TR No. 76–1, Section 76–10– messages listed in paragraph (g)(4) of this AD (j) Credit for Previous Actions 15, dated September 6, 2016; and CMM are in the MDC OMS. Refer to Operating You may take credit for the actions 2119576, TR No. 76–1, Section 76–10–29, Information Letter (OIL) OIAS907–0001R00, required by paragraphs (g)(1) or (g)(2) of this dated August 2, 2016, can be obtained from dated March 14, 2017 for information on AD, if you performed those actions before the Honeywell International using the contact returning and replacing the ECU. effective date of this AD using Honeywell SB information in paragraph (l)(3) of this AD. (6) Continued flight is permitted if none of AS907–76–9021, Revision 0, dated May 13, (3) For service information identified in the fault messages listed in paragraph (g)(4) 2016. this AD, contact Honeywell International of this AD are in the MDC OMS, or if Inc., 111 S. 34th Street, Phoenix, AZ 85034– (k) Alternative Methods of Compliance 2802; phone: 800–601–3099; Internet: https:// paragraph (g)(5) of this AD was (AMOCs) accomplished. myaerospace.honeywell.com/wps/portal/!ut/. The Manager, Los Angeles Aircraft (4) You may view this service information Certification Office, FAA, may approve at the FAA, Engine & Propeller Directorate,
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1200 District Avenue, Burlington, MA. For subsequent amendments can be viewed 2016–9555 and Airspace Docket No. 16– information on the availability of this online at http://www.faa.gov/air_traffic/ AGL–2) and be submitted in triplicate to material at the FAA, call 781–238–7125. publications/. For further information, the Docket Management Facility (see Issued in Burlington, Massachusetts, on you can contact the Airspace Policy ADDRESSES section for address and June 21, 2017. Group, Federal Aviation phone number). You may also submit Thomas A. Boudreau, Administration, 800 Independence comments through the internet at http:// Acting Manager, Engine & Propeller Avenue SW., Washington, DC 20591; www.regulations.gov. Directorate, Aircraft Certification Service. telephone: (202) 267–8783. The Order is Commenters wishing the FAA to [FR Doc. 2017–16148 Filed 8–1–17; 8:45 am] also available for inspection at the acknowledge receipt of their comments BILLING CODE 4910–13–P National Archives and Records on this action must submit with those Administration (NARA). For comments a self-addressed, stamped information on the availability of FAA postcard on which the following DEPARTMENT OF TRANSPORTATION Order 7400.11A at NARA, call (202) statement is made: ‘‘Comments to FAA 741–6030, or go to http:// Docket No. FAA–2016–9555 and Federal Aviation Administration www.archives.gov/federal_register/ Airspace Docket No. 16–AGL–2.’’ The code_of_federal-regulations/ibr_ postcard will be date/time stamped and 14 CFR Part 71 locations.html. returned to the commenter. [Docket No. FAA–2016–9555; Airspace FAA Order 7400.11, Airspace All communications received on or Docket No. 16–AGL–2] Designations and Reporting Points, is before the specified comment closing published yearly and effective on date will be considered before taking Proposed Modification and Revocation September 15. action on the proposed rule. The of Multiple Air Traffic Service (ATS) FOR FURTHER INFORMATION CONTACT: proposal contained in this action may Routes; Northcentral United States Colby Abbott, Airspace Policy Group, be changed in light of comments AGENCY: Federal Aviation Office of Airspace Services, Federal received. All comments submitted will Administration (FAA), DOT. Aviation Administration, 800 be available for examination in the ACTION: Supplemental notice of Independence Avenue SW., public docket both before and after the proposed rulemaking (SNPRM). Washington, DC 20591; telephone: (202) comment closing date. A report 267–8783. summarizing each substantive public SUMMARY: This action proposes to SUPPLEMENTARY INFORMATION: contact with FAA personnel concerned amend and remove multiple VHF with this rulemaking will be filed in the Omnidirectional Range (VOR) Federal Authority for This Rulemaking docket. airways in northcentral United States to The FAA’s authority to issue rules Availability of NPRMs reflect additional amendments to regarding aviation safety is found in several Federal airways impacted by the Title 49 of the United States Code. An electronic copy of this document decommissioning of the Tiverton, OH, Subtitle I, Section 106 describes the may be downloaded through the VOR/Distance Measuring Equipment authority of the FAA Administrator. internet at http://www.regulations.gov. (VOR/DME) navigation aid. The route Subtitle VII, Aviation Programs, Recently published rulemaking changes would be made as part of the describes in more detail the scope of the documents can also be accessed through FAA’s Next Generation Air agency’s authority. This rulemaking is the FAA’s Web page at http:// Transportation System (NextGen) efforts promulgated under the authority www.faa.gov/air_traffic/publications/ to safely improve the overall efficiency described in Subtitle VII, Part A, airspace_amendments/. of the National Airspace System (NAS). Subpart I, Section 40103. Under that You may review the public docket DATES: Comments must be received on section, the FAA is charged with containing the proposal, any comments or before September 18, 2017. prescribing regulations to assign the use received and any final disposition in ADDRESSES: Send comments on this of the airspace necessary to ensure the person in the Dockets Office (see proposal to the U.S. Department of safety of aircraft and the efficient use of ADDRESSES section for address and Transportation, Docket Operations, 1200 airspace. This regulation is within the phone number) between 9:00 a.m. and New Jersey Avenue SE., West Building scope of that authority as it modifies the 5:00 p.m., Monday through Friday, Ground Floor, Room W12–140, NAS route structure as necessary to except Federal holidays. An informal Washington, DC 20590; telephone: 1 preserve the safe and efficient flow of docket may also be examined during (800) 647–5527, or (202) 366–9826. You air traffic within the NAS. normal business hours at the office of must identify FAA Docket No. FAA– the Operations Support Group, Central Comments Invited 2016–9555 and Airspace Docket No. 16– Service Center, Federal Aviation AGL–2 at the beginning of your Interested parties are invited to Administration, 10101 Hillwood Blvd., comments. You may also submit participate in this proposed rulemaking Fort Worth, TX 76177. by submitting such written data, views, comments through the Internet at http:// Availability and Summary of or arguments as they may desire. www.regulations.gov. You may review Documents for Incorporation by Comments that provide the factual basis the public docket containing the Reference proposal, any comments received, and supporting the views and suggestions any final disposition in person in the presented are particularly helpful in This document proposes to amend Dockets Office between 9:00 a.m. and developing reasoned regulatory FAA Order 7400.11A, Airspace 5:00 p.m., Monday through Friday, decisions on the proposal. Comments Designations and Reporting Points, except Federal holidays. The Docket are specifically invited on the overall dated August 3, 2016, and effective Office (telephone 1 (800) 647–5527), is regulatory, aeronautical, economic, September 15, 2016. FAA Order on the ground floor of the building at environmental, and energy-related 7400.11A is publicly available as listed the above address. aspects of the proposal. in the ADDRESSES section of this FAA Order 7400.11A, Airspace Communications should identify both document. FAA Order 7400.11A lists Designations and Reporting Points, and docket numbers (FAA Docket No. FAA– Class A, B, C, D, and E airspace areas,
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air traffic service routes, and reporting project activities, the FAA has V–2: The proposed amendment is points. determined it is necessary to reopen the unchanged, the FAA identified a comment period to provide additional typographical error in the regulatory Background opportunity for public comment. text of the V–2 description. The On February 27, 2017, the FAA The FAA is undertaking this action in description inadvertently included published in the Federal Register a support of its NextGen goal to safely ‘‘, 259° radials; Buffalo’’ after ‘‘From notice of proposed rulemaking (NPRM) improve the overall efficiency of the Buffalo, NY’’ in describing the airway proposing to amend and remove NAS by increasing efficiencies in the segment between the Buffalo, NY, VOR/ multiple VOR Federal airways in enroute structure and areas with DME and the Gardner, MA, VOR/DME. northcentral United States to reflect and complex air traffic flows. More The regulatory text for the V–2 airway accommodate route changes being made specifically, the proposed changes segment between the Buffalo, NY, VOR/ as part of the FAA’s Cleveland/Detroit would enhance the way aircraft navigate DME and the Gardner, MA, VOR/DME Metroplex Project airspace redesign the enroute airspace, improve airport is corrected in this SNPRM to read, effort (82 FR 11859). Interested parties access, and make flight routes more ‘‘From Buffalo, NY; Rochester, NY; were invited to participate in this efficient by optimizing the operations Syracuse, NY; Utica, NY; Albany, NY; rulemaking effort by submitting written and procedures based on satellite-based INT Albany 084° and Gardner, MA, 284° comments on the proposal. No navigation. radials; to Gardner.’’ comments were received. Lastly, the FAA plans to continue V–43: V–43 currently extends Subsequent to publication, the FAA NextGen modernization efforts of the between the Appleton, OH, VORTAC initiated a project for decommissioning Cleveland and Detroit terminal radar and the Buffalo, NY, VOR/DME. The the Tiverton, OH, VOR/DME due to the approach control (TRACON) airspace FAA proposes to remove the airway land-lease for the navigation aid areas, at a later date, by working with segment between the Appleton, OH, expiring September 30, 2018, and not the facilities to establish RNAV T-routes VORTAC and the Youngstown, OH, being renewed. With the planned designed to enhance the flow of traffic VORTAC; and between the Erie, PA, decommissioning of the Tiverton VOR/ through their busy terminal airspace VORTAC and the Buffalo, NY, VOR/ DME occurring, several of the Federal areas. Any new RNAV T-routes that DME. Additionally, this proposal airways proposed for amendment in the result from that process will be removes the previously proposed NPRM are impacted and will require proposed in a separate airspace docket addition of an exclusion statement for additional amendment. Based on the action. the airspace within Canada. The timing of the NPRM and the planned unaffected portion of the existing airway Tiverton VOR/DME decommissioning Differences From NPRM would remain unchanged. project, and that several airways are The legal description to V–2 is revised V–92: V–92 currently extends affected by both actions, the FAA to reflect the proposed amendment. between the intersection of the Chicago decided to incorporate both activities The proposed amendment to V–43 is Heights, IL, VORTAC 358° and Chicago into this airspace docket action. By revised to include removing the airway O’Hare, IL, VOR/DME 127° radials merging the planned Tiverton VOR/ segment between the Erie, PA, VORTAC (BEBEE fix) and the Armel, VA, VOR/ DME decommissioning activity with and the Buffalo, NY, VOR/DME. DME. The FAA proposes to remove the this action, additional proposed The proposed amendment to V–92 is airway segments between the amendments to V–92, V–133, and V– revised to include removing the airway intersection of the Chicago Heights, IL, 210 are necessary. Additionally, NAV segments between the intersection of the VORTAC 358° and Chicago O’Hare, IL, CANADA has amended V–43 within Chicago Heights, IL, VORTAC 358° and VOR/DME 127° radials (BEBEE fix) and Canada’s airspace that requires the FAA Chicago O’Hare, IL, VOR/DME 127° the Chicago Heights, IL, VORTAC; and to adjust the proposed amendment to V– radials (BEBEE fix) and the Chicago between the Goshen, IN, VORTAC and 43. The remaining Federal airways Heights, IL, VORTAC; between the the Newcomerstown, OH, VOR/DME. associated with the Tiverton VOR/DME Goshen, IN, VORTAC and the The unaffected portions of the existing (V–443, V–523, and V–525) require no intersection of the Goshen, IN, VORTAC airway would remain unchanged. additional proposed amendments 092°(T)/092°(M) and Fort Wayne, IN, V–133: V–133 currently extends beyond those proposed in the NPRM. VORTAC 016°(T)/016°(M) radials between the intersection of the Additionally, the FAA reviewed the (ILTON fix); and between the Tiverton, Charlotte, NC, VOR/DME 305° and airway amendments proposed in the OH, VOR/DME and the Barretts Mountain, NC, VOR/DME 197° NPRM and the Cleveland/Detroit Newcomerstown, OH, VOR/DME. radials (LINCO fix) and the Mansfield, Metroplex project redesign and has now The proposed amendment to V–133 is OH, VORTAC; and between the Salem, determined the two activities are in fact revised to include removing the airway MI, VORTAC and the Red Lake, ON, independent of each other and not segment between the Zanesville, OH, Canada, VOR/DME; excluding the connected. The FAA mischaracterized VOR/DME and the Tiverton, OH, VOR/ airspace within Canada. The FAA the connection between the redesign DME. proposes to remove the airway segment and the airway changes in the NPRM. The proposed amendment to V–210 is between the Zanesville, OH, VOR/DME The airway amendments proposed in revised to include removing the airway and the Mansfield, OH, VORTAC; and the NPRM support the FAA’s NextGen segment between the Rosewood, OH, between the Salem, MI, VORTAC and efforts to safely improve the overall VORTAC and the Tiverton, OH, VOR/ the Saginaw, MI, VOR/DME. The efficiency of the NAS. DME. unaffected portions of the existing Since several airway amendments airway and the exclusion statement for proposed in the NPRM require further The Proposal the airspace within Canada would amendment, and the NPRM The FAA is proposing an amendment remain unchanged. characterization requires clarification to Title 14, Code of Federal Regulations V–210: V–210 currently extends that the airway amendments proposed (14 CFR) part 71 to modify VOR Federal between the Los Angeles, CA, VORTAC in the NPRM support the FAA’s airways V–43, V–92, V–133, and V–210. and the Okmulgee, OK, VOR/DME; and NextGen efforts independent from the Those airway amendments are outlined between the Brickyard, IN, VORTAC FAA’s Cleveland/Detroit Metroplex below. and the Yardley, PA, VOR/DME. The
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FAA proposes to remove the airway PART 71—DESIGNATION OF CLASS A, KS; INT Liberal 137° and Will Rogers, OK, segment between the Rosewood, OH, B, C, D, AND E AIRSPACE AREAS; AIR 284° radials; Will Rogers; INT Will Rogers ° ° VORTAC and the Revloc, PA, VOR/ TRAFFIC SERVICE ROUTES; AND 113 and Okmulgee, OK, 238 radials; REPORTING POINTS Okmulgee. From Brickyard, IN, Muncie, IN; DME. The unaffected portions of the to Rosewood, OH. From Revloc, PA; INT existing airway would remain ° ° ■ 1. The authority citation for part 71 Revloc 096 and Harrisburg, PA, 285 radials; unchanged. Harrisburg; Lancaster, PA; INT Lancaster continues to read as follows: The remaining VOR Federal airway 095° and Yardley, PA, 255° radials; to amendments and removals proposed in Authority: 49 U.S.C. 106(g), 40103, 40113, Yardley. 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– * * * * * the NPRM published in the Federal 1963 Comp., p. 389. Register (82 FR 11859, February 27, Issued in Washington, DC, on July 26, 2017) are unchanged. § 71.1 [Amended] 2017. All radials in the route descriptions ■ 2. The incorporation by reference in Rodger A. Dean, Jr., below are unchanged and stated in True 14 CFR 71.1 of FAA Order 7400.11A, Manager, Airspace Policy Group. degrees. Airspace Designations and Reporting [FR Doc. 2017–16174 Filed 8–1–17; 8:45 am] Points, dated August 3, 2016 and BILLING CODE 4910–13–P VOR Federal airways are published in effective September 15, 2016, is paragraph 6010(a) of FAA Order amended as follows: 7400.11A, dated August 3, 2016, and DEPARTMENT OF TRANSPORTATION effective September 15, 2016, which is Paragraph 6010(a) Domestic VOR Federal Airways. incorporated by reference in 14 CFR Federal Aviation Administration 71.1. The VOR Federal airways listed in * * * * * this document would be subsequently V–2 [Amended] 14 CFR Part 91 published in the Order. From Seattle, WA; Ellensburg, WA; Moses [Docket No. FAA–2015–3304; Notice No. 15– Regulatory Notices and Analyses Lake, WA; Spokane, WA; Mullan Pass, ID; 07] Missoula, MT; Helena, MT; INT Helena 119° ° The FAA has determined that this and Livingston, MT, 322 radials; Livingston; RIN 2120–AK66 Billings, MT; Miles City, MT; 24 miles, 90 proposed regulation only involves an miles, 55 MSL, Dickinson, ND; 10 miles, 60 Temporary Flight Restrictions in the established body of technical miles, 38 MSL, Bismarck, ND; 14 miles, 62 Proximity of Launch and Reentry regulations for which frequent and miles, 34 MSL, Jamestown, ND; Fargo, ND; Operations; Withdrawal routine amendments are necessary to Alexandria, MN; Gopher, MN; Nodine, MN; keep them operationally current. It, Lone Rock, WI; Madison, WI; Badger, WI; AGENCY: Federal Aviation therefore: (1) Is not a ‘‘significant Muskegon, MI; to Lansing, MI. From Buffalo, Administration (FAA), DOT. regulatory action’’ under Executive NY; Rochester, NY; Syracuse, NY; Utica, NY; Albany, NY; INT Albany 084° and Gardner, ACTION: Notice of proposed rulemaking Order 12866; (2) is not a ‘‘significant MA, 284° radials; to Gardner. (NPRM); withdrawal. rule’’ under Department of * * * * * Transportation (DOT) Regulatory SUMMARY: The FAA is withdrawing a Policies and Procedures (44 FR 11034; V–43 [Amended] previously published NPRM that February 26, 1979); and (3) does not From Youngstown, OH; to Erie, PA. proposed to revise the temporary flight warrant preparation of a regulatory * * * * * restriction (TFR) provision for space evaluation as the anticipated impact is flight operations to make the restrictions so minimal. Since this is a routine V–92 [Amended] applicable to all aircraft including non- matter that will only affect air traffic From Chicago Heights, IL; to Goshen, IN. U.S. registered aircraft, instead of only procedures and air navigation, it is From Newcomerstown, OH; Bellaire, OH; U.S. registered aircraft or aircraft flown INT Bellaire 107° and Grantsville, MD, 285° by pilots using a FAA pilot certificate. certified that this proposed rule, when ° radials; Grantsville; INT Grantsville 124 and The NPRM also proposed to amend promulgated, will not have a significant Armel, VA, 292° radials; to Armel. economic impact on a substantial language for consistency with other TFR * * * * * number of small entities under the provisions and commercial space criteria of the Regulatory Flexibility Act. V–133 [Amended] regulations and definitions by replacing From INT Charlotte, NC, 305° and Barretts ‘‘space flight operations’’ with ‘‘launch, Environmental Review Mountain, NC, 197° radials; Barretts reentry, or amateur rocket operations.’’ Mountain; Charleston, WV; to Zanesville, The intended effect of the proposed This proposal will be subject to an OH. From Saginaw, MI; Traverse City, MI; action was to further enhance the safety environmental analysis in accordance Escanaba, MI; Sawyer, MI; Houghton, MI; in the affected airspace and improve the with FAA Order 1050.1F, Thunder Bay, ON, Canada; International readability of the TFR requirements. ‘‘Environmental Impacts: Policies and Falls, MN; to Red Lake, ON, Canada. The After further review of this action and Procedures’’ prior to any FAA final airspace within Canada is excluded. the changing technology and scope of regulatory action. * * * * * new flight operations, the FAA List of Subjects in 14 CFR Part 71 V–210 [Amended] determined that a better assessment of From Los Angeles, CA, INT Los Angeles TFRs in the National Air Space (NAS) Airspace, Incorporation by reference, 083° and Pomona, CA, 240° radials; Pomona; is needed to address present day Navigation (air). INT Daggett, CA, 229° and Hector, CA, 263° operations; therefore, it is withdrawing radials; Hector; Goffs, CA; 13 miles, 23 miles this NPRM. The Proposed Amendment 71 MSL, 85 MSL, Peach Springs, AZ; Grand DATES: The FAA is withdrawing the Canyon, AZ; Tuba City, AZ; 10 miles 90 NPRM published on September 2, 2015 In consideration of the foregoing, the MSL, 91 miles 105 MSL, Rattlesnake, NM; Federal Aviation Administration Alamosa, CO; INT Alamosa 074° and Lamar, (80 FR 53033) as of August 2, 2017. proposes to amend 14 CFR part 71 as CO, 250° radials; 40 miles, 51 miles, 65 MSL, FOR FURTHER INFORMATION CONTACT: For follows: Lamar; 13 miles, 79 miles, 55 MSL, Liberal, technical questions concerning this
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action, contact Patrick Moorman, narrow window of time not to exceed 24 strives to integrate all operations in the Airspace Regulations Team, AJV–113, hours and recommended that a 48-hour NAS, and because TFRs are necessary to Federal Aviation Administration, 800 notice be provided via NOTAM. The provide the highest level of safety, the Independence Avenue SW., individual commented that any TFR FAA is withdrawing this NPRM to Washington, DC 20591; telephone (202) longer than 24 hours is not temporary better assess the scope of TFR 267–8745; email patrick.moorman@ and should be established as a restricted regulations in the NAS. The FAA will faa.gov. area by rulemaking under the continue to include launches, reentries, Administrative Procedures Act. This SUPPLEMENTARY INFORMATION: and amateur rocket operations under comment is outside the scope of this ‘‘space operations’’ in § 91.143. I. Overview of Notice 15–07 (NPRM) rulemaking because time limits were not Section 91.143 of Title 14 of the Code proposed in the NPRM and are not IV. Conclusion addressed in the existing rule. The FAA of Federal Regulations (CFR) authorizes The FAA has determined that this the FAA to issue a Notice to Airmen notes, however, that TFRs issued under § 91.143 are established within the regulatory course of action requires (NOTAM) prohibiting a person from further study and that withdrawal of operating any aircraft of U.S. registry or airspace and over a period of time necessary to contain the activity and this NPRM is necessary. Withdrawal of piloting an aircraft under the authority ensure the safety of the NAS. Notice No. 15–07 does not preclude the of an airman certificate issued by the Another commenter suggested that FAA from issuing another notice on the FAA in areas designated in the NOTAM the use of the proposed language: ‘‘No for space flight operations. By restricting subject matter in the future or commit person may operate an aircraft within an the agency to any future course of non-essential aircraft from the area . . .’’ presents an undesirable level designated recovery area, the FAA action. The Agency will make any of ambiguity when considering future necessary changes to the Code of ensures the safe recovery of spacecraft unmanned aircraft and drones— while mitigating the risk of an aircraft Federal Regulations through an NPRM particularly autonomously guided or with opportunity for public comment. collision. preprogrammed aircraft that follow GPS On September 2, 2015, the FAA coordinates or are otherwise not under Executive Order 13771, Reducing published an NPRM, Notice No. 15–07, the direct control of a person. Regulation and Controlling Regulatory proposing to amend § 91.143 [80 FR The FAA defines the term ‘‘operate’’ Costs, directs that, unless prohibited by 53033] to ensure that all aircraft—not broadly. Under the definition in § 1.1, law, whenever an executive department only U.S. registered aircraft or aircraft ‘‘operate with respect to aircraft, means or agency publicly proposes for notice flown by pilots using an FAA pilot use, cause to use or authorize to use and comment or otherwise promulgates certificate—are restricted from operating aircraft, for the purpose (except as a new regulation, it shall identify at in airspace designated for launch, provided in § 91.13) of air navigation least two existing regulations to be reentry, or amateur rocket operations. including the piloting of aircraft, with or repealed. In addition, any new The FAA also proposed amending the without the right of legal control (as incremental costs associated with new provision to update and clarify that the owner, lessee, or otherwise).’’ Therefore, regulations shall, to the extent permitted FAA issues NOTAMs that designate a the term ‘‘operate’’ captures persons by law, be offset by the elimination of TFR under § 91.143 for launch, reentry, who operate the aircraft directly and or Class 2 or 3 amateur rocket existing costs. Only those rules deemed those who cause an aircraft to be significant under section 3(f) of operations, when the FAA determines a operated, whether manned or Executive Order 12866, Regulatory TFR is necessary to maintain safety unmanned. Additionally, ‘‘within’’ as Planning and Review, are subject to because technological changes have used in the phrase ‘‘within an area resulted in an increased growth of larger designated for launch, reentry, or these requirements. amateur rockets with greater power. The amateur rocket operations’’ refers to the The FAA has evaluated this NPRM would also amend the language location of the aircraft, not the location withdrawal based on the requirements of § 91.143 to align with the terminology of the operator. of Executive Order 13771. Because the used in 51 U.S.C. Chapter 509 and the III. Reason for Withdrawal FAA determined that the NPRM was not FAA space transportation regulations a significant regulatory action under and definitions by replacing ‘‘space The FAA has decided to withdraw Executive Order 12866, the withdrawal flight operations’’ with ‘‘launch, reentry, this rulemaking because it has of the NPRM does not constitute an or amateur rocket operations.’’ The FAA determined that this regulatory course Executive Order 13771 deregulatory of action requires further study of the intended to strengthen the action. In addition, the FAA also finds changing environment of flight understandability of these requirements that there are no quantifiable costs or and enhance safety in the affected operations, including new technologies benefits associated with this airspace. and new types of commercially viable operations. The proposed rule withdrawal, and may therefore publish II. Discussion of Comments Received on references launch, reentry, and amateur this action without identifying two the NPRM rocket operations, replacing the offsetting deregulatory actions. The The 60-day comment period closed on reference to ‘‘space operations,’’ which FAA, therefore, is withdrawing Notice November 2, 2015. The FAA received encompasses both launch and reentry; No. 15–07, published in 80 FR 53033 on two comments from individuals however, narrowing TFRs to launch, September 2, 2015. regarding: (1) The use of ambiguous reentry, and amateur rockets operations Issued under authority provided by 49 language in the proposed regulation that without understanding the complete U.S.C. 106(f) and § 40103(b) in Washington, does not address the uniqueness of scope of all space operations could DC, on July 21, 2017. unmanned aircraft operations and (2) a unknowingly narrow the applicability of Gary A. Norek, recommendation to limit the length of a TFRs. A greater understanding of Acting Director, Airspace Services. TFR to a narrow window of time. current flight operations will serve to One commenter suggested that the enhance the effectiveness of the TFRs. [FR Doc. 2017–16198 Filed 8–1–17; 8:45 am] FAA limit the length of the TFR to a From an efficiency standpoint, the FAA BILLING CODE 4910–13–P
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DEPARTMENT OF VETERANS restates them.’’ Immediately preceding information you consider to be AFFAIRS the sentence, ‘‘Proposed paragraphs (d), Confidential Business Information (CBI) (f), and (h) restate, without substantive or other information whose disclosure is 38 CFR Part 61 change, material that currently appears restricted by statute. Multimedia RIN 2900–AP54 at § 61.33(e), (g), and (i).’’ submissions (audio, video, etc.) must be accompanied by a written comment. § 61.33 [Corrected] VA Homeless Providers Grant and Per The written comment is considered the Diem Program; Correction On page 34463, in the first column, official comment and should include amend § 61.33(2)(A) by removing ‘‘(A)’’ discussion of all points you wish to AGENCY: Department of Veterans Affairs. and replacing it with ‘‘(i)’’, and in make. The EPA will generally not ACTION: Proposed rule; corrections. § 61.33(2)(B) by removing ‘‘(B)’’ and consider comments or comment replacing it with ‘‘(ii)’’. contents located outside of the primary SUMMARY: The Department of Veterans On page 34463, in the second column, submission (i.e., on the web, cloud, or Affairs (VA) Affairs is correcting a amend § 61.33(c) by removing ‘‘118’’ other file sharing system). For proposed rule that proposes to amend and replacing it with ‘‘1/8’’. additional submission methods, please its regulations concerning the VA FOR Janet J. Coleman, contact the person identified in the Homeless Providers Grant and Per Diem FURTHER INFORMATION CONTACT section. Chief, Office of Regulation Policy & (GPD) Program that was published in For the full EPA public comment policy, the Federal Register on July 25, 2017. Management, Office of the Secretary, Department of Veterans Affairs. information about CBI or multimedia These corrections address technical submissions, and general guidance on [FR Doc. 2017–16179 Filed 8–1–17; 8:45 am] errors in the proposed rule. making effective comments, please visit DATES: The correction is effective BILLING CODE 8320–01–P http://www2.epa.gov/dockets/ August 2, 2017. commenting-epa-dockets. ADDRESSES: Written comments may be FOR FURTHER INFORMATION CONTACT: ENVIRONMENTAL PROTECTION submitted through www.regulations.gov; Doris Lo, EPA Region IX, (415) 972– AGENCY by mail or hand-delivery to the Director, 3959, [email protected]. Regulations Management (00REG), 40 CFR Part 52 SUPPLEMENTARY INFORMATION: Department of Veterans Affairs, 810 Throughout this document, ‘‘we,’’ ‘‘us,’’ Vermont Ave NW., Room 1068, [EPA–R09–OAR–2017–0411; FRL–9965–51– and ‘‘our’’ refer to the EPA. Washington, DC 20420; or by fax to Region 9] (202) 273–9026. Comments should Table of Contents Approval and Promulgation of indicate that they are submitted in I. Background Information Implementation Plans; Enhanced response to ‘‘RIN 2900–AP54—VA II. Analysis of State Submission Monitoring; California Homeless Providers Grant and Per Diem III. Proposed Action and Request for Public Comment Program.’’ Copies of comments received AGENCY: Environmental Protection IV. Statutory and Executive Order Reviews will be available for public inspection in Agency (EPA). the Office of Regulation Policy and ACTION: Proposed rule. I. Background Information Management, Room 1063B, between the The Clean Air Act (CAA or ‘‘Act’’) hours of 8:00 a.m. and 4:30 p.m., SUMMARY: The Environmental Protection requires the EPA to establish National Monday through Friday (except Agency (EPA) is proposing to approve a Ambient Air Quality Standards holidays). Please call (202) 461–4902 for State Implementation Plan (SIP) (NAAQS or ‘‘standards’’) for certain an appointment. (This is not a toll-free revision submitted by the State of widespread pollutants, such as ozone, number.) In addition, during the California on November 10, 1993. This that cause or contribute to air pollution comment period, comments may be SIP revision concerns the establishment that is reasonably anticipated to viewed online through the Federal of a Photochemical Assessment endanger public health or welfare.1 In Docket Management System (FDMS) at Monitoring System (PAMS) network in 1979, we promulgated an ozone NAAQS http://www.regulations.gov. six ozone nonattainment areas within of 0.12 parts per million (ppm), one- FOR FURTHER INFORMATION CONTACT: Guy California. The EPA is proposing this hour average (‘‘1-hour ozone Liedke, Program Analyst, Grant/Per action under the Clean Air Act based on standard’’).2 Diem Program, (673/GPD), VA National the conclusion that all applicable The Act, as amended in 1990, Grant and Per Diem Program Office, statutory and regulatory requirements required the EPA to designate as 10770 N. 46th Street, Suite C–200, related to PAMS SIP revisions have nonattainment any ozone areas that Tampa, FL 33617, (877) 332–0334, been met. were still designated nonattainment [email protected]. (This is a toll-free DATES: Any comments must arrive by under the 1977 Act Amendments, and number.) September 1, 2017. any other areas violating the 1-hour SUPPLEMENTARY INFORMATION: VA is ADDRESSES: Submit your comments, ozone standard, generally based on air identified by Docket ID No. EPA–R09– quality monitoring data from the 1987 correcting its proposed rule that 3 proposes to amend its regulations OAR–2017–0411 at http:// through 1989 period. The 1990 CAA concerning the VA Homeless Providers www.regulations.gov, or via email to Amendments further classified these Grant and Per Diem (GPD) Program. [email protected]. For comments areas, based on the severity of their In FR Doc. 17–15338 appearing on submitted at Regulations.gov, follow the nonattainment problem, as Marginal, page 34457 in the Federal Register of online instructions for submitting Moderate, Serious, Severe or Extreme. The control requirements and date by Tuesday, July 25, 2017, the following comments. Once submitted, comments which attainment of the one-hour ozone corrections are made: cannot be edited or removed from On page 34459, in the first column, in Regulations.gov. For either manner of 1 See sections 108 and 109 of the Act. the second full paragraph, add a new submission, the EPA may publish any 2 See 44 FR 8202, February 8, 1979. first sentence, ‘‘VA makes no changes to comment received to its public docket. 3 See section 107(d)(4) of the Act. See also 56 FR paragraphs (b) and (c) and merely Do not submit electronically any 56694, November 6, 1991.
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standard was to be achieved varied with case, the EPA concluded that the II. Analysis of State Submission an area’s classification. Marginal areas submitted network plans satisfy the The criteria used to review the SIP were subject to the fewest mandated requirements of 40 CFR 58.40(a). Since revision submittal are derived from the control requirements and had the network descriptions may change CAA, and include: The General earliest attainment date while higher annually, they are not part of the SIP as Preamble; 7 the PAMS regulations, classified areas were subject to more recommended by the document, codified at 40 CFR part 58; ‘‘Guideline stringent planning requirements and ‘‘Guideline for the Implementation of for the Implementation of the Ambient were provided more time to attain the the Ambient Air Monitoring Air Monitoring Regulations: 40 CFR part standard. Regulations, 40 CFR part 58.’’ However, 58—Guideline Series’’ (EPA–450/4–78– In 1991, we published the initial the network description is negotiated 038, Office of Air Quality Planning and ozone classifications for nonattainment and approved during the annual review Standards, November 1979); and the areas within each state, and within via the grant process under section 105 September 2, 1993, memorandum from California, we classified six ozone of the Act, as required by 40 CFR G.T. Helms titled, ‘‘Final Boilerplate nonattainment areas as Serious, Severe, 58.20(d), 58.25, 58.36, and 58.46. Language for the PAMS SIP Submittal.’’ or Extreme: Los Angeles-South Coast Section 182(c)(1) also requires that the The September 2, 1993, Helms Air Basin (‘‘South Coast’’), Sacramento SIP be revised to contain measures to boilerplate memorandum stipulates that Metro, San Diego County, San Joaquin improve the ambient monitoring of the PAMS SIP, at a minimum, must: Valley, Southeast Desert Modified Provide for monitoring of criteria AQMA (‘‘Southeast Desert’’) and ozone, NOX, and VOC in ozone nonattainment areas classified as pollutants, such as ozone and nitrogen Ventura County.4 Such areas were dioxide and non-criteria pollutants, subject to many requirements, including Serious, Severe or Extreme. The final PAMS rule requires that SIP revisions such as nitrogen oxides, speciated those related to enhanced monitoring in VOCs, including carbonyls, as well as under section 182(c)(1) provide for the CAA section 182(c)(1). meteorological parameters; provide a establishment and maintenance of a Section 182(c)(1) of the CAA requires copy of the approved (or proposed) PAMS network. that the EPA promulgate rules for PAMS network description, including enhanced monitoring of ozone, oxides On November 10, 1993, CARB the phase-in schedule, for public of nitrogen (NOX), and volatile organic submitted to the EPA a SIP revision for inspection during the public notice and/ compounds (VOC) no later than 18 PAMS in California (‘‘California PAMS or comment period provided for in the months after the date of the enactment SIP revision’’). The California PAMS SIP SIP revision or, alternatively, provide of the 1990 CAA Amendments. These revision consists of PAMS commitments information to the public upon request rules are intended to provide a from five California air districts with concerning the State’s plans for mechanism for obtaining more jurisdiction within the six relevant implementing the rules; make reference comprehensive and representative data ozone nonattainment areas: the South to the fact that PAMS will become a part on ozone air pollution in areas Coast Air Quality Management of the State or local air monitoring designated nonattainment and classified District(for South Coast and Southeast stations (SLAMS) network; and provide as Serious, Severe or Extreme. Desert areas); Sacramento Metro AQMD a statement that SLAMS will employ The final PAMS rule was promulgated (for the Sacramento Metro area); San federal reference or equivalent methods by the EPA on February 12, 1993 (58 FR Diego County Air Pollution Control (FRMs or FEMs) while most PAMS 8452). Section 58.40(a) of the revised District (for the San Diego County area); sampling will be conducted using rule requires the State to submit a San Joaquin Valley Unified APCD (for methods that are not FRMs or FEMs but PAMS network description, including a the San Joaquin Valley area), and approved by the EPA. schedule for implementation, to the Ventura County APCD (for the Ventura The California PAMS SIP revision Administrator within six months after County area), as well as CARB Executive provides that each of the five relevant promulgation or by August 12, 1993.5 Orders approving the commitments, and air districts will implement PAMS as On August 12, 1993, the California public process documentation. The required in 40 CFR part 58, as amended Air Resources Board (CARB) submitted California PAMS SIP revision is February 12, 1993. Each district will proposed PAMS network plans to the intended to meet the requirements of amend its SLAMS and its National Air EPA that included a schedule for section 182(c)(1) of the Act and affect Monitoring Stations monitoring systems implementation for each of the six compliance with the PAMS regulations, to include the PAMS requirements. subject areas in California. This codified at 40 CFR part 58, as Each district will develop its PAMS submittal was reviewed and approved promulgated on February 12, 1993. network design and establish in stages for the different areas.6 In each monitoring sites pursuant to 40 CFR Howekamp, Director, Air and Toxics Division, EPA part 58 in accordance with an approved 4 See 56 FR 56694, November 6, 1991. Region IX, dated August 15, 1995 (reference to network description and as negotiated 5 Since 1993, EPA has significantly amended and approval in part of the PAMS Network Plan for with the EPA through the CAA section re-organized the monitoring network requirements Sacramento County); letter from David P. 105 grant process on an annual basis. in 40 CFR part 58. For the purposes of this action, Howekamp, Air Division Director, EPA Region IX, the citations to part 58 refer to the July 1, 1993 to Richard J. Sommerville, Air Pollution Control Each district also provided the public version of 40 CFR part 58, not the current version Officer (APCO), San Diego County Air Pollution with an opportunity to inspect the because the California PAMS network description Control District (APCD), March 9, 1994 (approval in proposed network description during submitted in 1993 was intended to address the part of the PAMS Network Plan for San Diego the public review process for the regulatory requirements that applied at the time. County); memorandum from William F. Hunt, Jr., 6 See, e.g., memorandum from William F. Hunt, Director, Emissions, Monitoring, and Analysis proposed SIP revision prior to Jr., Director, Emissions, Monitoring, and Analysis Division, EPA OAQPS to David Howekamp, Division, EPA Office of Air Quality Planning and Director, Air and Toxics Division, EPA Region IX, 7 EPA, General preamble for future proposed Standards (OAQPS) to David P. Howekamp, dated August 16, 1995 (reference to approval in part rulemakings, State Implementation Plans; General Director, Air and Toxics Division, EPA Region IX, of the PAMS Network Plan for San Joaquin Valley); Preamble for the Implementation of Title I of the dated September 22, 1995 (reference to approval in and letter from David P. Howekamp, Air Division Clean Air Act Amendments of 1990, 57 FR 13498 part of the PAMS Network Plan for the South Coast Director, EPA Region IX, to Richard H. Baldwin, (April 16, 1992) (‘‘General Preamble’’). The and Southeast Desert); memorandum from William APCO, Ventura County APCD, March 9, 1994 enhanced monitoring requirement in CAA section F. Hunt, Jr., Director, Emissions, Monitoring, and (approval in part of the PAMS Network Plan for 182(c)(1) is addressed on page 13515 of the General Analysis Division, EPA OAQPS to David Ventura County). Preamble.
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forwarding the adopted version to CARB under the Regulatory Flexibility Act (5 ENVIRONMENTAL PROTECTION for approval and submittal to the EPA U.S.C. 601 et seq.); AGENCY as a revision to the California SIP. • Does not contain any unfunded 40 CFR Part 192 The five California air districts have mandate or significantly or uniquely implemented their PAMS networks as affect small governments, as described [EPA–HQ–OAR–2012–0788; FRL–9965–50– required in 40 CFR part 58. Each in the Unfunded Mandates Reform Act OAR] relevant air district also includes a of 1995 (Pub. L. 104–4); provision to meet quality assurance RIN 2060–AP43 • Does not have federalism requirements as contained in 40 CFR Health and Environmental Protection implications as specified in Executive part 58, appendix A and a provision to Standards for Uranium and Thorium Order 13132 (64 FR 43255, August 10, assure that the PAMS monitors will Mill Tailings meet monitoring methodology 1999); requirements contained in 40 CFR part • Is not an economically significant AGENCY: Environmental Protection 58, appendix C. Lastly, the air districts regulatory action based on health or Agency (EPA). provided assurance that the PAMS safety risks subject to Executive Order ACTION: Proposed rule; reopening of network within their respective 13045 (62 FR 19885, April 23, 1997); comment period. jurisdictions will be phased in over a • period of not more than five years as Is not a significant regulatory action SUMMARY: The U.S. Environmental required in 40 CFR 58.44. subject to Executive Order 13211 (66 FR Protection Agency (EPA) is announcing As such, we conclude that the PAMS 28355, May 22, 2001); a reopening of the public comment SIP revision submitted by CARB on • Is not subject to requirements of period for the Notice of Proposed November 10, 1993, meets the relevant section 12(d) of the National Rulemaking (NPRM) requesting public comment and information on revisions statutory and regulatory requirements, Technology Transfer and Advancement to the EPA’s ‘‘Health and Environmental and we propose to approve it as part of Act of 1995 (15 U.S.C. 272 note) because the California SIP. Protection Standards for Uranium and application of those requirements would Thorium Mill Tailings.’’ be inconsistent with the Clean Air Act; III. Proposed Action and Request for DATES: The comment period for the and Public Comment NPRM, published January 19, 2017 (82 • Under CAA section 110(k)(3) and for Does not provide the EPA with the FR 4408), is reopened. Written the reasons discussed above, the EPA discretionary authority to address, as comments must be received on or before proposes to approve the California appropriate, disproportionate human October 16, 2017. PAMS SIP revision submitted on health or environmental effects, using ADDRESSES: Submit your comments, November 10, 1993, for six ozone practicable and legally permissible identified by Docket ID No. EPA–HQ– nonattainment areas in California. We methods, under Executive Order 12898 OAR–2012–0788, at https:// will accept comments from the public (59 FR 7629, February 16, 1994). www.regulations.gov. Follow the online on the proposed approval for the next In addition, the SIP is not approved instructions for submitting comments. 30 days. to apply on any Indian reservation land Once submitted, comments cannot be or in any other area where the EPA or edited or removed from Regulations.gov. IV. Statutory and Executive Order The EPA may publish any comment Reviews an Indian tribe has demonstrated that a tribe has jurisdiction. In those areas of received to its public docket. Do not submit electronically any information Under the Clean Air Act, the Indian country, the proposed action you consider to be Confidential Administrator is required to approve a does not have tribal implications and SIP submission that complies with the Business Information (CBI) or other will not impose substantial direct costs provisions of the Act and applicable information whose disclosure is on tribal governments or preempt tribal federal regulations. 42 U.S.C. 7410(k); restricted by statute. Multimedia 40 CFR 52.02(a). Thus, in reviewing SIP law as specified by Executive Order submissions (audio, video, etc.) must be submissions, the EPA’s role is to 13175 (65 FR 67249, November 9, 2000). accompanied by a written comment. approve state choices, provided that List of Subjects in 40 CFR Part 52 The written comment is considered the they meet the criteria of the Clean Air official comment and should include Act. Accordingly, this proposed action Environmental protection, Air discussion of all points you wish to merely approves a state plan as meeting pollution control, Incorporation by make. The EPA will generally not federal requirements and does not reference, Intergovernmental relations, consider comments or comment impose additional requirements beyond Nitrogen dioxide, Ozone, Reporting and contents located outside of the primary those imposed by state law. For that recordkeeping requirements, Volatile submission (i.e., on the web, cloud, or reason, this proposed action: organic compounds. other file sharing system). For • additional submission methods, the full Is not a significant regulatory action Authority: 42 U.S.C. 7401 et seq. subject to review by the Office of EPA public comment policy, Management and Budget under Dated: July 14, 2017. information about CBI or multimedia Executive Orders 12866 (58 FR 51735, Deborah Jordan, submissions, and general guidance on October 4, 1993) and 13563 (76 FR 3821, Acting Regional Administrator, Region IX. making effective comments, please visit https://www.epa.gov/dockets/ January 21, 2011); [FR Doc. 2017–16276 Filed 8–1–17; 8:45 am] • commenting-epa-dockets. Does not impose an information BILLING CODE 6560–50–P collection burden under the provisions FOR FURTHER INFORMATION CONTACT: of the Paperwork Reduction Act (44 Ingrid Rosencrantz, EPA Office of U.S.C. 3501 et seq.); Radiation and Indoor Air, (202) 343– • Is certified as not having a 9286, [email protected]. significant economic impact on a SUPPLEMENTARY INFORMATION: The EPA substantial number of small entities published the NPRM on January 19,
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2017, in the Federal Register (82 FR • If you estimate potential costs or developed a Web site for the NPRM at: 7400), which included a request for burdens, explain how you arrived at https://www.epa.gov/radiation/40-cfr- comments on or before July 18, 2017. your estimate in sufficient detail to part-192-proposed-rulemaking-and- The purpose of this document is to allow it to be reproduced. background-documents. Please refer to reopen that comment period. • Illustrate your concerns with the original Federal Register NPRM for specific examples and suggest detailed information on accessing A. What should I consider as I prepare alternatives. information related to the document. my comments for the EPA? • Explain your views as clearly as In response to requests for an 1. Tips for Preparing Your Comments. possible, avoiding the use of profanity extension, we are reopening the public When submitting comments, remember or personal threats. comment period for this NPRM through to: • Make sure to submit your October 16, 2017. This action will • Identify the rulemaking by docket comments by the comment period provide the public additional time to number, subject heading, Federal deadline identified. provide comment on updating this Register date and page number. standard. • Explain why you agree or disagree; B. How can I get copies of this suggest alternatives and substitute document, the proposed rule and other Dated: July 26, 2017. language for your requested changes. related information? Jonathan D. Edwards, • Describe any assumptions and The EPA has established a docket for Director, Office of Radiation and Indoor Air. provide any technical information and/ this action under Docket ID No. EPA– [FR Doc. 2017–16170 Filed 8–1–17; 8:45 am] or data that you used. HQ–OAR–2012–0788. The EPA has also BILLING CODE 6560–50–P
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Notices Federal Register Vol. 82, No. 147
Wednesday, August 2, 2017
This section of the FEDERAL REGISTER (FACA) (5 U.S.C. App. 2), notice is groups affiliated with the categories contains documents other than rules or hereby given that the Secretary of listed above to nominate individuals or proposed rules that are applicable to the Agriculture intends to renew the Fruit themselves for membership on the public. Notices of hearings and investigations, and Vegetable Industry Advisory FVIAC. Nominations should describe committee meetings, agency decisions and Committee (FVIAC) for two years. The rulings, delegations of authority, filing of and document the proposed member’s petitions and applications and agency purpose of the FVIAC is to examine the fruit and vegetable industry statements of organization and functions are full spectrum of issues faced by the fruit qualifications for membership to the examples of documents appearing in this and vegetable industry and provide FVIAC. The Secretary of Agriculture section. suggestions and ideas to the Secretary seeks a diverse group of members on how USDA can tailor its programs to representing a broad spectrum of better meet the fruit and vegetable persons interested in providing DEPARTMENT OF AGRICULTURE industry’s needs. suggestions and ideas on how USDA The Deputy Administrator of the can tailor its programs to meet the fruit Agricultural Marketing Service Agricultural Marketing Service’s and vegetable industry’s needs. [Document Number AMS–SC–17–0015] Specialty Crops Program will serve as the FVIAC Executive Secretary. To nominate yourself or someone Fruit and Vegetable Industry Advisory Representatives from USDA mission else, please submit the following: A Committee (FVIAC): Notice of Intent To areas and agencies affecting the fruit resume (required), Form AD–755 Renew Charter and Call for and vegetable industry will be called (required), which can be accessed at: Nominations upon to participate in the FVIAC’s https://www.ams.usda.gov/about-ams/ meetings as determined by the FVIAC facas-advisory-councils/fviac/ AGENCY: Agricultural Marketing Service, Executive Secretary and the FVIAC. nominations, a cover letter, and a list of USDA. Industry members are appointed by endorsements or letters of ACTION: Notice: intent to renew charter the Secretary of Agriculture and serve 2- recommendation (optional). Resumes and call for nominations. year terms, with a maximum of three 2- must be no longer than 5 pages, and SUMMARY: The Fruit and Vegetable year terms. Membership consists of 25 should include a summary of the Industry Advisory Committee (FVIAC) members who represent the fruit and following information: Current and past was established to examine the full vegetable industry and will include organization affiliations; areas of spectrum of fruit and vegetable issues individuals representing fruit and expertise; education; career positions and provide recommendations and vegetable growers/shippers, fruit and held; any other notable positions held. ideas to the Secretary of Agriculture on vegetable wholesalers/distributors, brokers, retailers/restaurant Equal opportunity practices will be how the U.S. Department of Agriculture followed in all appointments to the (USDA) can tailor programs to better representatives, fresh-cut and other fruit FVIAC in accordance with USDA meet the needs of the fruit and vegetable and vegetable processors, and policies. To ensure that FVIAC industry. Through this Notice, USDA is foodservice suppliers. It should also announcing the following: Its intent to include individuals representing recommendations take into account the renew the Charter of the FVIAC, which farmers markets and food hubs, organic needs of the diverse groups served by expires on July 28, 2017; its call for and non-organic fruit and vegetable USDA, membership shall include, to the nominations to fill ten (10) upcoming representatives, and representatives extent practicable, individuals with vacancies for appointments in 2017, and from state departments of agriculture, demonstrated ability to represent its call for nominations for a pool of farmer organizations, and produce trade minorities, women, person with candidates to fill future unexpected associations. Through this Notice, the disabilities and limited resource vacancies in any of the position USDA seeks to fulfill two goals. Firstly, agriculture producers. it is seeking nominations to fill ten (10) categories should that occur. The information collection upcoming vacancies. The Secretary of DATES: The current FVIAC Charter requirements concerning the expires on July 28, 2017. Written Agriculture will appoint one person to each of these ten positions to serve a 2- nomination process have been nominations must be postmarked on or previously cleared by the Office of before September 1, 2017. year term of office beginning August 1, 2017, and ending July 31, 2019. Management and Budget (OMB) under ADDRESSES: Nomination applications Secondly, the USDA is seeking OMB Control No. 0505–0001. can be sent via email to Marlene Betts nominations to fill future unexpected Dated: July 27, 2017. at [email protected], or vacancies in any of the position Bruce Summers, mailed to: USDA–AMS–SCP, 1400 categories. These nominations will be Acting Administrator. Independence Avenue SW., Room held as a pool of candidates that the 2077–S., Stop 0235, Washington, DC Secretary of Agriculture can draw upon [FR Doc. 2017–16202 Filed 8–1–17; 8:45 am] 20250–0235. Electronic submittals are as replacement appointees if BILLING CODE 3410–02–P preferred. unexpected vacancies occur. A person FOR FURTHER INFORMATION CONTACT: appointed to fill a vacancy will serve for Marlene Betts, (202) 720–5057; Email: the remainder of the 2-year term of the [email protected]. vacant position. SUPPLEMENTARY INFORMATION: Pursuant The Secretary of Agriculture invites to the Federal Advisory Committee Act those individuals, organizations, and
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DEPARTMENT OF AGRICULTURE Mail: Paper, disk or CD–ROM repair, renovation, or construction of submissions should be submitted to Dr. buildings); (ii) the professional growth National Institute of Food and Joyce Parker, Division of Community and development of the faculty of the Agriculture and Education; Institute of Youth, NLGCA Institution; and (iii) the Family and Community (IYFC), development of graduate assistantships. Solicitation of Input From Stakeholder National Institute of Food and and Public Listening Session Agriculture, U.S. Department of Secondary Education, Two-Year Regarding: Capacity Building Grants Agriculture, STOP 2201, 1400 Postsecondary Education, and for Non-Land-Grant Colleges of Independence Avenue SW., Agriculture in the K–12 Classroom Agriculture (NLGCA); The Secondary Washington, DC 20250–2220. Challenge Grants Program (SPECA) Education, Two-Year Postsecondary Instructions: All submissions received The SPECA Challenge Grants Program Education and Agriculture in the K–12 must include the agency name and Classroom Challenge Grants Program reference to NIFA–2017–0003. All is a NIFA-administered competitive (SPECA); The Women and Minorities in comments received will be posted to grants program focused on improving Science, Technology, Engineering, and http://www.regulations.gov, including formal, K–14 food, agricultural, natural Mathematics Fields Program (WAMS); any personal information provided. resource, and human (FANH) sciences The Higher Education Challenge education. SPECA-funded projects FOR FURTHER INFORMATION CONTACT: Dr. Grants Program (HEC) ensure a competent and qualified Joyce Parker, Program Specialist, NIFA workforce will exist to serve the FANH AGENCY: National Institute of Food and at (202) 401–4512 or by email at [email protected]. sciences system. At the same time, Agriculture, USDA. SPECA-funded projects improve the SUPPLEMENTARY INFORMATION: Persons ACTION: Notice of web-based listening economic health and viability of wishing to present during the web-based session and request for stakeholder communities through the development listening session on Tuesday, August input. of degree programs emphasizing new 15, 2017, are requested to pre-register by and emerging employment SUMMARY: contacting Dr. Joyce Parker at As part of the National opportunities. Finally, SPECA projects Institute of Food and Agriculture’s [email protected]. Participants address the national challenge to (NIFA) strategy to successfully meet the may reserve one 5-minute comment increase the number and diversity of needs of its stakeholders, NIFA will host period. More time may be available, students entering the food, agricultural, a virtual listening session. The focus of depending on the number of people the listening session is to gather wishing to make a presentation. natural resource, and human (FANH) stakeholder input regarding capacity Reservations will be confirmed on a sciences (i.e., having a FANH sciences building grants for Non-Land-Grant first-come, first-served basis. All other workforce representative of the Nation’s Colleges of Agriculture (NLGCA); The participants may provide comments population). Secondary Education, Two-Year during the listening session if time Women and Minorities in Science, Postsecondary Education and permits, or by the listed means. Technology, Engineering, and Agriculture in the K–12 Classroom Background and Purpose: Capacity Mathematics Fields Program (WAMS) Challenge Grants Program (SPECA); The Building Grants for Non-Land-Grant Women and Minorities in Science, Colleges of Agriculture (NLGCA) The purpose of this program is to Technology, Engineering, and support research and extension projects Mathematics Fields Program (WAMS); The purpose of this program is to that increase participation by women The Higher Education Challenge Grants assist the NLGCA Institutions in and underrepresented minorities from Program (HEC). NIFA is particularly maintaining and expanding their rural areas in STEM. NIFA intends this interested in achieving the most impact capacity to conduct education, research, program to address educational needs, and outreach activities relating to and identifying suggested priorities in as determined by each institution, agriculture, renewable resources, and these programs. within broadly defined areas of food other similar disciplines. NLGCA DATES: and agricultural sciences and related The listening session will be Institutions may use the funds to held on Tuesday, August 15, 2017 from maintain and expand capacity: (A) To disciplines. Applications recommended 1:30 p.m. to 3:30 p.m., Eastern Daylight successfully compete for funds from for funding must highlight and Time (EDT). All written comments must Federal grants and other sources to carry emphasize a competent and qualified be received by 5 p.m. EDT on August out educational, research, and outreach workforce to guide the food and 15, 2017. activities that address priority concerns agricultural sciences system. WAMS- ADDRESSES: The web-based listening of national, regional, State, and local funded projects should improve the session will be hosted using Adobe interest; (B) to disseminate information economic health and viability of rural Connect and audio conference call. On relating to priority concerns to—(i) communities by developing research August 15th, please access the following interested members of the agriculture, and extension initiatives that focus on Web site, https://zoom.us/j/735656274. renewable resources, and other relevant new and emerging employment The audio conference call capabilities communities; (ii) the public; and (iii) opportunities in STEM occupations. can be accessed at 1–888–844–9904, any other interested entity; (C) to Hence, the goal of WAMS projects is to participant code 7923533#. encourage members of the agriculture, meet the national challenge to increase Registration: You may submit renewable resources, and other relevant the number and diversity of students comments, identified by NIFA–2017– communities to participate in priority entering food and agriculture-related 0003, by any of the following methods: education, research, and outreach STEM disciplines (i.e. having a food and Federal eRulemaking Portal: http:// activities by providing matching agricultural sciences workforce www.regulations.gov. Follow the funding to leverage grant funds; and, (D) representative of the nation’s instructions for submitting comments. through (i) the purchase or other population). Projects that contribute to Include NIFA–2017–0003 in the subject acquisition of equipment and other the economic viability of rural line of the message. infrastructure (not including alteration, communities are also encouraged.
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Higher Education Challenge Grants (NIFA) strategy to successfully meet the Instructions: All submissions received Program (HEC) needs of its stakeholders, NIFA will host must include the agency name and The Higher Education Challenge a virtual listening session. The focus of reference to NIFA–2017–0004. All Grants Program (HEC) is a NIFA- the listening session is to gather comments received will be posted to administered competitive grants stakeholder input for the Higher http://www.regulations.gov, including program focused on improving formal, Education Multicultural Scholars any personal information provided. baccalaureate or master’s degree level Program (MSP) and the National Needs FOR FURTHER INFORMATION CONTACT: Dr. food, agricultural, natural resources, and Graduate and Postgraduate Fellowship Joyce Parker, Program Specialist, NIFA human sciences (FANH) education and (NNF) Grants Program Request for at (202) 401–4512 or by email at first professional degree-level education Applications (RFA) in Fiscal Year (FY) [email protected]. 2018. NIFA is particularly interested in veterinary medicine (DVM). HEC SUPPLEMENTARY INFORMATION: projects provide funding to eligible achieving the most impact and Background and Purpose: Higher applicants to help ensure a competent, identifying suggested priorities in these Education Multicultural Scholars qualified and diverse workforce will workforce development programs. Program (MSP)—The purpose of the exist to serve the FANH sciences DATES: The listening session will be MSP is to provide scholarships to system. At the same time, HEC-funded held on Thursday, August 24, 2017 from support recruiting, engaging, retaining, projects improve the economic health 1:30 p.m. to 3:30 p.m., Eastern Daylight mentoring, and training committed, and viability of communities through Time (EDT). Anyone interested may eligible multicultural scholars, resulting the development of degree programs submit written comments. All written in either baccalaureate degrees within emphasizing new and emerging comments must be submitted to Dr. the food and agricultural sciences employment opportunities. Finally, Joyce Parker at joyce.parker@ disciplines or a Doctor of Veterinary HEC projects address the national nifa.usda.gov by 5 p.m. EDT on August Medicine (D.V.M.) degree. The challenge to increase the number and 24, 2017. scholarships are intended to encourage diversity of students entering the FANH ADDRESSES: The web-based listening outstanding students from groups that sciences (i.e., having a FANH sciences session will be hosted using Adobe are historically underrepresented and workforce representative of the Nation’s Connect and audio conference call. On underserved to pursue and complete population). August 24th, please access the following baccalaureate degrees in the Food, Web site, https://zoom.us/j/261558898. Agricultural, Natural Resources, and Implementation Plans The audio conference call capabilities Human Sciences, or achieve a D.V.M., All comments and the official can be accessed at 1–888–844–9904, that would lead to a diverse and highly transcript of the listening session, once participant code 7923533#. skilled work force. available, may be reviewed on the NIFA Registration: Persons wishing to Through these scholarships, the goal Web page, https://nifa.usda.gov/ present during the web-based listening of the MSP is to increase the stakeholder-feedback-education. NIFA session on Thursday, August 24, 2017, participation of any group historically plans to consider stakeholder input are requested to pre-register by underrepresented in USDA mission received from this listening session as contacting Dr. Joyce Parker at areas and prepare them for the well as other written comments in [email protected]. Participants professional and scientific workforce in developing the Fiscal Year 2018–19 may reserve one 5-minute comment these areas. Underrepresented/ solicitations for these programs. period. More time may be available, underserved groups are those whose depending on the number of people representation among food and Done at Washington, DC this 26th day of wishing to make a presentation. July, 2017. agricultural professionals is Reservations will be confirmed on a disproportionately less than their Sonny Ramaswamy, first-come, first-served basis. All other proportion in the general population as Director, National Institute of Food and participants may provide comments indicated in standard statistical Agriculture. during the listening session if time references, or as documented on a case- [FR Doc. 2017–16262 Filed 8–1–17; 8:45 am] permits, or by the listed means. You by-case basis by national survey data BILLING CODE 3410–22–P may submit comments, identified by (e.g. the U.S. Department of Education’s NIFA–2017–0004, by any of the Digest of Education Statistics, U.S. following methods: DEPARTMENT OF AGRICULTURE Federal eRulemaking Portal: http:// Department of Agriculture’s Food and www.regulations.gov. Follow the Agricultural Education Information National Institute of Food and instructions for submitting comments. Systems, etc.). Agriculture Email: National Needs Graduate and For the MSP program email—MSP@ Postgraduate Fellowship Grants Solicitation of Input From Stakeholders Program (NNF)—The purpose of the Regarding the Higher Education nifa.usda.gov. For the NNF program email—NNF@ NNF Grants Program is to provide Multicultural Scholars Program (MSP) nifa.usda.gov. funding to support students’ training and the National Needs Graduate and Include NIFA–2017–0004 in the and completion of master’s and/or Postgraduate Fellowship (NNF) Grants subject line of the message. doctoral degree programs in identified Program: Stakeholder and Public Mail: Paper, disk or CD–ROM national need areas within the Food, Listening Session submissions should be submitted to Dr. Agricultural, Natural Resources, and AGENCY: National Institute of Food and Joyce Parker, Division of Community Human Sciences. Awards made under Agriculture, USDA. and Education; Institute of Youth, NNF are specifically intended to ACTION: Notice of web-based listening Family and Community (IYFC), support traineeship programs that session and request for stakeholder National Institute of Food and engage outstanding students to pursue input. Agriculture, U.S. Department of and complete their degrees in areas Agriculture, STOP 2201, 1400 where there is a national need for the SUMMARY: As part of the National Independence Avenue SW., development of scientific and Institute of Food and Agriculture’s Washington, DC 20250–2220. professional expertise in the food and
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agricultural sciences. NNF awards FOR FURTHER INFORMATION CONTACT: methodology and assumptions used; (3) invest in graduate training and relevant James Wadsworth, Policy and Research ways to enhance the quality, utility, and international experiential learning for a Branch, RBS, U.S. Department of clarity of the information to be cadre of diverse individuals who Agriculture, STOP 3254, 1400 collected; and (4) ways to minimize the demonstrate their potential to Independence Avenue SW., burden of the collection of information successfully complete graduate degree Washington, DC 20250–3254, on those who are to respond, including programs in disciplines relevant to the Telephone (202) 720–7395 (this is not a through the use of appropriate mission of the USDA. toll-free number) or send an email automated, electronic, mechanical, or message to: james.wadsworth@ other technological collection Implementation Plans wdc.usda.gov. techniques or forms of information All comments and the official SUPPLEMENTARY INFORMATION: technology. Comments may be sent to transcript of the listening session, once Title: Annual Survey of Farmer Jeanne Jacobs, Regulations and available, may be reviewed on the NIFA Cooperatives. Paperwork Management Branch, U.S. Web page, https://nifa.usda.gov/ OMB Number: 0570–0007. Department of Agriculture, Rural stakeholder-feedback-education. NIFA Expiration Date of Approval: Development, Stop 0742, 1400 plans to consider stakeholder input November 30, 2017. Independence Ave. SW., Washington, received from this listening session as Type of Request: Revision of a DC 20250. All comments received will well as other written comments in currently approved information be available for public inspection during developing the Fiscal Year 2018 collection. regular business hours at the same solicitations for these programs. Abstract: A primary objective of Rural address. Done at Washington, DC, this 26 day of Business-Cooperative Service (RBS) is to All responses to this notice will be July, 2017. promote understanding, use and summarized and included in the request Sonny Ramaswamy, development of the cooperative form of for Office of Management and Budget Director, National Institute of Food and business as a viable option for approval. All comments will become a Agriculture. enhancing the income of agricultural matter of public record. [FR Doc. 2017–16259 Filed 8–1–17; 8:45 am] producers and other rural residents. Dated: July 25, 2017. BILLING CODE 3410–22–P RBS direct role is providing knowledge Chad Parker, to improve the effectiveness and Acting Administrator, Rural Business- performance of farmer cooperative Cooperative Service. DEPARTMENT OF AGRICULTURE businesses through technical assistance, [FR Doc. 2017–16183 Filed 8–1–17; 8:45 am] research, information, and education. BILLING CODE 3410–XY–P Rural Business-Cooperative Service The annual survey of farmer cooperatives collects basic statistics on Notice of Request for Extension of a cooperative business volume, net Currently Approved Information DEPARTMENT OF COMMERCE income, members, financial status, Collection employees, and other selected International Trade Administration AGENCY: Rural Business-Cooperative information to support RBS’ objective Service, USDA. and role. Cooperative statistics are [A–570–890] published in various reports and used ACTION: Proposed collection; comments by the U.S. Department of Agriculture, Wooden Bedroom Furniture, From the requested. cooperative management and members, People’s Republic of China; Partial educators and researchers, and others in Rescission of Antidumping Duty SUMMARY: In accordance with the Administrative Review Paperwork Reduction Act of 1995, this planning and in promoting the notice announces the Rural Business- cooperative form of business. AGENCY: Enforcement and Compliance, Cooperative Service’s (RBS) intention to Estimate of Burden: Public reporting International Trade Administration, revise a currently approved information burden for this collection of information Department of Commerce. is estimated to average 1 hour or less per collection in support of the program for SUMMARY: On March 15, 2017, the response. the Annual Survey of Farmer Department of Commerce (the Respondents: Farmer cooperatives. Cooperatives, as authorized in the Department) published a notice of Estimated Number of Respondents: Cooperative Marketing Act of 1926. initiation of an administrative review of 1,175. the antidumping duty order on wooden DATES: Comments on this notice must be Estimated Number of Responses per bedroom furniture from the People’s received by October 2, 2017 to be Respondent: 1. Republic of China (PRC). Based on the assured of consideration. Estimated Number of Responses: timely withdrawal of the requests for ADDRESSES: Interested persons are 1,175. review of certain companies, we are invited to submit comments regarding Estimated Total Annual Burden on now rescinding this administrative this revision. Comments should refer to Respondents: 1,160 Hours. the information collection by name and/ review for the period January 1, 2016, or OMB Control Number and should be Comments through December 31, 2016, with sent to: James Wadsworth, Policy and Comments are invited on: (1) Whether respect to 67 companies. Research Branch, RBS, U.S. Department the proposed collection of information DATES: Effective August 2, 2017. of Agriculture, STOP 3254, 1400 is necessary for the proper performance FOR FURTHER INFORMATION CONTACT: Independence Avenue SW., of the functions of RBS, including Patrick O’Connor, AD/CVD Operations, Washington, DC 20250–3254, (202) 720– whether the information will have Office IV, Enforcement and Compliance, 7395 (this is not a toll-free number) or practical utility; (2) the accuracy of the International Trade Administration, email [email protected] RBS’ estimate of the burden of the U.S. Department of Commerce, 1401 for a copy of the information collection proposed collection of information, Constitution Avenue NW., Washington, or other available information. including the validity of the DC 20230, telephone: (202) 482–0989.
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SUPPLEMENTARY INFORMATION: review requests for 67 of the 80 of antidumping duties prior to companies or groups of companies for liquidation of the relevant entries Background which the Department initiated a during this review period. Failure to On January 4, 2005, the Department review, as discussed below. comply with this requirement could published in the Federal Register the result in the Secretary’s assumption that Rescission of Review, in Part antidumping duty order on wooden the reimbursement of antidumping bedroom furniture from the PRC.1 On Pursuant to 19 CFR 351.213(d)(1), the duties occurred and the subsequent January 10, 2017, the Department Department will rescind an assessment of double antidumping published a notice of opportunity to administrative review, in whole or in duties. request an administrative review of the part, if a party that requested the review Order.2 The Department received withdraws its request within 90 days of Notification Regarding Administrative multiple timely requests for an the date of publication of the notice of Protective Orders administrative review of the Order.3 On initiation of the requested review. All This notice also serves as a reminder March 15, 2017, in accordance with requesting parties withdrew their to parties subject to administrative section 751(a) of Tariff Act of 1930, as respective requests for an administrative protective orders (APO) of their amended (the Act) and 19 CFR review of the companies or groups of responsibility concerning the return or 351.221(c)(1)(i), the Department companies listed in the Appendix to destruction of proprietary information published in the Federal Register a this notice within 90 days of the date of disclosed under an APO in accordance notice of the initiation of an publication of the Initiation Notice. with 19 CFR 351.305(a)(3), which administrative review of the Order.4 The Accordingly, the Department is continues to govern business administrative review was initiated with rescinding this review, in part, with proprietary information in this segment respect to 80 companies or groups of respect to these companies for which all of the proceeding. Timely written companies, and covers the period from review requests were withdrawn, in notification of the return or destruction January 1, 2016, through December 31, accordance with our practice 6 and 19 of APO materials or conversion to 2016.5 The requesting parties have CFR 351.213(d)(1).7 The administrative judicial protective order is hereby subsequently timely withdrawn all review will continue with respect to all requested. Failure to comply with the other firms for which a review was regulations and terms of an APO is a 1 See Notice of Amended Final Determination of requested and initiated. violation which is subject to sanction. Sales at Less Than Fair Value and Antidumping Duty Order: Wooden Bedroom Furniture From the Assessment This notice is issued and published in People’s Republic of China, 70 FR 329 (January 4, accordance with sections 751(a)(1) and 2005) (Order). The Department will instruct U.S. 777(i)(1) of the Act, and 19 CFR 2 See Antidumping or Countervailing Duty Order, Customs and Border Protection (CBP) to 351.213(d)(4). Finding, or Suspended Investigation; Opportunity assess antidumping duties on all To Request Administrative Review, 82 FR 2951 appropriate entries. For the companies Dated: July 27, 2017. (January 10, 2017). James Maeder, 3 for which this review is rescinded, See letter from Decca Furniture Limited, re: Senior Director performing the duties of ‘‘Wooden Bedroom Furniture from the People’s antidumping duties shall be assessed at Republic of China: Decca Furniture Limited’s rates equal to the cash deposit of Deputy Assistant Secretary for Antidumping Request for Administrative Review,’’ dated January estimated antidumping duties required and Countervailing Duty Operations. 11, 2017; see letter from Fine Furniture (Shanghai) at the time of entry, or withdrawal from Limited, re: ‘‘Administrative Review of the Appendix Antidumping Duty Order on Wooden Bedroom warehouse, for consumption, in • accordance with 19 CFR Beautter Furniture Mfg. Co. Furniture from the People’s Republic of China: • Best Beauty Furniture Co. Ltd. Request for Review and Request for Voluntary 351.212(c)(1)(i). The Department • C.F. Kent Co., Inc. Respondent Treatment,’’ dated January 18, 2017; intends to issue appropriate assessment • see letter from Guangzhou Maria Yee Furnishings C.F. Kent Hospitality, Inc. Ltd., PYLA HK LIMITED, and MARIA YEE, INC., instructions directly to CBP 15 days • Century Distribution Systems, Inc. re: ‘‘Wooden Bedroom Furniture from the People’s after publication of this notice. • Clearwise Co., Ltd. Republic of China; Request for Administrative • Dongguan Chengcheng Furniture Co., Ltd. Review and Request for Voluntary Respondent Notification to Importers • Dongguan Fortune Furniture Ltd. Treatment,’’ dated January 25, 2017; see letter from This notice serves as the only • Dongguan Jinfeng Creative Furniture the American Furniture Manufacturers Committee • Dongguan Kingstone Furniture Co., Ltd.; for Legal Trade and Vaughan-Bassett Furniture reminder to importers whose entries Company, Inc., re: ‘‘Wooden Bedroom Furniture will be liquidated as a result of this Kingstone Furniture Co., Ltd. • from the People’s Republic of China: Request for Dongguan Nova Furniture Co., Ltd. rescission notice, of their responsibility • Initiation of Administrative Review,’’ dated January under 19 CFR 351.402(f)(2) to file a Dongguan Singways Furniture Co., Ltd. 31, 2017; see letter from Kimball International, Inc., • Dongguan Zhisheng Furniture Co., Ltd. Kimball Furniture Group, Inc., and Kimball certificate regarding the reimbursement • Dorbest Ltd.; Rui Feng Woodwork Co., Ltd. Hospitality Inc., re: ’’ Wooden Bedroom Furniture aka Rui Feng Woodwork (Dongguan) Co., from the People’s Republic of China: Request for 6 See, e.g., Certain Lined Paper Products from Ltd.; Rui Feng Lumber Development Co., Initiation of Antidumping Duty Administrative India: Notice of Partial Rescission of Countervailing Ltd. aka Rui Feng Lumber Development Review,’’ dated January 31, 2017; see letter from Duty Administrative Review; 2014, 81 FR 7082 (Shenzhen) Co., Ltd. Xiamen Yongquan Sci-Tech Development Co., Ltd., (February 10, 2016). • Evergo Furniture Manufacturing Co., Ltd. re: ‘‘Request for Twelfth Administrative Review of 7 See Appendix. As stated in Change in Practice the Antidumping Duty Order on Wooden Bedroom • Fine Furniture (Shanghai) Ltd. in NME Reviews, the Department will no longer • Furniture from the People’s Republic of China,’’ consider the non-market economy (NME) entity as Fleetwood Fine Furniture LP dated January 31, 2017; and see letter from Ningbo an exporter conditionally subject to administrative • Fortune Furniture Ltd., Furniture Industries Limited, Ningbo Hengrun reviews. See Antidumping Proceedings: • Foshan Bailan Imp. & Exp. Ltd. Furniture Co., Ltd. and Techniwood Industries Announcement of Change in Department Practice • Foshan Shunde Longjiang Zhishang Limited, re: ‘‘Request for Twelfth Administrative for Respondent Selection in Antidumping Duty Furniture Factory Review of the Antidumping Duty Order on Wooden Proceedings and Conditional Review of the • Fujian Lianfu Forestry Co., Ltd. (aka Fujian Bedroom Furniture from the People’s Republic of Nonmarket Economy Entity in NME Antidumping China,’’ dated January 31, 2017. Wonder Pacific Inc.) Duty Proceedings, 78 FR 65963 (November 4, 2013) • 4 See Initiation of Antidumping and (Change in Practice in NME Reviews). The PRC- Guangzhou Maria Yee Furnishings Ltd., Countervailing Duty Administrative Reviews, 82 FR wide entity is not subject to this administrative Pyla HK Ltd., Maria Yee, Inc. 13795 (March 15, 2017) (Initiation Notice). review because no interested party requested a • Haining Kareno Furniture Co., Ltd. 5 Id. review of the entity. See Initiation Notice. • Hang Hai Woodcrafts Art Factory
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• Hangzhou Cadman Trading Co., Ltd. • Zhoushan For-Strong Wood Co., Ltd. SUPPLEMENTARY INFORMATION section of (Exporter) Haining Changbei Furniture Co., [FR Doc. 2017–16261 Filed 8–1–17; 8:45 am] this notice will be asked to sign a Ltd. (Producer) consortium Cooperative Research and • BILLING CODE 3510–DS–P Hualing Furniture (China) Co., Ltd.; Tony Development Agreement (CRADA) with House Manufacture (China) Co., Ltd.; NIST. An NCCoE consortium CRADA Buysell Investments Ltd.; Tony House Industries Co., Ltd. DEPARTMENT OF COMMERCE template can be found at: http:// • Jiangmen Kinwai Furniture Decoration Co., nccoe.nist.gov/node/138. Ltd. National Institute of Standards and FOR FURTHER INFORMATION CONTACT: • Jiangmen Kinwai International Furniture Technology William Haag, Jr. via email to sidr- Co., Ltd. [Docket No.: 170707635–7635–01] [email protected]; by telephone 301–975– • Jiangsu Dare Furniture Co., Ltd. 0239; or by mail to National Institute of • Jiangsu Xiangsheng Bedtime Furniture Co., RIN 0693–XC075 Standards and Technology, NCCoE; Ltd. 9700 Great Seneca Highway, Rockville, • Jiangsu Yuexing Furniture Group Co., Ltd. National Cybersecurity Center of • Jiant Furniture Co. Ltd. Excellence (NCCoE) Secure Inter- MD 20850. Additional details about the • Jiashan Zhenxuan Furniture Co., Ltd Domain Routing Building Block Secure Inter-Domain Routing Building • K Wee & Co., Ltd Block are available at: https:// • Kunshan Summit Furniture Co., Ltd. AGENCY: National Institute of Standards nccoe.nist.gov/projects/building-blocks/ • Nantong Wangzhuang Furniture Co. Ltd. and Technology, Department of secure-inter-domain-routing. • Nantong Yangzi Furniture Co., Ltd. Commerce. SUPPLEMENTARY INFORMATION: • Nathan International Ltd.; Nathan Rattan ACTION: Notice. Background: The NCCoE, part of NIST, Factory • is a public-private collaboration for Orient International Holding Shanghai SUMMARY: The National Institute of accelerating the widespread adoption of Foreign Trade Co., Ltd. Standards and Technology (NIST) integrated cybersecurity tools and • Passwell Corporation; Pleasant Wave Ltd. invites organizations to provide • Perfect Line Furniture Co., Ltd. technologies. The NCCoE brings • products and technical expertise to together experts from industry, PuTian Jinggong Furniture Co., Ltd. support and demonstrate security • Qingdao Liangmu Co., Ltd. government, and academia under one • Restonic (Dongguan) Furniture Ltd.; platforms for the Secure Inter-Domain roof to develop practical, interoperable Restonic Far East (Samoa) Ltd. Routing Building Block. This notice is cybersecurity approaches that address • Shanghai Jian Pu Export & Import Co., Ltd. the initial step for the National the real-world needs of complex • Shenzhen Diamond Furniture Co., Ltd. Cybersecurity Center of Excellence Information Technology (IT) systems. • Shenzhen Forest Furniture Co., Ltd. (NCCoE) in collaborating with • By accelerating dissemination and use Shenzhen Jiafa High Grade Furniture Co., technology companies to address of these integrated tools and Ltd.; Golden Lion International Trading cybersecurity challenges identified technologies for protecting IT assets, the Ltd. under the Secure Inter-Domain Routing • Shenzhen New Fudu Furniture Co., Ltd. NCCoE will enhance trust in U.S. IT • Building Block. Participation in the communications, data, and storage Shenzhen Wonderful Furniture Co., Ltd. building block is open to all interested • Shenzhen Xingli Furniture Co., Ltd. systems; reduce risk for companies and • Shing Mark Enterprise Co., Ltd.; Carven organizations. individuals using IT systems; and Industries Limited (BVI); Carven Industries DATES: Interested parties must contact encourage development of innovative, Limited (HK); Dongguan Zhenxin NIST to request a letter of interest job-creating cybersecurity products and Furniture Co., Ltd.; Dongguan Yongpeng template to be completed and submitted services. Furniture Co., Ltd. to NIST. Letters of interest will be Process: NIST is soliciting responses • Sunforce Furniture (Hui-Yang) Co., Ltd.; accepted on a first come, first served from all sources of relevant security Sun Fung Wooden Factory; Sun Fung Co.; basis. Collaborative activities will capabilities (see below) to enter into a Shin Feng Furniture Co., Ltd.; Stupendous commence as soon as enough completed International Co., Ltd. Cooperative Research and Development and signed letters of interest have been • Superwood Co., Ltd.; Lianjiang Zongyu Art Agreement (CRADA) to provide Products Co., Ltd. returned to address all the necessary products and technical expertise to • Techniwood Industries Ltd.; Ningbo components and capabilities, but no support and demonstrate security Furniture Industries Ltd.; Ningbo Hengrun earlier than September 1, 2017. When platforms for the Secure Inter-Domain Furniture Co., Ltd. the building block has been completed, Routing Building Block. The full • Tradewinds Furniture Ltd. (Successor-In- NIST will post a notice on the NCCoE building block can be viewed at: https:// Interest To Nanhai Jiantai Woodwork Co. Secure Inter-Domain Routing Building nccoe.nist.gov/projects/building-blocks/ Ltd.); Fortune Glory Industrial Ltd. (H.K. Block Web site at: https:// secure-inter-domain-routing. Interested Ltd.) nccoe.nist.gov/projects/building-blocks/ parties should contact NIST using the • Weimei Furniture Co., Ltd. • secure-inter-domain-routing, information provided in the FOR Wuxi Yushea Furniture Co., Ltd. announcing the completion of the • Xiamen Yongquan Sci-Tech Development FURTHER INFORMATION CONTACT section of Co., Ltd. building block and informing the public this notice. NIST will then provide each • Yihua Timber Industry Co., Ltd.; that it will no longer accept letters of interested party with a letter of interest Guangdong Yihua Timber Industry Co., interest for this building block. template, which the party must Ltd. ADDRESSES: The NCCoE is located at complete, certify that it is accurate, and • Zhangjiagang Daye Hotel Furniture Co., 9700 Great Seneca Highway, Rockville, submit to NIST. NIST will contact Ltd. MD 20850. Letters of interest must be interested parties if there are questions • Zhangzhou Guohui Industrial & Trade Co., submitted to [email protected] or via regarding the responsiveness of the Ltd. hardcopy to National Institute of letters of interest to the building block • Zhejiang Tianyi Scientific & Educational Equipment Co., Ltd. Standards and Technology, NCCoE; objective or requirements identified • Zhong Shun Wood Art Co. 9700 Great Seneca Highway, Rockville, below. NIST will select participants • Zhongshan Fookyik Furniture Co., Ltd. MD 20850. Organizations whose letters who have submitted complete letters of • Zhongshan Golden King Furniture of interest are accepted in accordance interest on a first come, first served Industrial Co., Ltd. with the process set forth in the basis within each category of product
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components or capabilities listed below 1. Network Exchange) and two internet draft BGP up to the number of participants in each • Enterprise-grade network supporting RFCs (BGPsec Protocol Specification category necessary to carry out this servers and security tools and BGPsec Operational building block. However, there may be • Router Considerations). continuing opportunity to participate Æ eBGP enabled Additional details about the Secure even after initial activity commences. Æ Support for RPKI-Router protocol to Inter-Domain Routing Building Block Selected participants will be required to communicate with RPKI VC are available at: https://nccoe.nist.gov/ enter into a consortium CRADA with Æ Minimum carrier grade router projects/building-blocks/secure-inter- NIST (for reference, see ADDRESSES requirements domain-routing. section above). NIST published a notice Æ Support for IPv4/IPv6 routes NIST cannot guarantee that all the in the Federal Register on October 19, Æ Internet feed to ISP router products proposed by respondents will 2012 (77 FR 64314) inviting U.S. • Switches be used in the demonstration. Each companies to enter into National • Servers Cybersecurity Excellence Partnerships • prospective participant will be expected Internet link from ISP to work collaboratively with NIST staff (NCEPs) in furtherance of the NCCoE. • Government related requirements For this demonstration project, NCEP and other project participants under the (Managed Trusted Internet Protocol terms of the consortium CRADA in the partners will not be given priority for Services (MTIPS) required or Trusted participation. development of the Secure Inter-Domain Internet Connection (TIC)) Routing Building Block. Prospective Building Block Objective: The • Firewalls building block objective is to participants’ contribution to the demonstrate means for improving inter- 2. RPKI collaborative effort will include assistance in establishing the necessary domain routing security. This project • Design supports RPKI specifications interface functionality, connection and will result in a NIST Cybersecurity described in RFCs 6480–6492 set-up capabilities and procedures, Practice Guide—a publicly available • RPKI VC demonstration harnesses, environmental description of the solution and practical Æ System requirements: Refer to the steps needed to implement practices document of the specific RPKI VC and safety conditions for use, integrated that effectively demonstrate the security Æ Rsync, RRDP and RPKI-Router platform user instructions, and and functionality of Route Origin capabilities demonstration plans and scripts Validation (ROV). A detailed Æ Minimal performance requirements necessary to demonstrate the desired description of the Secure Inter-Domain (as specified by RPKI VC capabilities. Each participant will train Routing Building Block is available at: application vendor) NIST personnel, as necessary, to operate https://nccoe.nist.gov/projects/building- • Hosted RPKI support from RIR its product in capability blocks/secure-inter-domain-routing. demonstrations. Following successful Requirements: Each responding 3. Tools demonstrations, NIST will publish a organization’s letter of interest should • Monitoring and management tools for description of the security platform and identify which security platform RPKI–ROV its performance characteristics sufficient component(s) or capability(ies) it is Æ Functionality monitoring of routers to permit other organizations to develop offering. Letters of interest should not and RPKI VC and deploy security platforms that meet include company proprietary Æ Performance of ROA affecting the security objectives of the Secure information, and all components and routers Inter-Domain Routing Building Block. capabilities must be commercially Æ Additional tools for securing ROV These descriptions will be public available. Components are listed in Responding organizations need to information. section 3 of the Secure Inter-Domain understand and, in their letters of Under the terms of the consortium Routing Building Block (for reference, interest, commit to provide: CRADA, NIST will support please see the link in the Process section 1. Access for all participants’ project development of interfaces among above) and include, but are not limited teams to component interfaces and the participants’ products by providing IT to: organization’s experts necessary to make infrastructure, laboratory facilities, • Routers with software that supports functional connections among security office facilities, collaboration facilities, BGP, RPKI–ROV, and RPKI-Router platform components. and staff support to component protocol. 2. Support for development and composition, security platform • RPKI Validator Cache (or RPKI VC) demonstration of the Secure Inter- documentation, and demonstration • ROA data Domain Routing Building Block in activities. NCCoE facilities which will be • Operations monitoring and validation The dates of the demonstration of the conducted in a manner consistent with tools the following standards and guidance: Secure Inter-Domain Routing, Building • RIR RPKI repository Block capability will be announced on • FIPS 200; FIPS 201; OMB Circular A– Data storage for operations monitoring 130; FIPS 140–2; SP 800–37 Rev. 1; SP the NCCoE Web site at least two weeks and validation 800–53 Rev. 4; SP 800–54; SP 800–57 in advance at http://nccoe.nist.gov/. The • BGP updates (minimum routes Part 1; SP 800–130; SP 800–152; SP expected outcome of the demonstration received by lab routers) 800–160; NIST Framework for is to improve Secure Inter-Domain Each responding organization’s letter Improving Critical Infrastructure Routing within the enterprise. of interest should identify how their Cybersecurity; and RFCs 793, 3882, Participating organizations will gain products address one or more of the 4012 5280, 5575, 6092, 6472, 6480, from the knowledge that their products following desired solution 6481–6493, 6811, 7115, 7318, 7454, are interoperable with other characteristics in section 3 of the Secure 7674, 7908, 7909, and 8097 . The project participants’ offerings. Inter-Domain Routing Building Block will also be informed by an in-progress For additional information on the (for reference, please see the link in the draft 800-series NIST Special NCCoE governance, business processes, Process section above): Publication (Secure Interdomain Traffic and NCCoE operational structure, visit
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the NCCoE Web site http:// National Marine Fisheries Service Estimated Number of Respondents: nccoe.nist.gov/. (NMFS) tracks allocations and 120. allocation leases, and reconciles leases Estimated Time per Response: 10 Phillip A. Singerman, with bluefin tuna catches for quota minutes for initial application for IBQ Associate Director for Innovation and monitoring. The extension of this account; 15 minutes per IBQ allocation Industry Services. collection of information will allow lease. [FR Doc. 2017–16219 Filed 8–1–17; 8:45 am] NMFS to continue to account for the Estimated Total Annual Burden BILLING CODE 3510–13–P reporting burden associated with Hours: 29. allocation and lease tracking. There are Estimated Total Annual Cost to no new requirements. Public: $1,100 in recordkeeping/ DEPARTMENT OF COMMERCE First-time vessel permit holders in the reporting costs (total annualized expense for 5% of respondents who may National Oceanic and Atmospheric affected categories must obtain and set not have a computer and choose to Administration up an IBQ account in the online ‘‘Catch Shares Online System’’ in order to be purchase one). Proposed Information Collection; issued IBQ shares and resultant IV. Request for Comments Comment Request; Atlantic Highly allocation, and to lease IBQ. To use the Comments are invited on: (a) Whether Migratory Species (HMS) Individual electronic IBQ System, first-time the proposed collection of information Bluefin Tuna Quota Tracking participants will need to request an is necessary for the proper performance account and set their account up with of the functions of the agency, including AGENCY: National Oceanic and background information. The whether the information shall have Atmospheric Administration (NOAA), information collected during account practical utility; (b) the accuracy of the Commerce. issuance and set-up will be used by agency’s estimate of the burden ACTION: Notice. NMFS to verify the identity of the (including hours and cost) of the individual/business and whether they SUMMARY: proposed collection of information; (c) The Department of qualify for IBQ allocation leasing. Commerce, as part of its continuing ways to enhance the quality, utility, and The lease monitoring information effort to reduce paperwork and clarity of the information to be collected by the online system will be respondent burden, invites the general collected; and (d) ways to minimize the used by each permit holder to keep public and other Federal agencies to burden of the collection of information track of their individual IBQ allocation, take this opportunity to comment on on respondents, including through the and document allocation leases with proposed and/or continuing information use of automated collection techniques other IBQ participants. NMFS will use collections, as required by the or other forms of information these data to ensure proper accounting Paperwork Reduction Act of 1995. technology. of allocations among participants, and Comments submitted in response to DATES: Written comments must be to track use of quota allocations and submitted on or before October 2, 2017. this notice will be summarized and/or reconcile allocation usage with bluefin included in the request for OMB ADDRESSES: Direct all written comments tuna catch and landings. approval of this information collection; to Jennifer Jessup, Departmental Atlantic HMS fisheries are managed they also will become a matter of public Paperwork Clearance Officer, under the dual authority of the record. Department of Commerce, Room 6616, Magnuson-Stevens Fishery 14th and Constitution Avenue NW., Conservation and Management Act Dated: July 27, 2017. Washington, DC 20230 (or via the (MSA) and the Atlantic Tunas Sarah Brabson, Internet at [email protected]). Convention Act (ATCA). Under the NOAA PRA Clearance Officer. FOR FURTHER INFORMATION CONTACT: MSA, management measures must be [FR Doc. 2017–16193 Filed 8–1–17; 8:45 am] Requests for additional information or consistent with ten National Standards, BILLING CODE 3510–22–P copies of the information collection and fisheries must be managed to instrument and instructions should be maintain optimum yield, rebuild directed to Margo Schulze-Haugen, overfished fisheries, and prevent DEPARTMENT OF COMMERCE (301) 427–8503 or Margo.Schulze- overfishing. Under ATCA, the Secretary National Oceanic and Atmospheric [email protected]. of Commerce shall promulgate Administration SUPPLEMENTARY INFORMATION: regulations, as necessary and appropriate, to implement measures RIN 0648–XF532 I. Abstract adopted by the International Amendment 7 to the 2006 Commission for the Conservation of Northwest Atlantic Fisheries Consolidated HMS Fishery Management Atlantic Tunas (ICCAT). Organization Consultative Committee Nominations and Meeting Plan (79 FR 71510, December 2, 2014) II. Method of Collection implemented individual bluefin tuna Announcement quota (IBQ) shares and allocations for Information will be collected on line AGENCY: National Marine Fisheries vessels permitted in the Atlantic Tunas using the electronic IBQ System. Service (NMFS), National Oceanic and Longline Category and Atlantic Tunas III. Data Atmospheric Administration (NOAA), Purse Seine Category. IBQs are intended Commerce. OMB Control Number: 0648–0677. to fairly and effectively allocate limited ACTION: Notice calling for nominations Form Number(s): None. quota for incidental capture of bluefin and announcing meeting. tuna among vessels in the Longline Type of Review: Regular (extension of category, while minimizing dead a current information collection). SUMMARY: NOAA is soliciting discards and discouraging interactions Affected Public: Businesses or other nominations for individuals to serve as with bluefin tuna, and better utilizing for-profit organizations; individuals or members of the Northwest Atlantic the Purse seine category quota. An on- households; and State, Local, or Tribal Fisheries Organization (NAFO) line system developed by the NOAA government. Consultative Committee. This action is
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necessary to ensure that the interests of knowledgeable and experienced in the SUMMARY: The Department of U.S. stakeholders in the fisheries of the conservation and management of Commerce, as part of its continuing Northwest Atlantic Ocean are fisheries in the Northwest Atlantic effort to reduce paperwork and adequately represented in NAFO. Ocean. Members shall be appointed to respondent burden, invites the general NOAA is also announcing a meeting of a 2-year term and are eligible for public and other Federal agencies to the NAFO Consultative Committee. reappointment. The NCC is exempted take this opportunity to comment on DATES: The NAFO Consultative from the Federal Advisory Committee proposed and/or continuing information Committee Meeting will be held on Act. NCC members are invited to attend collections, as required by the August 30, 2017. all non-executive meetings of the U.S. Paperwork Reduction Act of 1995. ADDRESSES: Nominations for NAFO Commissioners and at such meetings are DATES: Written comments must be Consultative Committee members given an opportunity to examine and to submitted on or before October 2, 2017. be heard on all proposed programs of should be made in writing to Mr. Patrick ADDRESSES: Direct all written comments E. Moran, Office of International Affairs, study and investigation, reports, recommendations, and regulations of to Jennifer Jessup, Departmental National Marine Fisheries Service, at Paperwork Clearance Officer, 1315 East-West Highway, Silver Spring, issues relating to the Act and proceedings of NAFO. In addition, NCC Department of Commerce, Room 6616, MD 20910. Nominations and questions 14th and Constitution Avenue NW., about the NAFO Consultative members may attend all public meetings of the NAFO Commission and any other Washington, DC 20230 (or via the Committee meeting may also be sent via Internet at [email protected]). email ([email protected]). meetings to which they are invited. FOR FURTHER INFORMATION CONTACT: FOR FURTHER INFORMATION CONTACT: Nominations Mr. Requests for additional information or Patrick E. Moran, (301) 427–8370. Nominations to the NCC will be copies of the information collection SUPPLEMENTARY INFORMATION: accepted at any time and should instrument and instructions should be Background document an individual’s qualifications directed to David Ulmer, (757) 723– based on those outlined in 16 U.S.C. 0303 or [email protected]. NAFO is a regional fisheries 5607 (see above). Re´sume´s and/or SUPPLEMENTARY INFORMATION: management organization that curriculum vitae will be requested from coordinates scientific study and nominees. Self-nominations are I. Abstract cooperative management of the fisheries acceptable, and current and former NCC This request is for extension of a resources of the Northwest Atlantic members are eligible for reappointment. currently approved information Ocean, excluding salmon, tunas/ Nominations will be evaluated by collection. marlins, whales and sedentary species officials in the Department of Commerce (e.g., shellfish). NAFO was established who are familiar with the duties and Federally permitted dealers, and any in 1979 by the Convention on Future responsibilities of NCC membership. All individual acting in the capacity of a Multilateral Cooperation in the nominees will be notified of their status dealer, must submit to the Regional Northwest Atlantic Fisheries. The and any need for further information Administrator or to the official designee United States acceded to the Convention once the nomination process is a detailed report of all fish purchased or in 1995, and has participated actively in complete. received for a commercial purpose, NAFO since that time. In 2005, NAFO other than solely for transport on land, launched a reform effort to amend the Meeting by one of the available electronic Convention in order bring the A meeting of the NCC will be held reporting mechanisms approved by Organization more in line with the 1:30–3 p.m. on August 30, 2017, at the National Marine Fisheries Service principles of modern fisheries NMFS Greater Atlantic Regional (NMFS). The information obtained is management. As a result of these efforts, Fisheries Office at 55 Great Republic used by economists, biologists, and the Amendment to the Convention on Drive, Gloucester, MA 01930. All managers in the management of the Future Multilateral Cooperation in the members of the public with an interest fisheries. The data collection parameters Northwest Atlantic Fisheries entered in the fisheries of the Northwest are consistent with the current into force in May 2017. NAFO currently Atlantic Ocean are welcome to attend. requirements for Federal dealers under has 12 Contracting Parties, including Dated: July 27, 2017. the authority of the Magnuson-Stevens Fishery Conservation and Management Canada, Cuba, Denmark (in respect of Steven Wilson, Act. This is an extension request of the Faroe Islands and Greenland), European Acting Director, Office of International Union, France (in respect of St. Pierre Affairs, National Marine Fisheries Service. current approval. and Miquelon), Iceland, Japan, Norway, [FR Doc. 2017–16245 Filed 8–1–17; 8:45 am] II. Method of Collection Republic of Korea, Russian Federation, BILLING CODE 3510–22–P Ukraine and the United States. Dealers submit purchase information As outlined in 16 U.S.C. 5607 through an electronic process by one of provides that the Secretaries of DEPARTMENT OF COMMERCE the following: The web based system as Commerce and State shall jointly administered by the Atlantic Coast establish a NAFO Consultative National Oceanic and Atmospheric Cooperative Statistics Program, the Committee (NCC) to advise the Administration computer based trip ticket program Secretaries on issues related to the issued by the NMFS or through a NMFS NAFO Convention. Membership in the Proposed Information Collection; approved proprietary mechanism. Comment Request; Northeast Region NCC is open to representatives from the III. Data New England and Mid-Atlantic Fishery Dealer Purchase Reports OMB Control Number: 0648–0229. Management Councils, the States AGENCY: National Oceanic and represented on those Councils, the Atmospheric Administration (NOAA), Form Number(s): None. Atlantic States Marine Fisheries Commerce. Type of Review: Regular submission Commission, the fishing industry, the (request for extension of a currently ACTION: Notice. seafood processing industry, and others approved information collection).
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Affected Public: Business or other for Burden Hours: 485. Estimated Time per Response: 10 profit organizations, individuals or Needs and Uses: The objective of the minutes. households. web-based focus groups, phone Estimated Total Annual Burden Estimated Number of Respondents: interviews, and online survey is to Hours: 9,000. 715. collect information on the current use of Estimated Total Annual Cost to Estimated Time per Response: 4 NOAA’s National Weather Service Public: $0. minutes per fishing trip. (NWS) Weather Prediction Center Needs and Uses: As the next Estimated Total Annual Burden (WPC) products, including probabilistic installment of a decades-long series of Hours: 30,980. forecasts focusing on the 8 to 10 day data collections, NTIA proposes to add Estimated Total Annual Cost to timeframe, as well as forecast needs. 66 questions to the U.S. Census Public: $23,235 in recordkeeping/ The web-based focus groups and phone Bureau’s (‘‘Bureau’’) November 2017 reporting costs. interviews will ask participants to CPS to gather reliable data on computer IV. Request for Comments explain their survey responses. This and broadband (also known as high- information will help create better 8 to Comments are invited on: (a) Whether speed Internet) use by U.S. households. 10 day weather forecast products used President Trump has expressed support the proposed collection of information by the National Weather Service (NWS) is necessary for the proper performance for broadband expansion in the United to protect lives and property. States, particularly in rural of the functions of the agency, including Affected Public: Individuals or whether the information shall have communities, stating an intention to households; business or other for-profit include broadband in the $1 trillion practical utility; (b) the accuracy of the organizations. agency’s estimate of the burden infrastructure plan the Administration Frequency: One time. is developing.1 In addition, Secretary of (including hours and cost) of the Respondent’s Obligation: Voluntary. proposed collection of information; (c) This information collection request Commerce Wilbur Ross has noted ways to enhance the quality, utility, and may be viewed at reginfo.gov. Follow broadband’s importance to the nation’s clarity of the information to be the instructions to view Department of future and its economic policy, collected; and (d) ways to minimize the including at his confirmation hearing in Commerce collections currently under 2 burden of the collection of information review by OMB. January 2017. on respondents, including through the Written comments and To aid the Administration’s plan to use of automated collection techniques recommendations for the proposed incorporate broadband in the upcoming or other forms of information information collection should be sent infrastructure initiative and ensure the technology. within 30 days of publication of this digital preparedness of the nation’s Comments submitted in response to notice to OIRA_Submission@ current and future workforce, NTIA data this notice will be summarized and/or omb.eop.gov or fax to (202) 395–5806. will reveal consumers’ changing included in the request for OMB demand for broadband, as well as their Dated: July 27, 2017. online activities. The information may approval of this information collection; Sarah Brabson, they also will become a matter of public inform decisions about the scope and NOAA PRA Clearance Officer. record. scale of the needed infrastructure, [FR Doc. 2017–16189 Filed 8–1–17; 8:45 am] particularly in remote and sparsely Dated: July 27, 2017. BILLING CODE 3510–KE–P populated areas where broadband Sarah Brabson, deployment may be difficult and costly. NOAA PRA Clearance Officer. It may also shed light on opportunities [FR Doc. 2017–16194 Filed 8–1–17; 8:45 am] DEPARTMENT OF COMMERCE to increase digital literacy and use BILLING CODE 3510–22–P National Telecommunications and among Americans who currently use the Information Administration Internet sparingly, if at all. NTIA works with Congress, the Federal DEPARTMENT OF COMMERCE Submission for OMB Review; Communications Commission (FCC), National Oceanic and Atmospheric Comment Request and other stakeholders to develop and Administration advance economic and regulatory The Department of Commerce will policies that foster broadband submit to the Office of Management and Submission for OMB Review; deployment and adoption. Current, Budget (OMB) for clearance the Comment Request systematic, and comprehensive data on following proposal for collection of broadband use and non-use by U.S. The Department of Commerce will information under the provisions of the households are critical to allow submit to the Office of Management and Paperwork Reduction Act (44 U.S.C. policymakers not only to gauge progress Budget (OMB) for clearance the Chapter 35). made to date, but also to identify following proposal for collection of Agency: National problem areas with a specificity that information under the provisions of the Telecommunications and Information Paperwork Reduction Act. Administration (NTIA). 1 See Remarks by President Trump on Agency: National Oceanic and Title: Submission of proposed Agricultural Innovation in Cedar Rapids, IA (June Atmospheric Administration (NOAA). information collection; Computer and 21, 2017) at https://www.whitehouse.gov/the-press- Title: Day 8 to 10 Forecast Focus Internet Use Supplement to the Census office/2017/06/22/remarks-president-trump- agricultural-innovation-cedar-rapids-ia. See also Groups, Interviews and Survey. Bureau’s Current Population Survey Remarks by President Trump in Listening Session OMB Control Number: 0648–xxxx. (CPS). with Members of Congress (Feb. 16, 2017) at https:// Form Number(s): None. OMB Control Number: 0660–0021. www.whitehouse.gov/the-press-office/2017/02/16/ Type of Request: Regular (request for Form Number(s): None. remarks-president-trump-listening-session- a new information collection). Type of Request: Regular submission members-congress. Number of Respondents: 775. (Revision of a currently approved 2 See Amir Nasr, Here’s What Ross Said About Tech Policy During His Confirmation Hearing, Average Hours per Response: Focus collection). Morning Consult (Jan. 18, 2017) at https:// groups, 2 hours; interviews, 1 hour; Estimated Number of Respondents: morningconsult.com/2017/01/18/heres-ross-said- survey, 30 minutes. 54,000 households. tech-policy-confirmation-hearing/.
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permits carefully targeted and cost notice to OIRA_Submission@ provide consumers the option to make effective responses. omb.eop.gov or faxed to (202) 395–5806. phone payments by using a credit card, The U.S. government’s critical need debit card, or electronic check, or to Sheleen Dumas, for comprehensive broadband data have their payment expedited. A continues to increase as high-speed Department al PRA Lead, Office of the Chief number of entities also use third-party Information Officer. Internet access and the skills to use the service providers to handle and process technology are becoming essential to [FR Doc. 2017–16255 Filed 8–1–17; 8:45 am] the payments. State and Federal laws Americans’ daily lives and to the BILLING CODE 3510–60–P may restrict fees related to phone nation’s economy. The U.S. Government payments.1 Entities are advised to Accountability Office, NTIA, and the review applicable laws to determine FCC have all issued reports noting the BUREAU OF CONSUMER FINANCIAL whether they may charge phone pay importance of useful broadband PROTECTION fees. In the course of its Supervision and adoption data for policymakers. Enforcement activities, the Bureau has Compliance Bulletin 2017–01: Phone Congress sought to address the paucity identified conduct that may violate or Pay Fees of such information in the Broadband risks violating Federal consumer Data Improvement Act in 2008 and the AGENCY: Bureau of Consumer Financial financial laws relating to phone pay fee American Recovery and Reinvestment Protection. practices. Act in 2009, and recent congressional ACTION: Compliance bulletin. Report of Supervisory or Enforcement action has highlighted the need for more Findings accurate broadband data.3 Modifying SUMMARY: The Consumer Financial the November 2017 CPS to include Protection Bureau (CFPB or Bureau) Examples of Conduct That May Violate NTIA’s requested information collection issues this Compliance Bulletin to or Risk Violating the Prohibition on will enable the Commerce Department provide guidance to covered persons UDAAPs and NTIA to advance the and service providers regarding fee Under the Dodd-Frank Act, all Administration’s infrastructure assessments for pay-by-phone services covered persons or service providers are initiative, as well as to respond to (phone pay fees) and the potential for legally required to refrain from congressional concerns and directives. violations of sections 1031 and 1036 of committing unfair, deceptive, or abusive Since 1994, NTIA has sponsored 13 the Dodd-Frank Wall Street Reform and acts or practices in violation of the Act. supplements to the CPS on the Internet Consumer Protection Act’s (Dodd-Frank An act or practice is unfair when (i) it and the shifting technologies consumers Act) prohibition on engaging in unfair, causes or is likely to cause substantial use for online access. The Census deceptive, or abusive acts or practices injury to consumers; (ii) the injury is not Bureau enjoys an outstanding reputation (collectively, UDAAPs) when assessing reasonably avoidable by consumers; and for data gathering and analysis based on phone pay fees. This Bulletin also (iii) the injury is not outweighed by its centuries of experience and its provides guidance to debt collectors countervailing benefits to consumers or scientific methods. Coordinating NTIA’s about compliance with the Fair Debt to competition.2 An act or practice is requested information collection on Collection Practices Act (FDCPA) when deceptive when (i) the act or practice broadband usage with the Bureau’s assessing phone pay fees. misleads or is likely to mislead the scheduled November 2017 CPS will This Bulletin summarizes the current consumer; (ii) the consumer’s significantly reduce the potential law, highlighting relevant examples of interpretation is reasonable under the burdens on that agency and on surveyed conduct observed during supervisory circumstances; and (iii) the misleading households. The 66 questions to be examinations and enforcement act or practice is material.3 added to the November 2017 CPS are investigations that may violate Federal Depending on the facts and comparable to the 61 questions that consumer financial law. Whether circumstances, the following non- NTIA added to the July 2015 CPS. conduct similar to the conduct exhaustive list of examples of conduct Affected Public: Individuals and described in this Bulletin violates these related to phone pay fees may constitute households. laws may depend on additional facts UDAAPs or contribute to the risk of 4 Frequency: Once. and analysis. The Bureau will closely committing UDAAPs. Accordingly, the Respondent’s Obligation: Voluntary. review conduct related to phone pay 1 For example, as implemented by Regulation Z, This information collection request fees for potential violations of Federal consumer financial laws. a Credit CARD Act amendment to the Truth In may be viewed at reginfo.gov. Follow Lending Act provides that for credit card accounts the instructions to view Department of DATES: The Bureau released this under an open-end consumer credit plan, a creditor Commerce collections currently under Compliance Bulletin on its Web site on (including a third party that collects, receives, or July 27, 2017. processes payments on behalf of a creditor) may not review by OMB. impose a separate fee to allow consumers to make Written comments and FOR FURTHER INFORMATION CONTACT: a payment by any method (including telephone recommendations for the proposed Chantal Hernandez, Attorney-Advisor, payments) unless the payment method involves an Office of Supervision Policy, 1700 G expedited service by a service representative of the information collection should be sent creditor. See 15 U.S.C. 1637(l); 12 CFR 1026.10(e). within 30 days of publication of this Street NW., 20552, (202) 435–7084. 2 Dodd-Frank Act §§ 1031, 1036, 12 U.S.C. 5531, SUPPLEMENTARY INFORMATION: 5536. 3 See e.g., Dean Heller, U.S. Senator for Nevada, 3 See CFPB Exam Manual at UDAAP 5 (noting Heller, Manchin Introduce Bill to Expand Access to [1]. Compliance Bulletin that the standard for ‘‘deceptive’’ practices in the Rural Broadband (June 15, 2017) at https:// Across various consumer financial Dodd-Frank Act is informed by the standards for www.heller.senate.gov/public/index.cfm/ the same terms under Section 5 of the FTC Act). pressreleases?ID=D1AC86C9-DAC4-43F1-B72D- products and services, many entities 4 The Bureau will also review whether phone pay E6CE577C3925; U.S. House Energy and Commerce provide consumers multiple payment fee conduct may violate the Dodd-Frank Act’s Committee, #SubCommTech Examines Further options. For instance, many provide prohibition on abusive acts or practices. An act or Challenges and Opportunities to Achieve consumers the option of making practice is abusive when it materially interferes Nationwide Broadband Coverage (June 21, 2017) at with the ability of a consumer to understand a term https://energycommerce.house.gov/news-center/ payments over the phone by using an or condition of a consumer financial product or press-releases/subcommtech-examines-further- automated system or speaking with a service; or takes unreasonable advantage of (i) a challenges-and-opportunities-achieve. live representative. Many entities also consumer’s lack of understanding of the material
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Bureau will be watching these practices circumstances to make any payment by may leave the misimpression that there closely. phone. is no service fee, when in fact the entity For example, in a public enforcement does charge the consumer a fee. This Failing To Disclose the Prices of All action, the Bureau alleged that an entity potential misrepresentation may be Available Phone Pay Fees When and its service provider engaged in material to consumers because a Different Phone Pay Options Carry deceptive acts or practices when it gave Materially Different Fees consumer who knows about the fee may delinquent credit card holders the false inquire whether there is an alternative Many entities charge different phone impression that they had to pay $14.95 payment option with a lower fee or may pay fees depending on the payment to make payment by phone when, in choose a payment method that requires method used by the consumer. Prior to fact, the sole purpose of that fee was to no fee. charging such fees, entities sometimes expedite phone payments. Specifically, send periodic billing statements or other the Bureau alleged that the entity or its Lack of Employee Monitoring or Service documentation that discloses that service provider: (i) Misrepresented in Provider Oversight May Lead to ‘‘transaction fees may apply’’ to various credit card agreements that the fee’s Misrepresentations or Failure To payment methods, but that do not purpose was to allow payment by Disclose Available Options and Fees disclose the relevant fees to be charged phone, when its purpose was solely to A number of entities have policies for those methods.5 In some of these ensure payment posted the same day it and procedures in place requiring instances, entities may depend solely on was made; (ii) failed to disclose during phone representatives to disclose all phone representatives to disclose the collection calls that the fee’s purpose available phone pay options and fees to relevant fees to consumers before the was solely to expedite payment, and in consumers, including requiring the use charge is imposed. Yet, the phone certain circumstances misrepresented of detailed phone scripts. But deviations representatives may potentially only that the fee was a ‘‘processing fee’’; (iii) from call scripts may potentially cause reveal the higher-cost options or fail to volunteered that consumers could make phone representatives to misrepresent inform consumers of the material price payment using a checking account and the available phone payment options difference between available options. triggered the fee by setting such and fees resulting in a consumer being This conduct poses a risk of an unfair payments to post immediately by charged a higher fee than otherwise practice: It may cause substantial harm default; and (iv) failed to disclose the would have been applicable. Entities to consumers, who are pushed into existence of no-cost payment can reduce the risk of materially higher-cost options; this alternatives, including free next-day misrepresentations through adequate harm may not be reasonably avoidable payment.6 monitoring. if consumers are unable to select lower- In another public enforcement action, In November 2016 the Bureau issued cost alternatives because they do not the Bureau alleged that a mortgage a separate bulletin on detecting and have the necessary information to know servicer engaged in a deceptive practice preventing consumer harm from that such options are available; and by misrepresenting to consumers, both production incentives.9 Companies may countervailing benefits to consumers or expressly and by implication, that a wish to consult that bulletin when competition may not warrant the particular pay-by-phone option was the considering incentive programs for entity’s failure to disclose the materially only available payment method, or that employees that process phone pay fees. different prices of the available phone consumers must use the particular pay- Companies should also consider the pay options to its consumers. by-phone option in order to avoid impact that incentives created by Misrepresenting the Available Payments negative consequences, including contracts and agreements with service Options or That a Fee Is Required To incurring a late fee or even facing providers might have on compliance Pay by Phone foreclosure. In fact, the servicer risk relating to potential UDAAPs accepted several payment options free associated with phone pay fees. Entities sometimes charge a fee for of charge. In many instances, consumers expedited phone payments, but also could have used these other payment Examples of Conduct That May Violate offer consumers no-fee phone pay methods to make timely payments and or Risk Violating the FDCPA options that post after a processing avoid late fees.7 Under the FDCPA, a person defined delay. Some entities in turn offer their as a ‘‘debt collector’’ is prohibited from fee-based expedited payment option as Failing To Disclose That a Phone Pay charging fees, including phone pay fees, their default pay-by-phone option. In Fee Would Be Added to a Consumer’s in certain instances.10 Under Section such cases, disclosures in connection Payment Could Create the 808(1) of the FDCPA, a debt collector with the default option may risk Misimpression That There Was No may not collect any amount (including misleading consumers into believing Service Fee any interest, fee, charge, or expense that a fee is required under all An entity may risk engaging in a incidental to the principal obligation) deceptive act or practice when it fails to unless such amount is expressly risks, costs, or conditions of the product or service; disclose that a phone pay fee will be (ii) a consumer’s inability to protect his or her interest in selecting or using a consumer financial charged in addition to a consumer’s representative confirms that the borrower product or service; or (iii) a consumer’s reasonable otherwise applicable payment amount authorizes a payment of $250. In fact, the reliance on a covered person to act in his or her and indicates to that consumer that only consumer’s bank account is debited $265 . . . $250 interests. Dodd-Frank Act § 1031(d), 12 U.S.C. the otherwise applicable payment for the otherwise applicable payment amount and 5531(d). See CFPB Bulletin 2013–07: Prohibition of 8 $15 for a pay-by-phone fee. Unfair, Deceptive, or Abusive Acts or Practices in amount will be charged. This conduct 9 CFPB Compliance Bulletin 2016–03 (Nov. 28, the collection of Consumer Debts, available at 2016), available at https:// http://files.consumerfinance.gov/f/201307_cfpb_ 6 See In re Citibank, N.A. et al., No. 2015–CFPB– www.consumerfinance.gov/policy-compliance/ bulletin_unfair-deceptive-abusive-practices.pdf for 0015 (July 21, 2015). guidance/implementation-guidance/cfpb- additional guidance on UDAAPs. 7 See FTC and CFPB v Green Tree Servicing, LLC., compliance-bulletin-2016-03-detecting-and- 5 Where applicable, 12 CFR 1026.7(a)(6)(ii) and No. 15–cv–02064 (April 23, 2015). preventing-consumer-harm-from-production- 1026.7(b)(6)(iii) of Regulation Z will require 8 An example would be as follows: A consumer incentives/. disclosure in subsequent periodic billing statements owes a payment of $250. The consumer calls and 10 Debt collectors sometimes charge ‘‘convenience of the amount of such fees paid in connection with tells the customer service representative that she fees’’ or fees for processing consumer payments prior billing periods. will pay by phone. The customer service through a particular channel.
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authorized by the agreement creating • Review that the entity has a under the Administrative Procedure Act the debt or permitted by law.11 corrective action program to address any pursuant to 5 U.S.C. 553(b). Because no Supervision has found that one or violations identified and to reimburse notice of proposed rulemaking is more mortgage servicers that met the consumers when appropriate. required, the Regulatory Flexibility Act definition of ‘‘debt collector’’ under the Entities should also consider does not require an initial or final FDCPA violated the Act when they reviewing employee and service regulatory flexibility analysis. 5 U.S.C. charged fees for taking mortgage provider production incentive programs 603(a), 604(a). The Bureau has payments over the phone to borrowers to see if there are incentives to steer determined that this Compliance whose mortgage instruments did not borrowers to certain payment types or to Bulletin does not impose any new or expressly authorize collecting such fees avoid disclosures. As discussed in more revise any existing recordkeeping, and who reside in states where detail in CFPB Compliance Bulletin reporting, or disclosure requirements on applicable law does not expressly 2016–03,15 the Bureau acknowledges covered entities or members of the permit collecting such fees. Supervision that production incentives have been public that would be collections of directed one or more servicers to review common across many economic sectors information requiring OMB approval mortgage notes and applicable state law, and can affect a wide range of outcomes under the Paperwork Reduction Act, 44 and to only collect pay-by-phone fees for employees or service providers, from U.S.C. 3501 et seq. where expressly authorized by contract their compensation levels to whether or state law.12 they will continue to be employed or Dated: July 25, 2017. retained at all. The Bureau has also Richard Cordray, The Bureau’s Expectations highlighted the risks posed to Director, Bureau of Consumer Financial The Bureau expects entities to review consumers by production incentive Protection. their practices on charging phone pay programs, especially when they create [FR Doc. 2017–16188 Filed 8–1–17; 8:45 am] fees for potential risks of committing an unrealistic culture of high-pressure BILLING CODE 4810–AM–P UDAAPs or violating the FDCPA. While targets or when the activities of the Bureau does not mandate any employees or service providers are not particular method for informing adequately monitored for compliance DEPARTMENT OF ENERGY consumers about the available phone with the law. pay options and fees, entities should In the context of phone pay fees, Environmental Management Site- consider the following suggestions in production incentives may enhance the Specific Advisory Board, Oak Ridge assessing whether their practices may potential risk of entities engaging in Reservation present a risk of constituting a UDAAP UDAAPs. Production incentives that AGENCY: Department of Energy. or FDCPA violation: reward employees or service providers ACTION: • Review applicable State and based on consumers using a higher-cost Notice of open meeting. Federal laws, including the FDCPA, to phone pay option may potentially lead SUMMARY: This notice announces a confirm whether entities are permitted entities to steer consumers to a higher- meeting of the Environmental to charge phone pay fees. cost option despite the availability of Management Site-Specific Advisory • Review underlying debt agreements lower-cost alternatives. Similarly, Board (EM SSAB), Oak Ridge to determine whether such fees are incentive programs that reward Reservation. The Federal Advisory authorized by the contract. representatives who complete a large • Committee Act requires that public Review internal and service number of daily calls may potentially providers’ policies and procedures on notice of this meeting be announced in cause these representatives to spend less the Federal Register. phone pay fees, including call scripts time discussing the available phone pay and employee training materials, and DATES: Saturday, August 19, 2017, 9:00 options and fees resulting in the a.m. to 2:30 p.m. revise policies and procedures to consumer paying a higher fee because ADDRESSES: address any concerns identified during the consumer is not informed of the Tremont Lodge, 7726 East the review, as appropriate.13 Lamar Alexander Parkway, Townsend, • lower-cost alternatives. Entities should Review whether information on review these programs accordingly. Tennessee 37882. phone pay fees is shared in account The Bureau will continue to review FOR FURTHER INFORMATION CONTACT: disclosures, loan agreements, periodic closely the practices of entities assessing Melyssa P. Noe, Alternate Deputy statements, payment coupon books, on phone pay fees for potential UDAAPs Designated Federal Officer, U.S. the company’s Web site, over the phone, and FDCPA violations, including the Department of Energy, Oak Ridge Office or through other mechanisms. of Environmental Management, P.O. • practices described above. The Bureau Incorporate pay-by-phone issues in will use all appropriate tools to assess Box 2001, EM–942, Oak Ridge, TN regular monitoring or audits of calls whether supervisory, enforcement, or 37831. Phone (865) 241–3315; Fax (865) with consumers. 241–6932; Email: Melyssa.Noe@ • other actions may be necessary. Review consumer complaints orem.doe.gov. Or visit the Web site at regarding phone pay fees. [2]. Regulatory Requirements • https://energy.gov/orem/services/ Perform regular reviews of service This Compliance Bulletin is a non- community-engagement/oak-ridge-site- providers as to their pertinent binding general statement of policy specific-advisory-board. practices.14 articulating considerations relevant to SUPPLEMENTARY INFORMATION: the Bureau’s exercise of its supervisory Purpose of the Board: The purpose of 11 15 U.S.C. 1692f(1). and enforcement authority. It is the Board is to make recommendations 12 See Supervisory Highlights, Fall 2015 edition at pp. 20–21. therefore exempt from notice and to DOE–EM and site management in the 13 Entities should refer to CFPB Compliance comment rulemaking requirements areas of environmental restoration, Bulletin and Policy Guidance; 2016–02, Service waste management, and related Providers (Oct. 31, 2016), available at https:// 15 See CFPB Bulletin 2016–03, Detecting and activities. www.consumerfinance.gov/documents/1385/ Preventing Consumer Harm from Production _ _ Tentative Agenda: 102016 cfpb OfficialGuidanceServiceProvider Incentives (Nov. 28, 2016), available at https:// • Bulletin.pdf. www.consumerfinance.gov/documents/1537/ Welcome, Opening Remarks and 14 Id. 201611_cfpb_Production_Incentives_Bulletin.pdf. Introductions
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• Comments from the Deputy DEPARTMENT OF ENERGY will hear public comments pertaining to Designated Federal Officer (DDFO) its scope (clean-up standards and • Board Mission and Accomplishments Environmental Management Site- environmental restoration; waste • Board Operations Specific Advisory Board, Paducah management and disposition; • Results of Member Survey stabilization and disposition of non- AGENCY: Department of Energy (DOE). • Break stockpile nuclear materials; excess • Work Plan Topics ACTION: Notice of open meeting. facilities; future land use and long-term • Process SUMMARY: This notice announces a stewardship; risk assessment and • Presentations by DOE, management; and clean-up science and Environmental Protection Agency meeting of the Environmental Management Site-Specific Advisory technology activities). Comments and Tennessee Department of outside of the scope may be submitted Environment and Conservation Board (EM SSAB), Paducah. The Federal Advisory Committee requires via written statement as directed above. Liaisons Minutes: Minutes will be available by that public notice of this meeting be • Suggestions from Board Members writing or calling Jennifer Woodard at announced in the Federal Register. • Plan for Issue Group Sign-up the address and phone number listed • Summary of Morning Discussions DATES: Thursday, August 17, 2017, 6:00 above. Minutes will also be available at • Board Business p.m. the following Web site: http:// • Presentation of Candidates for ADDRESSES: Barkley Centre, 111 www.pgdpcab.energy.gov/2017_ Fiscal Year 2018 Officers Memorial Drive, Paducah, Kentucky meetings.htm. • Recommendations on the Fiscal 42001. Year 2019 Oak Ridge EM Budget Issued at Washington, DC on July 27, 2017. FOR FURTHER INFORMATION CONTACT: Priorities LaTanya R. Butler, Jennifer Woodard, Deputy Designated • Public Comment Period Deputy Committee Management Officer. Federal Officer, Department of Energy • Remarks by Board Chair and Alternate [FR Doc. 2017–16235 Filed 8–1–17; 8:45 am] Paducah Site Office, Post Office Box DDFO BILLING CODE 6450–01–P • Lunch Break 1410, MS–103, Paducah, Kentucky • Follow-on Discussion 42001, (270) 441–6825. • Adjourn SUPPLEMENTARY INFORMATION: DEPARTMENT OF ENERGY Public Participation: The EM SSAB, Purpose of the Board: The purpose of Biomass Research and Development Oak Ridge, welcomes the attendance of the Board is to make recommendations Technical Advisory Committee the public at its advisory committee to DOE–EM and site management in the areas of environmental restoration, meetings and will make every effort to AGENCY: Energy Efficiency and accommodate persons with physical waste management and related Renewable Energy, Department of disabilities or special needs. If you activities. Energy. Tentative Agenda: require special accommodations due to • ACTION: Notice of open meeting. a disability, please contact Melyssa P. Call to Order, Introductions, Review of Agenda SUMMARY: This notice announces an Noe at least seven days in advance of • Administrative Issues open meeting of the Biomass Research the meeting at the phone number listed • Public Comments (15 minutes) and Development Technical Advisory above. Written statements may be filed • with the Board either before or after the Adjourn Committee. The Federal Advisory meeting. Individuals who wish to make Breaks Taken As Appropriate Committee requires that agencies oral statements pertaining to the agenda Public Participation: The EM SSAB, publish these notices in the Federal item should contact Melyssa P. Noe at Paducah, welcomes the attendance of Register to allow for public the address or telephone number listed the public at its advisory committee participation. meetings and will make every effort to above. Requests must be received five DATES: August 15, 2017, 1:00 p.m.–5:30 days prior to the meeting and reasonable accommodate persons with physical disabilities or special needs. If you p.m., August 16, 2017, 8:30 a.m.–5:30 provision will be made to include the p.m. presentation in the agenda. The Deputy require special accommodations due to ADDRESSES: Los Angeles Airport Designated Federal Officer is a disability, please contact Jennifer Marriott, 5855 West Century Blvd., Los empowered to conduct the meeting in a Woodard as soon as possible in advance Angeles, CA 90045. fashion that will facilitate the orderly of the meeting at the telephone number conduct of business. Individuals listed above. Written statements may be FOR FURTHER INFORMATION CONTACT: wishing to make public comments will filed with the Board either before or Dr. Mark Elless, Designated Federal be provided a maximum of five minutes after the meeting. Individuals who wish Officer for the Committee, Office of to present their comments. to make oral statements pertaining to Energy Efficiency and Renewable Minutes: Minutes will be available by agenda items should contact Jennifer Energy, U.S. Department of Energy, writing or calling Melyssa P. Noe at the Woodard at the telephone number listed 1000 Independence Avenue SW., address and phone number listed above. above. Requests must be received as Washington, DC 20585; Email: Minutes will also be available at the soon as possible prior to the meeting [email protected] and Roy Tiley at following Web site: https://energy.gov/ and reasonable provision will be made (410) 997–7778 ext. 220; Email: rtiley@ orem/listings/oak-ridge-site-specific- to include the presentation in the bcs-hq.com. advisory-board-meetings. agenda. The Deputy Designated Federal SUPPLEMENTARY INFORMATION: Officer is empowered to conduct the Purpose of Meeting: To develop Issued at Washington, DC, on July 27, meeting in a fashion that will facilitate advice and guidance that promotes 2017. the orderly conduct of business. research and development leading to the LaTanya R. Butler, Individuals wishing to make public production of biobased fuels and Deputy Committee Management Officer. comments will be provided a maximum biobased products. [FR Doc. 2017–16236 Filed 8–1–17; 8:45 am] of five minutes to present their Tentative Agenda: Agenda will BILLING CODE 6450–01–P comments. The EM SSAB, Paducah, include the following:
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• Update on USDA Biomass R&D Comment Date: 5:00 p.m. Eastern Filed Date: 07/20/2017. Activities Time on Monday, July 31, 2017. Accession Number: 20170720–5179. • Update on DOE Biomass R&D Docket Numbers: RP17–905–000. Comment Date: 5:00 p.m. Eastern Activities Applicants: Rockies Express Pipeline Time on Thursday, July 27, 2017. • Presentations on biomass interface LLC. Docket Numbers: RP17–911–000. with fossil fuels. Topics include Description: Rockies Express Pipeline Applicants: Egan Hub Storage, LLC. Description: Egan Hub Storage, LLC gasification, refineries, CO2 LLC submits tariff filing per 154.204: utilization, and current activities by Neg Rate 2017–07–20 Encana, Ascent to submits tariff filing per 154.204: Egan the State of California. be effective 7/22/2017. July 2017 Cleanup Filing to be effective 8/21/2017. Public Participation: In keeping with Filed Date: 07/20/2017. Accession Number: 20170720–5046. Filed Date: 07/21/2017. procedures, members of the public are Accession Number: 20170721–5008. welcome to observe the business of the Comment Date: 5:00 p.m. Eastern Comment Date: 5:00 p.m. Eastern Biomass Research and Development Time on Tuesday, August 01, 2017. Time on Wednesday, August 02, 2017. Technical Advisory Committee. To Docket Numbers: RP17–906–000. Docket Numbers: RP17–797–001. attend the meeting and/or to make oral Applicants: Northern Natural Gas Applicants: Colorado Interstate Gas statements regarding any of the items on Company. Company, L.L.C. the agenda, you must contact Dr. Mark Description: Northern Natural Gas Description: Colorado Interstate Gas Elless at; Email: [email protected] Company submits tariff filing per Company, L.L.C. submits tariff filing per and Roy Tiley at (410) 997–7778 ext. 154.204: 20170720 FDD EG Filing to be 154.203: Errata to Quarterly LUF True- 220; Email: [email protected] at least 5 effective 9/1/2017. up Filing. business days prior to the meeting. Filed Date: 07/20/2017. Filed Date: 07/21/2017. Members of the public will be heard in Accession Number: 20170720–5098. Accession Number: 20170721–5091. the order in which they sign up at the Comment Date: 5:00 p.m. Eastern Comment Date: 5:00 p.m. Eastern beginning of the meeting. Reasonable Time on Tuesday, August 01, 2017. Time on Friday, July 28, 2017. provision will be made to include the Docket Numbers: RP17–907–000. The filings are accessible in the scheduled oral statements on the Applicants: Venice Gathering System, Commission’s eLibrary system by agenda. The Co-chairs of the Committee L.L.C. clicking on the links or querying the will make every effort to hear the views Description: Venice Gathering System, docket number. of all interested parties. If you would L.L.C. submits tariff filing per 154.204: Any person desiring to intervene or like to file a written statement with the Filing to Update Contact Information to protest in any of the above proceedings Committee, you may do so either before be effective 8/21/2017. must file in accordance with Rules 211 or after the meeting. The Co-chairs will Filed Date: 07/20/2017. and 214 of the Commission’s conduct the meeting to facilitate the Accession Number: 20170720–5118. Regulations (18 CFR 385.211 and orderly conduct of business. Comment Date: 5:00 p.m. Eastern 385.214) on or before 5:00 p.m. Eastern Minutes: The summary of the meeting Time on Tuesday, August 01, 2017. time on the specified comment date. will be available for public review and Docket Numbers: RP17–908–000. Protests may be considered, but copying at http://biomassboard.gov/ Applicants: East Tennessee Natural intervention is necessary to become a committee/meetings.html. Gas, LLC. party to the proceeding. Issued at Washington, DC, on July 27, Description: East Tennessee Natural eFiling is encouraged. More detailed 2017. Gas, LLC submits tariff filing per information relating to filing LaTanya R. Butler, 154.204: July 2017 Negotiated Rate requirements, interventions, protests, Deputy Committee Management Officer. Cleanup Filing to be effective 8/21/ service, and qualifying facilities filings can be found at: http://www.ferc.gov/ [FR Doc. 2017–16234 Filed 8–1–17; 8:45 am] 2017. docs-filing/efiling/filing-req.pdf. For BILLING CODE 6450–01–P Filed Date: 07/21/2017. Accession Number: 20170721–5006. other information, call (866) 208–3676 Comment Date: 5:00 p.m. Eastern (toll free). For TTY, call (202) 502–8659. DEPARTMENT OF ENERGY Time on Wednesday, August 02, 2017. Dated: July 24, 2017. Docket Numbers: RP17–909–000. Kimberly D. Bose, Federal Energy Regulatory Applicants: Saltville Gas Storage Secretary. Commission Company L.L.C. [FR Doc. 2017–16240 Filed 8–1–17; 8:45 am] Combined Notice of Filings Description: Saltville Gas Storage BILLING CODE 6717–01–P Company L.L.C. submits tariff filing per Take notice that the Commission has 154.204: SGSC July 2017 Cleanup Filing received the following Natural Gas to be effective 8/21/2017. DEPARTMENT OF ENERGY Pipeline Rate and Refund Report filings: Filed Date: 07/21/2017. Accession Number: 20170721–5007. Federal Energy Regulatory Filings Instituting Proceedings Comment Date: 5:00 p.m. Eastern Commission Docket Numbers: RP17–904–000. Time on Wednesday, August 02, 2017. Combined Notice of Filings #1 Applicants: Iroquois Gas Docket Numbers: RP17–910–000. Transmission System, L.P. Applicants: Cabot Oil & Gas Take notice that the Commission Description: Iroquois Gas Corporation,Carbon West Virginia received the following electric rate Transmission System, L.P. submits tariff Company, LLC. filings: filing per 154.204: 07/19/17 Negotiated Description: Joint Petition of Cabot Oil Docket Numbers: ER17–1775–001. Rates—Consolidated Edison Energy Inc. & Gas Corporation and Carbon West Applicants: Arizona Public Service H–2275–89 to be effective 7/19/2017. Virginia Company, LLC For Limited Company. Filed Date: 07/19/2017. Waiver and Request for Expedited Description: Tariff Amendment: Accession Number: 20170719–5076. Action and Shortened Comment Period. Revision—Rate Schedule No. 265,
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Amendment No. 1 to be effective 8/8/ intervention is necessary to become a Persons unable to file electronically 2017. party to the proceeding. should submit an original and 5 copies Filed Date: 7/26/17. eFiling is encouraged. More detailed of the intervention or protest to the Accession Number: 20170726–5153. information relating to filing Federal Energy Regulatory Commission, Comments Due: 5 p.m. ET 8/16/17. requirements, interventions, protests, 888 First Street NE., Washington, DC Docket Numbers: ER17–2151–000. service, and qualifying facilities filings 20426. Applicants: New York Independent can be found at: http://www.ferc.gov/ The filings in the above-referenced System Operator, Inc., Long Island docs-filing/efiling/filing-req.pdf. For proceeding are accessible in the Lighting Company. other information, call (866) 208–3676 Commission’s eLibrary system by Description: § 205(d) Rate Filing: (toll free). For TTY, call (202) 502–8659. clicking on the appropriate link in the Section 205 SA No. 2344, among Dated: July 27, 2017. above list. They are also available for electronic review in the Commission’s NYISO, LIPA and Shoreham to be Nathaniel J. Davis, Sr., Public Reference Room in Washington, effective 7/11/2017. Deputy Secretary. Filed Date: 7/26/17. DC. There is an eSubscription link on [FR Doc. 2017–16224 Filed 8–1–17; 8:45 am] Accession Number: 20170726–5104. the Web site that enables subscribers to BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 8/16/17. receive email notification when a Docket Numbers: ER17–2152–000. document is added to a subscribed docket(s). For assistance with any FERC Applicants: Cottonwood Wind DEPARTMENT OF ENERGY Project, LLC. Online service, please email Description: Baseline eTariff Filing: Federal Energy Regulatory [email protected] or call Cottonwood Wind Project, LLC Commission (866) 208–3676 (toll free). For TTY, call (202) 502–8659. Application for Market-Based Rates to [Docket No. ER17–2142–000] be effective 10/1/2017. Dated: July 26, 2017. Filed Date: 7/26/17. Supplemental Notice That Initial Nathaniel J. Davis, Sr., Accession Number: 20170726–5154. Market-Based Rate Filing Includes Deputy Secretary. Comments Due: 5 p.m. ET 8/16/17. Request for Blanket Section 204 [FR Doc. 2017–16223 Filed 8–1–17; 8:45 am] Docket Numbers: ER17–2154–000. Authorization: Great Valley Solar 2, BILLING CODE 6717–01–P Applicants: Pacific Gas and Electric LLC Company. Description: § 205(d) Rate Filing: This is a supplemental notice in the DEPARTMENT OF ENERGY Transmission Owner Rate Case 2018 above-referenced proceeding of Great (TO19) to be effective 10/1/2017. Valley Solar 2, LLC‘s application for Federal Energy Regulatory Filed Date: 7/27/17. market-based rate authority, with an Commission Accession Number: 20170727–5008. accompanying rate tariff, noting that Combined Notice of Filings #1 Comments Due: 5 p.m. ET 8/17/17. such application includes a request for blanket authorization, under 18 CFR Take notice that the Commission Docket Numbers: ER17–2155–000. part 34, of future issuances of securities received the following electric corporate Applicants: Otter Tail Power and assumptions of liability. filings: Company. Any person desiring to intervene or to Description: Notice of Termination of protest should file with the Federal Docket Numbers: EC17–141–000. the Baker Electric Cooperative Energy Regulatory Commission, 888 Applicants: Tucson Electric Power Agreement (Rate Schedule No. 149) of First Street NE., Washington, DC 20426, Company. Otter Tail Power Company. in accordance with Rules 211 and 214 Description: Application under FPA Filed Date: 7/26/17. of the Commission’s Rules of Practice Section 203 of Tucson Electric Power Accession Number: 20170726–5177. and Procedure (18 CFR 385.211 and Company. Comments Due: 5 p.m. ET 8/16/17. 385.214). Anyone filing a motion to Filed Date: 7/25/17. Docket Numbers: ER17–2156–000. intervene or protest must serve a copy Accession Number: 20170725–5107. Applicants: NorthWestern of that document on the Applicant. Comments Due: 5 p.m. ET 8/15/17. Corporation. Notice is hereby given that the Take notice that the Commission Description: § 205(d) Rate Filing: SA deadline for filing protests with regard received the following electric rate 822—Utilities Agreement with Montana to the applicant’s request for blanket filings: DOT re Milk River-North to be effective authorization, under 18 CFR part 34, of Docket Numbers: ER10–2759–006; 9/26/2017. future issuances of securities and ER10–2631–006; ER10–2732–012; Filed Date: 7/27/17. assumptions of liability, is August 15, ER10–2733–012; ER10–2734–012; Accession Number: 20170727–5033. 2017. ER10–2736–012; ER10–2737–012; Comments Due: 5 p.m. ET 8/17/17. The Commission encourages ER10–2741–012; ER10–2749–012; The filings are accessible in the electronic submission of protests and ER10–2752–012; ER12–2492–008; Commission’s eLibrary system by interventions in lieu of paper, using the ER12–2493–008; ER12–2494–008; clicking on the links or querying the FERC Online links at http:// ER12–2495–008; ER12–2496–008; docket number. www.ferc.gov. To facilitate electronic ER13–815–004; ER14–264–003; ER16– Any person desiring to intervene or service, persons with Internet access 2455–002; ER16–2456–002; ER16–2457– protest in any of the above proceedings who will eFile a document and/or be 002; ER16–2458–002; ER16–2459–002. must file in accordance with Rules 211 listed as a contact for an intervenor Applicants: Bridgeport Energy LLC, and 214 of the Commission’s must create and validate an Emera Energy Services, Inc., Emera Regulations (18 CFR 385.211 and eRegistration account using the Energy U.S. Subsidiary No. 1, Inc., 385.214) on or before 5:00 p.m. Eastern eRegistration link. Select the eFiling Emera Energy U.S. Subsidiary No. 2, time on the specified comment date. link to log on and submit the Inc., Emera Energy Services Subsidiary Protests may be considered, but intervention or protests. No. 1 LLC, Emera Energy Services
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Subsidiary No. 2 LLC, Emera Energy Dated: July 26, 2017. Description: § 205(d) Rate Filing: Cost Services Subsidiary No. 3 LLC, Emera Nathaniel J. Davis, Sr., Responsibility Agreement SA No. 4733, Energy Services Subsidiary No. 4 LLC, Deputy Secretary. Queue Position #NQ147 to be effective Emera Energy Services Subsidiary No. 5 [FR Doc. 2017–16220 Filed 8–1–17; 8:45 am] 7/19/2017. LLC, Emera Energy Services Subsidiary BILLING CODE 6717–01–P Filed Date: 7/26/17. No. 6 LLC, Emera Energy Services Accession Number: 20170726–5080. Subsidiary No. 7 LLC, Emera Energy Comments Due: 5 p.m. ET 8/16/17. Services Subsidiary No. 8 LLC, Emera DEPARTMENT OF ENERGY Energy Services Subsidiary No. 9 LLC, Take notice that the Commission Emera Energy Services Subsidiary No. Federal Energy Regulatory received the following electric securities 10 LLC, Emera Energy Services Commission filings: Subsidiary No. 11 LLC, Emera Energy Docket Numbers: ES17–42–000. Services Subsidiary No. 12 LLC, Emera Combined Notice of Filings #2 Applicants: AEP Generating Energy Services Subsidiary No. 13 LLC, Take notice that the Commission Emera Energy Services Subsidiary No. Company, Appalachian Power received the following electric rate Company, Indiana Michigan Power 14 LLC, Emera Energy Services filings: Subsidiary No. 15 LLC, Emera Maine, Company, Kentucky Power Company, Docket Numbers: ER17–1794–002. Rumford Power Inc., Tiverton Power Kingsport Power Company, Public Applicants: Innovative Solar 42, LLC. LLC. Service Company of Oklahoma, Description: Supplement to December Description: Tariff Amendment: Southwestern Electric Power Company, 21, 2016 Triennial Update for the Revision to Market Base Rate Tariff to be Wheeling Power Company. Northeast Region of Bridgeport Energy effective 6/10/2017. Description: Application Under LLC, et al. Filed Date: 7/26/17. Section 204 of the Federal Power Act for Filed Date: 7/25/17. Accession Number: 20170726–5049. Authorization to Issue Securities of AEP Accession Number: 20170725–5114. Comments Due: 5 p.m. ET 8/16/17. Generating Company et al. Comments Due: 5 p.m. ET 8/15/17. Docket Numbers: ER17–2146–000. Filed Date: 7/26/17. Applicants: NorthWestern Docket Numbers: ER17–1504–001. Accession Number: 20170726–5081. Applicants: Midcontinent Corporation. Independent System Operator, Inc., Description: § 205(d) Rate Filing: SA Comments Due: 5 p.m. ET 8/16/17. WPPI Energy. 780 4th Rev—NITSA with Project Docket Numbers: ES17–43–000. Description: Compliance filing: 2017– Spokane, LLC to be effective 7/27/2017. _ Applicants: Southwestern Electric 07–26 Compliance filing to include Filed Date: 7/26/17. Power Company. depreciation rates for WPPI Attachment Accession Number: 20170726–5054. Description: Application Under O to be effective 7/1/2017. Comments Due: 5 p.m. ET 8/16/17. Section 204 of the Federal Power Act for Filed Date: 7/26/17. Docket Numbers: ER17–2147–000. Accession Number: 20170726–5040. Authorization to Issue Securities of Applicants: San Diego Gas & Electric Southwestern Electric Power Company. Comments Due: 5 p.m. ET 8/16/17. Company. Docket Numbers: ER17–2145–000. Description: Initial rate filing: Palo Filed Date: 7/26/17. Applicants: PJM Interconnection, Verde North Gila Line ANPP High Accession Number: 20170726–5082. L.L.C. Voltage Switchyard Interconnection Comments Due: 5 p.m. ET 8/16/17. Description: § 205(d) Rate Filing: Agreemen to be effective 7/26/2017. The filings are accessible in the Interconnection Service Agreement No. Filed Date: 7/26/17. 2150; Queue No. AA2–076 to be Commission’s eLibrary system by Accession Number: 20170726–5076. clicking on the links or querying the effective 6/29/2017. Comments Due: 5 p.m. ET 8/16/17. Filed Date: 7/26/17. docket number. Accession Number: 20170726–5015. Docket Numbers: ER17–2148–000. Any person desiring to intervene or Comments Due: 5 p.m. ET 8/16/17. Applicants: Midcontinent protest in any of the above proceedings The filings are accessible in the Independent System Operator, Inc. must file in accordance with Rules 211 Description: § 205(d) Rate Filing: Commission’s eLibrary system by _ and 214 of the Commission’s clicking on the links or querying the 2017–07–26 Prairie Power Attachment Regulations (18 CFR 385.211 and docket number. O Clean-Up Filing to be effective 9/25/ 385.214) on or before 5:00 p.m. Eastern Any person desiring to intervene or 2017. time on the specified comment date. protest in any of the above proceedings Filed Date: 7/26/17. Protests may be considered, but must file in accordance with Rules 211 Accession Number: 20170726–5077. intervention is necessary to become a and 214 of the Commission’s Comments Due: 5 p.m. ET 8/16/17. party to the proceeding. Regulations (18 CFR 385.211 and Docket Numbers: ER17–2149–000. eFiling is encouraged. More detailed 385.214) on or before 5:00 p.m. Eastern Applicants: Northern States Power information relating to filing time on the specified comment date. Company, a Minnesota corporation. requirements, interventions, protests, Protests may be considered, but Description: Notice of Cancellation of service, and qualifying facilities filings intervention is necessary to become a the Alternative Transmission Service can be found at: http://www.ferc.gov/ party to the proceeding. Agreement (Rate Schedule No. 521) of docs-filing/efiling/filing-req.pdf. For eFiling is encouraged. More detailed Northern States Power Company, a other information, call (866) 208–3676 information relating to filing Minnesota corporation. (toll free). For TTY, call (202) 502–8659. requirements, interventions, protests, Filed Date: 7/26/17. service, and qualifying facilities filings Accession Number: 20170726–5078. Dated: July 26, 2017. can be found at: http://www.ferc.gov/ Comments Due: 5 p.m. ET 8/16/17. Nathaniel J. Davis, Sr., docs-filing/efiling/filing-req.pdf. For Docket Numbers: ER17–2150–000. Deputy Secretary. other information, call (866) 208–3676 Applicants: PJM Interconnection, [FR Doc. 2017–16221 Filed 8–1–17; 8:45 am] (toll free). For TTY, call (202) 502–8659. L.L.C. BILLING CODE 6717–01–P
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DEPARTMENT OF ENERGY docket(s). For assistance with any FERC Comments Due: 5 p.m. ET 8/17/17. Online service, please email Docket Numbers: ER17–2158–000. Federal Energy Regulatory [email protected]. or call Applicants: Alcoa Power Generating Commission (866) 208–3676 (toll free). For TTY, call Inc. [Docket No. ER17–2141–000] (202) 502–8659. Description: § 205(d) Rate Filing: Dated: July 26, 2017. Revised Market-Based Rate Tariff to be Great Valley Solar 1, LLC; Nathaniel J. Davis, Sr., effective 9/26/2017. Filed Date: 7/27/17. Supplemental Notice That Initial Deputy Secretary. Market-Based Rate Filing Includes Accession Number: 20170727–5077. Request for Blanket Section 204 [FR Doc. 2017–16222 Filed 8–1–17; 8:45 am] Comments Due: 5 p.m. ET 8/17/17. Authorization BILLING CODE 6717–01–P Docket Numbers: ER17–2159–000. Applicants: Alcoa Power Marketing This is a supplemental notice in the DEPARTMENT OF ENERGY LLC. above-referenced proceeding of Great Description: § 205(d) Rate Filing: Valley Solar 1, LLC‘s application for Revised Market-Based Rate Tariff to be market-based rate authority, with an Federal Energy Regulatory Commission effective 9/26/2017. accompanying rate tariff, noting that Filed Date: 7/27/17. such application includes a request for Combined Notice of Filings #2 Accession Number: 20170727–5078. blanket authorization, under 18 CFR Comments Due: 5 p.m. ET 8/17/17. part 34, of future issuances of securities Take notice that the Commission Docket Numbers: ER17–2160–000. and assumptions of liability. received the following electric rate Applicants: NorthWestern Any person desiring to intervene or to filings: Corporation. protest should file with the Federal Docket Numbers: ER17–1594–002. Description: Tariff Cancellation: Energy Regulatory Commission, 888 Applicants: Archer Energy, LLC. Notice of Cancellation: SA 798, First Street NE., Washington, DC 20426, Description: Tariff Amendment: Agreement with Upper Missouri G&T in accordance with Rules 211 and 214 Second Amendment to Application for Electric Co-op to be effective 7/28/2017. of the Commission’s Rules of Practice Market Based Rate Authority to be Filed Date: 7/27/17. and Procedure effective 8/15/2017. Accession Number: 20170727–5082. (18 CFR 385.211 and 385.214). Filed Date: 7/27/17. Comments Due: 5 p.m. ET 8/17/17. Anyone filing a motion to intervene or Accession Number: 20170727–5084. Docket Numbers: ER17–2161–000. protest must serve a copy of that Comments Due: 5 p.m. ET 8/10/17. document on the Applicant. Applicants: Michigan Electric Notice is hereby given that the Docket Numbers: ER17–1731–001. Transmission Company, LLC. Applicants: Entergy Texas, Inc., deadline for filing protests with regard Description: § 205(d) Rate Filing: Entergy Louisiana, LLC. to the applicant’s request for blanket Filing of a De-Energization Agreement Description: Tariff Amendment: ELL– authorization, under 18 CFR part 34, of to be effective 9/25/2017. ETI Big Cajun II Supplemental Reactive future issuances of securities and Filed Date: 7/27/17. to be effective 8/1/2017. assumptions of liability, is August 15, Accession Number: 20170727–5096. Filed Date: 7/27/17. 2017. Comments Due: 5 p.m. ET 8/17/17. The Commission encourages Accession Number: 20170727–5093. Docket Numbers: ER17–2162–000. Comments Due: 5 p.m. ET 8/17/17. electronic submission of protests and Applicants: SunE Beacon Site 2 LLC. interventions in lieu of paper, using the Docket Numbers: ER17–2032–002. Description: Baseline eTariff Filing: FERC Online links at http:// Applicants: Southwest Power Pool, Application for Market Based Rate to be www.ferc.gov. To facilitate electronic Inc. effective 8/31/2017. service, persons with Internet access Description: Tariff Amendment: Filed Date: 7/27/17. who will eFile a document and/or be 2198R22 Kansas Power Pool NITSA Accession Number: 20170727–5109. listed as a contact for an intervenor NOA to be effective 6/1/2017. Comments Due: 5 p.m. ET 8/17/17. must create and validate an Filed Date: 7/27/17. Docket Numbers: ER17–2163–000. eRegistration account using the Accession Number: 20170727–5119. Applicants: SunE Beacon Site 5 LLC. eRegistration link. Select the eFiling Comments Due: 5 p.m. ET 8/17/17. Description: Baseline eTariff Filing: link to log on and submit the Docket Numbers: ER17–2093–001. Application for Market Based Rate to be intervention or protests. Applicants: PJM Interconnection, effective 8/31/2017. Persons unable to file electronically L.L.C. Filed Date: 7/27/17. should submit an original and 5 copies Description: Tariff Amendment: Errata Accession Number: 20170727–5112. of the intervention or protest to the to Resubmit Original SA No. 4753— Comments Due: 5 p.m. ET 8/17/17. Federal Energy Regulatory Commission, NITSA among PJM and Buckeye to be Docket Numbers: ER17–2164–000. 888 First Street NE., Washington, DC effective 6/1/2014. Applicants: ISO New England Inc., 20426. Filed Date: 7/27/17. New England Power Pool Participants The filings in the above-referenced Accession Number: 20170727–5113. Committee. proceeding are accessible in the Comments Due: 5 p.m. ET 8/17/17. Description: § 205(d) Rate Filing: Commission’s eLibrary system by Docket Numbers: ER17–2157–000. Revisions to Implement Full Integration clicking on the appropriate link in the Applicants: PJM Interconnection, of Demand Response to be effective 6/ above list. They are also available for L.L.C. 1/2018. electronic review in the Commission’s Description: § 205(d) Rate Filing: Filed Date: 7/27/17. Public Reference Room in Washington, Original Serv. Agmt. Nos. 4746, 4747, Accession Number: 20170727–5116. DC. There is an eSubscription link on 4748; Queue Nos. AC1–060, AC1–061, Comments Due: 5 p.m. ET 8/17/17. the Web site that enables subscribers to AC1–062 to be effective 6/27/2017. Docket Numbers: ER17–2165–000. receive email notification when a Filed Date: 7/27/17. Applicants: PJM Interconnection, document is added to a subscribed Accession Number: 20170727–5060. L.L.C.
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Description: § 205(d) Rate Filing: First Dated: July 27, 2017. B. How can I get copies of this document Revised Service Agreement No. 2848, Nathaniel J. Davis, Sr., and other related information? Queue No. AC1–063 to be effective 6/ Deputy Secretary. The docket for this action, identified 27/2017. [FR Doc. 2017–16225 Filed 8–1–17; 8:45 am] by docket identification (ID) number Filed Date: 7/27/17. BILLING CODE 6717–01–P EPA–HQ–OPPT–2017–0141, is available Accession Number: 20170727–5118. at http://www.regulations.gov or at the Comments Due: 5 p.m. ET 8/17/17. Office of Pollution Prevention and Docket Numbers: ER17–2166–000. Toxics Docket (OPPT Docket), Applicants: PJM Interconnection, ENVIRONMENTAL PROTECTION Environmental Protection Agency L.L.C. AGENCY Docket Center (EPA/DC), West William Description: § 205(d) Rate Filing: Jefferson Clinton Bldg., Rm. 3334, 1301 Interconnection Service Agreement No. [EPA–HQ–OPPT–2017–0141; FRL–9963–30] Constitution Ave. NW., Washington, 2005, Queue No. AA2–140 to be DC. The Public Reading Room is open effective 6/29/2017. Certain New Chemicals or Significant from 8:30 a.m. to 4:30 p.m., Monday Filed Date: 7/27/17. New Uses; Statements of Findings for through Friday, excluding legal Accession Number: 20170727–5122. April 2017 holidays. The telephone number for the Comments Due: 5 p.m. ET 8/17/17. Public Reading Room is (202) 566–1744, AGENCY: Environmental Protection Docket Numbers: ER17–2167–000. and the telephone number for the OPPT Agency (EPA). Applicants: Southern California Docket is (202) 566–0280. Please review Edison Company. ACTION: Notice. the visitor instructions and additional Description: § 205(d) Rate Filing: information about the docket available Amended LA Stanton Energy Reliability SUMMARY: Section 5(g) of the Toxic at http://www.epa.gov/dockets. Substances Control Act (TSCA) requires Center BESS Project SA No. 968 to be II. What action is the Agency taking? effective 7/11/2017. EPA to publish in the Federal Register Filed Date: 7/27/17. a statement of its findings after its This document lists the statements of Accession Number: 20170727–5134. review of TSCA section 5(a) notices findings made by EPA after review of Comments Due: 5 p.m. ET 8/17/17. when EPA makes a finding that a new notices submitted under TSCA section 5(a) that certain new chemical Docket Numbers: ER17–2168–000. chemical substance or significant new substances or significant new uses are Applicants: PJM Interconnection, use is not likely to present an not likely to present an unreasonable L.L.C. unreasonable risk of injury to health or risk of injury to health or the Description: § 205(d) Rate Filing: the environment. Such statements apply environment. This document presents Wholesale Market Participation to premanufacture notices (PMNs), statements of findings made by EPA Agreement No. 4760; Queue AC1–147 to microbial commercial activity notices during the period from April 1, 2017 to be effective 7/24/2017. (MCANs), and significant new use April 30, 2017. Filed Date: 7/27/17. notices (SNUNs) submitted to EPA Accession Number: 20170727–5136. under TSCA section 5. This document III. What is the Agency’s authority for Comments Due: 5 p.m. ET 8/17/17. presents statements of findings made by taking this action? EPA on TSCA section 5(a) notices Docket Numbers: ER17–2169–000. during the period from April 1, 2017 to TSCA section 5(a)(3) requires EPA to Applicants: PacifiCorp. April 30, 2017. review a TSCA section 5(a) notice and Description: Notice of Termination of make one of the following specific the Long-Term Power Sale Agreement FOR FURTHER INFORMATION CONTACT: For findings: (Rate Schedule No. 433) of PacifiCorp. technical information contact: Greg • The chemical substance or Filed Date: 7/27/17. Schweer, Chemical Control Divison significant new use presents an Accession Number: 20170727–5137. (7405M), Office of Pollution Prevention unreasonable risk of injury to health or Comments Due: 5 p.m. ET 8/17/17. and Toxics, Environmental Protection the environment; The filings are accessible in the Agency, 1200 Pennsylvania Ave. NW., • The information available to EPA is Commission’s eLibrary system by Washington, DC 20460–0001; telephone insufficient to permit a reasoned clicking on the links or querying the number: (202) 564–8469; email address: evaluation of the health and docket number. [email protected]. environmental effects of the chemical Any person desiring to intervene or For general information contact: The substance or significant new use; protest in any of the above proceedings TSCA-Hotline, ABVI-Goodwill, 422 • The information available to EPA is must file in accordance with Rules 211 South Clinton Ave., Rochester, NY insufficient to permit a reasoned and 214 of the Commission’s 14620; telephone number: (202) 554– evaluation of the health and Regulations (18 CFR 385.211 and 1404; email address: TSCA-Hotline@ environmental effects and the chemical 385.214) on or before 5:00 p.m. Eastern epa.gov. substance or significant new use may time on the specified comment date. SUPPLEMENTARY INFORMATION: present an unreasonable risk of injury to Protests may be considered, but health or the environment; intervention is necessary to become a I. General Information • The chemical substance is or will party to the proceeding. A. Does this action apply to me? be produced in substantial quantities, eFiling is encouraged. More detailed and such substance either enters or may information relating to filing This action is directed to the public reasonably be anticipated to enter the requirements, interventions, protests, in general. As such, the Agency has not environment in substantial quantities or service, and qualifying facilities filings attempted to describe the specific there is or may be significant or can be found at: http://www.ferc.gov/ entities that this action may apply to. substantial human exposure to the docs-filing/efiling/filing-req.pdf. For Although others may be affected, this substance; or other information, call (866) 208–3676 action applies directly to the submitters • The chemical substance or (toll free). For TTY, call (202) 502–8659. of the PMNs addressed in this action. significant new use is not likely to
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present an unreasonable risk of injury to ‘‘not likely to present an unreasonable Department of Environmental Quality to health or the environment. risk’’ finding made by EPA under TSCA the Roxboro Steam Electric Plant Unreasonable risk findings must be section 5(a)(3)(C). located near Semora, in Person County, made without consideration of costs or EPA Case Number: J–17–0007; North Carolina. Each Order constitutes other non-risk factors, including an Chemical identity: Biofuel producing a final action on the petition addressed unreasonable risk to a potentially Saccharomyces cerevisiae modified, therein. exposed or susceptible subpopulation genetically stable (generic name); Web ADDRESSES: Copies of the Orders, the identified as relevant under the site link: https://www.epa.gov/ petitions, and all pertinent information conditions of use. The term ‘‘conditions reviewing-new-chemicals-under-toxic- relating thereto are on file at the of use’’ is defined in TSCA section 3 to substances-control-act-tsca/tsca-section- following location: EPA Region 4; Air, mean ‘‘the circumstances, as determined 5a3c-determination-54. Pesticides and Toxics Management by the Administrator, under which a EPA Case Number: P–17–0227; Division; 61 Forsyth Street SW., Atlanta, chemical substance is intended, known, Chemical identity: 2-Alkenoic acid, 2- Georgia 30303–8960. The Orders are or reasonably foreseen to be alkyl-, alkyl ester, polymer with 2-alkyl also available electronically at the manufactured, processed, distributed in 2-propenoate and -(2-alkyl-1-oxo-2- following addresses: https:// commerce, used, or disposed of.’’ alken-1-yl—alkoxypoly(oxy-1,2- www.epa.gov/sites/production/files/ EPA is required under TSCA section alkanediyl), ester with -2-alken-1-yl— 2017–7/documents/duke_asheville_ 5(g) to publish in the Federal Register hydroxypoly(oxy-1,2-alkanediyl); response2016.pdf, https://www.epa.gov/ a statement of its findings after its polymer exemption flag (generic name); sites/production/files/2017-07/ review of a TSCA section 5(a) notice Web site link: https://www.epa.gov/ documents/duke_roxboro_ when EPA makes a finding that a new reviewing-new-chemicals-under-toxic- response2016_0.pdf. chemical substance or significant new substances-control-act-tsca/tsca-section- FOR FURTHER INFORMATION CONTACT: Art use is not likely to present an 5a3c-determination-53. Hofmeister, Air Permits Section, EPA unreasonable risk of injury to health or Authority: 15 U.S.C. 2601 et seq. Region 4, at (404) 562–9115 or the environment. Such statements apply [email protected]. to PMNs, MCANs, and SNUNs Dated: June 8, 2017. SUPPLEMENTARY INFORMATION: The CAA submitted to EPA under TSCA section Greg Schweer, affords the EPA a 45-day period to 5. Chief, New Chemicals Management Branch, Anyone who plans to manufacture Chemical Control Division, Office of Pollution review and, as appropriate, the (which includes import) a new chemical Prevention and Toxics. authority to object to operating permits proposed by state permitting authorities substance for a non-exempt commercial [FR Doc. 2017–16275 Filed 8–1–17; 8:45 am] under title V of the CAA, 42 U.S.C. purpose and any manufacturer or BILLING CODE 6560–50–P processor wishing to engage in a use of 7661–7661f. Section 505(b)(2) of the a chemical substance designated by EPA CAA and 40 CFR 70.8(d) authorize any as a significant new use must submit a ENVIRONMENTAL PROTECTION person to petition the EPA notice to EPA at least 90 days before AGENCY Administrator to object to a title V commencing manufacture of the new operating permit within 60 days after [Petitions IV–2016–06 and –07; FRL–9965– the expiration of the EPA’s 45-day chemical substance or before engaging 57–Region 4] in the significant new use. review period if EPA has not objected The submitter of a notice to EPA for Clean Air Act Operating Permit on its own initiative. Petitions must be which EPA has made a finding of ‘‘not Program; Petitions for Objection to based only on objections to the permit likely to present an unreasonable risk of State Operating Permits for Duke that were raised with reasonable injury to health or the environment’’ Energy, LLC—Asheville Steam Electric specificity during the public comment may commence manufacture of the Plant (Buncombe County, North period provided by the state, unless the chemical substance or manufacture or Carolina) and Roxboro Steam Electric petitioner demonstrates that it was processing for the significant new use Plant (Person County, North Carolina) impracticable to raise these issues notwithstanding any remaining portion during the comment period or the of the applicable review period. AGENCY: Environmental Protection grounds for the issues arose after this Agency (EPA). period. Pursuant to sections 307(b) and IV. Statements of Administrator ACTION: Notice of final orders on 505(b)(2) of the CAA, a petition for Findings Under TSCA Section 5(a)(3)(C) petitions to object to state operating judicial review of those parts of the In this unit, EPA provides the permits. Order that deny issues in the petition following information (to the extent that may be filed in the United States Court such information is not claimed as SUMMARY: The EPA Administrator of Appeals for the appropriate circuit Confidential Business Information signed two Orders, dated June 30, 2017, within 60 days from the date this notice (CBI)) on the PMNs, MCANs and granting the petitions submitted by is published in the Federal Register. SNUNs for which, during this period, Sierra Club (Petitioner) objecting to Petitioner submitted a petition EPA has made findings under TSCA proposed Clean Air Act (CAA) title V requesting that EPA object to the section 5(a)(3)(C) that the new chemical operating permits issued to Duke proposed CAA title V operating permit substances or significant new uses are Energy, LLC. One Order responds to a #11–628–15 issued to the Asheville not likely to present an unreasonable June 17, 2016, petition objecting to a Steam Electric Plant and a separate risk of injury to health or the proposed title V permit issued by the petition requesting that EPA object to environment: Western North Carolina Regional Air the proposed title V operating permit • EPA case number assigned to the Quality Agency to the Asheville Steam #01001T49 issued to the Roxboro Steam TSCA section 5(a) notice. Electric Plant located in Arden, Electric Plant. Petitioner claims • Chemical identity (generic name, if Buncombe County, North Carolina. The generally that each permit must contain the specific name is claimed as CBI). other Order responds to a June 23, 2016, stricter, modeling-based numerical • Web site link to EPA’s decision petition objecting to a proposed title V emission limits for sulfur dioxide (SO2) document describing the basis of the permit issued by the North Carolina to prevent exceedances of the 2010 1-
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hour SO2 National Ambient Air Quality U.S. and all ports and points majority of the directors, the chief operating Standard (NAAQS) and must contain a worldwide. officer, or the chief executive officer of the compliance schedule because, according Agreement No.: 012488. carrier. to Petitioner, each facility has violated Title: THE Alliance/OOCL Vessel As required by the Shipping Act, its current permit by causing violations Sharing Agreement. controlled carriers are subject to special Parties: Hapag Lloyd AG, Kawasaki of the 2010 1-hour SO2 NAAQS. On oversight by the Commission. Section June 30, 2017, the Administrator issued Kisen Kaisha, Ltd., Mitsui O.S.K. Lines, 9(a) of the Shipping Act (46 U.S.C. Orders granting the petitions. The Ltd., Nippon Yusen Kaisha, and Yang 40701(b)), states: Ming Marine Transport Corp (acting as Orders explain EPA’s basis for granting The Federal Maritime Commission, at any the petitions. a single party); and Orient Overseas Container Line Limited. time after notice and opportunity for a Dated: July 19, 2017. Filing Party: David Smith and Joshua hearing, may prohibit the publication or use V. Anne Heard, of a rate, charge, classification, rule, or Stein; Cozen O’Connor; 1200 19th Street regulation that a controlled carrier has failed Acting Regional Administrator, Region 4. NW.; Washington, DC 20036. to demonstrate is just and reasonable. [FR Doc. 2017–16277 Filed 8–1–17; 8:45 am] Synopsis: The Agreement authorizes Congress enacted these protections to BILLING CODE 6560–50–P the Parties to charter and exchange space on their respective vessels in the ensure that controlled carries, whose trade between the U.S. Pacific Coast and marketplace decision-making can be influenced by foreign governmental FEDERAL MARITIME COMMISSION Japan, and to enter into cooperative working arrangements in connection priorities or by their access to non- Notice of Agreements Filed therewith. market sources of capital, do not engage in unreasonable below-market pricing The Commission hereby gives notice By Order of the Federal Maritime practices which could disrupt trade or Commission. of the filing of the following agreements harm privately-owned shipping under the Shipping Act of 1984. Dated: July 28, 2017. companies. Interested parties may submit comments JoAnne D. O’Bryant, The controlled carrier list is not a on the agreement to the Secretary, Program Analyst. comprehensive list of foreign-owned or Federal Maritime Commission, [FR Doc. 2017–16264 Filed 8–1–17; 8:45 am] -controlled ships or ship owners; rather, Washington, DC 20573, within twelve BILLING CODE 6731–AA–P it is only a list of ocean common carriers days of the date this notice appears in that are controlled by governments. See the Federal Register. A copy of the 46 U.S.C. 40102(8). Thus, ocean agreement is available through the FEDERAL MARITIME COMMISSION common carriers owned by foreign Commission’s Web site (www.fmc.gov) individuals are not included, nor are Controlled Carriers Under the Shipping or by contacting the Office of tramp operators, other non-common Act of 1984 Agreements at (202)-523–5793 or carriers, or non-vessel-operating [email protected]. AGENCY: Federal Maritime Commission. common carriers, regardless of their Agreement No.: 012067–019. ACTION: Notice. ownership or control. Title: U.S. Supplemental Agreement Since the last publication of this list to the HLC Agreement. SUMMARY: The Federal Maritime on July 2, 2015 (80 FR 43427), there has Parties: BBC Chartering Carriers Commission is publishing an updated been a reduction in the number of GmbH & Co. KG and BBC Chartering & list of controlled carriers, i.e., ocean controlled carriers, due in part to the Logistic GmbH & Co. KG (acting as a common carriers operating in U.S.- spate of consolidation activity that has single party); Chipolbrok (Chinese- foreign trades that are owned or occurred over the last two years. These Polish Joint Stock Shipping Company); controlled by foreign governments. Such changes are described below. Hanssy Shipping Pte. Ltd.; Industrial carriers are subject to special regulatory Pursuant to 46 CFR 501.23, COSCO Maritime Carriers, L.L.C; and Rickmers- oversight by the Commission under the SHIPPING Lines (Europe) GmbH Linie GmbH & Cie. KG. Shipping Act of 1984. (formerly COSCO Container Lines Filing Party: Wade S. Hooker, Esq.; FOR FURTHER INFORMATION CONTACT: Europe GmbH) was classified as a 211 Central Park W.; New York, NY Tyler J. Wood, General Counsel, Federal controlled carrier on November 9, 2015. 10024. Maritime Commission, 800 North See Petition of COSCO Container Lines Synopsis: The amendment deletes Capitol Street NW., Washington, DC Europe GmbH for an Exemption from 46 Peter Dohle Schiffahrts KG as a party to 20573 (202) 523–5740. U.S.C. 40703, Docket No. P3–15 (Nov. 9, the HLC Agreement attached to the U.S. SUPPLEMENTARY INFORMATION: The 2015). All tariffs for this carrier were Supplemental Agreement.\ Federal Maritime Commission is cancelled effective May 24, 2017. As a Agreement No.: 012301–003. publishing an updated list of controlled result, COSCO SHIPPING Lines Title: Siem Car Carrier AS/ carriers. Section 3(8) of the Shipping (Europe) GmbH will not be added to this Volkswagen Logistics Konzernlogistik Act of 1984 (46 U.S.C. 40102(8)), defines republished controlled carrier list. GMBH & Co. OHG Space Charter a ‘‘controlled carrier’’ as: Two previously classified controlled Agreement. an ocean common carrier that is, or whose carriers, China Shipping Container Parties: Siem Car Carrier Pacific AS operating assets are, directly or indirectly, Lines, Co., Ltd. and COSCO Container and Volkswagen Konzernlogistik GmBH owned or controlled by a government, with Lines Company, Limited, have formed a & Co. OHG. ownership or control by a government being single controlled carrier now known as Filing Party: Ashley W. Craig, Esq. deemed to exist for a carrier if— COSCO SHIPPING Lines Co., Ltd. and Elizabeth K. Lowe, Esq.; Venable (A) a majority of the interest in the carrier Hainan P O Shipping Co., Ltd. is LLP; 575 Seventh Street NW., is owned or controlled in any manner by that being removed from the list as it no government, an agency of that government, or Washington, DC 20004. a public or private person controlled by that longer operates as a common carrier. All Synopsis: The amendment expands government; or Hainan P O Shipping Co., Ltd. tariffs in the geographic scope of the Agreement (B) that government has the right to the U.S.-foreign trades were cancelled to include all ports and points in the appoint or disapprove the appointment of a effective November 29, 2012.
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American President Lines, Ltd. and numbers to collection of information Federal Reserve Board Clearance APL Co., Pte. are being removed from requests and requirements conducted or Officer—Nuha Elmaghrabi—Office of this list because they are now 100% sponsored by the Board. In exercising the Chief Data Officer, Board of owned by CMA CGM S.A., a privately this delegated authority, the Board is Governors of the Federal Reserve owned company. See Petition of APL directed to take every reasonable step to System, Washington, DC 20551 (202) Co. Pte. Ltd. for an Exemption from solicit comment. In determining 452–3829. Telecommunications Device Commission Regulations, 34 S.R.R.211 whether to approve a collection of for the Deaf (TDD) users may contact (FMC 2016). information, the Board will consider all (202) 263–4869, Board of Governors of United Arab Shipping Company Ltd. comments received from the public and the Federal Reserve System, (formerly United Arab Shipping other agencies. Washington, DC 20551. Company (S.A.G.)) is being removed DATES: Comments must be submitted on SUPPLEMENTARY INFORMATION: from this list because it is now 100% or before October 2, 2017. owned by Hapag-Lloyd pursuant to the Request for Comment on Information ADDRESSES: You may submit comments, Collection Proposal recently finalized purchase of United identified by FR VV, by any of the Arab Shipping by Hapag-Lloyd on May following methods: The Board invites public comment on 24, 2017. The foreign government • Agency Web site: http:// the following information collection, entities that formerly held an ownership www.federalreserve.gov. Follow the which is being reviewed under stake in United Arab Shipping acquired instructions for submitting comments at authority delegated by the OMB under minority stakes in Hapag-Lloyd as part http://www.federalreserve.gov/apps/ the PRA. Comments are invited on the of the transaction; no State is majority foia/proposedregs.aspx. following: owner. • Federal eRulemaking Portal: http:// a. Whether the proposed collection of It is requested that any other www.regulations.gov. Follow the information is necessary for the proper information regarding possible instructions for submitting comments. performance of the Federal Reserve’s omissions or inaccuracies in this list be • Email: regs.comments@ functions; including whether the provided to the Commission’s Office of federalreserve.gov. Include OMB information has practical utility; General Counsel. See 46 CFR 501.23. number in the subject line of the b. The accuracy of the Federal The amended list of currently classified message. Reserve’s estimate of the burden of the controlled carriers and their • FAX: (202) 452–3819 or (202) 452– proposed information collection, corresponding Commission-issued 3102. including the validity of the Registered Persons Index numbers is set • Mail: Ann E. Misback, Secretary, methodology and assumptions used; forth below: Board of Governors of the Federal c. Ways to enhance the quality, (1) COSCO SHIPPING Lines Co., Ltd. Reserve System, 20th Street and utility, and clarity of the information to (RPI No. 02034)—People’s Republic of Constitution Avenue NW., Washington, be collected; China; DC 20551. d. Ways to minimize the burden of (2) CNAN Nord SPA (RPI No. All public comments are available information collection on respondents, 021980)—People’s Democratic Republic from the Board’s Web site at http:// including through the use of automated of Algeria. www.federalreserve.gov/apps/foia/ collection techniques or other forms of information technology; and Rachel E. Dickon, proposedregs.aspx as submitted, unless modified for technical reasons. e. Estimates of capital or startup costs Assistant Secretary. Accordingly, your comments will not be and costs of operation, maintenance, [FR Doc. 2017–16227 Filed 8–1–17; 8:45 am] edited to remove any identifying or and purchase of services to provide BILLING CODE 6731–AA–P contact information. Public comments information. At the end of the comment period, the may also be viewed electronically or in comments and recommendations paper form in Room 3515, 1801 K Street received will be analyzed to determine FEDERAL RESERVE SYSTEM (between 18th and 19th Streets NW.), the extent to which the Federal Reserve Washington, DC 20006 between 9:00 should modify the proposed revisions Proposed Agency Information a.m. and 5:00 p.m. on weekdays. Collection Activities; Comment Additionally, commenters may send a prior to giving final approval. Request copy of their comments to the OMB Proposal To Approve Under OMB AGENCY: Board of Governors of the Desk Officer—Shagufta Ahmed—Office Delegated Authority the Extension for Federal Reserve System. of Information and Regulatory Affairs, Three Years, Without Revision, of the Office of Management and Budget, New ACTION: Notice, request for comment. Following Report Executive Office Building, Room 10235, Report title: Reporting, SUMMARY: The Board of Governors of the 725 17th Street NW., Washington, DC Recordkeeping, and Disclosure Federal Reserve System (Board) invites 20503 or by fax to (202) 395–6974. Requirements Associated with comment on a proposal to extend for FOR FURTHER INFORMATION CONTACT: A Proprietary Trading and Certain three years, without revision, the copy of the PRA OMB submission, Interests in and Relationships with Reporting, Recordkeeping, and including the proposed reporting form Covered Funds (Regulation VV). Disclosure Requirements Associated and instructions, supporting statement, Agency form number: FR VV. with Proprietary Trading and Certain and other documentation will be placed OMB control number: 7100–0360. Interests in and Relationships with into OMB’s public docket files, once Frequency: Annual, monthly, Covered Funds (Regulation VV) (FR VV; approved. These documents will also be quarterly, and on occasion. OMB No. 7100–0360). made available on the Federal Reserve Respondents: State member banks, On June 15, 1984, the Office of Board’s public Web site at: http:// bank holding companies, savings and Management and Budget (OMB) www.federalreserve.gov/apps/ loan holding companies, foreign delegated to the Board authority under reportforms/review.aspx or may be banking organizations, U.S. State the Paperwork Reduction Act (PRA) to requested from the agency clearance branches or agencies of foreign banks, approve of and assign OMB control officer, whose name appears below. and other holding companies that
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control an insured depository (collectively, the agencies) adopted a holding company including OCC- institution and any subsidiary of the final rule that implemented section 13 supervised institutions, FDIC- foregoing other than a subsidiary for of the Bank Holding Company Act of supervised institutions, banking entities which the OCC, FDIC, CFTC, or SEC is 1956 (BHC Act), which was added by for which the CFTC is the primary the primary financial regulatory agency. section 619 of the Dodd-Frank Wall financial regulatory agency, and banking The Board will take burden for all Street Reform and Consumer Protection entities for which the SEC is the institutions under a holding company Act (Dodd-Frank Act). Section 13 primary financial regulatory agency. including: contains certain prohibitions and Compliance with the information • OCC-supervised institutions, restrictions on the ability of a banking collection is required for covered • FDIC-supervised institutions, entity supervised by the agencies to entities to obtain the benefit of engaging • Banking entities for which the engage in proprietary trading and have in certain types of proprietary trading or CFTC is the primary financial regulatory certain interests in, or relationships investing in, sponsoring, or having agency, as defined in section 2(12)(C) of with, a hedge fund or private equity certain relationships with a hedge fund the Dodd-Frank Act, and fund. Section 248.20 and Appendix A of or private equity fund. No other federal • Banking entities for which the SEC Regulation VV require certain of the law mandates these reporting, is the primary financial regulatory largest banking entities engaged in recordkeeping, and disclosure agency, as defined in section 2(12)(B) of significant trading activities to collect, requirements. At this time, there are no the Dodd-Frank Act. evaluate, and furnish data regarding required reporting forms associated with Estimated number of respondents: covered trading activities as an indicator this information collection. of areas meriting additional attention by 5,027. Reporting Requirements Estimated average hours per response: the banking entity and the Board.1 The reporting requirements are found Section 248.12(e) states that, upon Reporting Burden in sections 248.12(e) and 248.20(d); the application by a banking entity, the § _.12(e)—20 hours (Initial setup 50 recordkeeping requirements are found Board may extend the period of time to hours). in sections 248.3(d)(3), 248.4(b)(3)(i)(A), meet the requirements on ownership § _.20(d) (entities with $50 billion or 248.5(c), 248.11(a)(2), and 248.20(b)–(f); limitations in Regulation VV for up to greater in trading assets and and the disclosure requirements are two additional years, if the Board finds liabilities)—2 hours (Initial setup 6 found in section 248.11(a)(8)(i). The that an extension would be consistent hours). recordkeeping burden for sections with safety and soundness and not § _.20(d) (entities with at least $10 248.4(a)(2)(iii), 248.4(b)(2)(iii), detrimental to the public interest. An billion and less than $50 billion in 248.5(b)(1), 248.5(b)(2)(i), application for extension must (1) be trading assets and liabilities)—2 hours 248.5(b)(2)(iv), 248.13(a)(2)(i), and submitted to the Board at least 90 days (Initial setup 6 hours). 248.13(a)(2)(ii)(A) is accounted for in prior to expiration of the applicable section 248.20(b); the recordkeeping time period, (2) provide the reasons for Recordkeeping Burden burden for Appendix B is accounted for application including information that § _.3(d)(3)—1 hour (Initial setup 3 in section 248.20(c); the reporting and addresses the factors in paragraph (e)(2) hours). recordkeeping burden for Appendix A is of section 248.12, and (3) explain the § _.4(b)(3)(i)(A)—2 hours. accounted for in section 248.20(d); and banking entity’s plan for reducing the § _.5(c)—100 hours (Initial setup 50 the recordkeeping burden for sections permitted investment in a covered fund hours). 248.10(c)(12)(i) and 248.10(c)(12)(iii) is through redemption, sale, dilution, or § _.11(a)(2)—10 hours. accounted for in section 248.20(e). other methods. § _.20(b)—265 hours (Initial setup 795 These information collection Section 248.20(d) provides that a hours). requirements for the Board banking entity engaged in proprietary § _.20(c)—1,200 hours (Initial setup implemented section 13 of the BHC Act trading activity must comply with the 3,600 hours). for banking entities for which the Board reporting requirements described in § _.20(d)—(entities with $50 billion or is authorized to issue regulations under Appendix A, if (1) the banking entity more in trading assets and liabilities) section 13(b)(2) of the BHC Act and take has, together with its affiliates and 440 hours. actions under section 13(e) of that Act. subsidiaries, trading assets and § _.20(d)—(entities with at least $10 These banking entities include any state liabilities (excluding trading assets and billion and less than $50 billion in bank that is a member of the Federal liabilities involving obligations of or trading assets and liabilities) 350 hours. Reserve System, any company that guaranteed by the United States or any § _.20(e)—200 hours. controls an insured depository agency of the United States) the average § _.20(f)(1)—8 hours. institution (including a bank holding gross sum of which over the previous § _.20(f)(2)—40 hours (Initial setup company and savings and loan holding consecutive four quarters, as measured 100 hours). company), any company that is treated as of the last day of each of the four prior calendar quarters, equals or Disclosure Burden as a bank holding company for purposes of section 8 of the International Banking exceeds the established threshold; (2) in § _.11(a)(8)(i)—0.1 hours. Act, and any subsidiary of the foregoing the case of a foreign banking entity, the Estimated annual burden hours: other than a subsidiary for which the average gross sum of the trading assets 1,085,690 hours (718,388 hours for OCC, FDIC, CFTC, or SEC is the primary and liabilities of the combined U.S. initial setup and 367,302 hours for financial regulatory agency. The Board operations of the foreign banking entity ongoing compliance). takes burden for all institutions under a (including all subsidiaries, affiliates, General Description of Report: The branches and agencies of the foreign Board, the Office of the Comptroller of 1 As announced in the joint implementing rules, banking entity operating, located or the Currency (OCC), the Federal Deposit the agencies are currently in the process of organized in the United States and Insurance Corporation (FDIC), the conducting a review of the reported data on covered excluding trading assets and liabilities trading activities collected through September 30, Commodity Futures Trading 2015, and, based on this review, are considering involving obligations of or guaranteed Commission (CFTC), and the Securities whether to modify, retain, or replace the reported by the United States or any agency of and Exchange Commission (SEC) data. the United States) over the previous
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consecutive four quarters, as measured period is one trading day and the requirements imposed by a Federal as of the last day of each of the four measurement frequency is daily. banking agency, VaR and stress VaR prior calendar quarters, equals or Risk factor sensitivities are changes in must be computed and reported in a exceeds the established threshold; or (3) a trading desk’s comprehensive profit manner that is consistent with such the Board notifies the banking entity in and loss that are expected to occur in regulatory capital requirements. In cases writing that it must satisfy the reporting the event of a change in one or more where a trading desk does not have a requirements contained in Appendix A. underlying variables that are significant standalone VaR or stress VaR The threshold for reporting is $50 sources of the trading desk’s calculation but is part of a larger billion beginning on June 30, 2014; $25 profitability and risk. A banking entity aggregation of positions for which a VaR billion beginning on April 30, 2016; and must report the risk factor sensitivities or stress VaR calculation is performed, $10 billion beginning on December 31, that are monitored and managed as part a VaR or stress VaR calculation that 2016. Unless the appropriate agency of the trading desk’s overall risk includes only the trading desk’s notifies the banking entity in writing management policy. The underlying holdings must be performed consistent data and methods used to compute a that it must report on a different basis, with the VaR or stress VaR model and trading desk’s risk factor sensitivities a banking entity with $50 billion or methodology used for the larger will depend on the specific function of more in trading assets and liabilities aggregation of positions. The calculation the trading desk and the internal risk period is one trading day and the must report the information required by management models employed. The Appendix A for each calendar month measurement frequency is daily. number and type of risk factor Comprehensive profit and loss within 30 days of the end of the relevant sensitivities that are monitored and attribution is an analysis that attributes calendar month. Beginning with managed by a trading desk, and the daily fluctuation in the value of a information for the month of January furnished to the appropriate agency, trading desk’s positions to various 2015, such information must be will depend on the explicit risks sources. First, the daily profit and loss reported within 10 days of the end of assumed by the trading desk. In general, of the aggregated positions is divided that calendar month. Any other banking however, reported risk factor into three categories: (1) Profit and loss entity subject to Appendix A must sensitivities must be sufficiently attributable to a trading desk’s existing report the information required by granular to account for a preponderance positions that were also positions held Appendix A for each calendar quarter of the expected price variation in the by the trading desk as of the end of the within 30 days of the end of that trading desk’s holdings. Trading desks calendar quarter unless the appropriate must take into account any relevant prior day (existing positions); (2) profit agency notifies the banking entity in factors in calculating risk factor and loss attributable to new positions writing that it must report on a different sensitivities, including, for example, the resulting from the current day’s trading basis. Appendix A requires banking following with respect to particular activity (new positions); and (3) residual entities to furnish the following asset classes: Commodity derivative profit and loss that cannot be quantitative measurements for each positions, credit positions, credit-related specifically attributed to existing trading desk of the banking entity: (1) derivative positions, equity derivative positions or new positions. The sum of Risk and position limits and usage; (2) positions, equity positions, foreign (1), (2), and (3) must equal the trading risk factor sensitivities; (3) Value-at-Risk exchange derivative positions, and desk’s comprehensive profit and loss at and stress Value-at-Risk; (4) interest rate positions, including interest each point in time. In addition, profit comprehensive profit and loss rate derivative positions. The methods and loss measurements must calculate attribution; (5) inventory turnover; (6) used by a banking entity to calculate volatility of comprehensive profit and inventory aging; and (7) customer facing sensitivities to a common factor shared loss (i.e., the standard deviation of the trading desk’s one-day profit and loss, trade ratio. by multiple trading desks, such as an equity price factor, must be applied in dollar terms) for the reporting period Risk and position limits are the consistently across its trading desks so for at least a 30-, 60-, and 90-day lag constraints that define the amount of that the sensitivities can be compared period, from the end of the reporting risk that a trading desk is permitted to from one trading desk to another. The period, and any other period that the take at a point in time, as defined by the calculation period is one trading day banking entity deems necessary to meet banking entity for a specific trading and the measurement frequency is daily. the requirements of the rule. The desk. Usage represents the portion of the VaR is the commonly used percentile specific categories used by a trading trading desk’s limits that are accounted measurement of the risk of future desk in the comprehensive profit and for by the current activity of the desk. financial loss in the value of a given set loss attribution analysis and amount of Risk and position limits must be of aggregated positions over a specified detail for the analysis should be tailored reported in the format used by the period of time, based on current market to the type and amount of trading banking entity for the purposes of risk conditions. Stress VaR is the percentile activities undertaken by the trading management of each trading desk. Risk measurement of the risk of future desk. The new position attribution must and position limits are often expressed financial loss in the value of a given set be computed by calculating the in terms of risk measures, such as of aggregated positions over a specified difference between the prices at which Value-at-Risk (VaR) and risk factor period of time, based on market instruments were bought and/or sold sensitivities, but may also be expressed conditions during a period of significant and the prices at which those in terms of other observable criteria, financial stress. Banking entities must instruments are marked to market at the such as net open positions. When compute and report VaR and stress VaR close of business on that day multiplied criteria other than VaR or risk factor by employing generally accepted by the notional or principal amount of sensitivities are used to define the risk standards and methods of calculation. each purchase or sale. Any fees, and position limits, both the value of VaR should reflect a loss in a trading commissions, or other payments the risk and position limits and the desk that is expected to be exceeded less received (paid) that are associated with value of the variables used to assess than one percent of the time over a one- transactions executed on that day must whether these limits have been reached day period. For those banking entities be added (subtracted) from such must be reported. The calculation that are subject to regulatory capital difference. These factors must be
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measured consistently over time to counterparty is a market participant that limits any securities purchased or sold facilitate historical comparisons. The makes use of the banking entity’s market for liquidity management purposes, calculation period is one trading day making-related services by obtaining together with any other instruments and the measurement frequency is daily. such services, responding to quotations, purchased or sold for such purposes, to Inventory turnover is a ratio that or entering into a continuing an amount that is consistent with the measures the turnover of a trading relationship with respect to such banking entity’s near-term funding desk’s inventory. The numerator of the services. However, a trading desk or needs, including deviations from ratio is the absolute value of all other organizational unit of another normal operations of the banking entity transactions over the reporting period. banking entity would not be a client, or any affiliate thereof, as estimated and The denominator of the ratio is the customer, or counterparty of the trading documented pursuant to methods value of the trading desk’s inventory at desk if the other entity has trading specified in the plan; (5) includes the beginning of the reporting period. assets and liabilities of $50 billion or written policies and procedures, For derivatives other than options and more as measured in accordance with internal controls, analysis and interest rate derivatives, value means section 248.20(d)(1) unless the trading independent testing to ensure that the gross notional value. For options, value desk documents how and why a purchase and sale of securities that are means delta adjusted notional value. For particular trading desk or other not permitted under section 248.6(a) or interest rate derivatives, value means organizational unit of the entity should (b) are for the purpose of liquidity 10-year bond equivalent value. The be treated as a client, customer, or management and in accordance with the calculation period is 30 days, 60 days, counterparty of the trading desk. liquidity management plan described in and 90 days and the measurement Transactions conducted anonymously this paragraph; and (6) is consistent frequency is daily. on an exchange or similar trading with the appropriate agency’s Inventory aging generally describes a facility that permits trading on behalf of supervisory requirements, guidance, schedule of the trading desk’s aggregate a broad range of market participants and expectations regarding liquidity assets and liabilities and the amount of would be considered transactions with management. time that those assets and liabilities customers of the trading desk. For Section 248.4(b)(3)(i)(A) provides that have been held. Inventory aging should derivatives other than options and a trading desk or other organizational measure the age profile of the trading interest rate derivatives, value means unit of another banking entity with desk’s assets and liabilities. In general, gross notional value. For options, value more than $50 billion in trading assets inventory aging must be computed means delta adjusted notional value. For and liabilities is not a client, customer, using a trading desk’s trading activity interest rate derivatives, value means or counterparty unless the trading desk data and must identify the value of a 10-year bond equivalent value. The documents how and why a particular trading desk’s aggregate assets and calculation period is 30 days, 60 days, trading desk or other organizational unit liabilities. Inventory aging must include and 90 days and the measurement of the entity should be treated as a two schedules, an asset-aging schedule frequency is daily. client, customer, or counterparty of the and a liability-aging schedule. Each trading desk for purposes of section schedule must record the value of assets Recordkeeping Requirements 248.4(b). or liabilities held over all holding Section 248.3(d)(3) specifies that Section 248.5(c) requires periods. For derivatives other than proprietary trading does not include any documentation for certain purchases or options and interest rate derivatives, purchase or sale of a security by a sales of a financial instrument for risk- value means gross notional value. For banking entity for the purpose of mitigating hedging purposes that is: (1) options, value means delta adjusted liquidity management in accordance Not established by the specific trading notional value. For interest rate with a documented liquidity desk establishing the underlying derivatives, value means 10-year bond management plan of the banking entity positions, contracts, or other holdings equivalent value. The calculation period that (1) specifically contemplates and the risks of which the hedging activity is one trading day and the measurement authorizes the particular securities to be is designed to reduce; (2) established by frequency is daily. used for liquidity management the specific trading desk establishing or The customer-facing trade ratio is a purposes, the amount, types, and risks responsible for the underlying positions, ratio comparing (1) the transactions of these securities that are consistent contracts, or other holdings but that is involving a counterparty that is a with liquidity management, and the not specifically identified in the trading customer of the trading desk to (2) the liquidity circumstances in which the desk’s written policies and procedures; transactions involving a counterparty particular securities may or must be or (3) established to hedge aggregated that is not a customer of the trading used; (2) requires that any purchase or positions across two or more trading desk. A trade count based ratio must be sale of securities contemplated and desks. In connection with any purchase computed that records the number of authorized by the plan be principally for or sale that meets these specified transactions involving a counterparty the purpose of managing the liquidity of circumstances, a banking entity must, at that is a customer of the trading desk the banking entity, and not for the a minimum and contemporaneously and the number of transactions purpose of short-term resale, benefitting with the purchase or sale, document (1) involving a counterparty that is not a from actual or expected short-term price the specific, identifiable risk(s) of the customer of the trading desk. A value movements, realizing short-term identified positions, contracts, or other based ratio must be computed that arbitrage profits, or hedging a position holdings of the banking entity that the records the value of transactions taken for such short-term purposes; (3) purchase or sale is designed to reduce; involving a counterparty that is a requires that any securities purchased or (2) the specific risk-mitigating strategy customer of the trading desk and the sold for liquidity management purposes that the purchase or sale is designed to value of transactions involving a be highly liquid and limited to fulfill; and (3) the trading desk or other counterparty that is not a customer of securities the market, credit and other business unit that is establishing and the trading desk. For purposes of risks of which the banking entity does responsible for the hedge. The banking calculating the customer-facing trade not reasonably expect to give rise to entity must also create and retain ratio, a counterparty is considered to be appreciable profits or losses as a result records sufficient to demonstrate a customer of the trading desk if the of short-term price movements; (4) compliance with this section for at least
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five years in a form that allows the identified in this part or by management consistent with the requirements of banking entity to promptly produce as requiring attention; (4) independent section 13 of the BHC Act and this part; such records to the appropriate agency testing and audit of the effectiveness of (3) subject the effectiveness of the on request, or such longer period as the compliance program conducted compliance program to periodic required under other law or this part. periodically by qualified personnel of independent review and testing, and Section 248.11(a)(2) requires that a the banking entity or by a qualified ensure that internal audit, corporate banking entity must create a written outside party; (5) training for trading compliance, and internal control plan or similar documentation in order personnel and managers, as well as functions involved in review and testing to acquire or retain an ownership other appropriate personnel, to are effective and independent; (4) make interest in a covered fund that is effectively implement and enforce the senior management and others organized and offered by the banking compliance program; and (6) records accountable for effective entity pursuant to that exemption. The sufficient to demonstrate compliance implementation of compliance program covered fund must be organized and with section 13 of the BHC Act and and ensure that board of directors and offered only in connection with the applicable regulations, which a banking chief executive officer (or equivalent) of provision of bona fide trust, fiduciary, entity must promptly provide to the the banking entity review effectiveness investment advisory, or commodity Board upon request and retain for a of the compliance program; and (5) trading advisory services and only to period of no less than five years or such facilitate supervision and examination persons that are customers of such longer period as required by the Board. by the relevant agencies of permitted services of the banking entity. The Section 248.20(c) specifies that the trading and covered fund activities and written plan or similar documentation compliance program of a banking entity investments. must outline how the banking entity Section 248.20(d) provides that must satisfy the requirements and other intends to provide advisory or other certain banking entities engaged in standards contained in Appendix B, if similar services to its customers through certain proprietary trading activities (1) the banking entity engages in organizing and offering the covered must comply with the reporting proprietary trading permitted under fund. requirements described in Appendix A. subpart B and is required to comply Section 248.20(a) requires each A banking entity subject to these with the reporting requirements of banking entity to develop a compliance requirements must also, for any section 248.20(d); (2) the banking entity program reasonably designed to ensure quantitative measurement furnished to and monitor compliance with the has reported total consolidated assets as the appropriate agency pursuant to prohibitions and restrictions on of the previous calendar year end of $50 section 248.20(d) and Appendix A, proprietary trading and covered fund billion or more or, in the case of a create and maintain records activities and investments set forth in foreign banking entity, has total U.S. documenting the preparation and section 13 of the BHC Act. For a banking assets as of the previous calendar year content of these reports, as well as such entity with total consolidated assets end of $50 billion or more (including all information as is necessary to permit the over $10 billion, the compliance subsidiaries, affiliates, branches and appropriate agency to verify the program from section 248.20(b) must agencies of the foreign banking entity accuracy of such reports, for a period of include: (1) Written policies and operating, located or organized in the five years from the end of the calendar procedures reasonably designed to United States); or (3) the Board notifies year for which the measurement was document, describe, monitor and limit the banking entity in writing that it taken. trading activities, including setting and must satisfy the requirements and other Section 248.20(e) specifies additional monitoring required limits set out in standards contained in Appendix B. recordkeeping requirements for covered sections 248.4 and 248.5 and activities Appendix B provides enhanced funds. Any banking entity that has more and investments with respect to a minimum standards for compliance than $10 billion in total consolidated covered fund (including those permitted programs for banking entities that meet assets as reported on December 31 of the under sections 248.3 through 248.6 or the thresholds in section 248.20(c) as previous two calendar years must sections 248.11 through 248.14) to described above. These include the maintain records that include: (1) ensure that all activities and establishment, maintenance, and Documentation of the exclusions or investments conducted by the banking enforcement of the enhanced exemptions other than sections 3(c)(1) entity that are subject to section 13 of compliance program and meeting the and 3(c)(7) of the Investment Company the BHC Act and Subpart D of minimum written policies and Act of 1940 relied on by each fund Regulation VV comply with section 13 procedures, internal controls, sponsored by the banking entity of the BHC Act and applicable management framework, independent (including all subsidiaries and affiliates) regulations; (2) a system of internal testing, training, and recordkeeping. The in determining that such fund is not a controls reasonably designed to monitor program must: (1) Be reasonably covered fund; (2) for each fund compliance with section 13 of the BHC designed to identify, document, sponsored by the banking entity Act and Subpart D of Regulation VV and monitor, and report the permitted (including all subsidiaries and affiliates) to prevent the occurrence of activities or trading and covered fund activities and for which the banking entity relies on investments that are prohibited by investments; identify, monitor, and one or more of the exclusions from the section 13 of the BHC Act and promptly address the risk of these definition of covered fund provided by applicable regulations; (3) a covered activities and investments and sections 248.10(c)(1), 248.10(c)(5), management framework that clearly potential areas of noncompliance; and 248.10(c)(8), 248.10(c)(9), or delineates responsibility and prevent activities or investments 248.10(c)(10) of subpart C of the final accountability for compliance with prohibited by, or that do not comply rule, documentation supporting the section 13 of the BHC Act and Subpart with, section 13 of the BHC Act and this banking entity’s determination that the D of Regulation VV and includes part; (2) establish and enforce fund is not a covered fund pursuant to appropriate management review of appropriate limits on covered activities one or more of those exclusions; (3) for trading limits, strategies, hedging and investments, including limits on each seeding vehicle described in activities, investments, incentive size, scope, complexity, and risks of sections 248.10(c)(12)(i) or compensation, and other matters individual activities or investments 248.10(c)(12)(iii) of subpart C that will
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become a registered investment 248.20 by including in its existing below. In addition, the information is company or SEC-regulated business compliance policies and procedures ‘‘contained in or related to examination, development company, a written plan appropriate references to the operating, or condition reports prepared documenting the banking entity’s requirements of section 13 and this part . . . for the use of ’’ the Board, and thus determination that the seeding vehicle and adjustments as appropriate given may be withheld under exemption 8 of will become a registered investment the activities, size, scope, and FOIA (5 U.S.C. 552(b)(8)). Under section company or SEC-regulated business complexity of the banking entity. 248.12(e), the banking entity, as part of development company, the period of Disclosure Requirements any request to extend the period to time during which the vehicle will divest ownership of a covered fund, operate as a seeding vehicle, and the Section 248.11(a)(8)(i) requires that a must provide to the agency (among banking entity’s plan to market the banking entity must clearly and other information): The total exposure vehicle to third-party investors and conspicuously disclose, in writing, to convert it into a registered investment any prospective and actual investor in of the banking entity to the covered company or SEC-regulated business the covered fund (such as through fund and its materiality to the development company within the time disclosure in the covered fund’s offering institution; the risks and costs of period specified in section documents) (1) that ‘‘any losses in [such disposing of, or maintaining the fund, 248.12(a)(2)(i)(B) of subpart C; and (4) covered fund] will be borne solely by within the applicable period; and the for any banking entity that is, or is investors in [the covered fund] and not contractual terms governing the banking controlled directly or indirectly by a by [the banking entity]; therefore, [the entity’s interest in the covered fund. banking entity that is, located in or banking entity’s] losses in [such covered Among the types of information organized under the laws of the United fund] will be limited to losses required to be submitted under section States or of any State, if the aggregate attributable to the ownership interests 248.20(d) and Appendix A are (1) risk amount of ownership interests in in the covered fund held by [the and position limits and usage; (2) risk foreign public funds that are described banking entity] in its capacity as factor sensitivities; (3) Value-at-Risk and in section 248.10(c)(1) of subpart C investor in the [covered fund] or as stress Value-at-Risk; (4) comprehensive owned by such banking entity beneficiary of a carried interest held by profit and loss attribution; (5) inventory (including ownership interests owned [the banking entity]’’; (2) that such turnover; (6) inventory aging; and (7) by any affiliate that is controlled investor should read the fund offering customer facing trade ratio. Disclosure directly or indirectly by a banking entity documents before investing in the of this type of internal proprietary covered fund; (3) that the ‘‘ownership that is located in or organized under the business information would clearly interests in the covered fund are not laws of the United States or of any State) cause substantial competitive harm. exceeds $50 million at the end of two insured by the FDIC, and are not or more consecutive calendar quarters, deposits, obligations of, or endorsed or Regarding the information contained beginning with the next succeeding guaranteed in any way, by any banking in the rule subject to recordkeeping calendar quarter, documentation of the entity’’ (unless that happens to be the requirements only, no issues of value of the ownership interests owned case); and (4) the role of the banking confidentiality normally would arise. If by the banking entity (and such entity and its affiliates and employees in such information were gathered by the affiliates) in each foreign public fund sponsoring or providing any services to Federal Reserve during the course of and each jurisdiction in which any such the covered fund. supervisory examinations and foreign public fund is organized, Legal authorization and inspections, however, such information calculated as of the end of each calendar confidentiality: The Board’s Legal normally would be deemed exempt quarter, which documentation must Division has determined that section 13 under exemption 8 of FOIA (5 U.S.C. continue until the banking entity’s of the Bank Holding Company Act (BHC 552(b)(8)). The information collected in aggregate amount of ownership interests Act) authorizes the Board and the other response to these recordkeeping in foreign public funds is below $50 agencies to issue rules to carry out the requirements would be confidential million for two consecutive calendar purposes of the section (12 U.S.C. commercial and financial information of 1851(b)(2)). In addition, section 13 quarters. the type normally exempt from requires the agencies to issue Pursuant to section 248.20(f)(1), a disclosure under exemption 4 of FOIA, banking entity that does not engage in regulations regarding internal controls and recordkeeping to ensure compliance if gathered by the Federal Reserve (5 activities or investments pursuant to U.S.C. 552(b)(4)). Such information subpart B or subpart C (other than with section 13 (12 U.S.C. 1851(e)(1)). includes: The banking entity’s liquidity trading activities permitted pursuant to The information collection is required management plan to qualify for certain section 248.6(a) of subpart B) may in order for covered entities to obtain satisfy the requirements of section the benefit of engaging in certain types regulatory exclusions under section 248.20 by establishing the required of proprietary trading or investing in, 248.3(d)(3); documentation compliance program prior to becoming sponsoring, or having certain requirements for certain hedging engaged in such activities or making relationships with a hedge fund or transactions or exemptions under such investments (other than trading private equity fund, under the sections 248.5(c) and 248.11(a)(2); and a activities permitted pursuant to section restrictions set forth in section 13 and detailed compliance program (or 248.6(a) of subpart B). the final rule. equivalent trading policies and Pursuant to section 248.20(f)(2) a As required information, the procedures) under sections 248.20(b)– banking entity with total consolidated information submitted under sections (f). assets of $10 billion or less as reported 248.12(e) and 248.20(d) of the rule can Board of Governors of the Federal Reserve on December 31 of the previous two be withheld under exemption 4 of the System, July 28, 2017. calendar years that engages in activities Freedom of Information Act (FOIA) if or investments pursuant to subpart B or disclosure would result in substantial Ann E. Misback, subpart C (other than trading activities competitive harm (5 U.S.C. 552(b)(4)). Secretary of the Board. permitted under section 248.6(a)) may The information required to be [FR Doc. 2017–16239 Filed 8–1–17; 8:45 am] satisfy the requirements of section submitted meets this test, as detailed BILLING CODE 6210–01–P
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DEPARTMENT OF DEFENSE receipt of your comment(s), please Dated: July 27, 2017. check www.regulations.gov, Lorin S. Curit, GENERAL SERVICES approximately two to three days after Director, Federal Acquisition Policy Division, ADMINISTRATION submission to verify posting (except Office of Government-wide Acquisition allow 30 days for posting of comments Policy, Office of Acquisition Policy, Office NATIONAL AERONAUTICS AND submitted by mail). of Government-wide Policy. SPACE ADMINISTRATION [FR Doc. 2017–16274 Filed 8–1–17; 8:45 am] FOR FURTHER INFORMATION CONTACT: Ms. [OMB Control No. 9000–0014; Docket 2017– Zenaida Delgado, Procurement Analyst, BILLING CODE 6820–EP–P 0053; Sequence 8] via telephone 202–969–7207 or via email to [email protected]. Information Collection; Statement and DEPARTMENT OF HEALTH AND SUPPLEMENTARY INFORMATION: Acknowledgment (Standard Form HUMAN SERVICES 1413) A. Purpose Administration for Children and AGENCY: Department of Defense (DOD), SF 1413, Statement and Families General Services Administration (GSA), Acknowledgment, is used by all and National Aeronautics and Space executive agencies, including the Submission for OMB Review; Administration (NASA). Department of Defense, to obtain a Comment Request ACTION: Notice of request for public statement from contractors that the proper clauses have been included in Title: Procedural Justice Informed comments regarding an extension to an Alternatives to Contempt (PJAC). existing OMB clearance. subcontracts. The form is used by the prime contractor to identify and report OMB No.: 0970–NEW. SUMMARY: Under the provisions of the all applicable subcontracts (all tiers) Description: The Office of Child Paperwork Reduction Act of 1995, the awarded under the prime contract, Support Enforcement (OCSE) within the Regulatory Secretariat Division (MVCB) identify specific scopes of work the Administration for Children and will be submitting to the Office of subcontractors will be performing, Families (ACF) is proposing data Management and Budget (OMB) a subcontract award date, and subcontract collection activity as part of the request to review and approve an number, and provide formal notification Procedural Justice Informed extension of a currently approved to the applicable subcontractors of the Alternatives to Contempt Demonstration information collection requirement labor laws and associated clauses they (PJAC). In September 2016, OCSE issued concerning statement and are responsible for complying with. grants to six child support agencies to acknowledgment Standard Form (SF) provide alternative approaches to the B. Annual Reporting Burden 1413. contempt process with the goal of Respondents: 30,500. increasing parents’ compliance with DATES: Submit comments on or before child support orders by building trust Responses per Respondent: 2. October 2, 2017. and confidence in the child support Total Responses: 61,000. ADDRESSES: Submit comments agency and its processes. PJAC is a five- identified by Information Collection Hours per Response: .05. year project (the first year of which is 9000–0014 by any of the following Total Burden Hours: 3,050. dedicated to planning) that will allow methods: C. Public Comments grantees to learn whether incorporating • Regulations.gov: http:// principles of procedural justice into www.regulations.gov. Submit comments Public comments are particularly child support business practices via the Federal eRulemaking portal by invited on: Whether this collection of increases reliable child support searching the OMB control number information is necessary for the proper payments. In addition to increasing 9000–0014. Select the link ‘‘Comment performance of functions of the Federal reliable payments, the PJAC Now’’ that corresponds with Acquisition Regulation (FAR), and intervention aims to reduce arrears, ‘‘Information Collection 9000–0014, whether it will have practical utility; minimize the need for continued Statement and Acknowledgment (SF whether our estimate of the public enforcement actions and sanctions, and 1413)’’. Follow the instructions burden of this collection of information reduce the inefficient use of contempt provided on the screen. Please include is accurate, and based on valid proceedings. your name, company name (if any), and assumptions and methodology; ways to The PJAC evaluation will yield ‘‘Information Collection 9000–0014, enhance the quality, utility, and clarity information about the efficacy of Statement and Acknowledgment (SF of the information to be collected; and applying procedural justice principles 1413)’’ on your attached document. ways in which we can minimize the via a set of alternative services to the • Mail: General Services burden of the collection of information current contempt process. It will Administration, Regulatory Secretariat on those who are to respond, through generate extensive knowledge regarding Division (MVCB), 1800 F Street NW., the use of appropriate technological how PJAC programs operate, the effects Washington, DC 20405. ATTN: Ms. collection techniques or other forms of the programs have, and whether their Sosa/IC 9000–0014, Statement and information technology. benefits exceed their costs. The Acknowledgment (SF 1413). Obtaining Copies of Proposals: information gathered will be critical to Instructions: Please submit comments Requesters may obtain a copy of the informing future policy decisions only and cite Information Collection information collection documents from related to contempt. 9000–0014, in all correspondence the General Services Administration, The PJAC evaluation will include the related to this collection. Comments Regulatory Secretariat Division (MVCB), following three interconnected received generally will be posted 1800 F Street NW., Washington, DC components or ‘‘studies’’: without change to http:// 20405, telephone 202–501–4755. 1. Implementation Study. The goal of www.regulations.gov, including any Please cite OMB Control No. 9000– the implementation study is to provide personal and/or business confidential 0014, Statement and Acknowledgment a detailed description of the PJAC information provided. To confirm (SF 1413), in all correspondence. programs—how they are implemented,
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their participants, the contexts in which offered those services. The random perspective of the government, they are operated, and their promising assignment process will require child noncustodial parents, custodial parents practices. The implementation study support program staff to complete a and their children, and society. Once will also assess whether the PJAC brief data entry protocol. The impact measured, particular impacts or interventions are implemented as study will rely on administrative data expenditures will constitute benefits or intended (implementation fidelity) as from state and county child support costs, depending on which analytical well as how the treatment implemented systems, court records, criminal justice perspective is considered. For each of differed from the status quo (treatment records, and data from the National the perspectives, pertinent benefits and contrast). The detailed descriptions will Directory of New Hires. Administrative costs will be added together to assist in interpreting program impacts records data will be used to estimate determine the net value of the program. and identifying program features and impacts on child support payments, Key hypothesized benefits and costs to conditions necessary for effective enforcement actions, contempt be assessed include increased PJAC program replication or improvement. proceedings, jail stays, and employment intervention costs, reduced costs for Key activities of the implementation and earnings. The impact study will contempt actions, increased payments study will include: (1) A Management also include a follow-up survey of from non-custodial parents, reduced Information System (MIS) for collection participants that will be administered court costs, and reduced jail time, and analysis of program participation approximately 12 months after random among others. The benefit-cost study data to track participant engagement in assignment to a subset of the sample. will rely on the results of the impact PJAC activities; (2) semi-structured The survey will gather information on study, analysis of participation data interviews with program staff and staff participant experiences with the child from the MIS, and results of a staff time from selected community partner support program and family court, study in order to quantify various PJAC- organizations; (3) semi-structured family relationships, parenting and co- related costs and benefits. interviews with program participants to parenting, informal child support learn about their experiences in PJAC; payments, and job characteristics. In an This 30-Day Notice covers the and (4) a staff questionnaire to gather effort to enhance response rates, the following data collection activities: (1) broader quantitative information on PJAC survey firm will attempt to track Staff data entry for random assignment; program implementation and staff survey sample members at a few points (2) Study MIS to track program experiences. over the 12-month follow-up period in participation; (3) Staff and community 2. Impact Study: The goal of the order to stay in touch with them and partner interview topic guide; (4) impact study is to provide rigorous gather updated contact information from Participant interview topic guide; and estimates of the effectiveness of the six them. (5) Participant survey tracking letter. programs using an experimental 3. Benefit-Cost Study: The benefit-cost Respondents: Respondents for the research design. Program applicants study will estimate the costs and first information collection phase who are eligible for PJAC services will benefits associated with the include study participants and grantee be randomly assigned to either a implementation and impact of the PJAC staff and community partners. Specific program group that is offered program interventions. The study will examine respondents per instrument are noted in services or to a control group that is not the costs and benefits from the the burden table below.
ANNUAL BURDEN ESTIMATES
Number of Average Instrument Number of responses per burden hours Total burden Total annual respondents respondent per response hours burden hours
Staff data entry for random assignment ...... 120 150 0.05 900 300 Study MIS to track program participation ...... 120 150 1.00 18,000 6,000 Staff and community partner interview topic guide ...... 150 2 1.00 300 100 Participant interview topic guide ...... 180 1 1.00 180 60 Participant survey tracking letter ...... 3,000 3 0.10 900 300
Estimated Total Annual Burden having its full effect if OMB receives it DEPARTMENT OF HEALTH AND Hours: 6,760. within 30 days of publication. Written HUMAN SERVICES Additional Information: Copies of the comments and recommendations for the proposed collection may be obtained by proposed information collection should Food and Drug Administration writing to the Administration for be sent directly to the following: Office [Docket No. FDA–2017–N–4281] Children and Families, Office of of Management and Budget, Paperwork Planning, Research and Evaluation, 330 Reduction Project, Email: OIRA_ Food Safety Modernization Act C Street SW., Washington, DC 20201. [email protected], Attn: Domestic and Foreign Facility Attention: Reports Clearance Officer. All Desk Officer for the Administration for Reinspection, Recall, and Importer requests should be identified by the title Children and Families. Reinspection Fee Rates for Fiscal Year of the information collection. Email 2018 Robert Sargis, address: [email protected]. AGENCY: Reports Clearance Officer. Food and Drug Administration, OMB Comment: OMB is required to HHS. [FR Doc. 2017–16254 Filed 8–1–17; 8:45 am] make a decision concerning the ACTION: Notice. collection of information between 30 BILLING CODE 4184–01–P and 60 days after publication of this SUMMARY: The Food and Drug document in the Federal Register. Administration (FDA) is announcing the Therefore, a comment is best assured of fiscal year (FY) 2018 fee rates for certain
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domestic and foreign facility GuidanceRegulation/ and rent-related costs, is $23,922 per reinspections, failures to comply with a GuidanceDocuments paid staff year, excluding travel costs. recall order, and importer reinspections RegulatoryInformation/FoodDefense/ Summing the average cost of an FTE that are authorized by the Federal Food, ucm274176.htm), because FDA for payroll, non-payroll, and rent, brings Drug, and Cosmetic Act (the FD&C Act), recognizes that for small businesses the the FY 2018 average fully supported as amended by the FDA Food Safety full cost recovery of FDA reinspection cost to $267,783 per FTE, excluding Modernization Act (FSMA). These fees or recall oversight could impose severe travel costs. FDA will use this base unit are effective on October 1, 2017, and economic hardship, FDA intends to fee in determining the hourly fee rate for will remain in effect through September consider reducing certain fees for those reinspection and recall order fees for FY 30, 2018. firms. FDA does not intend to issue 2018 prior to including domestic or FOR FURTHER INFORMATION CONTACT: invoices for reinspection or recall order foreign travel costs as applicable for the Jason Lewis, Office of Management, fees until FDA publishes a guidance activity. Office of Regulatory Affairs, Food and document outlining the process through To calculate an hourly rate, FDA must Drug Administration, 12420 Parklawn which firms may request a reduction in divide the FY 2018 average fully Dr., Rm. 2046, Rockville, MD 20857, fees. supported cost of $267,783 per FTE by 301–796–5957, email: Jason.Lewis@ In addition, as stated in the the average number of supported direct fda.hhs.gov. September 2011 Guidance, FDA is in FDA work hours in FY 2016—the last SUPPLEMENTARY INFORMATION: the process of considering various FY for which data are available. See issues associated with the assessment Table 1. I. Background and collection of importer reinspection Section 107 of FSMA (Pub. L. 111– fees. The fee rates set forth in this notice TABLE 1—SUPPORTED DIRECT FDA 353) added section 743 to the FD&C Act will be used to determine any importer WORK HOURS IN A PAID STAFF (21 U.S.C. 379j–31) to provide FDA with reinspection fees assessed in FY 2018. YEAR IN FY 2016 the authority to assess and collect fees II. Estimating the Average Cost of a from, in part: (1) The responsible party Total number of hours in a Supported Direct FDA Work Hour for for each domestic facility and the U.S. paid staff year ...... 2,080 FY 2018 agent for each foreign facility subject to Less: ...... a reinspection, to cover reinspection- 10 paid holidays ...... ¥80 FDA is required to estimate 100 ¥ related costs; (2) the responsible party percent of its costs for each activity in 20 days of annual leave ... 160 10 days of sick leave ...... ¥80 for a domestic facility and an importer order to establish fee rates for FY 2018. 12.5 days of training ...... ¥100 who does not comply with a recall In each year, the costs of salary (or 26.5 days of general ad- 1 order, to cover food recall activities personnel compensation) and benefits ministration ...... ¥184 associated with such order; and (3) each for FDA employees account for between 26.5 days of travel ...... ¥212 importer subject to a reinspection to 50 and 60 percent of the funds available 2 hours of meetings per cover reinspection-related costs to, and used by, FDA. Almost all of the week ...... ¥104 (sections 743(a)(1)(A), (B), and (D) of the remaining funds (operating funds) FD&C Act). Section 743 of the FD&C Act available to FDA are used to support Net Supported Direct FDA Work Hours directs FDA to establish fees for each of FDA employees for paying rent, travel, these activities based on an estimate of Available for Assign- utility, information technology (IT), and ments ...... = 1,160 100 percent of the costs of each activity other operating costs. for each year (sections 743(b)(2)(A)(i), Dividing the full-time equivalent in (ii), and (iv)), and these fees must be A. Estimating the Full Cost per Direct Work Hour in FY 2018 FY 2018 ($267,783) by the total number made available solely to pay for the of supported direct work hours available costs of each activity for which the fee Full-time equivalent (FTE) reflects the for assignment in FY 2016 (1,160) was incurred (section 743(b)(3)). These total number of regular straight-time results in an average fully supported fees are effective on October 1, 2017, hours—not including overtime or cost of $231 (rounded to the nearest and will remain in effect through holiday hours—worked by employees, dollar), excluding inspection travel September 30, 2018. Section divided by the number of compensable costs, per supported direct work hour in 743(b)(2)(B)(iii) of the FD&C Act directs hours applicable to each fiscal year. FY 2016. FDA to develop a proposed set of Annual leave, sick leave, compensatory guidelines in consideration of the time off, and other approved leave B. Adjusting FY 2016 Travel Costs for burden of fee amounts on small categories are considered ‘‘hours Inflation To Estimate FY 2018 Travel businesses. As a first step in developing worked’’ for purposes of defining FTE Costs these guidelines, FDA invited public employment. To adjust the hourly rate for FY 2018, comment on the potential impact of the In general, the starting point for FDA must estimate the cost of inflation fees authorized by section 743 of the estimating the full cost per direct work in each year for FY 2017 and FY 2018. FD&C Act on small businesses (76 FR hour is to estimate the cost of an FTE FDA uses the method prescribed for 45818, August 1, 2011). The comment or paid staff year. Calculating an estimating inflationary costs under the period for this request ended November Agency-wide total cost per FTE requires Prescription Drug User Fee Act 30, 2011. As stated in FDA’s September three primary cost elements: Payroll, (PDUFA) provisions of the FD&C Act 2011 ‘‘Guidance for Industry: non-payroll, and rent. (section 736(c)(1) (21 U.S.C. 379h(c)(1)), Implementation of the Fee Provisions of The FY 2018 FDA-wide average cost the statutory method for inflation Section 107 of the FDA Food Safety for payroll (salaries and benefits) is adjustment in the FD&C Act that FDA Modernization Act,’’ (http:// $154,638; non-payroll—including has used consistently. FDA previously www.fda.gov/Food/ equipment, supplies, IT, general and determined the FY 2017 inflation rate to be 1.5468 percent; this rate was 1 The term ‘‘food’’ for purposes of this document administrative overhead—is $89,224; has the same meaning as such term in section 201(f) and rent, including cost allocation published in the FY 2017 PDUFA user of the FD&C Act (21 U.S.C. 321(f)). analysis and adjustments for other rent fee rates notice in the Federal Register
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(July 28, 2016, 81 FR 49674). Utilizing foreign inspection travel. FDA will use collect fees from ‘‘the responsible party the method set forth in section 736(c)(1) these rates in charging fees in FY 2018 for each domestic facility (as defined in of the FD&C Act, FDA has calculated an when foreign travel is required. section 415(b) (21 U.S.C. 350d(b))) and inflation rate of 1.5468 percent for 2017 the United States agent for each foreign and 1.6868 percent for 2018, and FDA TABLE 2—FSMA FEE SCHEDULE FOR facility subject to a reinspection’’ to intends to use these inflation rates to FY 2018 cover reinspection-related costs. make inflation adjustments for FY 2018 Section 743(a)(2)(A)(i) of the FD&C for several of its user fee programs; the Fee rates for Act defines the term ‘‘reinspection’’ derivation of this rate will be published Fee category FY 2018 with respect to domestic facilities as ‘‘1 in the Federal Register in the FY 2018 ($) or more inspections conducted under section 704 subsequent to an inspection notice for the PDUFA user fee rates. Hourly rate if domestic travel In FY 2016, FDA’s Office of is required ...... $248 conducted under such provision which Regulatory Affairs (ORA) spent a total of Hourly rate if foreign travel is identified non-compliance materially $5,185,331 for domestic regulatory required ...... 285 related to a food safety requirement of inspection travel costs and General th[e] Act, specifically to determine Services Administration Vehicle costs III. Fees for Reinspections of Domestic whether compliance has been achieved related to FDA’s Center for Food Safety or Foreign Facilities Under Section to the Secretary’s satisfaction.’’ and Applied Nutrition (CFSAN) and 743(a)(1)(A) The FD&C Act does not contain a Center for Veterinary Medicine (CVM) definition of ‘‘reinspection’’ specific to field activities programs. The total ORA A. What will cause this fee to be foreign facilities. In order to give domestic travel costs spent is then assessed? meaning to the language in section divided by the 9,755 CFSAN and CVM The fee will be assessed for a 743(a)(1)(A) of the FD&C Act to collect domestic inspections, which averages a reinspection conducted under section fees from the U.S. agent of a foreign total of $532 per inspection. These 704 of the FD&C Act (21 U.S.C. 374) to facility subject to a reinspection, the Agency is using the following definition inspections average 33.61 hours per determine whether corrective actions of ‘‘reinspection’’ for purposes of inspection. Dividing $532 per have been implemented and are assessing and collecting fees under inspection by 33.61 hours per effective and compliance has been section 743(a)(1)(A), with respect to a inspection results in a total and an achieved to the Secretary of Health and foreign facility, ‘‘1 or more inspections additional cost of $16 (rounded to the Human Services’ (the Secretary) (and, conducted by officers or employees duly nearest dollar) per hour spent for by delegation, FDA’s) satisfaction at a designated by the Secretary subsequent domestic inspection travel costs in FY facility that manufactures, processes, to such an inspection which identified 2016. To adjust for the $16 per hour packs, or holds food for consumption additional domestic cost inflation non-compliance materially related to a necessitated as a result of a previous increases for FY 2017 and FY 2018, FDA food safety requirement of the FD&C inspection (also conducted under must multiply the FY 2017 PDUFA Act, specifically to determine whether section 704) of this facility, which had inflation rate adjustor (1.015468) times compliance has been achieved to the a final classification of Official Action the FY 2018 PDUFA inflation rate Secretary’s (and, by delegation, FDA’s) Indicated (OAI) conducted by or on adjustor (1.016868) times the $16 satisfaction.’’ behalf of FDA, when FDA determined additional domestic cost, which results This definition allows FDA to fulfill the non-compliance was materially in an estimated cost of $17 (rounded to the mandate to assess and collect fees related to food safety requirements of the nearest dollar) per paid hour in from the U.S. agent of a foreign facility the FD&C Act. FDA considers such non- addition to $231 for a total of $248 per in the event that an inspection reveals paid hour ($231 plus $17) for each compliance to include non-compliance non-compliance materially related to a direct hour of work requiring domestic with a statutory or regulatory food safety requirement of the FD&C inspection travel. FDA will use these requirement under section 402 of the Act, causing one or more subsequent rates in charging fees in FY 2018 when FD&C Act (21 U.S.C. 342) and section inspections to determine whether domestic travel is required. 403(w) of the FD&C Act (21 U.S.C. compliance has been achieved to the In FY 2016, ORA spent a total of 343(w)). However, FDA does not Secretary’s (and, by delegation, FDA’s) $2,166,592 on 344.31 foreign inspection consider non-compliance that is satisfaction. By requiring the initial trips related to FDA’s CFSAN and CVM materially related to a food safety inspection to be conducted by officers field activities programs, which requirement to include circumstances or employees duly designated by the averaged a total of $6,293 per foreign where the non-compliance is of a Secretary, the definition ensures that a inspection trip. These trips averaged 3 technical nature and not food safety foreign facility would be subject to fees weeks (or 120 paid hours) per trip. related (e.g., failure to comply with a only in the event that FDA, or an entity Dividing $6,293 per trip by 120 hours food standard or incorrect font size on designated to act on its behalf, has made per trip results in a total and an a food label). Determining when non- the requisite identification at an initial additional cost of $52 (rounded to the compliance, other than under sections inspection of non-compliance materially nearest dollar) per paid hour spent for 402 and 403(w) of the FD&C Act, is related to a food safety requirement of foreign inspection travel costs in FY materially related to a food safety the FD&C Act. The definition of 2016. To adjust $52 for inflationary requirement of the FD&C Act may ‘‘reinspection-related costs’’ in section increases in FY 2017 and FY 2018, FDA depend on the facts of a particular 743(a)(2)(B) of the FD&C Act relates to must multiply it by the same inflation situation. FDA intends to issue guidance both a domestic facility reinspection factors mentioned previously in this to provide additional information about and a foreign facility reinspection, as document (1.015468, 1.016868), which the circumstances under which FDA described in section 743(a)(1)(A). results in an estimated cost of $54 would consider non-compliance to be (rounded to the nearest dollar) per paid materially related to a food safety B. Who will be responsible for paying hour in addition to $231 for a total of requirement of the FD&C Act. this fee? $285 per paid hour ($231 plus $54) for Under section 743(a)(1)(A) of the The FD&C Act states that this fee is to each direct hour of work requiring FD&C Act, FDA is directed to assess and be paid by the responsible party for each
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domestic facility (as defined in section checks, reviewing periodic status new animal drugs. This notice 415(b) of the FD&C Act) and by the U.S. reports, analyzing the status reports and establishes the fee rates for FY 2018. agent for each foreign facility (section the results of the audit checks, FOR FURTHER INFORMATION CONTACT: Visit 743(a)(1)(A) of the FD&C Act). This is conducting inspections, traveling to and FDA’s Web site at https://www.fda.gov/ the party to whom FDA will send the from locations, and monitoring product ForIndustry/UserFees/AnimalGeneric invoice for any fees that are assessed disposition. The direct hours spent on DrugUserFeeActAGDUFA/default.htm, under this section. each such recall will be billed at the or contact Lisa Kable, Center for C. How much will this fee be? appropriate hourly rate shown in table Veterinary Medicine (HFV–10), Food 2. and Drug Administration, 7519 Standish The fee is based on the number of V. How must the fees be paid? Pl., Rockville, MD 20855, 240–402– direct hours spent on such 6888. For general questions, you may reinspections, including time spent An invoice will be sent to the also email the Center for Veterinary conducting the physical surveillance responsible party for paying the fee after Medicine (CVM) at cvmagdufa@ and/or compliance reinspection at the FDA completes the work on which the fda.hhs.gov. facility, or whatever components of invoice is based. Payment must be made SUPPLEMENTARY INFORMATION: such an inspection are deemed within 90 days of the invoice date in necessary, making preparations and U.S. currency by check, bank draft, or I. Background arrangements for the reinspection, U.S. postal money order payable to the traveling to and from the facility, Section 741 of the FD&C Act (21 order of the Food and Drug U.S.C. 379j–21) establishes three preparing any reports, analyzing any Administration. Detailed payment samples or examining any labels if different types of user fees: (1) Fees for information will be included with the certain types of abbreviated applications required, and performing other activities invoice when it is issued. as part of the OAI reinspection until the for generic new animal drugs; (2) annual facility is again determined to be in VI. What are the consequences of not fees for certain generic new animal drug compliance. The direct hours spent on paying these fees? products; and (3) annual fees for certain sponsors of abbreviated applications for each such reinspection will be billed at Under section 743(e)(2) of the FD&C generic new animal drugs and/or the appropriate hourly rate shown in Act, any fee that is not paid within 30 investigational submissions for generic table 2. days after it is due shall be treated as a new animal drugs (21 U.S.C. 379j– claim of the U.S. Government subject to IV. Fees for Non-Compliance With a 21(a)). When certain conditions are met, provisions of subchapter II of chapter 37 Recall Order Under Section 743(a)(1)(B) FDA will waive or reduce fees for of title 31, United States Code. A. What will cause this fee to be generic new animal drugs intended assessed? Dated: July 25, 2017. solely to provide for a minor use or Leslie Kux, minor species indication (21 U.S.C. The fee will be assessed for not Associate Commissioner for Policy. 379j–21(d)). complying with a recall order under For FY 2014 through FY 2018, the section 423(d) (21 U.S.C. 350l(d)) or [FR Doc. 2017–16184 Filed 8–1–17; 8:45 am] FD&C Act establishes aggregate yearly section 412(f) of the FD&C Act (21 BILLING CODE 4164–01–P base revenue amounts for each of these U.S.C. 350a(f)) to cover food recall fee categories (21 U.S.C. 379j–21(b)). activities associated with such order DEPARTMENT OF HEALTH AND Base revenue amounts established for performed by the Secretary (and by HUMAN SERVICES fiscal years after FY 2014 are subject to delegation, FDA) (section 743(a)(1)(B) of adjustment for workload (21 U.S.C. the FD&C Act). Non-compliance may Food and Drug Administration 379j–21(c)). The target revenue amounts include the following: (1) Not initiating for each fee category for FY 2018, after a recall as ordered by FDA; (2) not [Docket No. FDA–2017–N–0007] the adjustment for workload, are as conducting the recall in the manner specified by FDA in the recall order; or Animal Generic Drug User Fee Rates follows: For application fees, the target (3) not providing FDA with requested and Payment Procedures for Fiscal revenue amount is $2,355,000; for information regarding the recall, as Year 2018 product fees, the target revenue amount ordered by FDA. is $3,532,000; and for sponsor fees, the AGENCY: Food and Drug Administration, target revenue amount is $3,532,000. B. Who will be responsible for paying HHS. For FY 2018, the generic new animal this fee? ACTION: Notice. drug user fee rates are: $193,000 for Section 743(a)(1)(B) of the FD&C Act each abbreviated application for a states that the fee is to be paid by the SUMMARY: The Food and Drug generic new animal drug other than responsible party for a domestic facility Administration (FDA) is announcing the those subject to the criteria in section (as defined in section 415(b) of the fee rates and payment procedures for 512(d)(4) of the FD&C Act (21 U.S.C. FD&C Act) and an importer who does fiscal year (FY) 2018 generic new 360b(d)(4)); $96,500 for each not comply with a recall order under animal drug user fees. The Federal abbreviated application for a generic section 423 or under section 412(f) of Food, Drug, and Cosmetic Act (the new animal drug subject to the criteria the FD&C Act. In other words, the party FD&C Act), as amended by the Animal in section 512(d)(4); $8,195 for each paying the fee would be the party that Generic Drug User Fee Amendments of generic new animal drug product; received the recall order. 2013 (AGDUFA II), authorizes FDA to $76,250 for each generic new animal collect user fees for certain abbreviated drug sponsor paying 100 percent of the C. How much will this fee be? applications for generic new animal sponsor fee; $57,188 for each generic The fee is based on the number of drugs, for certain generic new animal new animal drug sponsor paying 75 direct hours spent on taking action in drug products, and for certain sponsors percent of the sponsor fee; and $38,125 response to the firm’s failure to comply of such abbreviated applications for for each generic new animal drug with a recall order. Types of activities generic new animal drugs and/or sponsor paying 50 percent of the could include conducting recall audit investigational submissions for generic sponsor fee. FDA will issue invoices for
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FY 2018 product and sponsor fees by B. Inflation Adjustment to Fee Revenue 2013 (the base years), and the average December 31, 2017. These fees will be Amount number of each of these types of due by January 31, 2018. The The amounts established in AGDUFA applications and submissions over the application fee rates are effective for all II for each year for FY 2014 through FY most recent 5-year period that ended on abbreviated applications for a generic 2018 include an inflation adjustment; June 30, 2017. new animal drug submitted on or after therefore, no further inflation The results of these calculations are October 1, 2017, and will remain in adjustment is required. presented in the first two columns in effect through September 30, 2018. C. Workload Adjustment Fee Revenue table 1. Column 3 reflects the percent Applications will not be accepted for Amount change in workload over the two 5-year review until FDA has received full periods. Column 4 shows the weighting payment of related application fees and For each FY beginning after FY 2014, factor for each type of application, AGDUFA II provides that statutory fee any other fees owed under the Animal reflecting how much of the total FDA revenue amounts shall be further Generic Drug User Fee program generic new animal drug review adjusted to reflect changes in review (AGDUFA program). workload was accounted for by each workload. (See 21 U.S.C. 379j–21(c)(2).) type of application or submission in the II. Revenue Amount for FY 2018 FDA calculated the average number of each of the four types of applications table during the most recent 5 years. A. Statutory Fee Revenue Amounts and submissions specified in the Column 5 is the weighted percent workload adjustment provision change in each category of workload AGDUFA II, Title II of Public Law (abbreviated applications for generic and was derived by multiplying the 113–14, specifies that the aggregate new animal drugs, manufacturing weighting factor in each line in column revenue amount for FY 2018 for supplemental abbreviated applications 4 by the percent change from the base abbreviated application fees is for generic new animal drugs, years in column 3. At the bottom right $2,117,000 and each of the other two investigational generic new animal drug of table 1, the sum of the values in generic new animal drug user fee study submissions, and investigational column 5 is calculated, reflecting a total categories, annual product fees and generic new animal drug protocol change in workload of 51.4457 percent annual sponsor fees, is $3,175,000 each submissions) received over the 5-year for FY 2018. This is the workload (see 21 U.S.C. 379j–21(b)). period that ended on September 30, adjuster for FY 2018.
TABLE 1—WORKLOAD ADJUSTER CALCULATION
Column 1 Column 2 Column 3 Column 4 Column 5 Application Type 5-Year Latest Weighted average 5-Year Percent Weighting percent (base years) average change factor change
Abbreviated New Animal Drug Applications (ANADAs) ...... 25.0 28.00 12.0 0.342876 4.1145 Manufacturing Supplements ANADAs ...... 128.0 155.40 21.4 0.275337 5.8939 Generic Investigational Study Submissions ...... 23.0 51.40 123.5 0.238287 29.4233 Generic Investigational Protocol Submissions ...... 17.2 31.60 83.7 0.143501 12.0140
FY 2018 AGDUFA II Workload Adjuster ...... 51.4457
Over the last year FDA has continued from all three categories before the offset appropriated for fees for FY 2014 to see more sponsors getting involved in for excess collections through FY 2018. through FY 2017, the excess shall be the generic animal drug approval The target for application fee revenue credited to FDA’s appropriation account process, including pioneer sponsors. before the offset is $2,117,000 × and subtracted from the amount of fees This has contributed to sustained 151.4457 percent, for a total of that FDA would otherwise be increases in the number of ANADAs, $3,206,105, rounded to the nearest authorized to collect for FY 2018 (see manufacturing supplements, and dollar. The target for product fee section 741(g)(4) of the FD&C Act). protocols submitted. Additionally, more revenue before the offset is $3,175,000 Table 2 shows the amounts specified sponsors continue to pursue drug × 151.4457 percent, for a total of in appropriation acts for each year from approvals that do not qualify for a $4,808,401, rounded to the nearest waiver from the requirement to conduct dollar, and the target for sponsor fee FY 2014 through FY 2017, and the an in vivo bioequivalence study. For revenue before the offset is the same as amounts FDA has collected for FY 2014, this reason we are seeing a large for product fees ($4,808,401, rounded to FY 2015, FY 2016, and FY 2017 as of sustained increase in the number of the nearest dollar). June 30, 2017, and an additional generic investigational new animal drug $11,810,000 (rounded to the nearest study submissions. D. Offset for Excess Collections Through thousand dollars) that FDA estimates it As a result, the statutory revenue FY 2017 will collect in FY 2017 based on amount for each category of fees for FY Under the provisions of the FD&C historical data. Table 2 shows the 2018 ($2,117,000 for application fees Act, if the sum of the cumulative estimated cumulative difference and $3,175,000 for both product and amount of the fees collected for FY 2014 between AGDUFA II fee amounts sponsor fees) must now be increased by through FY 2016, and the amount of specified in appropriation acts for FY 51.4457 percent, for a total fee revenue fees estimated to be collected for FY 2014 through FY 2017 and AGDUFA II target in FY 2018 of $12,822,907 for fees 2017, exceeds the cumulative amount fee amounts collected.
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TABLE 2—OFFSETS TO BE TAKEN FOR AGDUFA II
Amount in Collection excess of amount collection Fiscal year Collections specified in amount realized appropriation specified in acts appropriation acts
2014 ...... $8,388,928 $7,328,000 $1,060,928 2015 ...... 9,982,041 6,944,000 3,038,041 2016 ...... 8,541,304 9,705,000 ¥1,163,696 2017 ...... 11,810,000 11,341,000 469,000
Net Balance to be Offset When Fees are Set for FY 2018 ...... 3,404,273 Note: FY 2017 ‘‘Collections Realized’’ is the amount FDA estimates it will collect in FY 2017 based on historical data.
The cumulative fees collected for FY for FY 2019 because FDA has submission was withdrawn by the 2014 through FY 2017 are estimated to determined such an adjustment to be sponsor. Abbreviated applications for be $3,404,273 greater than the unnecessary. generic new animal drugs resubmitted cumulative fee amounts specified in on or after July 1, 2008, are subject to III. Abbreviated Application Fee user fees. In this notice, FDA refers to appropriation acts during this same Calculations for FY 2018 period. Reducing the workload adjusted these resubmitted applications as amount of $12,822,907 by the AGDUFA A. Application Fee Revenues and ‘‘reactivated’’ applications. II offset of $3,404,273 results in an Numbers of Fee-Paying Applications Also, under AGDUFA II, an amount of $9,419,000 (rounded to the Each person that submits an abbreviated application for an animal nearest thousand dollars), before the abbreviated application for a generic generic drug subject to the criteria in final year adjustment. new animal drug shall be subject to an section 512(d)(4) of the FD&C Act and Reducing the fees to achieve the application fee, with limited exceptions submitted on or after October 1, 2013, offset-adjusted target revenue (as a (21 U.S.C. 379j–21(a)(1)). The term shall be subject to 50 percent of the fee percentage of workload-adjusted target ‘‘abbreviated application for a generic applicable to all other abbreviated revenue) yields the following revenue new animal drug’’ means an abbreviated applications for a generic new animal by fee type: The target for application application for the approval of any drug (21 U.S.C. 379j–21(a)(1)(C)(ii)). fee revenue after the offset is $9,419,000 generic new animal drug submitted Regarding original submissions of × 25 percent, for a total of $2,355,000, under section 512(b)(2) (21 U.S.C. 379j– abbreviated applications for generic new rounded to the nearest thousand. The 21(k)(1)). The application fees are to be animal drugs, FDA is assuming that the target for product fee revenue after the set so that they will generate $2,355,000 number of applications that will pay offset is $9,419,000 × 37.5 percent, for in fee revenue for FY 2018. fees in FY 2018 will equal the average a total of $3,532,000, rounded to the To set fees for abbreviated number of submissions over the 5 most nearest thousand, and the target for applications for generic new animal recently completed years of the sponsor fee revenue after the offset is drugs to realize $2,355,000, FDA must AGDUFA program (FY 2012–FY 2016). the same as for product fees ($3,532,000, first make some assumptions about the FDA believes that this is a reasonable rounded to the nearest thousand). number of fee-paying abbreviated approach after 8 complete years of experience with this program. E. Final Year Adjustment applications it will receive during FY 2018. The average number of original Under the provisions of the FD&C The Agency knows the number of submissions of abbreviated applications Act, for FY 2018 the Secretary of Health applications that have been submitted for generic new animal drugs over the and Human Services may, in addition to in previous years. That number 5 most recently completed years is 10 the workload adjustment, further fluctuates from year to year. FDA is applications not subject to the criteria in increase the fees if such an adjustment making estimates and applying different section 512(d)(4) of the FD&C Act and is necessary to provide for not more assumptions for two types of full fee 4.4 submissions subject to the criteria in than 3 months of operating reserves of submissions: Original submissions of section 512(d)(4). Each of the carryover user fees for the process for abbreviated applications for generic new submissions described under section the review of abbreviated applications animal drugs and ‘‘reactivated’’ 512(d)(4) of the FD&C Act pays 50 for generic new animal drugs for the submissions of abbreviated applications percent of the fee paid by the other first 3 months of FY 2019. If such an for generic new animal drugs. Any applications and will be counted as one adjustment is necessary, the rationale original submissions of abbreviated half of a fee. Adding all of the for the amount of this increase shall be applications for generic new animal applications not subject to the criteria in contained in the annual notice drugs that were received by FDA before section 512(d)(4) of the FD&C Act and establishing fees for FY 2018 (see July 1, 2008, were not assessed fees (21 50 percent of the number that are section 741(c)(3) of the FD&C Act). U.S.C. 379j–21(a)(1)(A)). Some of these subject to such criteria results in a total After calculating the operating non-fee-paying submissions were later of 12.2 anticipated full fees. reserves and estimating the balance as of resubmitted on or after July 1 because In prior years, FDA had estimated the the beginning of FY 2019, FDA the initial submission was not approved number of reactivations of abbreviated estimates that the AGDUFA program by FDA (i.e., FDA marked the applications for generic new animal will have sufficient funds for the submission as incomplete and requested drugs that had been originally submitted operating reserves; thus, FDA will not additional non-administrative prior to July 1, 2008. Over the years, that be performing a final year adjustment information) or because the original number has decreased to the point that
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FDA no longer expects to receive any data on all generic new animal drug drug sponsor is subject to only one such reactivations of applications initially products that have been submitted for fee each fiscal year (see 21 U.S.C. 379j– submitted prior to July 1, 2008, and will listing under section 510 of the FD&C 21(a)(3)(C)). Applicants with more than include no provision for them in its fee Act and matched this to the list of all six approved abbreviated applications estimates. Should such a submission be persons who FDA estimated would have will pay 100 percent of the sponsor fee; made, the submitter will be expected to an abbreviated new animal drug applicants with more than one and pay the appropriate fee. application or supplemental abbreviated fewer than seven approved abbreviated Based on the previous assumptions, application pending after September 1, applications will pay 75 percent of the FDA is estimating that it will receive a 2008. As of June 2017, FDA estimates a sponsor fee; and applicants with one or total of 12.2 fee-paying generic new total of 431 products submitted for fewer approved abbreviated animal drug applications in FY 2018 (10 listing by persons who had an applications will pay 50 percent of the original applications paying a full fee abbreviated application for a generic sponsor fee (see 21 U.S.C. 379j– and 4.4 applications paying a half fee). new animal drug or supplemental 21(a)(3)(C)). The sponsor fees are to be B. Application Fee Rates for FY 2018 abbreviated application for a generic set so that they will generate $3,532,000 new animal drug pending after in fee revenue for FY 2018. FDA must set the fee rates for FY 2018 September 1, 2008. Based on this, FDA so that the estimated 12.2 abbreviated To set generic new animal drug believes that a total of 431 products will sponsor fees to realize $3,532,000, FDA applications that pay the fee will be subject to this fee in FY 2018. generate a total of $2,355,000. To must make some assumptions about the In estimating the fee revenue to be number of sponsors who will pay these generate this amount, the fee for a generated by generic new animal drug generic new animal drug application, fees in FY 2018. FDA now has 8 product fees in FY 2018, FDA is complete years of experience collecting rounded to the nearest hundred dollars, assuming that less than two products will have to be $193,000, and for those these sponsor fees. Based on the number invoiced will qualify for minor use/ of firms that meet this definition and the applications that are subject to the minor species fee waiver (see 21 U.S.C. criteria set forth in section 512(d)(4) of average number of firms paying fees at 379j–21(d)). FDA has kept this estimate each level over the 5 most recently the FD&C Act, 50 percent of that at zero percent this year, based on amount, or $96,500. completed years of the AGDUFA historical data over the past 5 completed program (FY 2012 through FY 2016), IV. Generic New Animal Drug Product years of the AGDUFA program. FDA estimates that in FY 2018, 14 Accordingly, the Agency estimates Fee Calculations for FY 2018 sponsors will pay 100 percent fees, 17 that a total of 431 products will be sponsors will pay 75 percent fees, and A. Product Fee Revenues and Numbers subject to product fees in FY 2018. of Fee-Paying Products 42 sponsors will pay 50 percent fees. B. Product Fee Rates for FY 2018 That totals the equivalent of 47.75 full The generic new animal drug product sponsor fees (14 × 100 percent or 14, fee (also referred to as the product fee) FDA must set the fee rates for FY 2018 × so that the estimated 431 products that plus 17 75 percent or 12.75, plus 42 must be paid annually by the person × 50 percent or 21). named as the applicant in an pay fees will generate a total of FDA estimates that about 3 percent of abbreviated application or supplemental $3,532,000. To generate this amount all of these sponsors, or 1.43, may abbreviated application for a generic will require the fee for a generic new qualify for a minor use/minor species new animal drug product submitted for animal drug product, rounded to the fee waiver (see 21 U.S.C. 379j–21(d)). listing under section 510 of the FD&C nearest $5, to be $8,195. FDA has kept the estimate of the Act (21 U.S.C. 360), and who had an V. Generic New Animal Drug Sponsor percentage of sponsors that will not pay abbreviated application or supplemental Fee Calculations for FY 2018 fees at 3 percent this year, based on abbreviated application for a generic historical data over the past 5 completed new animal drug product pending at A. Sponsor Fee Revenues and Numbers years of the AGDUFA program. FDA after September 1, 2008 (see 21 of Fee-Paying Sponsors U.S.C. 379j–21(a)(2)). The term ‘‘generic The generic new animal drug sponsor Accordingly, the Agency estimates new animal drug product’’ means each fee (also referred to as the sponsor fee) that the equivalent of 46.32 full sponsor specific strength or potency of a must be paid annually by each person fees (47.75 minus 1.43) are likely to be particular active ingredient or who: (1) Is named as the applicant in an paid in FY 2018. ingredients in final dosage form abbreviated application for a generic B. Sponsor Fee Rates for FY 2018 marketed by a particular manufacturer new animal drug, except for an or distributor, which is uniquely approved application for which all FDA must set the fee rates for FY 2018 identified by the labeler code and subject products have been removed so that the estimated equivalent of 46.32 product code portions of the national from listing under section 510 of the full sponsor fees will generate a total of drug code, and for which an abbreviated FD&C Act, or has submitted an $3,532,000. To generate this amount application for a generic new animal investigational submission for a generic will require the 100 percent fee for a drug or supplemental abbreviated new animal drug that has not been generic new animal drug sponsor, application for a generic new animal terminated or otherwise rendered rounded to the nearest $50, to be drug has been approved (21 U.S.C. 379j– inactive and (2) had an abbreviated $76,250. Accordingly, the fee for those 21(k)(6)). The product fees are to be set application for a generic new animal paying 75 percent of the full sponsor fee so that they will generate $3,532,000 in drug, supplemental abbreviated will be $57,188, and the fee for those fee revenue for FY 2018. application for a generic new animal paying 50 percent of the full sponsor fee To set generic new animal drug drug, or investigational submission for a will be $38,125. product fees to realize $3,532,000, FDA generic new animal drug pending at VI. Fee Schedule for FY 2018 must make some assumptions about the FDA after September 1, 2008 (see 21 number of products for which these fees U.S.C. 379j–21(k)(7) and 379j–21(a)(3), The fee rates for FY 2018 are will be paid in FY 2018. FDA gathered respectively). A generic new animal summarized in table 3.
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TABLE 3—FY 2018 FEE RATES
Fee rate for Generic new animal drug user fee category FY 2018
Abbreviated Application Fee for Generic New Animal Drug except those subject to the criteria in section 512(d)(4) ...... $193,000 Abbreviated Application Fee for Generic New Animal Drug subject to the criteria in section 512(d)(4) ...... 96,500 Generic New Animal Drug Product Fee ...... 8,195 100 Percent Generic New Animal Drug Sponsor Fee 1 ...... 76,250 75 Percent Generic New Animal Drug Sponsor Fee 1 ...... 57,188 50 Percent Generic New Animal Drug Sponsor Fee 1 ...... 38,125 1 An animal drug sponsor is subject to only one fee each fiscal year.
VII. Procedures for Paying FY 2018 When paying by wire transfer, it is B. Application Cover Sheet Procedures Generic New Animal Drug User Fees required that the invoice number is Step One—Create a user account and included; without the invoice number password. Log onto the AGDUFA Web A. Abbreviated Application Fees and the payment may not be applied. If the site at http://www.fda.gov/ForIndustry/ Payment Instructions payment amount is not applied, the UserFees/AnimalGenericDrug invoice amount would be referred to The FY 2018 fee established in the UserFeeActAGDUFA/ucm137049.htm collections. The originating financial new fee schedule must be paid for an and scroll down the page until you find institution may charge a wire transfer abbreviated new animal drug the link ‘‘Create AGDUFA User Fee fee. If the financial institution charges a application subject to fees under Cover Sheet.’’ Select that link and wire transfer fee, it is required to add AGDUFA II that is submitted on or after follow the directions. For security that amount to the payment to ensure October 1, 2017. The payment must be reasons, each firm submitting an that the invoice is paid in full. Use the made in U.S. currency from a U.S. bank application will be assigned an following account information when by one of the following methods: Wire organization identification number, and sending a wire transfer: U.S. Department transfer, electronically, check, bank each user will also be required to set up of the Treasury, TREAS NYC, 33 Liberty draft, or U.S. postal money order made a user account and password the first St., New York, NY 10045, Account payable to the Food and Drug time you use this site. Online Name: Food and Drug Administration, Administration. The preferred payment instructions will walk you through this Account No.: 75060099, Routing No.: method is online using an electronic process. 021030004, Swift No.: FRNYUS33, check (Automated Clearing House Beneficiary: FDA, 8455 Colesville Rd., Step Two—Create an Animal Generic (ACH), also known as eCheck) or credit 14th Floor, Silver Spring, MD 20993– Drug User Fee Cover Sheet, transmit it card (Discover, VISA, MasterCard, 0002. to FDA, and print a copy. After logging American Express). Secure electronic into your account with your user name payments can be submitted using the To send a check by a courier such as and password, complete the steps User Fees Payment Portal at https:// Federal Express, the courier must required to create an Animal Generic userfees.fda.gov/pay or the Pay.gov deliver the check and printed copy of Drug User Fee Cover Sheet. One cover payment option is available to you after the cover sheet to: U.S. Bank, Attn: sheet is needed for each abbreviated you submit a cover sheet. (Note: Only Government Lockbox 979033, 1005 animal drug application. Once you are full payments are accepted. No partial Convention Plaza, St. Louis, MO 63101. satisfied that the data on the cover sheet payments can be made online.) Once (Note: This address is for courier is accurate and you have finalized the you have found your invoice, select delivery only. If you have any questions cover sheet, you will be able to transmit ‘‘Pay Now’’ to be redirected to Pay.gov. concerning courier delivery, contact it electronically to FDA and you will be Electronic payment options are based on U.S. Bank at 314–418–4013. This phone able to print a copy of your cover sheet the balance due. Payment by credit card number is only for questions about showing your unique Payment is available only for balances less than courier delivery.) Identification Number. $25,000. If the balance exceeds this It is important that the fee arrives at Step Three—Send the payment for amount, only the ACH option is the bank at least a day or two before the your application as described in section available. Payments must be made using abbreviated application arrives at FDA’s VII.A of this document. U.S. bank accounts as well as U.S. credit Center for Veterinary Medicine (CVM). Step Four—Please submit your cards. FDA records the official abbreviated application and a copy of the completed When paying by check, bank draft, or application receipt date as the later of Animal Generic Drug User Fee Cover U.S. postal money order, please write the following: The date the application Sheet to the following address: Food your application’s unique Payment was received by CVM, or the date U.S. and Drug Administration, Center for Identification Number, beginning with Bank notifies FDA that your payment in Veterinary Medicine, Document Control the letters ‘‘AG’’, on the upper right- the full amount has been received, or Unit (HFV–199), 7500 Standish Pl., hand corner of your completed Animal when the U.S. Department of the Rockville, MD 20855. Generic Drug User Fee Cover Sheet. Treasury notifies FDA of payment. U.S. C. Product and Sponsor Fees Also write the FDA post office box Bank and the United States Treasury are number (P.O. Box 979033) on the required to notify FDA within 1 working By December 31, 2017, FDA will issue enclosed check, bank draft, or money day, using the Payment Identification invoices and payment instructions for order. Mail the payment and a copy of Number described previously. product and sponsor fees for FY 2018 the completed Animal Generic Drug The tax identification number of FDA using this fee schedule. Fees will be due User Fee Cover Sheet to: Food and Drug is 53–0196965. (Note: In no case should by January 31, 2018. FDA will issue Administration, P.O. Box 979033, St. the payment for the fee be submitted to invoices in November 2018 for any Louis, MO 63197–9000. FDA with the application.) products and sponsors subject to fees for
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FY 2018 that qualify for fees after the For questions relating to this notice: Under statutorily defined conditions, a December 2017 billing. Rachel Richter, Office of Financial qualified applicant may pay a reduced Dated: July 26, 2017. Management, Food and Drug small business establishment fee (see Leslie Kux, Administration, 8455 Colesville Rd., section 744K(c)(4) of the FD&C Act). COLE–14216, Silver Spring, MD 20993– Associate Commissioner for Policy. FDA announced in the Federal 0002, 301–796–7111. [FR Doc. 2017–16181 Filed 8–1–17; 8:45 am] Register of November 24, 2014 (79 FR SUPPLEMENTARY INFORMATION: BILLING CODE 4164–01–P 69856), the availability of a final I. Background guidance for industry entitled ‘‘Fees for Human Drug Compounding Outsourcing The Drug Quality and Security Act DEPARTMENT OF HEALTH AND Facilities Under Sections 503B and (DQSA) contains important provisions HUMAN SERVICES 744K of the FD&C Act.’’ The guidance relating to the oversight of provides additional information on the Food and Drug Administration compounding human drugs. Title I of annual fees for outsourcing facilities this law, the Compounding Quality Act, [Docket No. FDA–2017–N–0007] and adjustments required by law, re- created a new section 503B in the FD&C inspection fees, how to submit payment, Act (21 U.S.C. 353b). Under section the effect of failure to pay fees, and how Outsourcing Facility Fee Rates for 503B of the FD&C Act, a human drug Fiscal Year 2018 to qualify as a small business to obtain compounder can become an a reduction of the annual establishment AGENCY: Food and Drug Administration, ‘‘outsourcing facility.’’ fee. This guidance can be accessed on Outsourcing facilities, as defined in HHS. FDA’s Web site at: https://www.fda.gov/ section 503B(d)(4) of the FD&C Act, are ACTION: Notice. downloads/Drugs/GuidanceCompliance facilities that meet all of the conditions RegulatoryInformation/Guidances/ SUMMARY: The Food and Drug described in section 503B(a), including UCM391102.pdf. Administration (FDA) is announcing the registering with FDA as an outsourcing fiscal year (FY) 2018 rates for the facility and paying an annual II. Fees for FY 2018 establishment and re-inspection fees establishment fee. If the conditions of A. Methodology for Calculating FY 2018 related to entities that compound section 503B are met, a drug Adjustment Factors human drugs and elect to register as compounded by or under the direct outsourcing facilities under the Federal supervision of a licensed pharmacist in 1. Inflation Adjustment Factor Food, Drug, and Cosmetic Act (the an outsourcing facility is exempt from FD&C Act). The FD&C Act authorizes three sections of the FD&C Act: (1) Section 744K(c)(2) of the FD&C Act FDA to assess and collect an annual Section 502(f)(1) (21 U.S.C. 352(f)(1)) specifies the annual inflation establishment fee from outsourcing concerning the labeling of drugs with adjustment for outsourcing facility fees. facilities, as well as a re-inspection fee adequate directions for use; (2) section The inflation adjustment has two for each re-inspection of an outsourcing 505 (21 U.S.C. 355) concerning the components: One based on FDA’s facility. This document establishes the approval of human drug products under payroll costs and one based on FDA’s FY 2018 rates for the small business new drug applications (NDAs) or non-payroll costs for the first 3 of the 4 establishment fee ($5,364), the non- abbreviated new drug applications previous fiscal years. The payroll small business establishment fee (ANDAs); and (3) section 582 (21 U.S.C. component of the annual inflation ($17,364), and the re-inspection fee 360eee-1) concerning drug supply chain adjustment is calculated by taking the ($16,093) for outsourcing facilities; security requirements. Drugs average change in FDA’s per-full time provides information on how the fees compounded in outsourcing facilities equivalent (FTE) personnel for FY 2018 were determined; and are not exempt from the requirements of compensation and benefits (PC&B) in describes the payment procedures section 501(a)(2)(B) of the FD&C Act (21 the first 3 of the 4 previous fiscal years outsourcing facilities should follow. U.S.C. 351(a)(2)(B)) concerning current (see section 744K(c)(2)(A)(ii) of the These fee rates are effective October 1, good manufacturing practice FD&C Act). FDA’s total annual spending 2017, and will remain in effect through requirements for drugs. on PC&B is divided by the total number September 30, 2018. Section 744K of the FD&C Act (21 of FTEs per fiscal year to determine the FOR FURTHER INFORMATION CONTACT: For U.S.C. 379j–62) authorizes FDA to average PC&B per FTE. more information on human drug assess and collect the following fees Table 1 summarizes the actual cost compounding and outsourcing facility associated with outsourcing facilities: and FTE data for the specified fiscal fees, visit FDA’s Web site at: http:// (1) An annual establishment fee from years, and provides the percent change www.fda.gov/Drugs/ each outsourcing facility and (2) a re- from the previous fiscal year and the GuidanceCompliance inspection fee from each outsourcing average percent change over the first 3 RegulatoryInformation/ facility subject to a re-inspection (see of the 4 fiscal years preceding FY 2018. PharmacyCompounding/default.htm. section 744K(a)(1) of the FD&C Act). The 3-year average is 2.2354 percent.
TABLE 1—FDA PC&BS EACH YEAR AND PERCENT CHANGE
Fiscal year 2014 2015 2016 3-Year average
Total PC&B...... $2,054,937,000 $2,232,304,000 $2,414,728,159 ...... Total FTE ...... 14,555 15,484 16,381 ...... PC&B per FTE ...... $141,184 $144,168 $147,408 ...... Percent change from previous year ...... 2.3451% 2.1136% 2.2474% 2.2354%
Section 744K(c)(2)(A)(ii) of the FD&C of PC&B to total costs of an average FDA Act specifies that this 2.2354 percent FTE for the same 3 fiscal years. should be multiplied by the proportion
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TABLE 2—FDA PC&BSASAPERCENT OF FDA TOTAL COSTS OF AN AVERAGE FTE
Fiscal year 2014 2015 2016 3-Year average
Total PC&B...... $2,054,937,000 $2,232,304,000 $2,414,728,159 ...... Total Costs...... $4,298,476,000 $4,510,565,000 $4,666,236,000 ...... PC&B Percent...... 47.8062% 49.4906% 51.7490% 49.6819%
The payroll adjustment is 2.2354 (U.S. City Average; Not Seasonally CPI for U.S. cities. These data are percent multiplied by 49.6819 percent, Adjusted; All items; Annual Index) for published by the Bureau of Labor or 1.1106 percent. the first 3 years of the preceding 4 years Statistics and can be found on its Web Section 744K(c)(2)(A)(iii) of the FD&C of available data, multiplied by the site: http://data.bls.gov/cgi-bin/ Act specifies that the portion of the proportion of all non-PC&B costs to total surveymost?cu. The data can be viewed inflation adjustment for non-payroll costs of an average FDA FTE for the by checking the box marked ‘‘U.S. All costs for FY 2018 is equal to the average same period. items, 1982–84 = 100—CUUR0000SA0’’ annual percent change in the Consumer Table 2 provides the summary data and then selecting ‘‘Retrieve Data’’. Price Index (CPI) for urban consumers for the percent change in the specified
TABLE 3—ANNUAL AND 3-YEAR AVERAGE PERCENT CHANGE IN U.S. CITY AVERAGE CPI
Year 2014 2015 2016 3-Year average
Annual CPI ...... 236.736 237.017 240.007 ...... Annual Percent Change ...... 1.6222% 0.1187% 1.2615% 1.0008%
Section 744K(c)(2)(A)(iii) of the FD&C adjustment factor, the establishment fee submitted by outsourcing facilities Act specifies that this 1.0008 percent for non-small businesses is to be further through the voluntary registration should be multiplied by the proportion adjusted for a small business adjustment process, which began in December 2013. of all non-PC&B costs to total costs of an factor. Section 744K(c)(3)(B) of the Accordingly, FDA estimates that 76 average FTE for the same 3 fiscal years. FD&C Act provides that the small outsourcing facilities, including 12 The proportion of all non-PC&B costs to business adjustment factor is the small businesses, will be registered with total costs of an average FDA FTE for adjustment to the establishment fee for FDA in FY 2018. FYs 2014 to 2016 is 50.3181 percent non-small businesses that is necessary If the projected 76 outsourcing (100 percent¥49.6819 percent = to achieve total fees equaling the facilities paid the full inflation-adjusted 50.3181 percent). Therefore, the non- amount that FDA would have collected fee of $16,093, this would result in total pay adjustment is 1.0008 percent times if no entity qualified for the small revenue of $1,223,068 in FY 2018 50.3181 percent, or 0.5036 percent. business exception in section 744K(c)(4) ($16,093 × 76). However, 12 of the The PC&B component (1.1106 of the FD&C Act. Additionally, section entities that are expected to register as percent) is added to the non-PC&B 744K(c)(5)(A) states that in establishing outsourcing facilities for FY 2018 are component (0.5036 percent), for a total the small business adjustment factor for projected to qualify for the small inflation adjustment of 1.6142 percent a fiscal year, FDA shall provide for the business exception and to pay one-third (rounded). Section 744K(c)(2)(A)(i) of crediting of fees from the previous year of the full fee ($5,364 × 12), totaling the FD&C Act specifies that one is to the next year if FDA overestimated $64,368 instead of paying the full fee added to that figure, making the the amount of the small business ($16,093 × 12), which would total inflation adjustment 1.016142. adjustment factor for such previous $193,116. This would leave a potential Section 744K(c)(2)(B) of the FD&C Act fiscal year. shortfall of $128,748 provides for this inflation adjustment to Therefore, to calculate the small ($193,116¥$64,368). be compounded after FY 2015. This business adjustment to the Additionally, section 744K(c)(5)(A) of factor for FY 2018 (1.6142 percent) is establishment fee for non-small the FD&C Act states that in establishing compounded by adding one to it, and businesses for FY 2018, FDA must the small business adjustment factor for then multiplying it by one plus the estimate: (1) The number of outsourcing a fiscal year, FDA shall provide for the inflation adjustment factor for FY 2017 facilities that will pay the reduced fee crediting of fees from the previous year (5.5792 percent), as published in the for small businesses for FY 2018 and (2) to the next year if FDA overestimated Federal Register of August 1, 2016 (81 the total fee revenue it would have the amount of the small business FR 50528 at 50529). The result of this collected if no entity had qualified for adjustment factor for such previous multiplication of the inflation factors for the small business exception (i.e., if fiscal year. FDA has determined that it the 3 years since FY 2015 (1.016142 × each entity that registers as an is appropriate to credit excess fees 1.055792) becomes the inflation outsourcing facility for FY 2018 were to collected from the last completed fiscal adjustment for FY 2018. For FY 2018, pay the inflation-adjusted fee amount of year, due to the inability to conclusively the inflation adjustment is 7.2835 $16,093). determine the amount of excess fees percent (rounded). We then add one, With respect to (1), FDA estimates from the fiscal year that is in progress making the FY 2018 inflation that 12 entities will qualify for small at the time this calculation is made. adjustment factor 1.072835. business exceptions and will pay the This crediting is done by comparing the reduced fee for FY 2018. With respect small business adjustment factor for the 2. Small Business Adjustment Factor to (2), to estimate the total number of last completed fiscal year, FY 2016 Section 744K(c)(3) of the FD&C Act entities that will register as outsourcing ($1,771), to what would have been the specifies that in addition to the inflation facilities for FY 2018, FDA used data small business adjustment factor for FY
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2016 ($1,007) if FDA had estimated B. FY 2018 Rates for Small Business (rounded to the nearest dollar). There is perfectly. Establishment Fee, Non-Small Business no reduction in this fee for small The calculation for what the small Establishment Fee, and Re-Inspection businesses. Fee business adjustment would have been if C. Summary of FY 2018 Fee Rates FDA had estimated perfectly begins by 1. Establishment Fee for Qualified Small determining the total target collections Businesses 2 TABLE 4—OUTSOURCING FACILITY × × (15,000 [inflation adjustment factor] The amount of the establishment fee FEES [number of registrants]). For the most for a qualified small business is equal to recent complete fiscal year, FY 2016, $15,000 multiplied by the inflation Qualified Small Business Es- this was $1,061,480 ($15,610 × 68). The adjustment factor for that fiscal year, tablishment Fee ...... $5,364 actual FY 2016 revenue from the 68 Non-Small Business Estab- divided by three (see section lishment Fee ...... 17,364 total registrants (i.e., 62 registrants 744K(c)(4)(A) and (c)(1)(A) of the FD&C Re-inspection Fee ...... 16,093 paying FY 2016 non-small business Act). The inflation adjustment factor for establishment fee and six small business FY 2018 is 1.072835. See section II.A.1 III. Fee Payment Options and registrants) paying establishment fees is for the methodology used to calculate Procedures $999,038. $999,038 is calculated as the FY 2018 inflation adjustment factor. follows: [FY 2016 Non-Small Business Therefore, the establishment fee for a A. Establishment Fee Establishment Fee adjusted for inflation qualified small business for FY 2018 is Once an entity submits registration only] × [total number of registrants in one third of $16,093, which equals information and FDA has determined FY 2016 paying Non-Small Business $5,364 (rounded to the nearest dollar). that the information is complete, the Establishment Fee] + [FY 2016 Small 2. Establishment Fee for Non-Small entity will incur the annual Business Establishment Fee] × [total Businesses establishment fee. FDA will send an number of small business registrants in invoice to the entity, via email to the Under section 744K(c) of the FD&C email address indicated in the FY 2016 paying Small Business Act, the amount of the establishment fee Establishment Fee]. $15,610 × 62 + registration file, or via regular mail if for a non-small business is equal to email is not an option. The invoice will $5,203 × 6 = $999,038. This left a $15,000 multiplied by the inflation contain information regarding the shortfall of $62,442 from the estimated adjustment factor for that fiscal year, obligation incurred, the amount owed, total target collection amount plus the small business adjustment ¥ and payment procedures. A facility will ($1,061,480 $999,038). $62,442 factor for that fiscal year, and plus or not be registered as an outsourcing divided by the total number of minus an adjustment factor to account facility until it has paid the annual registrants in FY 2016 paying Standard for over- or under-collections due to the establishment fee under section 744K of Establishment Fee (62) equals $1,007. small business adjustment factor in the the FD&C Act. Accordingly, it is prior year. The inflation adjustment The difference between the small important that facilities seeking to factor for FY 2018 is 1.072835. The operate as outsourcing facilities pay all business adjustment factor used in FY small business adjustment amount for 2016 and the small business adjustment fees immediately upon receiving an FY 2018 is $1,271. See section II.A.2 for invoice. If an entity does not pay the full factor that would have been used had the methodology used to calculate the FDA estimated perfectly, is $764 invoiced amount within 15 calendar small business adjustment factor for FY days after FDA issues the invoice, FDA ($1,771¥$1,007). The $764 is then 2018. Therefore, the establishment fee multiplied by the number of actual will consider the submission of for a non-small business for FY 2018 is registration information to have been registrants who paid the standard fee for $15,000 multiplied by 1.072835 plus withdrawn and adjust the invoice to FY 2016 (62), which provides us a total $1,271, which equals $17,364 (rounded reflect that no fee is due. excess collection of $47,385 in FY to the nearest dollar). Outsourcing facilities that registered 2016.1 3. Re-Inspection Fee in FY 2017 and wish to maintain their Therefore, to calculate the small status as an outsourcing facility in FY Section 744K(c)(1)(B) of the FD&C Act 2018 must register during the annual business adjustment factor for FY 2018, provides that the amount of the FY 2018 registration period that lasts from FDA subtracts $47,385 from the re-inspection fee is equal to $15,000, October 1, 2017, to December 31, 2017. projected shortfall of $128,748 for FY multiplied by the inflation adjustment 2018 to arrive at the numerator for the Failure to register and complete factor for that fiscal year. The inflation payment by December 31, 2017, will small business adjustment amount, adjustment factor for FY 2018 is which equals $81,363. This number result in a loss of status as an 1.072835. Therefore, the re-inspection outsourcing facility on January 1, 2018. divided by 64 (the number of expected fee for FY 2018 is $15,000 multiplied by non-small businesses for FY 2018) is the Entities should submit their registration 1.072835, which equals $16,093 information no later than December 10, small business adjustment amount for 2017, to allow enough time for review FY 2018, which is $1,271. 2 To qualify for a small business reduction of the FY 2018 establishment fee, entities had to submit of the registration information, their exception requests by April 30, 2017. See invoicing, and payment of fees before section 744K(c)(4)(B) of the FD&C Act. Although the the end of the registration period. time for requesting a small business exception for FY 2018 has now passed, an entity that wishes to B. Re-Inspection Fee request a small business exception for FY 2019 should consult section 744K(c)(4) of the FD&C Act FDA will issue invoices for each re- and section III.D of FDA’s guidance for industry inspection after the conclusion of the re- entitled ‘‘Fees for Human Drug Compounding inspection, via email to the email Outsourcing Facilities Under Sections 503B and 1 The small business adjustment credit in place address indicated in the registration file 744K of the FD&C Act,’’ which can be accessed on or via regular mail if email is not an for FY 2017 fee setting is not relevant to setting fees FDA’s Web site at https://www.fda.gov/downloads/ for FY 2018 due to having more complete collection drugs/guidancecomplianceregulatoryinformation/ option. Invoices must be paid within 30 information. guidances/ucm391102.pdf. days.
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C. Fee Payment Procedures DEPARTMENT OF HEALTH AND invited public comments and interested parties were given until October 6, 2016, 1. The preferred payment method is HUMAN SERVICES to submit comments. online using electronic check Food and Drug Administration FDA will hold a webinar for (Automated Clearing House (ACH) also stakeholders on August 23, 2017, to known as eCheck) or credit card Over-the-Counter Monograph User provide stakeholders with a status (Discover, VISA, MasterCard, American Fees: Stakeholder Meeting update on the process of FDA and Express). Secure electronic payments industry discussions on an OTC can be submitted using the User Fees AGENCY: Food and Drug Administration, HHS. Monograph user fee program that began Payment Portal at https:// in July 2016. FDA will also provide an ACTION: Notice of public meeting. userfees.fda.gov/pay. (Note: Only full overview of proposed performance goals payments are accepted. No partial SUMMARY: The Food and Drug and procedures related to a potential payments can be made online.) Once Administration (FDA) will hold a new OTC monograph user fee program. you search for your invoice, click ‘‘Pay webinar for stakeholders on August 23, This webinar is intended to be a Now’’ to be redirected to Pay.gov. 2017, to provide stakeholders with a followup to the June 10, 2016, public Electronic payment options are based on status update on the process of FDA and meeting and the September 6, 2016, the balance due. Payment by credit card industry discussions on an Over-the- stakeholder webinar on a potential new is available for balances less than Counter (OTC) Monograph user fee OTC monograph user fee program. $25,000. If the balance exceeds this program that began in July 2016. FDA II. Background amount, only the ACH option is will also provide an overview of available. Payments must be made using proposed performance goals and Meeting minutes from FDA and U.S bank accounts as well as U.S. credit procedures related to a potential new industry discussions on a new OTC cards. OTC monograph user fee program. This monograph user fee program can be 2. If paying with a paper check: webinar is intended to be a followup to found at: https://www.fda.gov/ Checks must be in U.S. currency from the June 10, 2016, public meeting and ForIndustry/UserFees/ a U.S. bank and made payable to the the September 6, 2016, stakeholder OTCMonographUserFee/default.htm. Food and Drug Administration. webinar on a potential new OTC The proposed OTC Monograph User Fee Payments can be mailed to: Food and monograph user fee program. Program Performance Goals and Drug Administration, P.O. Box 979033, Procedures—Fiscal Years 2018–2022 DATES: FDA will hold a webinar for St. Louis, MO 63197–9000. If a check is document can also be found at that stakeholders on Wednesday, August 23, sent by a courier that requests a street same Web site. 2017, from 12:30 p.m. to 2 p.m. EDT. address, the courier can deliver the Additional background information check to: U.S. Bank, Attn: Government FOR FURTHER INFORMATION CONTACT: on OTC monograph drugs (such as how Lockbox 979033, 1005 Convention Mary Vienna, Office of Executive OTC drugs can be marketed, and the Plaza, St. Louis, MO 63101. (Note: This Programs, Center for Drug Evaluation differences between marketing through U.S. Bank address is for courier delivery and Research, Food and Drug approved applications and marketing only. If you have any questions Administration, 10903 New Hampshire under the monographs), factors FDA concerning courier delivery, contact the Ave., Silver Spring, MD 20903–0002, considers important in developing a U.S. Bank at 314–418–4013). 301–796–4150, email: user-fee program, and the questions for 3. When paying by wire transfer, the OTCMonographUserFeeProgram@ which FDA asked the public to consider invoice number must be included. fda.hhs.gov. and provide input, can be found in the Without the invoice number the SUPPLEMENTARY INFORMATION: Federal Register notice from the June 10, 2016, public meeting (https:// payment may not be applied. Regarding I. Introduction re-inspection fees, if the payment www.federalregister.gov/articles/2016/ amount is not applied, the invoice On June 10, 2016, FDA held a public 05/11/2016-11098/over-the-counter- amount will be referred to collections. meeting on a potential new user fee monograph-user-fees-public-meeting- The originating financial institution program for nonprescription (over-the- request-for-comments). The meeting may charge a wire transfer fee. If the counter or OTC) monograph drugs. In transcript, meeting recording, and financial institution charges a wire the announcement of the public meeting presentations from the June 10, 2016, transfer fee, it is required that the in the Federal Register (May 11, 2016, public meeting, which can serve as outsourcing facility add that amount to 81 FR 29275), FDA invited public further background information, can be the payment to ensure that the invoice comment as the Agency considers a found at: https://www.fda.gov/ is paid in full. Use the following user-fee program for OTC monograph ForIndustry/UserFees/ account information when sending a drugs. A user-fee program would OTCMonographUserFee/default.htm. A wire transfer: New York Federal Reserve provide funding to supplement summary of the September 6, 2016, Bank, U.S. Dept of Treasury, TREAS congressional non-user-fee stakeholders’ webinar, can also be found NYC, 33 Liberty St., New York, NY appropriations, and would support at: https://www.fda.gov/ForIndustry/ 10045, Acct. No. 75060099, Routing No. timely and efficient FDA review of the UserFees/OTCMonographUserFee/ 021030004, SWIFT: FRNYUS33, efficacy and safety of ingredients default.htm. included in or proposed for inclusion in Beneficiary: FDA, 8455 Colesville Rd., III. Stakeholder Meeting Participation 14th Floor, Silver Spring, MD 20993– a monograph. Interested persons were 0002. If needed, FDA’s tax identification given until July 11, 2016, to submit FDA is seeking participation at the number is 53–0196965. comments. A stakeholder webinar was webinar by stakeholders, including held on September 6, 2016, which scientific and academic experts, health Dated: July 25, 2017. provided stakeholders with a status care professionals, representatives of Leslie Kux, update on the process of FDA and patient and consumer advocacy groups, Associate Commissioner for Policy. industry discussions that began in July and representatives of the OTC [FR Doc. 2017–16185 Filed 8–1–17; 8:45 am] 2016. In the notice of public meeting monograph industry. Participating in BILLING CODE 4164–01–P (August 8, 2016, 81 FR 52444), FDA the webinar is free. The webinar format
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will include presentations by FDA staff Administration, 7500 Standish Pl., issue invoices for FY 2018 product, and an opportunity for stakeholders to Rockville, MD 20855, 240–402–6888. establishment, and sponsor fees by ask questions. If you wish to attend the For general questions, you may also December 31, 2017, and payment will webinar, FDA asks that you please email the Center for Veterinary be due by January 31, 2018. The register through Eventbrite by 12 a.m. Medicine (CVM) at: cvmadufa@ application fee rates are effective for EDT, Saturday, August 19, 2017: https:// fda.hhs.gov. applications submitted on or after www.eventbrite.com/e/over-the-counter- SUPPLEMENTARY INFORMATION: October 1, 2017, and will remain in monograph-user-fees-stakeholder- effect through September 30, 2018. meeting-registration-33593404778. FDA I. Background Applications will not be accepted for will email the registered attendees a Section 740 of the FD&C Act (21 review until FDA has received full URL to join the webinar at least 1 day U.S.C. 379j–12) establishes four payment of application fees and any before the meeting. different types of user fees: (1) Fees for other animal drug user fees owed under Dated July 27, 2017. certain types of animal drug the Animal Drug User Fee program Anna K. Abram, applications and supplements; (2) (ADUFA program). annual fees for certain animal drug Deputy Commissioner for Policy, Planning, II. Revenue Amount for FY 2018 Legislation, and Analysis. products; (3) annual fees for certain [FR Doc. 2017–16229 Filed 8–1–17; 8:45 am] establishments where such products are A. Statutory Fee Revenue Amounts made; and (4) annual fees for certain BILLING CODE 4164–01–P sponsors of animal drug applications ADUFA III, Title I of Public Law 113– and/or investigational animal drug 14, specifies that the aggregate fee revenue amount for FY 2018 for all DEPARTMENT OF HEALTH AND submissions (21 U.S.C. 379j–12(a)). animal drug user fee categories is HUMAN SERVICES When certain conditions are met, FDA will waive or reduce fees (21 U.S.C. $21,600,000 (21 U.S.C. 379j– Food and Drug Administration 379j–12(d)). 12(b)(1)(B)). For FY 2014 through FY 2018, the [Docket No. FDA–2017–N–0007] B. Inflation Adjustment to Fee Revenue FD&C Act establishes aggregate yearly Amount Animal Drug User Fee Rates and base revenue amounts for each fiscal Payment Procedures for Fiscal Year year (21 U.S.C. 379j–12(b)(1)). Base The fee revenue amount established 2018 revenue amounts established for years in ADUFA III for FY 2015 and after FY 2014 are subject to adjustment subsequent fiscal years are subject to an AGENCY: Food and Drug Administration, for inflation and workload (21 U.S.C. inflation adjustment (21 U.S.C. 379j– HHS. 379j–12(c)). Fees for applications, 12(c)(2)). ACTION: Notice. establishments, products, and sponsors are to be established each year by FDA The component of the inflation SUMMARY: The Food and Drug so that the percentages of the total adjustment for payroll costs shall be one Administration (FDA) is announcing the revenue that are derived from each type plus the average annual percent change rates and payment procedures for fiscal of user fee will be as follows: Revenue in the cost of all personnel year (FY) 2018 animal drug user fees. from application fees shall be 20 percent compensation and benefits (PC&B) paid The Federal Food, Drug, and Cosmetic of total fee revenue; revenue from per full-time equivalent position (FTE) Act (the FD&C Act), as amended by the product fees shall be 27 percent of total at FDA for the first three of the four Animal Drug User Fee Amendments of fee revenue; revenue from establishment preceding fiscal years, multiplied by the 2013 (ADUFA III), authorizes FDA to fees shall be 26 percent of total fee proportion of PC&B costs to total FDA collect user fees for certain animal drug revenue; and revenue from sponsor fees costs for the first three of the four applications and supplements, for shall be 27 percent of total fee revenue preceding fiscal years (see 21 U.S.C. certain animal drug products, for certain (21 U.S.C. 379j–12(b)(2)). 379j–12(c)(2)(A) and (B)). The data on establishments where such products are For FY 2018, the animal drug user fee total PC&B paid and numbers of FTE made, and for certain sponsors of such rates are: $238,100 for an animal drug paid, from which the average cost per animal drug applications and/or application; $119,050 for a FTE can be derived, are published in investigational animal drug supplemental animal drug application FDA’s Justification of Estimates for submissions. This notice establishes the for which safety or effectiveness data are Appropriations Committees. fee rates for FY 2018. required and for an animal drug Table 1 summarizes that actual cost FOR FURTHER INFORMATION CONTACT: Visit application subject to the criteria set and FTE data for the specified fiscal FDA’s Web site at http://www.fda.gov/ forth in section 512(d)(4) of the FD&C years, and provides the percent change ForIndustry/UserFees/AnimalDrugUser Act (21 U.S.C. 360b(d)(4)); $6,175 for an from the previous fiscal year and the FeeActADUFA/default.htm or contact annual product fee; $88,750 for an average percent change over the first of Lisa Kable, Center for Veterinary annual establishment fee; and $75,150 the 4 fiscal years preceding FY 2018. Medicine (HFV–10), Food and Drug for an annual sponsor fee. FDA will The 3-year average is 2.2354 percent.
TABLE 1—FDA PERSONNEL COMPENSATION AND BENEFITS (PC&B) EACH YEAR AND PERCENT CHANGE
Fiscal year 2014 2015 2016 3-Year average
Total PC&B...... $2,054,937,000 $2,232,304,000 $2,414,728,159 ...... Total FTE ...... 14,555 15,484 16,381 ...... PC&B per FTE ...... $141,184 $144,168 $147,408 ...... Percent Change from Previous Year ...... 2.3451% 2.1136% 2.2474% 2.2354%
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The statute specifies that this 2.2354 proportion of PC&B costs to total FDA PC&B and the total amount obligated by percent should be multiplied by the costs. Table 2 shows the amount of FDA for the same 3 FYs.
TABLE 2—PC&B AS A PERCENT OF TOTAL COSTS AT FDA
Fiscal year 2014 2015 2016 3-Year average
Total PC&B...... $2,054,937,000 $2,232,304,000 $2,414,728,159 ...... Total Costs...... $4,298,476,000 $4,510,565,000 $4,666,236,000 ...... PC&B Percent ...... 47.8062% 49.4906% 51.7490 49.6819%
The payroll adjustment is 2.2354 the Consumer Price Index (CPI) for costs other than PC&B costs to total FDA percent multiplied by 49.6819 percent urban consumers (Washington- costs (see 21 U.S.C. 379j–12(c)(2)(C)). (or 1.1106 percent). Baltimore, DC-MD-VA-WV; not Table 3 provides the summary data for The statute specifies that the portion seasonally adjusted; all items less food the percent change in the specified CPI of the inflation adjustment for non- and energy; annual index) for the first for the Baltimore-Washington area. The payroll costs for FY 2018 is the average 3 of the preceding 4 years of available data from the Bureau of Labor Statistics annual percent change that occurred in data multiplied by the proportion of all is shown in table 3.
TABLE 3—ANNUAL AND 3-YEAR AVERAGE PERCENT CHANGE IN BALTIMORE-WASHINGTON AREA CPI LESS FOOD AND ENERGY
Year 2014 2015 2016 3-Year average
Annual CPI ...... 149.581 152.242 154.702 ...... Annual Percent Change ...... 1.7883% 1.7790% 1.6158% 1.7277%
To calculate the inflation adjustment 1.081748 (rounded) (1.019799 × 2013 (the base years), and the average for non-pay costs, we multiply the 1.060746) for FY 2018. We then number of each of these types of 1.7277 percent by the proportion of all multiply the base revenue amount for applications and submissions over the costs other than PC&B to total FDA FY 2018 ($21,600,000) by 1.081748, most recent 5-year period that ended costs. Since 49.6819 percent was yielding an inflation adjusted amount of June 30, 2017. obligated for PC&B as shown in table 2, $23,365,757. The results of these calculations are 50.3181 percent is the portion of costs presented in the first two columns of C. Workload Adjustment to Inflation other than PC&B (100 percent ¥49.6819 table 4. Column 3 reflects the percent Adjusted Fee Revenue Amount percent = 50.3181 percent). The non- change in workload over the two 5-year payroll adjustment is 1.7277 percent A workload adjustment will be periods. Column 4 shows the weighting times 50.3181 percent, or 0.8693 calculated to the inflation adjusted fee factor for each type of application, percent. revenue amount established in ADUFA reflecting how much of the total FDA Next, we add the payroll component III for FY 2015 and subsequent fiscal animal drug review workload was (1.1106 percent) to the non-pay years (21 U.S.C. 379j–12(c)(3)). accounted for by each type of component (0.8693 percent), for a total FDA calculated the average number of application or submission in the table inflation adjustment of 1.9799 percent each of the five types of applications during the most recent five years. for FY 2018. and submissions specified in the Column 5 is the weighted percent ADUFA III provides for the inflation workload adjustment provision (animal change in each category of workload, adjustment to be compounded each drug applications, supplemental animal and was derived by multiplying the fiscal year after FY 2014 (see 21 U.S.C. drug applications for which data with weighting factor in each line in column 379j–12(c)(2)). The factor for FY 2018 respect to safety or efficacy are required, 4 by the percent change from the base (1.9799 percent) is compounded by manufacturing supplemental animal years in column 3. At the bottom right adding 1 and then multiplying by 1 plus drug applications, investigational of table 4 the sum of the values in the inflation adjustment factor for FY animal drug study submissions, and column 5 is added, reflecting a total 2017 (6.0746 percent), as published in investigational animal drug protocol change in workload of 5.4599 percent the Federal Register of July 28, 2016 (81 submissions) received over the 5-year for FY 2018. This is the workload FR 49664 to 49669), which equals period that ended on September 30, adjuster for FY 2018.
TABLE 4—WORKLOAD ADJUSTER CALCULATION [Numbers may not add due to rounding]
Column 1 Column 2 Column 5 5-year latest Column 3 Column 4 weighted Application type average 5-year percent weighting percent (base years) average change factor change
New Animal Drug Applications (NADAs) ...... 9.8000 16.0 63.2653 0.030373 1.9216 Supplemental NADAs with Safety or Efficacy Data ...... 9.6000 10.6 10.4167 0.026491 0.2759 Manufacturing Supplements ...... 361.0000 334.6 ¥7.3130 0.162018 ¥1.1848 Investigational Study Submissions ...... 216.4000 189.8 ¥12.2921 0.579781 ¥7.1267 Investigational Protocol Submissions ...... 133.6000 210.4 57.4850 0.201337 11.5739
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TABLE 4—WORKLOAD ADJUSTER CALCULATION—Continued [Numbers may not add due to rounding]
Column 1 Column 2 Column 5 5-year latest Column 3 Column 4 weighted Application type average 5-year percent weighting percent (base years) average change factor change
FY 2018 Workload Adjuster ...... 5.4599
FDA experienced an increase in the Additionally, FDA has seen an increase amount of the fees collected for FY 2014 number of new animal drug in the number of animal drug sponsors through FY 2016, and the amount of applications (NADAs) and supplemental pursuing multiple changes to their fees estimated to be collected for FY NADAs with safety or effectiveness existing NADAs (e.g., new indications, 2017, exceeds the cumulative amount data. Over the last several years FDA new species, changes in dosage). For appropriated for fees for FY 2014 has seen an increase in the number of this reason we are seeing an increase in through FY 2017, the excess shall be animal drug products brought by animal the number of supplemental NADAs credited to FDA’s appropriation account drug sponsors for review in the drug with safety or effectiveness data. The and subtracted from the amount of fees evaluation process. These new animal increases in these submissions are that FDA would otherwise be drug products come from both existing consistent with an overall increase in authorized to collect for FY 2018 under animal drug sponsors as well as workload including all submissions and the FD&C Act. (21 U.S.C. 379j–12(g)(4)). sponsors new to the animal drug communications with sponsors. In addition, CVM is not seeing a Table 5 shows the amounts specified market. The increase in new animal corresponding decrease in any of the in appropriation acts for each year from drug products has contributed to an other submission types that might have FY 2014 through FY 2017, and the increase in the number of protocol served to offset workload. As a result, amounts FDA has collected for FY 2014, submissions and NADAs submitted for the statutory revenue amount after the FY 2015, FY 2016, and FY 2017 as of many novel drug classes and novel inflation adjustment ($23,365,757) must June 30, 2017, and an additional indications for both food-producing now be increased by 5.4599 percent to $21,941,000 (rounded to the nearest animals and companion animals. FDA reflect the changes in review workload thousand dollars) that FDA estimates it can expect that the increases in (workload adjustment), for a total fee will collect in FY 2017 based on reviewed protocols will lead in the near revenue target of $24,641,504. historical data. Table 5 shows the future to an increase in the number of estimated cumulative difference Investigational Study Submissions and D. Offset for Excess Collections Through between ADUFA fee amounts specified NADAs or supplemental NADAs as FY 2017 in appropriation acts for FY 2014 sponsors work their products through Under section 740(g)(4) of the FD&C through FY 2017 and ADUFA fee the regulatory review process. Act, if the sum of the cumulative amounts collected.
TABLE 5—OFFSETS TO BE TAKEN FOR ADUFA III
Amount in Collection excess of amount collection Fiscal year Collections specified in amount realized appropriation specified in acts appropriation acts
2014 ...... $27,184,831 $23,600,000 $3,584,831 2015 ...... 24,535,338 22,464,000 2,071,338 2016 ...... 25,442,477 22,818,000 2,624,477 2017 ...... 21,941,000 23,673,000 ¥1,732,000
Net Balance to be Offset When Fees are Set for FY 2018 ...... 6,548,646 Note: FY 2017 ‘Collections Realized’ is the amount FDA estimates it will collect in FY 2017 based on historical data.
The cumulative fees collected for FY E. Final Year Adjustment an adjustment is necessary, the rationale 2014 through FY 2017 are estimated to for the amount of this increase must be be $6,548,646 greater than the Under section 740(c)(4) of the FD&C included in the annual notice cumulative fee amounts specified in Act, for FY 2018 the Secretary of Health establishing fees for FY 2018 (21 U.S.C. appropriation acts during this same and Human Services (the Secretary) 379j–12(c)(4)). period. Reducing the inflation and may, in addition to the inflation and workload adjustments, further increase After calculating the operating workload adjusted amount of reserves and estimating the balance as of $24,641,504 by the ADUFA III offset of the fees if such an adjustment is necessary to provide for not more than the beginning of FY 2019, FDA $6,548,646 results in an amount of estimates that the ADUFA program will $18,093,000 (rounded to the nearest 3 months of operating reserves of carryover user fees for the process for have sufficient funds for the operating thousand), before the final year reserves, thus FDA will not be adjustment. the review of animal drug applications for the first 3 months of FY 2019. If such performing a final year adjustment for
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FY 2019 because FDA has determined fees in FY 2018, FDA is assuming that has been approved (21 U.S.C. 379j– such an adjustment to be unnecessary. the number of applications that will pay 11(3)). The product fees are to be set so fees in FY 2018 will equal the average that they will generate $4,885,000 in fee F. FY 2018 Fee Revenue Amounts number of submissions over the five revenue for FY 2018. ADUFA III specifies that the revenue most recent completed years of the To set animal drug product fees to amount of $18,093,000 for FY 2018 is to ADUFA program (FY 2012 to FY 2016). realize $4,885,000, FDA must make be divided as follows: 20 percent, or a FDA believes that this is a reasonable some assumptions about the number of total of $3,619,000 (rounded to the approach after 13 completed years of products for which these fees will be nearest thousand dollars), is to come experience with this program. paid in FY 2018. FDA developed data from application fees; 27 percent, or a Over the five most recent completed on all animal drug products that have total of $4,885,000 (rounded to the years, the average number of animal been submitted for listing under section nearest thousand dollars), is to come drug applications that would have been 510 of the FD&C Act and matched this from product fees; 26 percent, or a total subject to the full fee was 8.2. Over this to the list of all persons who had an of $4,704,000 (rounded to the nearest same period, the average number of animal drug application or supplement thousand dollars), is to come from supplemental applications for which pending after September 1, 2003. As of establishment fees; and 27 percent, or a safety or effectiveness data are required June 2017, FDA estimates that there are total of $4,885,000 (rounded to the and applications subject to the criteria a total of 815 products submitted for nearest thousand dollars), is to come set forth in section 512(d)(4) of the listing by persons who had an animal from sponsor fees (21 U.S.C. 379j– FD&C Act that would have been subject drug application or supplemental 12(b)). to half of the full fee was 14.0. animal drug application pending after September 1, 2003. Based on this, FDA III. Application Fee Calculations for FY B. Application Fee Rates for FY 2018 2018 estimates that a total of 815 products FDA must set the fee rates for FY 2018 will be subject to this fee in FY 2018. A. Application Fee Revenues and so that the estimated 8.2 applications In estimating the fee revenue to be Numbers of Fee-Paying Applications that pay the full fee and the estimated generated by animal drug product fees Each person that submits an animal 14.0 supplemental applications for in FY 2018, FDA is assuming that 3 drug application or a supplemental which safety or effectiveness data are percent of the products invoiced, or 24, animal drug application shall be subject required and applications subject to the will not pay fees in FY 2018 due to fee to an application fee, with limited criteria set forth in section 512(d)(4) of waivers and reductions. FDA has kept exceptions (see 21 U.S.C. 379j–12(a)(1)). the FD&C Act that pay half of the full this estimate at 3 percent this year, The term ‘‘animal drug application’’ fee will generate a total of $3,619,000. based on historical data over the past means an application for approval of To generate this amount, the fee for an five completed years of the ADUFA any new animal drug submitted under animal drug application, rounded to the program. Based on experience over the section 512(b)(1) of the FD&C Act (21 nearest $100, will have to be $238,100, first 13 completed years of the ADUFA U.S.C. 379j–11(1)). A ‘‘supplemental and the fee for a supplemental animal program, FDA believes that this is a animal drug application’’ is defined as drug application for which safety or reasonable basis for estimating the a request to the Secretary to approve a effectiveness data are required and for number of fee-paying products in FY change in an animal drug application applications subject to the criteria set 2018. which has been approved, or a request forth in section 512(d)(4) of the FD&C Accordingly, the Agency estimates to the Secretary to approve a change to Act will have to be $119,050. that a total of 791 (815 minus 24) an application approved under section IV. Product Fee Calculations for FY products will be subject to product fees 512(c)(2) of the FD&C Act for which 2018 in FY 2018. data with respect to safety or B. Product Fee Rates for FY 2018 effectiveness are required (21 U.S.C. A. Product Fee Revenues and Numbers 379j–11(2)). The application fees are to of Fee-Paying Products FDA must set the fee rates for FY 2018 be set so that they will generate The animal drug product fee (also so that the estimated 791 products that $3,619,000 in fee revenue for FY 2018. referred to as the product fee) must be pay fees will generate a total of The fee for a supplemental animal drug paid annually by the person named as $4,885,000. To generate this amount application for which safety or the applicant in a new animal drug will require the fee for an animal drug effectiveness data are required and for application or supplemental new animal product, rounded to the nearest $5, to be an animal drug application subject to drug application for an animal drug $6,175. criteria set forth in section 512(d)(4) of product submitted for listing under V. Establishment Fee Calculations for the FD&C Act is to be set at 50 percent section 510 of the FD&C Act (21 U.S.C. FY 2018 of the animal drug application fee (21 360), and who had an animal drug U.S.C. 379j–12(a)(1)(A)(ii)). application or supplemental animal A. Establishment Fee Revenues and To set animal drug application fees drug application pending at FDA after Numbers of Fee-Paying Establishments and supplemental animal drug September 1, 2003 (21 U.S.C. 379j– The animal drug establishment fee application fees to realize $3,619,000 12(a)(2)). The term ‘‘animal drug (also referred to as the establishment FDA must first make some assumptions product’’ means each specific strength fee) must be paid annually by the about the number of fee-paying or potency of a particular active person who: (1) Owns or operates, applications and supplements the ingredient or ingredients in final dosage directly or through an affiliate, an Agency will receive in FY 2018. form marketed by a particular animal drug establishment; (2) is named The Agency knows the number of manufacturer or distributor, which is as the applicant in an animal drug applications that have been submitted uniquely identified by the labeler code application or supplemental animal in previous years. That number and product code portions of the drug application for an animal drug fluctuates from year to year. In national drug code, and for which an product submitted for listing under estimating the fee revenue to be animal drug application or a section 510 of the FD&C Act; (3) had an generated by animal drug application supplemental animal drug application animal drug application or
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supplemental animal drug application years. Based on experience over the past To set animal drug sponsor fees to pending at FDA after September 1, 2003; 13 completed years of the ADUFA realize $4,885,000, FDA must make and (4) whose establishment engaged in program, FDA believes that this is a some assumptions about the number of the manufacture of the animal drug reasonable basis for estimating the sponsors who will pay these fees in FY product during the fiscal year (see 21 number of fee-paying establishments in 2018. Based on the number of firms that U.S.C. 379j–12(a)(3)). An establishment FY 2018. would have met this definition in each subject to animal drug establishment Accordingly, the Agency estimates of the past 13 completed years of the fees is assessed only one such fee per that a total of 53 establishments (60 ADUFA program, FDA estimates that a fiscal year. The term ‘‘animal drug minus 7) will be subject to total of 198 sponsors will meet this establishment’’ is defined as a foreign or establishment fees in FY 2018. definition in FY 2018. domestic place of business which is at B. Establishment Fee Rates for FY 2018 A review of our records indicates that one general physical location consisting FDA must set the fee rates for FY 2018 35 percent of these sponsors will qualify of one or more buildings all of which for a minor use/minor species fee are within 5 miles of each other, at so that the estimated 53 establishments that pay fees will generate a total of waiver or reduction (21 U.S.C. 379j– which one or more animal drug 12(d)(1)(D)). Based on the Agency’s products are manufactured in final $4,704,000. To generate this amount will require the fee for an animal drug experience to date with sponsor fees, dosage form (21 U.S.C. 379j–11(4)). The FDA’s current best estimate is that an establishment fees are to be set so that establishment, rounded to the nearest $50, to be $88,750. additional 32 percent will qualify for they will generate $4,704,000 in fee other waivers or reductions, for a total revenue for FY 2018. VI. Sponsor Fee Calculations for FY of 67 percent of the sponsors invoiced, To set animal drug establishment fees 2018 or 133, who will not pay fees in FY 2018 to realize $4,704,000, FDA must make due to fee waivers and reductions. FDA some assumptions about the number of A. Sponsor Fee Revenues and Numbers has kept this estimate at 67 percent this establishments for which these fees will of Fee-Paying Sponsors year, based on historical data over the be paid in FY 2018. FDA developed data The animal drug sponsor fee (also past 5 completed years of the ADUFA on all animal drug establishments and referred to as the sponsor fee) must be program. FDA believes that this is a matched this to the list of all persons paid annually by each person who: (1) reasonable basis for estimating the who had an animal drug application or Is named as the applicant in an animal number of fee-paying sponsors in FY supplement pending after September 1, drug application, except for an 2018. 2003. As of June 2017, FDA estimates approved application for which all that there are a total of 60 subject products have been removed Accordingly, the Agency estimates establishments owned or operated by from listing under section 510 of the that a total of 65 sponsors (198 minus persons who had an animal drug FD&C Act, or has submitted an 133) will be subject to and pay sponsor application or supplemental animal investigational animal drug submission fees in FY 2018. drug application pending after that has not been terminated or B. Sponsor Fee Rates for FY 2018 September 1, 2003. Based on this, FDA otherwise rendered inactive and (2) had believes that 60 establishments will be an animal drug application, FDA must set the fee rates for FY 2018 subject to this fee in FY 2018. supplemental animal drug application, so that the estimated 65 sponsors that In estimating the fee revenue to be or investigational animal drug pay fees will generate a total of generated by animal drug establishment submission pending at FDA after $4,885,000. To generate this amount fees in FY 2018, FDA is assuming that September 1, 2003 (see 21 U.S.C. 379j– will require the fee for an animal drug 11 percent of the establishments 11(6) and 379j–12(a)(4)). An animal sponsor, rounded to the nearest $50, to invoiced, or seven, will not pay fees in drug sponsor is subject to only one such be $75,150. FY 2018 due to fee waivers and fee each fiscal year (see 21 U.S.C. 379j– VII. Fee Schedule for FY 2018 reductions. FDA has kept this estimate 12(a)(4)). The sponsor fees are to be set at 11 percent this year, based on so that they will generate $4,885,000 in The fee rates for FY 2018 are historical data over the past 5 completed fee revenue for FY 2018. summarized in Table 6.
TABLE 6—FY 2018 FEE RATES
Fee rate for Animal drug user fee category FY 2018
Animal Drug Application Fees: Animal Drug Application ...... $238,100 Supplemental Animal Drug Application for Which Safety or Effectiveness Data are Required or Animal Drug Application Subject to the Criteria Set Forth in Section 512(d)(4) of the FD&C Act ...... 119,050 Animal Drug Product Fee ...... 6,175 Animal Drug Establishment Fee1 ...... 88,750 Animal Drug Sponsor Fee2 ...... 75,150 1 An animal drug establishment is subject to only one such fee each fiscal year. 2 An animal drug sponsor is subject to only one such fee each fiscal year.
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VIII. Procedures for Paying the FY 2018 New York, NY 10045, FDA Deposit able to print a copy of your cover sheet Fees Account Number: 75060099, U.S. showing your unique PIN. Department of Treasury routing/transit Step Three—Send the payment for A. Application Fees and Payment number: 021030004, SWIFT Number: your application as described in section Instructions FRNYUS33, Beneficiary: FDA, 8455 VIII.A. The appropriate application fee Colesville Rd., 14th Floor, Silver Spring, Step Four—Please submit your established in the new fee schedule MD 20993–0002. application and a copy of the completed must be paid for an animal drug To send a check by a courier such as Animal Drug User Fee Cover Sheet to application or supplement subject to Federal Express, the courier must the following address: Food and Drug fees under ADUFA III that is submitted deliver the check and printed copy of Administration, Center for Veterinary on or after October 1, 2017. The the cover sheet to: U.S. Bank, Attn: Medicine, Document Control Unit payment must be made in U.S. currency Government Lockbox 979033, 1005 (HFV–199), 7500 Standish Pl., by one of the following methods: Wire Convention Plaza, St. Louis, MO 63101. Rockville, MD 20855. transfer, electronically, check, bank (Note: This address is for courier draft, or U.S. postal money order made delivery only. If you have any questions C. Product, Establishment, and Sponsor payable to the Food and Drug concerning courier delivery contact U.S. Fees Administration. The preferred payment Bank at 314–418–4013. This telephone By December 31, 2017, FDA will issue method is online using electronic check number is only for questions about invoices and payment instructions for (Automated Clearing House (ACH) also courier delivery.) product, establishment, and sponsor known as eCheck) or credit card It is important that the fee arrives at fees for FY 2018 using this fee schedule. (Discover, VISA, MasterCard, American the bank at least a day or two before the Payment will be due by January 31, Express). Secure electronic payments application arrives at FDA’s CVM. FDA 2018. FDA will issue invoices in can be submitted using the User Fees records the official application receipt November 2018 for any products, Payment Portal at https:// date as the later of the following: The establishments, and sponsors subject to userfees.fda.gov/pay or the Pay.gov date the application was received by fees for FY 2018 that qualify for fees payment option is available to you after FDA’s CVM, or the date U.S. Bank after the December 2017 billing. you submit a cover sheet. (Note: only notifies FDA that your payment in the Dated: July 26, 2017. full payments are accepted. No partial full amount has been received, or when payments can be made online.) Once the U.S. Treasury notifies FDA of Leslie Kux, you search for and find your invoice, receipt of an electronic or wire transfer Associate Commissioner for Policy. select ‘‘Pay Now’’ to be redirected to payment. U.S. Bank and the U.S. [FR Doc. 2017–16180 Filed 8–1–17; 8:45 am] Pay.gov. Electronic payment options are Treasury are required to notify FDA BILLING CODE 4164–01–P based on the balance due. Payment by within 1 working day, using the PIN credit card is available only for balances described previously. that are less than $25,000. If the balance The tax identification number of FDA DEPARTMENT OF HEALTH AND exceeds this amount, only the ACH is 53–0196965. (Note: In no case should HUMAN SERVICES option is available. Payments must be the payment for the fee be submitted to made using U.S. bank accounts as well FDA with the application.) Food and Drug Administration as U.S. credit cards. [Docket No. FDA–2011–D–0689] When paying by check, bank draft, or B. Application Cover Sheet Procedures U.S. postal money order, please write Step One—Create a user account and Agency Information Collection your application’s unique Payment password. Log on to the ADUFA Web Activities; Submission for Office of Identification Number (PIN), beginning site at http://www.fda.gov/ForIndustry/ Management and Budget Review; with the letters AD, on the upper right- UserFees/AnimalDrugUser Comment Request; De Novo hand corner of your completed Animal FeeActADUFA/default.htm and, under Classification Process (Evaluation of Drug User Fee Cover Sheet. Also write Tools and Resources, click ‘‘The Animal Automatic Class III Designation) the FDA post office box number (P.O. Drug User Fee Cover Sheet’’ and then Box 979033) on the enclosed check, select ‘‘Create ADUFA User Fee Cover AGENCY: Food and Drug Administration, bank draft, or money order. Mail the Sheet.’’ For security reasons, each firm HHS. payment and a copy of the completed submitting an application will be ACTION: Notice. Animal Drug User Fee Cover Sheet to: assigned an organization identification SUMMARY: Food and Drug Administration, P.O. number, and each user will also be The Food and Drug Box 979033, St. Louis, MO 63197–9000. required to set up a user account and Administration (FDA) is announcing When paying by wire transfer, the password the first time you use this site. that a proposed collection of invoice number needs to be included; Online instructions will walk you information has been submitted to the without the invoice number, the through this process. Office of Management and Budget payment may not be applied. If the Step Two—Create an Animal Drug (OMB) for review and clearance under payment amount is not applied, the User Cover Sheet, transmit it to FDA, the Paperwork Reduction Act of 1995. invoice amount would be referred to and print a copy. After logging into your DATES: Fax written comments on the collections. The originating financial account with your user name and collection of information by September institution may charge a wire transfer password, complete the steps required 1, 2017. fee. If the financial institution charges a to create an Animal Drug User Fee ADDRESSES: To ensure that comments on wire transfer fee, it is required to add Cover Sheet. One cover sheet is needed the information collection are received, that amount to the payment to ensure for each animal drug application or OMB recommends that written that the invoice is paid in full. supplement. Once you are satisfied that comments be faxed to the Office of Use the following account the data on the cover sheet is accurate Information and Regulatory Affairs, information when sending a payment by and you have finalized the cover sheet, OMB, Attn: FDA Desk Officer, FAX: wire transfer: U.S. Department of you will be able to transmit it 202–395–7285, or emailed to oira_ Treasury, TREAS NYC, 33 Liberty St., electronically to FDA and you will be [email protected]. All
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comments should be identified with the De Novo Classification Process previously mentioned statutory OMB control number 0910–NEW and (Evaluation of Automatic Class III requirements for implementing this title ‘‘De Novo Classification Process Designation) voluntary submission program. (Evaluation of Automatic Class III OMB Control Number 0910—NEW In the Federal Register of August 14, Designation).’’ Also include the FDA 2014 (79 FR 47651), FDA published a docket number found in brackets in the The draft guidance entitled ‘‘De Novo Classification Process (Evaluation of 60-day notice requesting public heading of this document. Automatic Class III Designation)’’ comment on the proposed collection of FOR FURTHER INFORMATION CONTACT: provides guidance on the process for the information. Seven organizations Amber Sanford, Office of Operations, submission and review of a De Novo commented on the draft guidance Food and Drug Administration, Three classification request (hereafter a ‘‘De document. None of the comments were White Flint North, 10A63, 11601 Novo request’’) under section 513(f)(2) related to the information collection. Landsdown St., North Bethesda, MD of the Federal Food, Drug, and Cosmetic Upon further review of the 20852, 301–796–8867, PRAStaff@ Act (the FD&C Act) (21 U.S.C. information collection, it has come to fda.hhs.gov. 360c(f)(2)), also known as the De Novo our attention that the 60-day notice did classification process. This process not include an estimated hour burden SUPPLEMENTARY INFORMATION: In provides a pathway to class I or class II for requests for withdrawal or estimated compliance with 44 U.S.C. 3507, FDA classification for medical devices for operating and maintenance costs for has submitted the following proposed which general controls or general and eCopy,1 printing, and shipping of De special controls provide a reasonable collection of information to OMB for Novo submissions. To correct this assurance of safety and effectiveness, review and clearance. oversight, we have included these but for which there is no legally marketed predicate device. estimates here. The proposed collection of FDA estimates the burden of this information is necessary to satisfy the collection of information as follows:
TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1
Total operating Number of Number of Total annual Average and Activity respondents responses per responses burden per Total hours maintenance respondent response costs
De Novo request under section 513(f)(2)(i) of the FD&C Act
CDRH ...... 25 1 25 100 2,500 ...... CBER ...... 1 1 1 100 100 ......
De Novo request under section 513(f)(2)(ii) of the FD&C Act
CDRH ...... 25 1 25 180 4,500 ...... CBER ...... 1 1 1 180 180 ......
Total De Novo requests ...... 52 ...... 7,280 $6,308 Request for withdrawal ...... 5 1 5 10 50 5
Total ...... 7,330 6,313 1 There are no capital costs associated with this collection of information.
FDA estimates from past experience and advised manufacturers on the eCopy. We estimate the cost burden for with the De Novo classification program submissions, and have reviewed the a De Novo submission to be $121.30 that the complete process involved with documentation submitted. ($90 printing + $30 shipping + $1.30 the program under section 513(f)(2)(i) of Respondents to the information eCopy). The annual cost estimate for De the FD&C Act takes approximately 100 collection are medical device Novo submissions is $6,308 (rounded) hours, and the complete process under manufacturers seeking to market (52 submissions × $121.30). We estimate section 513(f)(2)(ii) of the FD&C Act medical device products that have been the cost for a request for withdrawal to takes approximately 180 hours. This classified into class III under section be $1 (rounded) ($0.09 printing 1 page includes the time for any supplements 513(f)(2) of the FD&C Act. It is expected + $0.03 shipping + $1.30 eCopy). The or amendments to the original that the number of De Novo requests annual cost estimate for requests for submission. We estimate that requests will reach a steady rate of withdrawal is $5. approximately 52 submissions per year. for withdrawal take approximately 10 The draft guidance also refers to We expect that we will receive minutes. The average burdens per currently approved information approximately five requests for response are based upon estimates by collections found in FDA regulations. FDA administrative and technical staff withdrawal per year. The collections of information in 21 who are familiar with the requirements The operating and maintenance cost CFR part 807, subpart E, are approved for submission of a De Novo request for a De Novo submission includes the under OMB control number 0910–0120. (and related materials), have consulted cost of printing, shipping, and the
1 See the eCopy guidance, ‘‘eCopy Program for and Food and Drug Administration Staff,’’ at @fdagov-meddev-gen/documents/document/ Medical Device Submissions; Guidance for Industry https://www.fda.gov/ucm/groups/fdagov-public/ ucm313794.pdf.
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Dated July 27, 2017. comments, that information will be of comments to public dockets, see 80 Anna K. Abram, posted on https://www.regulations.gov. FR 56469, September 18, 2015, or access Deputy Commissioner for Policy, Planning, • If you want to submit a comment the information at: https://www.gpo.gov/ Legislation, and Analysis. with confidential information that you fdsys/pkg/FR-2015-09-18/pdf/2015- [FR Doc. 2017–16230 Filed 8–1–17; 8:45 am] do not wish to be made available to the 23389.pdf. BILLING CODE 4164–01–P public, submit the comment as a Docket: For access to the docket to written/paper submission and in the read background documents or the manner detailed (see ‘‘Written/Paper electronic and written/paper comments DEPARTMENT OF HEALTH AND Submissions’’ and ‘‘Instructions’’). received, go to https:// HUMAN SERVICES Written/Paper Submissions www.regulations.gov and insert the docket number, found in brackets in the Food and Drug Administration Submit written/paper submissions as heading of this document, into the follows: [Docket No. FDA–2013–D–0744] • ‘‘Search’’ box and follow the prompts Mail/Hand delivery/Courier (for and/or go to the Dockets Management Antibacterial Therapies for Patients written/paper submissions): Dockets Staff, 5630 Fishers Lane, Rm. 1061, With an Unmet Medical Need for the Management Staff (HFA–305), Food and Rockville, MD 20852. Treatment of Serious Bacterial Drug Administration, 5630 Fishers Submit written requests for single Diseases; Guidance for Industry; Lane, Rm. 1061, Rockville, MD 20852. copies of this guidance to the Division • For written/paper comments Availability of Drug Information, Center for Drug submitted to the Dockets Management Evaluation and Research, Food and AGENCY: Food and Drug Administration, Staff, FDA will post your comment, as Drug Administration, 10001 New HHS. well as any attachments, except for Hampshire Ave., Hillandale Building., ACTION: Notice of availability. information submitted, marked and identified, as confidential, if submitted 4th Floor, Silver Spring, MD 20993– SUMMARY: The Food and Drug as detailed in ‘‘Instructions.’’ 0002. Send one self-addressed adhesive Administration (FDA or Agency) is Instructions: All submissions received label to assist that office in processing announcing the availability of a must include the Docket No. FDA– your requests. See the SUPPLEMENTARY guidance for industry entitled 2013–D–0744 for ‘‘Antibacterial INFORMATION section for electronic ‘‘Antibacterial Therapies for Patients Therapies for Patients With an Unmet access to the guidance document. With an Unmet Medical Need for the Medical Need for the Treatment of FOR FURTHER INFORMATION CONTACT: Treatment of Serious Bacterial Serious Bacterial Diseases.’’ Received Joseph G. Toerner, Center for Drug Diseases.’’ The purpose of the guidance comments will be placed in the docket Evaluation and Research, Food and is to assist sponsors in the development and, except for those submitted as Drug Administration, 10903 New of new antibacterial drugs to treat ‘‘Confidential Submissions,’’ publicly Hampshire Ave., Bldg. 22, Rm. 6244, serious bacterial diseases in patients viewable at https://www.regulations.gov Silver Spring, MD 20993–0002, 301– with an unmet medical need, including or at the Dockets Management Staff 796–1300. patients who have a serious bacterial between 9 a.m. and 4 p.m., Monday SUPPLEMENTARY INFORMATION: disease for which effective antibacterial through Friday. drugs are limited or lacking. This • Confidential Submissions—To I. Background guidance finalizes the draft guidance of submit a comment with confidential FDA is announcing the availability of the same name issued July 2, 2013. information that you do not wish to be a guidance for industry entitled DATES: Submit either electronic or made publicly available, submit your ‘‘Antibacterial Therapies for Patients written comments on Agency guidances comments only as a written/paper With an Unmet Medical Need for the at any time. submission. You should submit two Treatment of Serious Bacterial ADDRESSES: You may submit comments copies total. One copy will include the Diseases.’’ The purpose of this guidance as follows: information you claim to be confidential is to assist sponsors in the development with a heading or cover note that states of new antibacterial drugs for the Electronic Submissions ‘‘THIS DOCUMENT CONTAINS treatment of serious bacterial diseases in Submit electronic comments in the CONFIDENTIAL INFORMATION.’’ The patients with an unmet medical need, following way: Agency will review this copy, including including patients who have a serious • Federal eRulemaking Portal: the claimed confidential information, in bacterial disease for which effective https://www.regulations.gov. Follow the its consideration of comments. The antibacterial drugs are limited or instructions for submitting comments. second copy, which will have the lacking. Comments submitted electronically, claimed confidential information Efforts to develop new antibacterial including attachments, to https:// redacted/blacked out, will be available drugs have diminished in the past few www.regulations.gov will be posted to for public viewing and posted on decades. Because bacteria continue to the docket unchanged. Because your https://www.regulations.gov. Submit develop resistance to available comment will be made public, you are both copies to the Dockets Management antibacterial drugs, a situation of unmet solely responsible for ensuring that your Staff. If you do not wish your name and medical need has arisen in which comment does not include any contact information to be made publicly patients with serious bacterial diseases confidential information that you or a available, you can provide this have limited or in some cases no third party may not wish to be posted, information on the cover sheet and not alternative antibacterial drugs available such as medical information, your or in the body of your comments and you for treatment. To foster new anyone else’s Social Security number, or must identify this information as antibacterial drug development that will confidential business information, such ‘‘confidential.’’ Any information marked have the potential to keep pace with as a manufacturing process. Please note as ‘‘confidential’’ will not be disclosed continued selective pressures of that if you include your name, contact except in accordance with 21 CFR 10.20 antibacterial resistance, FDA is information, or other information that and other applicable disclosure law. For exploring approaches to help streamline identifies you in the body of your more information about FDA’s posting development programs for new
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antibacterial drugs. This guidance are subject to review by the Office of 103 of the Pandemic and All-Hazards outlines approaches for streamlined Management and Budget (OMB) under Preparedness Reauthorization Act of development programs that are the Paperwork Reduction Act of 1995 2013 (Pub. L. 113–5), the HHS consistent with FDA’s longstanding (44 U.S.C. 3501–3520). The collections Secretary, in consultation with the commitment to regulatory flexibility of information in 21 CFR parts 312 and Secretary of the U.S. Department of regarding the evidence required to 314 have been approved under OMB Homeland Security, established the support drug approval for patient control numbers 0910–0014 and 0910– NACCD. The purpose of the NACCD is populations with serious disease and 0001, respectively. to provide advice and consultation to limited or no treatment options, while the HHS Secretary with respect to the III. Electronic Access meeting appropriate standards for safety medical and public health needs of and effectiveness (see, for example, 21 Persons with access to the Internet children in relation to disasters. CFR 312, subpart E, Drugs Intended to may obtain the document at either Background: The NACCD public Treat Life-threatening and Severely- https://www.fda.gov/Drugs/ meeting on September 7, 2017, is debilitating Illnesses). GuidanceCompliance dedicated to the deliberation and vote This guidance finalizes the draft RegulatoryInformation/Guidances/ on the Human Services Working Group guidance of the same name issued July default.htm or https:// Report. We will post modifications to 2, 2013 (78 FR 39737). After www.regulations.gov. the agenda on the NACCD September 7, consideration of comments received in Dated: July 27, 2017. 2017 meeting Web page, which is response to the draft guidance, FDA Anna K. Abram, located at https://www.phe.gov/naccd. updated the guidance to include Availability of Materials: We will post clarifications about trial designs for Deputy Commissioner for Policy, Planning, Legislation, and Analysis. all meeting materials prior to the streamlined development programs and meeting on the NACCD September 7, statistical approaches. In addition, the [FR Doc. 2017–16228 Filed 8–1–17; 8:45 am] 2017 meeting Web page located at guidance outlines development BILLING CODE 4164–01–P https://www.phe.gov/naccd. approaches for antibacterial drugs that Procedures for Providing Public Input: are pathogen-focused (i.e., drugs that are Members of the public attend by DEPARTMENT OF HEALTH AND intended to treat a single species or a teleconference via a toll-free call-in HUMAN SERVICES few species of bacteria) and, phone number, which is available on accordingly, fulfills the requirements of Meeting of the National Advisory the NACCD Web site at http:// section 806(a), Title VIII (entitled Committee on Children and Disasters www.phe.gov/naccd. ‘‘Generating Antibiotic Incentives We encourage members of the public Now’’) of the Food and Drug AGENCY: Office of the Secretary, to provide written comments that are Administration Safety and Innovation Department of Health and Human relevant to the NACCD teleconference Act (Pub. L. 112–144). Services. prior to September 7, 2017. Send FDA notes that section 3042 of the ACTION: Notice. written comments by email via the 21st Century Cures Act (Pub. L. 114– ‘‘Contact Us’’ link on https:// 255), which establishes a limited SUMMARY: As stipulated by the Federal www.phe.gov/naccd with ‘‘NACCD population pathway for certain Advisory Committee Act, the Public Comment’’ in the subject line. antibacterial and antifungal drugs Department of Health and Human The NACCD will respond to comments (LPAD) that are intended to treat a Services (HHS) is hereby giving notice received by close-of-business September serious or life-threatening infection in a that the National Advisory Committee 7, 2017, during the meeting. limited population of patients with on Children and Disasters (NACCD) will Dated: July 13, 2017. unmet needs, was enacted shortly before hold a public meeting on September 7, publication of this guidance. Some 2017. George W. Korch Jr., antibacterial drugs that are candidates DATES: The NACCD meeting is Acting Assistant Secretary for Preparedness and Response. for a streamlined development program September 7, 2017, from 3:00 p.m. to may also be candidates for LPAD. FDA 4:00 p.m. EST. [FR Doc. 2017–15853 Filed 8–1–17; 8:45 am] BILLING CODE P intends to issue separate guidance ADDRESSES: We encourage members of regarding LPAD. Sponsors are the public to attend the teleconference. encouraged to discuss proposed To register, go to https://www.phe.gov/ approaches with the Division of Anti- DEPARTMENT OF HEALTH AND naccd and click on the Contact Us link HUMAN SERVICES Infective Products. to open the Contact NACCD form, and This guidance is being issued then fill out the form with NACCD Solicitation of Nominations for consistent with FDA’s good guidance Registration in the subject line. Submit Membership on the Secretary’s practices regulation (21 CFR 10.115). your comments on the NACCD Contact Advisory Committee on Human The guidance represents the current Form located at https://www.phe.gov/ Research Protections thinking of FDA on this topic. It does NACCDComments. not establish any rights for any person AGENCY: Office of the Assistant and is not binding on FDA or the public. FOR FURTHER INFORMATION CONTACT: CDR Secretary for Health, Office for Human You can use an alternative approach if Evelyn Seel, (202) 205–7960, Research Protections, Office of the it satisfies the requirements of the [email protected]. Visit the NACCD Secretary, Department of Health and applicable statutes and regulations. This Web site located at https:// Human Services. www.phe.gov/naccd. is not a significant regulatory action ACTION: Notice. subject to Executive Order 12866. SUPPLEMENTARY INFORMATION: Pursuant to the Federal Advisory Committee Act SUMMARY: The Office for Human II. The Paperwork Reduction Act of (FACA) of 1972 (5 U.S.C., Appendix, as Research Protections (OHRP), a program 1995 amended), and section 2811A of the office in the Office of the Assistant This guidance refers to previously Public Health Service (PHS) Act (42 Secretary for Health, Department of approved collections of information that U.S.C. 300hh–10a), as added by section Health and Human Services (HHS), is
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seeking nominations of qualified may include, but are not limited to, a consideration for membership on HHS candidates to be considered for review of assurance systems, the Federal advisory committees. appointment as members of the application of minimal research risk Appointment to this Committee shall be Secretary’s Advisory Committee on standards, the granting of waivers, made without discrimination on the Human Research Protections (SACHRP). education programs sponsored by basis of age, race, ethnicity, gender, SACHRP provides advice and OHRP, and the ongoing monitoring and sexual orientation, disability, and recommendations to the Secretary, HHS oversight of institutional review boards cultural, religious, or socioeconomic (Secretary), through the Assistant and the institutions that sponsor status. Secretary for Health, on matters research. Individuals who are selected to be pertaining to the continuance and Nominations: The OHRP is requesting considered for appointment will be improvement of functions within the nominations to fill four positions for required to provide detailed information authority of HHS directed toward voting members of SACHRP. One regarding their financial holdings, protections for human subjects in position will become vacant in January consultancies, and research grants or research. SACHRP was established by 2018, with three others becoming vacant contracts. Disclosure of this information the Secretary on October 1, 2002. OHRP in October 2018. Nominations of is necessary in order to determine if the is seeking nominations of qualified potential candidates for consideration selected candidate is involved in any candidates to fill four positions on the are being sought from a wide array of activity that may pose a potential Committee membership that will be fields, including, but not limited to: conflict with the official duties to be vacated during the 2018 calendar year. public health and medicine, behavioral performed as a member of SACHRP. DATES: Nominations for membership on and social sciences, health the Committee must be received no later administration, and biomedical ethics. Authority: 42 U.S.C. 217a, Section 222 of than September 18, 2017. To qualify for consideration of the Public Health Service Act, as amended. The Committee is governed by the provisions ADDRESSES: Nominations should be appointment to the Committee, an individual must possess demonstrated of Public Law 92–463, as amended (5 U.S.C. mailed or delivered to Dr. Jerry Appendix 2), which sets forth standards for Menikoff, Director, Office for Human experience and expertise in any of the the formation and use of advisory Research Protections, Department of several disciplines and fields pertinent committees. Health and Human Services, 1101 to human subjects protection and/or clinical research. Dated: July 26, 2017. Wootton Parkway, Suite 200, Rockville, Julia Gorey, MD 20852. Nominations will not be The individuals selected for Executive Director, Secretary’s Advisory accepted by email or by facsimile. appointment to the Committee can be invited to serve a term of up to four Committee on Human Research Protections, FOR FURTHER INFORMATION CONTACT: Julia years. Committee members receive a Office for Human Research Protections Gorey, Executive Director, SACHRP, stipend and reimbursement for per diem [FR Doc. 2017–16156 Filed 8–1–17; 8:45 am] Office for Human Research Protections, and any travel expenses incurred for BILLING CODE 4150–36–P 1101 Wootton Parkway, Suite 200, attending Committee meetings and/or Rockville, MD 20852, telephone: 240– conducting other business in the 453–8141. A copy of the Committee interest of the Committee. Interested DEPARTMENT OF HEALTH AND charter and list of the current members applicants may self-nominate. HUMAN SERVICES can be obtained by contacting Ms. Nominations should be typewritten. Gorey, accessing the SACHRP Web site The following information should be National Institutes of Health at www.hhs.gov/ohrp/sachrp, or included in the package of material National Institute of Diabetes and requesting via email at sachrp@ submitted for each individual being osophs.dhhs.gov. Digestive and Kidney Diseases; Notice nominated for consideration: (1) A letter of Meetings SUPPLEMENTARY INFORMATION: The of nomination that clearly states the Committee provides advice on matters name and affiliation of the nominee, the Pursuant to section 10(d) of the pertaining to the continuance and basis for the nomination (i.e., specific Federal Advisory Committee Act, as improvement of functions within the attributes which qualify the nominee for amended (5 U.S.C. App.), notice is authority of HHS directed toward service in this capacity), and a statement hereby given of meetings of the National protections for human subjects in that the nominee is willing to serve as Diabetes and Digestive and Kidney research. Specifically, the Committee a member of the Committee; (2) the Diseases Advisory Council. provides advice relating to the nominator’s name, address, daytime The meetings will be open to the responsible conduct of research telephone number, and the home and/ public as indicated below, with involving human subjects with or work address, telephone number, and attendance limited to space available. particular emphasis on special email address of the individual being Individuals who plan to attend and populations such as neonates and nominated; and (3) a current copy of the need special assistance, such as sign children, prisoners, the decisionally nominee’s curriculum vitae. Federal language interpretation or other impaired, pregnant women, embryos employees should not be nominated for reasonable accommodations, should and fetuses, individuals and consideration of appointment to this notify the Contact Person listed below populations in international studies, Committee. in advance of the meeting. investigator conflicts of interest and The Department makes every effort to The meetings will be closed to the populations in which there are ensure that the membership of HHS public in accordance with the individually identifiable samples, data Federal advisory committees is fairly provisions set forth in sections or information. balanced in terms of points of view 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., In addition, the Committee is represented and the committee’s as amended. The grant applications and responsible for reviewing selected function. Every effort is made to ensure the discussions could disclose ongoing work and planned activities of that individuals from a broad confidential trade secrets or commercial the OHRP and other offices/agencies representation of geographic areas, property such as patentable material, within HHS responsible for human women and men, ethnic and minority and personal information concerning subjects protection. These evaluations groups, and the disabled are given individuals associated with the grant
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applications, the disclosure of which Room 7323, MSC 5452, Bethesda, MD 20892, Molecular Analysis for Therapy Choice would constitute a clearly unwarranted (301) 594–8843, [email protected]. (MATCH) trial leadership (NCT invasion of personal privacy. Name of Committee: National Diabetes and 02465060) invites applications for Digestive and Kidney Diseases Advisory Clinical Laboratory Improvements Name of Committee: National Diabetes and Council; Digestive Diseases and Nutrition. Digestive and Kidney Diseases Advisory Program (CLIA) certified/accredited Date: September 6, 2017. laboratories that test tumor specimens Council. Open: 1:00 p.m. to 2:00 p.m. Date: September 6, 2017. Agenda: To review the Division’s scientific from patients utilizing Next Generation Open: 8:30 a.m. to 12:00 p.m. and planning activities. Sequencing (NGS) assays to participate Agenda: To present the Director’s Report Place: National Institutes of Health, in the NCI MATCH trial. The NCI and other scientific presentations. Natcher Building Forty-five, Natcher MATCH trial has implemented a new Place: National Institutes of Health, Conference Center, Room F1, 45 Center process for identifying patients for arms Natcher Building Forty-five, Conference Drive, Bethesda, MD 20892. Rooms E1/E2, 45 Center Drive, Bethesda, MD with rare variant eligibility criteria. Closed: 2:15 p.m. to 3:30 p.m. Laboratories will contact any of the 20892. Agenda: To review and evaluate grant Closed: 3:45 p.m. to 4:30 p.m. approximately 1100 sites that have applications. activated NCI MATCH if a specimen Agenda: To review and evaluate grant Place: National Institutes of Health, applications. Natcher Building Forty-five, Natcher sent from one of these sites has a rare Place: National Institutes of Health, Conference Center, Room F1, 45 Center variant that would potentially make the Natcher Building Forty-five, Conference Drive, Bethesda, MD 20892. patient eligible for one of the treatment Rooms E1/E2, 45 Center Drive, Bethesda, MD Contact Person: Brent B. Stanfield, Ph.D., arms open in this initiative. 20892. Director, Division of Extramural Activities, DATES: LOIs should be submitted to the Contact Person: Brent B. Stanfield, Ph.D., National Institutes of Diabetes and Digestive Director, Division of Extramural Activities, National Cancer Institute (NCI), and Kidney Diseases, 6707 Democracy Blvd. National Institutes of Health (NIH) on or National Institutes of Diabetes and Digestive Room 7323, MSC 5452, Bethesda, MD 20892, and Kidney Diseases, 6707 Democracy Blvd. (301) 594–8843, [email protected]. before 5:00 p.m. EST on January 31, Room 7323, MSC 5452, Bethesda, MD 20892, 2018. (301) 594–8843, [email protected]. Any interested person may file written comments with the committee by forwarding ADDRESSES: Submit LOIs by email to Name of Committee: National Diabetes and the statement to the Contact Person listed on [email protected]. 9609 Digestive and Kidney Diseases Advisory this notice. The statement should include the Council; Diabetes, Endocrinology and Medical Center Drive, 3 West, Room name, address, telephone number and when 526, MSC 9728, Rockville, MD 20892. Metabolic Diseases. applicable, the business or professional FOR FURTHER INFORMATION CONTACT: Date: September 6, 2017. affiliation of the interested person. Closed: 1:00 p.m. to 2:00 p.m. In the interest of security, NIH has Questions about this request for LOIs Agenda: To review and evaluate grant instituted stringent procedures for entrance should be directed to applications. onto the NIH campus. All visitor vehicles, [email protected]. James V. Place: National Institutes of Health, including taxicabs, hotel, and airport shuttles Tricoli [email protected] can also Natcher Building Forty-five, Natcher will be inspected before being allowed on Conference Center, Room E1, 45 Center provide further information. campus. Visitors will be asked to show one SUPPLEMENTARY INFORMATION: NCI– Drive, Bethesda, MD 20892. form of identification (for example, a Open: 2:00 p.m. to 3:30 p.m. MATCH aims to establish whether government-issued photo ID, driver’s license, Agenda: To review the Division’s scientific or passport) and to state the purpose of their patients with tumor mutations, and planning activities. visit. amplifications or translocations in one Place: National Institutes of Health, Information is also available on the of the genetic pathways of interest are Natcher Building Forty-five, Natcher Institute’s/Center’s home page: likely to derive clinical benefit (primary Conference Center, Room E1, 45 Center www.niddk.nih.gov/fund/divisions/DEA/ objective: Objective response; secondary Drive, Bethesda, MD 20892. Council/coundesc.htm., where an agenda and Contact Person: Brent B. Stanfield, Ph.D., objective: Progression-free survival of at any additional information for the meeting Director, Division of Extramural Activities, least 6 months) if treated with agents will be posted when available. National Institutes of Diabetes and Digestive targeting that specific pathway in a and Kidney Diseases, 6707 Democracy Blvd. (Catalogue of Federal Domestic Assistance single-arm design (see current arms Room 7323, MSC 5452, Bethesda, MD 20892, Program Nos. 93.847, Diabetes, below). (301) 594–8843, [email protected]. Endocrinology and Metabolic Research; Patients with histologically 93.848, Digestive Diseases and Nutrition Name of Committee: National Diabetes and documented solid tumors, lymphomas Research; 93.849, Kidney Diseases, Urology Digestive and Kidney Diseases Advisory and Hematology Research, National Institutes and multiple myeloma whose disease Council; Kidney, Urologic and Hematologic of Health, HHS) has progressed following at least one Diseases. line of standard systemic therapy or for Date: September 6, 2017. Dated: July 27, 2017. whom no standard therapy exists are Open: 1:00 p.m. to 3:00 p.m. David Clary, eligible if they meet the eligibility Agenda: To review the Division’s scientific Program Analyst, Office of Federal Advisory criteria for the trial. Further information and planning activities. Committee Policy. Place: National Institutes of Health, about the NCI–MATCH trial may be Natcher Building Forty-five, Natcher [FR Doc. 2017–16192 Filed 8–1–17; 8:45 am] found at http://ecog-acrin.org/trials/nci- Conference Center, Room F2, 45 Center BILLING CODE 4140–01–P match-eay131. Drive, Bethesda, MD 20892. The selected collaborating Closed: 3:00 p.m. to 3:30 p.m. laboratories may only act (i.e., refer Agenda: To review and evaluate grant DEPARTMENT OF HEALTH AND patients) on any of the rare variant arms applications. HUMAN SERVICES for which their assay reports actionable Place: National Institutes of Health, mutations of interest (aMOIs). The assay Natcher Building Forty-five, Natcher National Institutes of Health Conference Center, Room F2, 45 Center must also report all exclusionary Drive, Bethesda, MD 20892. Request for Letters of Interest for NCI– variants for the arm unless these occur Contact Person: Brent B. Stanfield, Ph.D., MATCH Laboratories at a frequency of >1% in cancer Director, Division of Extramural Activities, patients. National Institutes of Diabetes and Digestive SUMMARY: The National Cancer Institute CLIA accredited/certified laboratories and Kidney Diseases, 6707 Democracy Blvd. (NCI) in collaboration with the NCI located in the United States may be
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considered for addition to the laboratory • Lead contact name, address, email variant arms (below) in the last 6 network. address, and telephone number months • CLIA certification number • Willingness to contact sites regarding Letter of Interest (LOI) and • Assay name results with a rare variant • Collaboration Agreement Brief description of assay potentially eligible for NCI MATCH Æ Sensitivity and specificity for • Candidate laboratories should submit Willingness to sign a collaboration SNVs, indels, CNV, fusions agreement with NCI and to share a letter of interest to Æ Method of analysis [email protected] stating: Æ Platform and variant calling data and publication rights • • Which arms the laboratory is prepared • Number of assays per month Statement of interest in the proposed • Number of patients whose assay to address. activity results would make them The arms that are included in the rare • Laboratory name potentially eligible for the rare variant protocol amendment are:
MATCH subprotocol Rare variant candidate (agent)
AKT1 mut ...... EAY131–Y (AZD5363). NF2 loss ...... EAY131–U (Defactinib). MET amplification ...... EAY131–C1 (Crizotinib). BRAF V600 ...... EAY131–H (Dabrafenib + Trametinib). SMO/PTCH1 ...... EAY131–T (Vismodegib). BRAF non V600 ...... EAY131–R (Trametinib). EGFR T790M ...... EAY131–E (AZD9291). ALK translocation ...... EAY131–F (Crizotinib). cKIT mutation ...... EAY131–V (Sunitinib). EGFR mutation ...... EAY131–A (Afatinib). ROS1 translocation ...... EAY131–G (Crizotinib). GNAQ/GNA11 ...... EAY131–S2 (Trametinib). MET exon 14 skipping ...... EAY131–C2 (Crizotinib). NTRK fusions ...... EAY131 Z1E (Loxo101). MTOR mutations ...... EAY131–L (MLN0128). TSC1 or TSC2 mutations ...... EAY131–M (MLN0128). CCND 1,2,3 amplifications ...... EAY131–Z1B (Palbociclib). CDK4 or CDK6 amplification ...... EAY131–Z1C (Palbociclib). DDR2 mutation ...... EAY131–X (Dasatinib).
Following an acceptable eligibility Æ 99% reproducibility between • Academic laboratories must be review to the NCI MATCH screening sequencers (if more than one located at a center that participates in committee, the laboratory would sequencer is used) and between NCI MATCH. execute a confidentiality agreement operators • As it is important that the dataset with the NCI and will be provided with Æ Lower limit of detection for SNV, used for analysis in NCI MATCH be as a detailed list of eligibility and indels, CNV must be stated. robust as possible, the laboratory NGS exclusion variants for arms in which the test will require qualification, during Laboratories must supply the lab has interest. The lab would then be which the performance of the laboratory following information in their required to submit an application will be compared with the NCI–MATCH application: within 3 months for review by the NCI– central laboratory test to ensure good MATCH steering committee. Candidate Æ Lower limit of % tumor accepted, and agreement with that assay. Concordance laboratories will be required to meet the whether (and which) enrichment between the results from each lab and following general requirements: procedures are employed results of the NCI MATCH NGS assay • Testing must be performed in a Æ Whether the lab archives images of run on an archived specimen will be CLIA-certified or -accredited laboratory slides from the tumor tracked; if concordance falls below 90% located in the United States. Æ Whether the lab also runs germline as for SNVs and indels, or 80% for CNVs, • Assays must be on tumor tissue well as tumor with the assay (a the laboratory must be willing to only (including lymphoma and simultaneous germline sequencing is address these issues with the NCI myeloma). Assays using circulating not required by NCI MATCH) MATCH team. If they cannot be nucleic acids will not be accepted at Æ A detailed description of assay addressed to the satisfaction of the NCI this time. procedures, including starting MATCH team, the laboratory may be • Laboratory NGS panels must be material, extraction of nucleic acids, eliminated from participation in NCI analytically and clinically validated, quality assurance, quality metrics, MATCH. with performance characteristics as • data analysis and filters must be Laboratories shall NOT advertise follows: supplied. that they are screening laboratories for Æ Specificity at least 99% for single MATCH eligibility. Any press release or nucleotide variants, indels • Laboratory NGS test panels must public disclosure requires clearance by Æ Sensitivity at least 95% for single interrogate actionable mutations of NCI and NCI MATCH. nucleotide variants, indels interest (aMOIs) required for enrollment • Laboratories must agree to use the Æ Sensitivity of 90% for copy number into the Rare Variant Arms (see table existing workflow established by the variants (state fold of copy number above). Applicant laboratories must NCI MATCH trial to identify patients for variants that can be detected with state the MATCH arms in which they the Rare Variant Arms. This includes 90% sensitivity) would like to participate. use of the MATCH Rare Variant
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template to identify aMOIs for 4. Applications that have not been DEPARTMENT OF HEALTH AND submission to MATCHbox. submitted within 3 months of HUMAN SERVICES Æ Laboratory results of NGS assays done notification of acceptance will be de- for clinical care will be the subject of activated, and a new LOI must then be National Institutes of Health this initiative. There is no funding for submitted if the laboratory wishes to National Cancer Institute; Notice of ‘‘screening’’ a patient for MATCH. participate in NCI MATCH. Æ Laboratories must notify NCI MATCH Closed Meeting 5. DO NOT send a full application sites that the laboratory results would Pursuant to section 10(d) of the potentially allow the patient to be until you are invited to do so. Federal Advisory Committee Act, as eligible for NCI MATCH. Review criteria for LOI: amended (5 U.S.C. Appendix 2); notice Æ Laboratories must track how many • Laboratory is a CLIA certified or is hereby given of the following assays per week detect rare variants accredited laboratory within the United that could make a patient eligible for meeting. States. The meeting will be closed to the NCI MATCH. • Æ If the clinician presents the Academic laboratories must have public in accordance with the MATCH study and the patient is NCI MATCH open at their site. provisions set forth in sections 552b(c) eligible and desires to enter the • Laboratory has adequate sensitivity, (4) and 552b(c) (6), Title 5 U.S.C., as study, the laboratory must agree to specificity. amended. The purpose of this meeting fill out a spreadsheet that can be is to evaluate requests for preclinical • Laboratory tests tumor tissue for used to put the results into the development resources for potential rare variants as described in NCI informatics system that assigns new therapeutics for the treatment of treatment in NCI MATCH MATCH. cancer. The outcome of the evaluation (MATCHbox). • Laboratory agrees to provide needed will provide information to internal NCI Æ Laboratories must have a way to information for evaluation of the committees that will decide whether answer questions from NCI MATCH analytical validity of the test. NCI should support requests and make sites about their assay and must • Laboratory is likely to refer at least available contract resources for development of the potential have a contact person for optimal 100 patients to NCI MATCH based on therapeutic to improve the treatment of communication with the NCI detection of rare variants in the past. MATCH team. various forms of cancer. The research • Prior to participation, laboratories • Laboratory agrees to contact sites proposals and the discussions could must enter into a collaboration regarding NCI MATCH eligibility. disclose confidential trade secrets or agreement with NCI. A sample • Laboratory agrees to a collaboration commercial property such as patentable agreement is available upon request. As with NCI as detailed above. material, and personal information part of such a collaboration agreement, concerning individuals associated with Review criteria for full application: laboratories must agree to provide the the proposed research projects, the licensing rights described in the CTEP • Laboratory NGS assay interrogates disclosure of which would constitute a IP Option to the Pharmaceutical inclusionary and all exclusionary clearly unwarranted invasion of Collaborators who provided agents for variants for arms in which the personal privacy. the NCI MATCH trial (https:// laboratory will participate. Name of Committee: National Cancer ctep.cancer.gov/branches/rab/ • Institute Special Emphasis Panel; Jun2017 _ _ _ Laboratory supplies evidence that intellectual property optionto the assay meets analytical requirements Cycle 26 NExT SEP Committee Meeting. collaborators.htm), as well as agree to as detailed above. Date: August 31, 2017. the data sharing and publication rights Time: 8:30 a.m. to 4:30 p.m. • consistent with those agreements. Laboratories are capable of Agenda: To evaluate the NCI Experimental • No reimbursement for these contacting clinical sites, tracking Therapeutics Program Portfolio. activities (testing or notification of sites activity, and of referring at least 100 Place: National Institutes of Health, 9000 of NCI MATCH eligibility) exists. patients to the study based on detection Rockville Pike, Building 31, Wing C, 6th Qualified laboratories serving of rare variants in the past. Floor, Conference Room 10, Bethesda, MD 20892. underserved populations are • Laboratories agree to execute a Contact Persons: Barbara Mroczkowski, encouraged to participate. collaboration agreement with NCI, as Ph.D., Executive Secretary, Discovery How to apply: Experimental Therapeutics Program, 1. Submit letter of interest (LOI) as well as to data sharing and sharing publication rights. National Cancer Institute, NIH, 31 Center described above under ‘‘Letter of Drive, Room 3A44, Bethesda, MD 20817 Interest and Collaboration Agreement’’ • Laboratories agree to abide by the (301) 496–4291, [email protected]. to [email protected]. procedures in place for the MATCH Toby Hecht, Ph.D., Executive Secretary, 2. LOIs will be accepted until January study and to collaborate fully with the Development Experimental Therapeutics 31, 2018 at 5:00 p.m. Eastern Time. LOIs MATCH team. Program, National Cancer Institute, NIH, will be reviewed on a monthly basis, 9609 Medical Center Drive, Room 3W110, For more information, contact with those arriving by the 15th day of Rockville, MD 20850, (240) 276–5683, [email protected]. the month being reviewed and answered [email protected]. by the 15th day of the following month. Dated: July 20, 2017. (Catalogue of Federal Domestic Assistance 3. Notification of acceptance, non- James V. Tricoli, Program Nos. 93.392, Cancer Construction; 93.393, Cancer Cause and Prevention acceptance or questions from Steering Chief, Diagnostic Biomarkers and Technology Committee will be sent to the Research; 93.394, Cancer Detection and Development Branch, Cancer Diagnosis Diagnosis Research; 93.395, Cancer designated contact person as soon as the Program, Division of Cancer Treatment and Treatment Research; 93.396, Cancer Biology LOI has been reviewed. This Diagnosis, National Cancer Institute. Research; 93.397, Cancer Centers Support; notification will include further [FR Doc. 2017–16203 Filed 8–1–17; 8:45 am] 93.398, Cancer Research Manpower; 93.399, instructions if a full application is BILLING CODE 4140–01–P Cancer Control, National Institutes of Health, invited. HHS)
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Dated: July 27, 2017. Dated: July 27, 2017. SAMHSA Committees’ Web https:// Melanie J. Pantoja, Michelle Trout, www.samhsa.gov/about-us/advisory- Program Analyst, Office of Federal Advisory Program Analyst, Office of Federal Advisory councils/meetings, or by contacting Ms. Committee Policy. Committee Policy. Benton. [FR Doc. 2017–16190 Filed 8–1–17; 8:45 am] [FR Doc. 2017–16191 Filed 8–1–17; 8:45 am] Committee Name: Substance Abuse BILLING CODE 4140–01–P BILLING CODE 4140–01–P and Mental Health Services Administration Advisory Committee for Women’s Services (ACWS). DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND Date/Time/Type: Thursday, August 2, HUMAN SERVICES HUMAN SERVICES 2017, from: 9:00 a.m. to 4:45 p.m. EDT. Open: National Institutes of Health Substance Abuse and Mental Health Place: SAMHSA, 5600 Fishers Lane, Services Administration Conference Room 5N76, Rockville, National Heart, Lung, and Blood Maryland 20857. Institute; Notice of Closed Meetings Advisory Committee for Women’s Contact: Nadine Benton, Designated Pursuant to section 10(d) of the Services; Notice of Meeting Federal Official, SAMHSA’s Advisory Committee for Women’s Services, 5600 Federal Advisory Committee Act, as Pursuant to Public Law 92–463, Fishers Lane, Rockville, MD 20857, amended (5 U.S.C. App.), notice is notice is hereby given of a meeting of Telephone: (240) 276–0127, Fax: (240) hereby given of the following meetings. the Substance Abuse and Mental Health 276–2252, Email: nadine.benton@ The meetings will be closed to the Services Administration’s (SAMHSA) samhsa.hhs.gov. public in accordance with the Advisory Committee for Women’s provisions set forth in sections Services (ACWS) on August 10, 2017. Brian Makela, 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., The meeting will include discussions Chemist, Substance Abuse and Mental Health as amended. The grant applications and on the role of SAMHSA’s Office of the Services Administration. the discussions could disclose Chief Medical Officer and emerging [FR Doc. 2017–16217 Filed 8–1–17; 8:45 am] confidential trade secrets or commercial issues for women; a follow-up BILLING CODE 4162–20–P property such as patentable material, discussion on the Office of Women’s and personal information concerning Health Report on Women and Opioids; individuals associated with the grant the invisibility of American Indian/ DEPARTMENT OF HOMELAND applications, the disclosure of which American Native women; Legislative SECURITY would constitute a clearly unwarranted updates, including the Cures Act and invasion of personal privacy. the Comprehensive Addiction Recovery Coast Guard Name of Committee: National Heart, Lung, Act; and a conversation with the Deputy [Docket No. USCG–2017–0105] and Blood Institute Special Emphasis Panel; Assistant Secretary for Mental Health HIV-Related Comorbidities Systems Biology. and Substance Use. Date: August 25, 2017. Information Collection Request to The meeting is open to the public and Office of Management and Budget; Time: 1:00 p.m. to 5:00 p.m. will be held at SAMHSA, 5600 Fishers Agenda: To review and evaluate grant OMB Control Number: 1625–0002 applications. Lane, Rockville, MD, 20857, in Place: National Institutes of Health, 6701 Conference Room 5E45. Attendance by AGENCY: Coast Guard, DHS. Rockledge Drive, Suite 7180, Bethesda, MD the public will be limited to space ACTION: Sixty-day notice requesting 20892 (Telephone Conference Call). available. Interested persons may comments. Contact Person: Tony L. Creazzo, Ph.D., present data, information, or views, Scientific Review Officer, Office of Scientific orally or in writing, on issues pending SUMMARY: In compliance with the Review/DERA National Heart, Lung, and before the committee. Written Paperwork Reduction Act of 1995, the Blood Institute, 6701 Rockledge Drive, Room submissions should be forwarded to the U.S. Coast Guard intends to submit an 7180, Bethesda, MD 20892–7924, 301–827– Information Collection Request (ICR) to 7913, [email protected]. contact person (below) by August 2, 2017. Oral presentations from the public the Office of Management and Budget Name of Committee: National Heart, Lung, (OMB), Office of Information and and Blood Institute Special Emphasis Panel; will be scheduled at the conclusion of Opportunities for Collaborative Research at the meeting. Individuals interested in Regulatory Affairs (OIRA), requesting the NIH Clinical Center. making oral presentations are approval for reinstatement, without Date: August 30, 2017. encouraged to notify the contact person change, of the following collection of Time: 1:00 p.m. to 5:00 p.m. on or before August 2, 2017. Five information: 1625–0002, Application for Agenda: To review and evaluate grant minutes will be allotted for each Vessel Inspection, Waiver, and applications. presentation. Continuous Synopsis Record without Place: National Institutes of Health, 6701 The meeting may be accessed via change. Our ICR describes the Rockledge Drive, Room 7178, Bethesda, MD information we seek to collect from the 20892 (Telephone Conference Call). telephone. To attend on site, obtain the Contact Person: William J. Johnson, Ph.D., call-in number and access code, submit public. Before submitting this ICR to Scientific Review Officer, Office of Scientific written or brief oral comments, or OIRA, the Coast Guard is inviting Review/DERA, National Heart, Lung, and request special accommodations for comments as described below. Blood Institute, 6701 Rockledge Drive, Room persons with disabilities, please register DATES: Comments must reach the Coast 7178, Bethesda, MD 20892–7924, 301–827– on-line at http://nac.samhsa.gov/ Guard on or before October 2, 2017. 7938, [email protected]. Registration/meetingsRegistration.aspx, ADDRESSES: You may submit comments (Catalogue of Federal Domestic Assistance or communicate with SAMHSA’s identified by Coast Guard docket Program Nos. 93.233, National Center for Designated Federal Officer, Ms. Nadine number [USCG–2017–0105] to the Coast Sleep Disorders Research; 93.837, Heart and Vascular Diseases Research; 93.838, Lung Benton (see contact information below). Guard using the Federal eRulemaking Diseases Research; 93.839, Blood Diseases Substantive meeting information and Portal at http://www.regulations.gov. and Resources Research, National Institutes a roster of Committee members may be See the ‘‘Public participation and of Health, HHS) obtained either by accessing the request for comments’’ portion of the
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SUPPLEMENTARY INFORMATION section for www.regulations.gov. If your material Dated: July 24, 2017. further instructions on submitting cannot be submitted using http:// Marilyn L. Scott-Perez, comments. www.regulations.gov, contact the person Chief, U.S. Coast Guard, Office of Information A copy of the ICR is available through in the FOR FURTHER INFORMATION Management. the docket on the Internet at http:// CONTACT section of this document for [FR Doc. 2017–16246 Filed 8–1–17; 8:45 am] www.regulations.gov. Additionally, alternate instructions. Documents BILLING CODE 9110–04–P copies are available from: Commandant mentioned in this notice, and all public (CG–612), ATTN: Paperwork Reduction comments, are in our online docket at Act Manager, U.S. Coast Guard, 2703 http://www.regulations.gov and can be DEPARTMENT OF HOMELAND Martin Luther King Jr. Ave. SE., Stop viewed by following that Web site’s SECURITY 7710, Washington, DC 20593–7710. instructions. Additionally, if you go to Coast Guard FOR FURTHER INFORMATION CONTACT: Mr. the online docket and sign up for email Anthony Smith, Office of Information alerts, you will be notified when [Docket No. USCG–2017–0109] Management, telephone 202–475–3532, comments are posted. or fax 202–372–8405, for questions on We accept anonymous comments. All Information Collection Request to these documents. comments received will be posted Office of Management and Budget; OMB Control Number: 1625–0030 SUPPLEMENTARY INFORMATION: without change to http:// www.regulations.gov and will include AGENCY: Coast Guard, DHS. Public Participation and Request for any personal information you have Comments ACTION: Sixty-day notice requesting provided. For more about privacy and comments. This Notice relies on the authority of the docket, you may review a Privacy the Paperwork Reduction Act of 1995; Act notice regarding the Federal Docket SUMMARY: In compliance with the 44 U.S.C. chapter 35, as amended. An Management System in the March 24, Paperwork Reduction Act of 1995, the ICR is an application to OIRA seeking 2005, issue of the Federal Register (70 U.S. Coast Guard intends to submit an the approval, extension, or renewal of a FR 15086). Information Collection Request (ICR) to the Office of Management and Budget Coast Guard collection of information Information Collection Request (Collection). The ICR contains (OMB), Office of Information and information describing the Collection’s Title: Application for Vessel Regulatory Affairs (OIRA), requesting an purpose, the Collection’s likely burden Inspection, Waiver, and Continuous extension of its approval for the on the affected public, an explanation of Synopsis Record. following collection of information: 1625–0030, Oil and Hazardous the necessity of the Collection, and OMB Control Number: 1625–0002. other important information describing Materials Transfer Procedures without Summary: The collection of the Collection. There is one ICR for each change. Our ICR describes the information requires the owner, Collection. information we seek to collect from the operator, agent, or master of a vessel to The Coast Guard invites comments on public. Before submitting this ICR to apply in writing to the Coast Guard whether this ICR should be granted OIRA, the Coast Guard is inviting before the commencement of an based on the Collection being necessary comments as described below. inspection for certification, when a for the proper performance of DATES: Comments must reach the Coast waiver is desired from the requirements Departmental functions. In particular, Guard on or before October 2, 2017. of navigation and vessel inspection, or the Coast Guard would appreciate ADDRESSES: You may submit comments to request a Continuous Synopsis comments addressing: (1) The practical identified by Coast Guard docket Record. utility of the Collection; (2) the accuracy number [USCG–2017–0109] to the Coast of the estimated burden of the Need: Title 46 U.S. Code 3306 Guard using the Federal eRulemaking Collection; (3) ways to enhance the authorizes the Coast Guard to establish Portal at http://www.regulations.gov. quality, utility, and clarity of regulations to protect life, property, and See the ‘‘Public participation and information subject to the Collection; the environment. The reporting request for comments’’ portion of the and (4) ways to minimize the burden of requirements are part of the Coast SUPPLEMENTARY INFORMATION section for the Collection on respondents, Guard’s Marine Safety Program. further instructions on submitting including the use of automated Forms: CG–2633, Application for comments. collection techniques or other forms of Waiver and Waiver Order; CG–3752, A copy of the ICR is available through information technology. In response to Application for Inspection of U.S. the docket on the Internet at http:// your comments, we may revise this ICR Vessel; CG–3752A, Application for www.regulations.gov. Additionally, or decide not to seek an extension of Inspection of U.S. Vessel (New copies are available from: Commandant approval for the Collection. We will Construction); CG–6039, Application for (CG–612), Attn: Paperwork Reduction consider all comments and material Continuous Synopsis Record. Act Manager, U.S. Coast Guard, 2703 received during the comment period. Respondents: Vessel owner, operator, Martin Luther King Jr. Ave. SE., Stop We encourage you to respond to this agent, master or interested U.S. 7710, Washington, DC 20593–7710. request by submitting comments and Government agency. FOR FURTHER INFORMATION: Contact Mr. related materials. Comments must Anthony Smith, Office of Information Frequency: On occasion, annually, or contain the OMB Control Number of the Management, telephone 202–475–3532, on a 5-year cycle. ICR and the docket number of this or fax 202–372–8405, for questions on request, [USCG–2017–0105], and must Hour Burden Estimate: The estimated these documents. be received by October 2, 2017. burden has decreased from 1,172 hours SUPPLEMENTARY INFORMATION: to 741 hours per year due to a decrease Submitting Comments in the estimated annual number of Public Participation and Request for We encourage you to submit respondents. Comments comments through the Federal Authority: The Paperwork Reduction Act This Notice relies on the authority of eRulemaking Portal at http:// of 1995; 44 U.S.C. chapter 35, as amended. the Paperwork Reduction Act of 1995;
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44 U.S.C. Chapter 35, as amended. An 2005, issue of the Federal Register (70 Register to obtain comments from the ICR is an application to OIRA seeking FR 15086). public and affected agencies. Comments the approval, extension, or renewal of a are encouraged and will be accepted (no Information Collection Request Coast Guard collection of information later than October 2, 2017) to be assured (Collection). The ICR contains Title: Oil and Hazardous Materials of consideration. information describing the Collection’s Transfer Procedures. ADDRESSES: Written comments and/or purpose, the Collection’s likely burden OMB Control Number: 1625–0030. suggestions regarding the item(s) on the affected public, an explanation of Summary: Vessels with a cargo contained in this notice must include the necessity of the Collection, and capacity of 250 barrels or more of oil or the OMB Control Number 1651–0067 in other important information describing hazardous materials must develop and the subject line and the agency name. the Collection. There is one ICR for each maintain transfer procedures. Transfer To avoid duplicate submissions, please Collection. procedures provide basic safety use only one of the following methods The Coast Guard invites comments on information for operating transfer to submit comments: whether this ICR should be granted systems with the goal of pollution (1) Email. Submit comments to: CBP_ based on the Collection being necessary prevention. [email protected]. for the proper performance of Need: Title 33 U.S.C. 1231 authorizes (2) Mail. Submit written comments to Departmental functions. In particular, the Coast Guard to prescribe regulations CBP Paperwork Reduction Act Officer, the Coast Guard would appreciate related to the prevention of pollution. U.S. Customs and Border Protection, comments addressing: (1) The practical Title 33 CFR part 155 prescribes Office of Trade, Regulations and utility of the Collection; (2) the accuracy pollution prevention regulations Rulings, Economic Impact Analysis of the estimated burden of the including those related to transfer Branch, 90 K Street NE., 10th Floor, Collection; (3) ways to enhance the procedures. Washington, DC 20229–1177. quality, utility, and clarity of Forms: Not applicable. FOR FURTHER INFORMATION CONTACT: information subject to the Collection; Respondents: Operators of certain Requests for additional PRA information and (4) ways to minimize the burden of vessels. should be directed to CBP Paperwork the Collection on respondents, Frequency: On occasion. Reduction Act Officer, U.S. Customs including the use of automated Hour Burden Estimate: The estimated and Border Protection, Office of Trade, collection techniques or other forms of burden has decreased from 160 hours to Regulations and Rulings, Economic information technology. In response to 149 hours a year due to a decrease in the Impact Analysis Branch, 90 K Street your comments, we may revise this ICR estimated annual number of responses. NE., 10th Floor, Washington, DC 20229– or decide not to seek an extension of 1177, or via email CBP_PRA@ approval for the Collection. We will Authority: The Paperwork Reduction Act of 1995; 44 U.S.C. Chapter 35, as amended. cbp.dhs.gov. Please note that the contact consider all comments and material information provided here is solely for received during the comment period. Dated: July 18, 2017. questions regarding this notice. We encourage you to respond to this Marilyn Scott-Perez, Individuals seeking information about request by submitting comments and Chief, U.S. Coast Guard, Office of Information other CBP programs should contact the related materials. Comments must Management. contain the OMB Control Number of the CBP National Customer Service Center [FR Doc. 2017–16247 Filed 8–1–17; 8:45 am] at 877–227–5511, (TTY) 1–800–877– ICR and the docket number of this BILLING CODE 9110–04–P request, [USCG–2017–0109], and must 8339, or CBP Web site at https:// be received by October 2, 2017. www.cbp.gov/. DEPARTMENT OF HOMELAND SUPPLEMENTARY INFORMATION: CBP Submitting Comments SECURITY invites the general public and other We encourage you to submit Federal agencies to comment on the comments through the Federal U.S. Customs and Border Protection proposed and/or continuing information eRulemaking Portal at http:// collections pursuant to the Paperwork www.regulations.gov. If your material [1651–0067] Reduction Act of 1995 (44 U.S.C. 3501 cannot be submitted using http:// Agency Information Collection et seq). Written comments and www.regulations.gov, contact the person Activities: Documentation suggestions from the public and affected in the FOR FURTHER INFORMATION Requirements for Articles Entered agencies should address one or more of CONTACT section of this document for Under Various Special Tariff Treatment the following four points: (1) Whether alternate instructions. Documents Provisions the proposed collection of information mentioned in this notice, and all public is necessary for the proper performance comments, are in our online docket at AGENCY: U.S. Customs and Border of the functions of the agency, including http://www.regulations.gov and can be Protection (CBP), Department of whether the information will have viewed by following that Web site’s Homeland Security. practical utility; (2) the accuracy of the instructions. Additionally, if you go to ACTION: 60-Day Notice and request for agency’s estimate of the burden of the the online docket and sign up for email comments; extension of an existing proposed collection of information, alerts, you will be notified when collection of information. including the validity of the comments are posted. methodology and assumptions used; (3) We accept anonymous comments. All SUMMARY: The Department of Homeland suggestions to enhance the quality, comments received will be posted Security, U.S. Customs and Border utility, and clarity of the information to without change to http:// Protection will be submitting the be collected; and (4) suggestions to www.regulations.gov and will include following information collection request minimize the burden of the collection of any personal information you have to the Office of Management and Budget information on those who are to provided. For more about privacy and (OMB) for review and approval in respond, including through the use of the docket, you may review a Privacy accordance with the Paperwork appropriate automated, electronic, Act notice regarding the Federal Docket Reduction Act of 1995. The information mechanical, or other technological Management System in the March 24, collection is published in the Federal collection techniques or other forms of
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information technology, e.g., permitting DEPARTMENT OF HOMELAND Federal agencies to comment on the electronic submission of responses. The SECURITY proposed and/or continuing information comments that are submitted will be collections pursuant to the Paperwork summarized and included in the request U.S. Customs and Border Protection Reduction Act of 1995 (44 U.S.C. 3501 for approval. All comments will become [1651–0001] et seq.). Written comments and a matter of public record. suggestions from the public and affected Agency Information Collection agencies should address one or more of Overview of This Information Activities: Cargo Manifest/Declaration, the following four points: (1) Whether Collection Stow Plan, Container Status Messages the proposed collection of information and Importer Security Filing is necessary for the proper performance Title: Documentation Requirements of the functions of the agency, including for Articles Entered Under Various AGENCY: U.S. Customs and Border whether the information will have Special Tariff Treatment Provisions. Protection (CBP), Department of practical utility; (2) the accuracy of the OMB Number: 1651–0067. Homeland Security. agency’s estimate of the burden of the ACTION: 60-Day notice and request for Current Actions: CBP proposes to proposed collection of information, comments; revision of an existing including the validity of the extend the expiration date of this collection of information. methodology and assumptions used; (3) information collection with no changes suggestions to enhance the quality, SUMMARY: The Department of Homeland to the burden hours or to the utility, and clarity of the information to Security, U.S. Customs and Border information being collected. be collected; and (4) suggestions to Protection will be submitting the Type of Review: Extension (without minimize the burden of the collection of following information collection request change). information on those who are to to the Office of Management and Budget respond, including through the use of Abstract: CBP is responsible for (OMB) for review and approval in appropriate automated, electronic, determining whether imported articles accordance with the Paperwork mechanical, or other technological that are classified under Harmonized Reduction Act of 1995. The information collection techniques or other forms of Tariff Schedule of the United States collection is published in the Federal information technology, e.g., permitting (HTSUS) subheadings 9801.00.10, Register to obtain comments from the electronic submission of responses. The public and affected agencies. Comments 9802.00.20, 9802.00.40, 9802.00.50, comments that are submitted will be are encouraged and will be accepted (no 9802.00.60 and 9817.00.40 are entitled summarized and included in the request to duty-free or reduced duty treatment. later than October 2, 2017) to be assured of consideration. for approval. All comments will become In order to file under these HTSUS a matter of public record. provisions, importers, or their agents, ADDRESSES: Written comments and/or must have the declarations that are suggestions regarding the item(s) Overview of This Information provided for in 19 CFR 10.1(a), 10.8(a), contained in this notice must include Collection 10.9(a) and 10.121 in their possession at the OMB Control Number 1651–0001 in Title: Cargo Manifest/Declaration, the time of entry and submit them to the subject line and the agency name. Stow Plan, Container Status Messages CBP upon request. These declarations To avoid duplicate submissions, please and Importer Security Filing. use only one of the following methods enable CBP to ascertain whether the OMB Number: 1651–0001. to submit comments: Form Numbers: CBP Forms 1302, requirements of these HTSUS (1) Email. Submit comments to: CBP_ provisions have been satisfied. 1302A, 7509, 7533. [email protected]. Abstract: This OMB approval Affected Public: Businesses. (2) Mail. Submit written comments to includes the following existing Estimated Number of Respondents: CBP Paperwork Reduction Act Officer, information collections: CBP Form 1302 U.S. Customs and Border Protection, 19,445. (or electronic equivalent); CBP Form Office of Trade, Regulations and 1302A (or electronic equivalent); CBP Estimated Number of Responses per Rulings, Economic Impact Analysis Form 7509 (or electronic equivalent); Respondent: 3. Branch, 90 K Street NE., 10th Floor, CBP Form 7533 (or electronic Estimated Number of Total Annual Washington, DC 20229–1177. equivalent); Manifest Confidentiality; Responses: 58,335. FOR FURTHER INFORMATION CONTACT: Vessel Stow Plan (Import); Container Estimated Time per Response: 1 Requests for additional PRA information Status Messages; and Importer Security should be directed to CBP Paperwork minute. Filing, Electronic Ocean Export Reduction Act Officer, U.S. Customs Manifest; Electronic Air Export Estimated Total Annual Burden and Border Protection, Office of Trade, Manifest; Electronic Rail Export Hours: 933. Regulations and Rulings, Economic Manifest; and Vessel Stow Plan Dated: July 28, 2017. Impact Analysis Branch, 90 K Street (Export). CBP is proposing to add a new Seth Renkema, NE., 10th Floor, Washington, DC 20229– information collection for the Air Cargo 1177, or via email CBP_PRA@ Advance Screening (ACAS) Pilot Branch Chief, Economic Impact Analysis cbp.dhs.gov. Please note that the contact Branch, U.S. Customs and Border Protection. Program. information provided here is solely for CBP Form 1302: The master or [FR Doc. 2017–16232 Filed 8–1–17; 8:45 am] questions regarding this notice. commander of a vessel arriving in the BILLING CODE 9111–14–P Individuals seeking information about United States from abroad with cargo on other CBP programs should contact the board must file CBP Form 1302, Inward CBP National Customer Service Center Cargo Declaration, or submit the at 877–227–5511, (TTY) 1–800–877– information on this form using a CBP- 8339, or CBP Web site at https:// approved electronic equivalent. CBP www.cbp.gov/. Form 1302 is part of the manifest SUPPLEMENTARY INFORMATION: CBP requirements for vessels entering the invites the general public and other United States and was agreed upon by
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treaty at the United Nations Inter- the United States. The ACAS pilot data duration, CBP must receive the vessel government Maritime Consultative is transmitted to CBP via a CBP- stow plan prior to arrival at the first port Organization (IMCO). This form and/or approved electronic data interchange in the U.S. The vessel stow plan is electronic equivalent, is provided for by system. Currently, the ACAS data provided for by 19 CFR 4.7c. 19 CFR 4.5, 4.7, 4.7a, 4.8, 4.33, 4.34, consists of: Vessel Stow Plan (Export): CBP began 4.38, 4.84, 4.85, 4.86, 4.91, 4.93 and 4.99 (1) Air waybill number a pilot in 2015 to electronically collect and is accessible at: http:// (2) Total quantity based on the smallest a vessel stow plan for vessels www.cbp.gov/sites/default/files/ external packing unit transporting goods from the United documents/CBP%20Form%20 (3) Total weight States, except for any vessels 1302_0.pdf. (4) Cargo description exclusively carrying bulk cargo. The CBP Form 1302A: The master or (5) Shipper name and address exporting carrier is required to commander of a vessel departing from (6) Consignee name and address electronically submit a vessel stow plan the United States must file CBP Form Electronic Air Export Manifest: CBP in advance. 1302A, Cargo Declaration Outward With began a pilot in 2015 to electronically Container Status Messages (CSMs): Commercial Forms, or CBP-approved collect air export manifest information. For all containers destined to arrive electronic equivalent, with copies of This information is transmitted to CBP within the limits of a U.S. port from a bills of lading or equivalent commercial in advance via ACE’s AES. foreign port by vessel, the incoming documents relating to all cargo CBP Form 7533: The master or person carrier must submit messages regarding encompassed by the manifest. This form in charge of a conveyance files CBP the status of events if the carrier creates and/or electronic equivalent, is Form 7533, Inward Cargo Manifest for or collects a container status message provided for by 19 CFR 4.62, 4.63, 4.75, Vessel Under Five Tons, Ferry, Train, (CSM) in its equipment tracking system 4.82, and 4.87–4.89 and is accessible at: Car, Vehicle, etc, which is required for reporting an event. CSMs must be http://www.cbp.gov/sites/default/files/ a vehicle or a vessel of less than 5 net transmitted to CBP via a CBP-approved documents/CBP%20Form%20 tons arriving in the United States from electronic data interchange system. 1302_0.pdf. Canada or Mexico, otherwise than by These messages transmit information Electronic Ocean Export Manifest: sea, with baggage or merchandise. regarding events such as the status of a CBP began a pilot in 2015 to Respondents may also submit the container (full or empty); booking a electronically collect ocean export information on this form using a CBP- container destined to arrive in the manifest information. This information approved electronic equivalent. CBP United States; loading or unloading a is transmitted to CBP in advance via the Form 7533, and/or electronic container from a vessel; and a container Automated Export System (AES) within equivalent, is provided for by 19 CFR arriving or departing the United States. the Automated Commercial 123.4, 123.7, 123.61, 123.91, and 123.92, CSMs are provided for by 19 CFR 4.7d. Environment (ACE). and is accessible at: http:// Importer Security Filing (ISF): For CBP Form 7509: The aircraft www.cbp.gov/sites/default/files/ most cargo arriving in the United States commander or agent must file Form documents/CBP%20Form%20 by vessel, the importer, or its authorized 7509, Air Cargo Manifest, with CBP at 7533_0.pdf. agent, must submit the data elements the departure airport, or respondents Electronic Rail Export Manifest: CBP listed in 19 CFR 149.3 via a CBP- may submit the information on this began a pilot in 2015 to electronically approved electronic interchange system form using a CBP-approved electronic collect the rail export manifest within prescribed time frames. equivalent. CBP Form 7509 contains information. This information is Transmission of these data elements information about the cargo onboard the transmitted to CBP in advance via ACE’s provide CBP with advance information aircraft. This form, and/or electronic AES. about the shipment. equivalent, is provided for by 19 CFR Manifest Confidentiality: An importer Current Actions: CBP is proposing 122.35, 122.48, 122.48a, 122.52, 122.54, or consignee (inward) or a shipper that this information collection be 122.73, 122.113, and 122.118, and is (outward) may request confidential extended with no change to the burden accessible at: http://www.cbp.gov/sites/ treatment of its name and address hours resulting from the proposed default/files/documents/ contained in manifests by following the revision to the information collection CBP%20Form%207509_0.pdf. procedure set forth in 19 CFR 103.31. associated with the Air Cargo Advance Air Cargo Advanced Screening: CBP Vessel Stow Plan (Import): For all Screening pilot, as there is no change to began a pilot in 2012 announced via a vessels transporting goods to the United the data being collected, only to the notice published in Federal Register on States, except for any vessel exclusively timing of the collection. There are no October 24, 2012 (77 FR 65006). The carrying bulk cargo, the incoming changes to the existing information ACAS pilot is a voluntary test in which carrier is required to electronically collections under this OMB approval. participants agree to submit a subset of submit a vessel stow plan no later than The burden hours are listed in the chart the required 19 CFR 122.48a data 48 hours after the vessel departs from below. elements at the earliest point practicable the last foreign port that includes Type of Review: Revision and prior to loading of the cargo onto the information about the vessel and cargo. Extension aircraft destined to or transiting through For voyages less than 48 hours in Affected Public: Businesses.
Number of Collection Total Number of responses per Total Time per burden hours respondents espondent responses response
Air Cargo Manifest (CBP Form 7509) ...... 366,600 215 6820.46 1,466,400 15 minutes. Air Cargo Advance Screening Pilot (ACAS) ...... Inward Cargo Manifest for Truck, Rail, Vehicles, Ves- 962,940 33,000 291.8 9,629,400 6 minutes. sels, etc. (CBP Form 7533). Inward Cargo Declaration (CBP Form 1302) ...... 1,500,000 10,000 300 3,000,000 30 minutes.
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Number of Collection Total Number of responses per Total Time per burden hours respondents espondent responses response
Cargo Declaration Outward With Commercial Forms 10,000 500 400 200,000 3 minutes. (CBP Form 1302A). Importer Security Filing ...... 17,739,000 240,000 33.75 8,100,000 2.19 hours. Vessel Stow Plan (Import) ...... 31,803 163 109 17,767 1.79 hours. Vessel Stow Plan (Export) ...... 31,803 163 109 17,767 1.79 hours. Container Status Messages ...... 23,996 60 4,285,000 257,100,000 0.0056 minutes. Request for Manifest Confidentiality ...... 1,260 5,040 1 5,040 15 minutes. Electronic Air Export Manifest ...... 121,711 260 5,640 1,466,400 5 minutes. Electronic Ocean Export Manifest ...... 5,000 500 400 200,000 1.5 minutes. Electronic Rail Export Manifest ...... 2,490 50 300 15,000 10 minutes.
Total ...... 20,796,603 289,996 ...... 281,217,774
Dated: July 28, 2017. unlawful aliens, instruments of Congress has called for the installation Seth Renkema, terrorism, narcotics, and other of additional fencing, barriers, roads, Branch Chief, Economic Impact Analysis contraband. Secure Fence Act of 2006, lighting, cameras, and sensors on the Branch, U.S. Customs and Border Protection. Public Law 109–367, 2, 120 Stat. 2638 southwest border. Finally, in section [FR Doc. 2017–16231 Filed 8–1–17; 8:45 am] (Oct. 26, 2006) (8 U.S.C. 1701 note). 102(c) of IIRIRA, Congress granted to the BILLING CODE 9111–14–P Consistent with that mandate from Secretary of Homeland Security the Congress, the President’s Executive authority to waive all legal requirements Order on Border Security and that I, in my sole discretion, determine DEPARTMENT OF HOMELAND Immigration Enforcement Improvements necessary to ensure the expeditious SECURITY directed executive departments and construction of barriers and roads agencies to deploy all lawful means to authorized by section 102 of IIRIRA. Office of the Secretary secure the southern border. Executive Order 13767, § 1. To achieve this end, Determination and Waiver Determination Pursuant to Section 102 the President directed, among other Section 1 of the Illegal Immigration Reform and things, that I take immediate steps to Immigrant Responsibility Act of 1996, prevent all unlawful entries into the The United States Border Patrol’s San as Amended United States, to include the immediate Diego Sector is one of the busiest construction of physical infrastructure Sectors in the Nation. For example, in AGENCY: Office of the Secretary, fiscal year 2016 alone, the United States Department of Homeland Security. to prevent illegal entry. Executive Order 13767, § 4(a). Border Patrol apprehended over 31,000 ACTION: Notice of determination. Congress has provided the Secretary illegal aliens and seized approximately 9,167 pounds of marijuana and SUMMARY: of Homeland Security with a number of The Secretary of Homeland approximately 1,317 pounds of cocaine Security has determined, pursuant to authorities necessary to carry out DHS’s border security mission, including the in the San Diego Sector. To be sure, the law, that it is necessary to waive certain construction of border infrastructure laws, regulations and other legal border security provisions described above. One of these authorities is found and other operational improvements requirements in order to ensure the have improved border security in the expeditious construction of barriers and at section 102 of the Illegal Immigration Reform and Immigrant Responsibility San Diego Sector; however, more work roads in the vicinity of the international needs to be done. The San Diego Sector land border of the United States near the Act of 1996 (‘‘IIRIRA’’). Public Law 104– 208, Div. C, 110 Stat. 3009–546, 3009– remains an area of high illegal entry for city of San Diego in the state of which there is an immediate need to California. 554 (Sept. 30, 1996) (8 U.S.C 1103 note), as amended by the REAL ID Act of 2005, construct additional border barriers and DATES: This determination takes effect Public Law 109–13, Div. B, 119 Stat. roads. on August 2, 2017. 231, 302, 306 (May 11, 2005) (8 U.S.C. To begin to meet the need for SUPPLEMENTARY INFORMATION: The 1103 note), as amended by the Secure additional border infrastructure within principal mission requirements of the Fence Act of 2006, Public Law 109–367, the San Diego Sector, DHS will Department of Homeland Security § 3, 120 Stat. 2638 (Oct. 26, 2006) (8 immediately implement various border (‘‘DHS’’) include border security and the U.S.C. 1103 note), as amended by the infrastructure projects. These projects detection and prevention of illegal entry Department of Homeland Security will focus on an approximately fifteen into the United States. Border security Appropriations Act, 2008, Public Law mile segment of the border within the is critical to the nation’s national 110–161, Div. E, Title V, § 564, 121 Stat. San Diego Sector that starts at the security. Recognizing the critical 2090 (Dec. 26, 2007). In section 102(a) Pacific Ocean and extends eastward. importance of border security, Congress of IIRIRA, Congress provided that the This approximately fifteen mile segment has ordered DHS to achieve and Secretary of Homeland Security shall of the border is referred to herein as the maintain operational control of the take such actions as may be necessary ‘‘Project Area’’ and is more specifically international land border. Secure Fence to install additional physical barriers described in Section 2 below. Act of 2006, Public Law 109–367, 2, 120 and roads (including the removal of All of the projects that DHS will Stat. 2638 (Oct. 26, 2006) (8 U.S.C. 1701 obstacles to detection of illegal entrants) undertake within the Project Area will note). Congress defined ‘‘operational in the vicinity of the United States further Border Patrol’s ability to deter control’’ as the prevention of all border to deter illegal crossings in areas and prevent illegal crossings. For unlawful entries into the United States, of high illegal entry into the United example, DHS will replace existing including entries by terrorists, other States. In section 102(b) of IIRIRA, primary fencing in the Project Area. The
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majority of the existing primary fence in supporting elements, drainage, erosion Wildlife Refuge System Improvement the Project Area was built in the early controls, and safety features) in the Act of 1997 (Pub. L. 105–57), National 1990s using a fence design that is no Project Area, the following statutes, Fish and Wildlife Act of 1956 (Pub. L. longer optimal for Border Patrol including all federal, state, or other 84–1024 (16 U.S.C. 742a, et seq.)), the operations. The new primary barrier laws, regulations and legal requirements Fish and Wildlife Coordination Act will use an operationally effective of, deriving from, or related to the (Pub. L. 73–121 (16 U.S.C. 661 et seq.)), design that is intended to meet Border subject of, the following statutes, as the Wild Horse and Burro Act (16 U.S.C. Patrol’s current requirements. DHS will amended: The National Environmental 1331 et seq.), an Act of Oct. 30, 2000, also build prototype border wall in the Policy Act (Pub. L. 91–190, 83 Stat. 852 Pub. L. 106–398, 1, 114 Stat. 1654 Project Area near the eastern terminus (Jan. 1, 1970) (42 U.S.C. 4321 et seq.)), (enacting into law § 2848 of Part II of of the existing secondary barrier. The the Endangered Species Act (Pub. L. 93– Subtitle D of Title XXVIII of Division B construction of border wall prototypes 205, 87 Stat. 884 (Dec. 28, 1973) (16 of H.R. 5408 (114 Stat. 1654A–426), as in the Project Area and the robust U.S.C. 1531 et seq.)), the Federal Water introduced on Oct. 6, 2000), the physical characteristics that are to be Pollution Control Act (commonly Administrative Procedure Act (5 U.S.C. incorporated into the border wall referred to as the Clean Water Act (33 551 et seq.), the Otay Mountain prototypes are intended to deter illegal U.S.C. 1251 et seq.)), the National Wilderness Act of 1999 (Pub. L. 106– crossings. In addition to deterring illegal Historic Preservation Act (Pub. L. 89– 145), sections 102(29) and 103 of Title crossings in the Project Area, DHS will 665, 80 Stat. 915 (Oct. 15, 1966), as I of the California Desert Protection Act use the border wall prototypes to amended, repealed, or replaced by Pub. (Pub. L. 103–433), the Rivers and evaluate various design features for L. 113–287 (Dec. 19, 2014) (formerly Harbors Act of 1899 (33 U.S.C. 403), the potential inclusion in a border wall codified at 16 U.S.C. 470 et seq., now Eagle Protection Act (16 U.S.C. 668 et standard that will be developed by the codified at 54 U.S.C. 100101 note and seq.), the Native American Graves Government and utilized as a part of 54 U.S.C. 300101 et seq.)), the Migratory Protection and Repatriation Act (25 border wall construction going forward. Bird Treaty Act (16 U.S.C. 703 et seq.), U.S.C. 3001 et seq.), the American Importantly, construction of the border the Migratory Bird Conservation Act (16 Indian Religious Freedom Act (42 U.S.C. wall prototypes in the Project Area also U.S.C. 715 et seq.), the Clean Air Act (42 1996), and the Religious Freedom means that DHS can evaluate various U.S.C. 7401 et seq.), the Archeological Restoration Act (42 U.S.C. 2000bb). design features in the border Resources Protection Act (Pub. L. 96–95 This waiver does not repeal the environment under actual operational (16 U.S.C. 470aa et seq.)), the previous waiver published in the conditions. As such, the construction of Paleontological Resources Preservation Federal Register on September 22, 2005 border wall prototypes will not only Act (16 U.S.C. 470aaa et seq.), the (70 FR 55622). deter illegal entry in the Project Area, Federal Cave Resources Protection Act I reserve the authority to make further but evaluation of the border wall of 1988 (16 U.S.C. 4301 et seq.), the waivers from time to time as I may prototypes is also critical to and National Trails System Act (16 U.S.C. determine to be necessary under section necessary for future border wall design 1241 et seq.), the Safe Drinking Water 102 of IIRIRA, as amended. and construction. Act (42 U.S.C. 300f et seq.), the Noise Dated: July 26, 2017. Section 2 Control Act (42 U.S.C. 4901 et seq.), the John F. Kelly, I determine that the following area in Solid Waste Disposal Act, as amended Secretary of Homeland Security. by the Resource Conservation and the vicinity of the United States border, [FR Doc. 2017–16260 Filed 8–1–17; 8:45 am] Recovery Act (42 U.S.C. 6901 et seq.), located in the state of California within BILLING CODE 9111–14–P the United States Border Patrol’s San the Comprehensive Environmental Diego Sector, which is referred to herein Response, Compensation, and Liability as the Project Area, is an area of high Act (42 U.S.C. 9601 et seq.), the DEPARTMENT OF HOMELAND illegal entry: Starting at the Pacific Archaeological and Historic SECURITY Ocean and extending to approximately Preservation Act (Pub. L. 86–523, as one mile east of Border Monument 251. amended, repealed, or replaced by Pub. U.S. Citizenship and Immigration There is presently a need to construct L. 113–287 (Dec. 19, 2014) (formerly Services physical barriers and roads, including codified at 16 U.S.C. 469 et seq., now the infrastructure projects described in codified at 54 U.S.C. 312502 et seq.)), [OMB Control Number 1615–0044] Section 1, in the vicinity of the border the Antiquities Act (formerly codified at Agency Information Collection of the United States to deter illegal 16 U.S.C. 431 et seq., now codified 54 Activities; Extension, Without Change, crossings in the Project Area. In order to U.S.C. 320301 et seq.), the Historic of a Currently Approved Collection: ensure the expeditious construction of Sites, Buildings, and Antiquities Act Application for Action on an Approved the barriers and roads in the Project (formerly codified at 16 U.S.C. 461 et Application or Petition Area, I have determined that it is seq., now codified at 54 U.S.C. 3201– necessary that I exercise the authority 320303 & 320101–320106), the Wild and AGENCY: U.S. Citizenship and that is vested in me by section 102(c) of Scenic Rivers Act (Pub. L. 90–542 (16 Immigration Services, Department of IIRIRA as amended. U.S.C. 1281 et seq.)), the Farmland Homeland Security. Accordingly, pursuant to section Protection Policy Act (7 U.S.C. 4201 et ACTION: 30-Day notice. 102(c) of IIRIRA, I hereby waive in their seq.), the Coastal Zone Management Act entirety, with respect to the (Pub. L. 92–583 (16 U.S.C. 1451 et seq.)), SUMMARY: The Department of Homeland construction of roads and physical the Wilderness Act (Pub. L. 88–577 (16 Security (DHS), U.S. Citizenship and barriers (including, but not limited to, U.S.C. 1131 et seq.)), the Federal Land Immigration Services (USCIS) will be accessing the Project Area, creating and Policy and Management Act (Pub. L. submitting the following information using staging areas, the conduct of 94–579 (43 U.S.C. 1701 et seq.)), the collection request to the Office of earthwork, excavation, fill, and site National Wildlife Refuge System Management and Budget (OMB) for preparation, and installation and Administration Act (Pub. L. 89–669 (16 review and clearance in accordance upkeep of physical barriers, roads, U.S.C. 668dd–668ee)), the National with the Paperwork Reduction Act of
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1995. The purpose of this notice is to address one or more of the following Dated: July 28, 2017. allow an additional 30 days for public four points: Samantha Deshommes, comments. (1) Evaluate whether the proposed Chief, Regulatory Coordination Division, DATES: The purpose of this notice is to collection of information is necessary Office of Policy and Strategy, U.S. Citizenship allow an additional 30 days for public and Immigration Services, Department of for the proper performance of the Homeland Security. comments. Comments are encouraged functions of the agency, including [FR Doc. 2017–16241 Filed 8–1–17; 8:45 am] and will be accepted until September 1, whether the information will have 2017. This process is conducted in practical utility; BILLING CODE 9111–97–P accordance with 5 CFR 1320.10. (2) Evaluate the accuracy of the ADDRESSES: Written comments and/or agency’s estimate of the burden of the DEPARTMENT OF THE INTERIOR suggestions regarding the item(s) proposed collection of information, contained in this notice, especially including the validity of the Fish and Wildlife Service regarding the estimated public burden methodology and assumptions used; and associated response time, must be [FWS–R8–ES–2017–0034; FF08ESMF00– directed to the OMB USCIS Desk Officer (3) Enhance the quality, utility, and FXES11140800000–178] via email at dhsdeskofficer@ clarity of the information to be omb.eop.gov. Comments may also be collected; and Lost Hills Solar Project, Kern County, submitted via fax at (202) 395–5806. (4) Minimize the burden of the California; Draft Environmental (This is not a toll-free number.) All collection of information on those who Assessment and Draft Habitat submissions received must include the are to respond, including through the Conservation Plan agency name and the OMB Control use of appropriate automated, AGENCY: Fish and Wildlife Service, Number 1615–0044. electronic, mechanical, or other Interior. You may wish to consider limiting the technological collection techniques or ACTION: Notice of availability; request amount of personal information that you other forms of information technology, for comment. provide in any voluntary submission e.g., permitting electronic submission of you make. For additional information responses. SUMMARY: We, the U.S. Fish and please read the Privacy Act notice that Wildlife Service, announce the Overview of This Information is available via the link in the footer of availability of a draft environmental Collection http://www.regulations.gov. assessment (draft EA) under the FOR FURTHER INFORMATION CONTACT: (1) Type of Information Collection National Environmental Policy Act of USCIS, Office of Policy and Strategy, Request: Extension, Without Change, of 1969, as amended. We also announce Regulatory Coordination Division, a Currently Approved Collection. receipt of an application for an incidental take permit under the Samantha Deshommes, Chief, 20 (2) Title of the Form/Collection: Endangered Species Act of 1973, as Massachusetts Avenue NW., Application for Action on an Approved Washington, DC 20529–2140, amended, and receipt of a draft habitat Application or Petition. Telephone number (202) 272–8377 conservation plan (draft HCP). CED Lost (This is not a toll-free number; (3) Agency form number, if any, and Hills Solar, LLC has applied for an comments are not accepted via the applicable component of the DHS incidental take permit under the telephone message.). Please note contact sponsoring the collection: I–824; USCIS. Endangered Species Act for the Lost information provided here is solely for (4) Affected public who will be asked Hills Solar Project in Kern County, questions regarding this notice. It is not or required to respond, as well as a brief California. The permit would authorize for individual case status inquiries. abstract: Primary: Individuals or the take of the federally endangered San Applicants seeking information about households. Form I–824 is used to Joaquin kit fox incidental to the the status of their individual cases can request a duplicate approval notice, or construction, operation and check Case Status Online, available at to notify the U.S. Consulate that a maintenance, and decommissioning of the USCIS Web site at http:// petition has been approved or that a the solar project. Application for the www.uscis.gov, or call the USCIS person has been adjusted to permanent permit requires the preparation of an National Customer Service Center at resident status. HCP with measures to avoid, minimize, (800) 375–5283; TTY (800) 767–1833. and mitigate the impacts of incidental (5) An estimate of the total number of SUPPLEMENTARY INFORMATION: take to the maximum extent practicable. respondents and the amount of time The purpose of the EA is to assess the Comments estimated for an average respondent to effects of issuing the permit and respond: The estimated total number of The information collection notice was implementing the draft HCP on the respondents for the information natural and human environment. previously published in the Federal collection is 10,888 and the estimated DATES: To ensure consideration, written Register on April 28, 2017 at 82 FR hour burden per response is .42 hours comments must be received by 19748, allowing for a 60-day public (25 minutes). comment period. USCIS did not receive September 1, 2017. (6) An estimate of the total public any comment in connection with the 60- ADDRESSES: Document Availability: The day notice. burden (in hours) associated with the draft HCP and draft EA are available via You may access the information collection: The total estimated annual the internet at the Federal eRulemaking collection instrument with instructions, hour burden associated with this Portal (www.regulations.gov) in Docket or additional information by visiting the collection is 4,572 hours. No. FWS–R8–ES–2017–0034. Federal eRulemaking Portal site at: (7) An estimate of the total public Alternatively, you may obtain electronic http://www.regulations.gov and enter burden (in cost) associated with the copies of the draft HCP and draft EA USCIS–2007–0012 in the search box. collection: The estimated total annual from the Sacramento Fish and Wildlife Written comments and suggestions from cost burden associated with this Office Web site at http://www.fws.gov/ the public and affected agencies should collection of information is $1,333,780. sacramento. Copies of these documents
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are also available for public inspection, plan (HCP) program, go to http:// No-Action Alternative by appointment, during regular business www.fws.gov/endangered/esa-library/ Under the No-Action Alternative, the hours, at the Sacramento Fish and pdf/hcp.pdf. Service would not issue an ITP to the Wildlife Office, 2800 Cottage Way, W– National Environmental Policy Act applicant, and the draft HCP would not 2605, Sacramento, CA 95825; 916–414– Compliance be implemented. Under this alternative, 6600 (telephone). the applicant would not construct the Submitting Comments: To send The proposed permit issuance triggers proposed solar project. written comments, please use one of the the need for compliance with NEPA. following methods, and note that your The draft EA was prepared to analyze Public Comments information requests or comments are in the impacts of issuing an ITP based on We request data, comments, new reference to the draft HCP. Please the draft HCP and to inform the public information, or suggestions from the specify whether your comment of the proposed action, any alternatives, public, other concerned governmental addresses the draft EA, draft HCP, or and associated impacts, and to disclose agencies, the scientific community, both. any irreversible commitments of • Tribes, industry, or any other interested Internet: Submit comments at resources. party on this notice, the draft EA, and http://www.regulations.gov under For the purposes of NEPA, the the draft HCP. We particularly seek Docket No. FWS–R8–ES–2017–0034. Proposed Action Alternative presented • comments on the following: U.S. Mail or Hand-Delivery: Public in the Draft EA is compared to the No- 1. Biological information concerning Comments Processing, Attn: FWS–R4– Action Alternative. The No-Action the species; ES–2017–0034, U.S. Fish and Wildlife Alternative represents estimated future 2. Relevant data concerning the Service, MS: BPHC, 5275 Leesburg Pike, conditions to which the Proposed species; Falls Church, VA 22041–3803. Action’s estimated future conditions can 3. Additional information concerning FOR FURTHER INFORMATION CONTACT: be compared. the range, distribution, population size, Justin Sloan, Senior Wildlife Biologist, Proposed Action Alternative and population trends of the species; San Joaquin Valley Division; or Patricia 4. Current or planned activities in the Cole, Chief, San Joaquin Valley The Service would issue an ITP to the area and their possible impacts on the Division, at the Sacramento Fish and applicants for a period of 45 years for species; Wildlife Office address (see Document certain covered activities (described 5. The presence of archeological sites, Availability in ADDRESSES) or at 916– below). The applicant has requested an buildings and structures, historic 414–6600 (telephone). If you use a ITP for one covered species (described events, sacred and traditional areas, and telecommunications device for the deaf, below), currently listed as endangered other historic preservation concerns, please call the Federal Relay Service at under the Act. which are required to be considered in (800) 877–8339. Habitat Conservation Plan Area project planning by the National SUPPLEMENTARY INFORMATION: We, the Historic Preservation Act; and U.S. Fish and Wildlife Service (Service), The geographic scope of the draft HCP 6. Any other environmental issues announce the availability of a draft encompasses 540 acres, including a 477- that should be considered with regard to environmental assessment (EA), acre parcel, along with a 500-foot buffer the proposed development and permit prepared pursuant to the National around the northern part of the parcel action. Environmental Policy Act of 1969, as within which monitoring activities amended (42 U.S.C. 4321 et seq.; would take place. The project will Public Availability of Comments NEPA), and its implementing occupy approximately 160 acres of the Before including your address, phone regulations in the Code of Federal habitat conservation plan (HCP) area, number, or other personal identifying Regulations (CFR) at 40 CFR 1506.6. with 133 acres disturbed during project information in your comment, you This notice also announces the receipt construction. should be aware that your entire of an application from CED Lost Hills Covered Activities comment—including your personal Solar, LLC (applicant), for a 45-year identifying information—might be made incidental take permit (ITP) under the The proposed section 10 ITP would publicly available at any time. While Endangered Species Act of 1973, as allow take of one covered species you can ask us in your comment to amended (16 U.S.C. 1531 et seq.; Act). resulting from certain covered activities withhold your personal identifying The applicant prepared the draft Lost in the proposed HCP area. The applicant information from public review, we Hills Solar Project Habitat Conservation is requesting incidental take cannot guarantee that we will be able to Plan (draft HCP) pursuant to section authorization for this covered species do so. 10(a)(1)(B) of the Act. The applicant is that could be affected by activities Next Steps requesting the authorization of identified in the draft HCP. The draft incidental take for one covered species HCP covers construction, operations Issuance of an incidental take permit that could result from activities covered and maintenance, and decommissioning is a Federal proposed action subject to under the draft HCP. of the solar site (collectively, covered compliance with NEPA. We will activities). evaluate the application, associated Background Information documents, and any public comments Covered Species Section 9 of the Act (16 U.S.C. 1531– we receive as part of our NEPA 1544 et seq.) and Federal regulations (50 The San Joaquin kit fox (Vulpes compliance process and to determine CFR 17) prohibit the taking of fish and macrotis mutica) is the species whether the application meets the wildlife species listed as endangered or addressed in the draft HCP for which requirements of section 10(a) of the Act. threatened under section 4 of the Act. conservation actions will be If, subsequent to our NEPA compliance Regulations governing permits for implemented and for which the process, we determine that those endangered and threatened species are applicant is seeking an ITP for a period requirements are met, we will issue a at 50 CFR 17.22 and 17.32. For more of 45 years. The San Joaquin kit fox is permit to the applicant for the about the Federal habitat conservation listed as endangered under the Act. incidental take of the covered species.
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Authority species that could result from the Ventura Fish and Wildlife Office to We publish this notice under the activities covered under the GCP. The address prospective activities that may National Environmental Policy Act of GCP would include conservation be covered by the GCP. We also are 1969, as amended (42 U.S.C. 4321–4347 measures for an endangered plant announcing the initiation of a public et seq.), and its implementing species that would also be covered scoping process to engage Federal, tribal, state, and local governments and regulations at 40 CFR 1500–1508, as under the plan. We also are announcing the public in the identification of issues well as in compliance with section 10(c) the initiation of a public scoping and concerns, potential impacts, and of the Endangered Species Act (16 process to engage Federal, tribal, State, possible alternatives to the proposed U.S.C. 1531–1544 et seq.) and its and local governments and the public in action. The decision to prepare a draft implementing regulations at 40 CFR the identification of issues and environmental analysis/document will 17.22. concerns, potential impacts, and possible alternatives to the proposed be, in part, contingent on the Dated: July 26, 2017. action. The Service is inviting input complexity of issues identified during, Jennifer Norris, regarding development of a draft and following, the scoping phase of the Field Supervisor, Sacramento Fish and environmental analysis/document, NEPA process. Wildlife Office, U.S. Fish and Wildlife Service, which will evaluate the impacts to the Background Sacramento, California. human environment associated with [FR Doc. 2017–16251 Filed 8–1–17; 8:45 am] issuance of ITPs and implementation of Section 9 of the ESA and its BILLING CODE 4333–15–P the GCP and alternatives. implementing regulations prohibit ‘‘take’’ of fish and wildlife species listed DATES: In order to be included in the as endangered or threatened (16 U.S.C. analysis, all comments must be received 1531–1544). Under section 3 of the ESA, DEPARTMENT OF THE INTERIOR or postmarked on or before September 1, the term ‘‘take’’ means to harass, harm, 2017. Fish and Wildlife Service pursue, hunt, shoot, wound, kill, trap, ADDRESSES: Please provide comments in [FWS–R8–ES–2017–N078; capture, or collect, or to attempt to writing, by one of the following engage in any such conduct (16 U.S.C. FXES11140800000–178–FF08EVEN00] methods: • _ 1532(19)). The term ‘‘harm’’ is further Email: rachel [email protected]; defined by regulation as an act that General Conservation Plan for Oil and • Facsimile: 805–644–3958, Attn: actually kills or injures wildlife. Such Gas Activities in Santa Barbara VFWO GCP; or County, California; Notice of Intent To • U.S. mail: Field Supervisor, act may include significant habitat Prepare a Draft Environmental Ventura Fish and Wildlife Office, U.S. modification or degradation where it Analysis/Document; Initiation of Public Fish and Wildlife Service, 2493 Portola actually kills or injures wildlife by significantly impairing essential Scoping Process Road, Suite B, Ventura, CA 93101. behavioral patterns, including breeding, Please specify that your information AGENCY: Fish and Wildlife Service, feeding, or sheltering (50 CFR 17.3). The request or comments concern the VFWO Interior. term ‘‘harass’’ is also further defined in GCP. ACTION: Notice of intent; request for the regulations as an intentional or comments. FOR FURTHER INFORMATION CONTACT: negligent act or omission that creates Rachel Henry, by U.S. mail (see the likelihood of injury to wildlife by SUMMARY: We, the U.S. Fish and ADDRESSES), or by phone at 805–677– annoying it to such an extent as to Wildlife Service (Service), announce our 3312. If you use a telecommunications significantly disrupt normal behavioral intent to prepare a draft environmental device for the deaf (TDD), please call the patterns, which include, but are not analysis/document under the National Federal Information Relay Service at limited to, breeding, feeding, or Environmental Policy Act, as amended 800–877– 8339. sheltering (50 CFR 17.3). (NEPA), for the proposed issuance of an SUPPLEMENTARY INFORMATION: We, the Under section 10(a)(1)(B) of the Act, incidental take permit (ITP) under U.S. Fish and Wildlife Service (Service), the Secretary of the Interior may section 10(a)(1)(B) of the Endangered intend to prepare either a draft authorize the taking of federally listed Species Act of 1973, as amended (ESA), environmental analysis/document wildlife species if such taking occurs for the draft General Conservation Plan under the National Environmental incidental to otherwise legal activities for Oil and Gas Activities in Santa Policy Act, as amended (42 U.S.C. 4321 and where a conservation plan has been Barbara County (GCP). The GCP is being et seq.; NEPA), for the proposed General developed under section 10(a)(2)(A) that developed to streamline environmental Conservation Plan for Oil and Gas describes: (1) The impact that will likely permitting and compliance with the Activities in Santa Barbara County result from such taking; (2) the steps an ESA for proponents engaged in (GCP). The GCP is a conservation plan applicant will take to minimize and geophysical exploration (seismic), as required under the Endangered mitigate that take to the maximum development, extraction, storage, Species Act of 1973, as amended (16 extent practicable and the funding that transport, remediation, and/or U.S.C. 1539(c); ESA), for issuance of a will be available to implement such distribution of crude oil, natural gas, 10(a)(1)(B) incidental take permit (ITP). steps; (3) the alternative actions to such and/or other petroleum products, and Participation in the GCP and making an taking that an applicant considered and construction, maintenance, operation, application for take authorization are the reasons why such alternatives are repair, and decommissioning of oil and voluntary. The proposed ITP would not being utilized; and (4) other gas pipelines and well field authorize the incidental take of measures that the Service may require infrastructure. The GCP is a threatened and endangered wildlife as being necessary or appropriate for the conservation plan as required under the species that could result from the purposes of the plan. Issuance criteria ESA for issuance of incidental take activities covered under the GCP, and under section 10(a)(2)(B) for an permits. Participation in the GCP would would include conservation measures incidental take permit require the be voluntary. ITP holders would be for an endangered plant species that Service to find that: (1) The taking will authorized for incidental take of also would be covered under the ITP. be incidental to otherwise lawful threatened and endangered wildlife The GCP is being prepared by the activities; (2) an applicant will, to the
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maximum extent practicable, minimize associated with activities including, but Dated: July 26, 2017. and mitigate the impacts of such taking; not limited to, geophysical exploration Stephen P. Henry, (3) an applicant has ensured that (seismic), development, extraction, Field Supervisor, Pacific Southwest Region, adequate funding for the plan will be storage, transport, remediation, and/or U.S. Fish and Wildlife Service. provided; (4) the taking will not distribution of crude oil, natural gas, [FR Doc. 2017–16249 Filed 8–1–17; 8:45 am] appreciably reduce the likelihood of the and/or other petroleum products, and BILLING CODE 4333–15–P survival and recovery of the species in construction, maintenance, operation, the wild; and (5) the measures, if any, repair, and decommissioning of oil and we require as necessary or appropriate gas pipelines and well field DEPARTMENT OF THE INTERIOR for the purposes of the plan will be met. infrastructure. The proposed permits Regulations governing permits for would provide coverage for a period of Bureau of Indian Affairs endangered and threatened species are the specified lifetime of each individual [178A2100DD/AAKC001030/ at 50 CFR 17.22 and 17.32, respectively. project permitted under the GCP. This A0A501010.999900 253G] Public Scoping proposed plan would not circumvent the need for project compliance with Indian Gaming; Approval of a Tribal- A primary purpose of the scoping other permit requirements for oil and State Class III Gaming Compact in the process is to receive suggestions and gas projects or other required approval State of South Dakota information on the scope of issues and processes that may include county alternatives to consider when drafting AGENCY: Bureau of Indian Affairs, hearings and local approval. The species the environmental analysis/document, Interior. and to identify significant issues and covered under the requested incidental ACTION: Notice. reasonable alternatives related to the take permit are the California tiger SUMMARY: Service’s proposed action (issuance of salamander (Ambystoma californiense), The Crow Creek Sioux Tribe ITPs under the GCP). In order to ensure California red-legged frog (Rana of the Crow Creek Reservation and the that we identify a range of issues and draytonii), and the Lompoc yerba santa State of South Dakota entered into a alternatives related to the proposed (Eriodictyon capitatum). compact superseding an existing Tribal- State compact governing Class III action, we invite comments and Other Alternatives suggestions from all interested parties. gaming; this notice announces approval We will conduct a review of this project We seek information regarding other of the Proposed Gaming Compact according to the requirements of NEPA reasonable alternatives during this Between the Crow Creek Sioux Tribe of and its regulations, other relevant scoping period and will evaluate the the Crow Creek Reservation and the Federal laws, regulations, policies, and impacts associated with such State of South Dakota governing Class III guidance, and our procedures for alternatives in the draft environmental gaming. compliance with applicable regulations. analysis/document. DATES: This notice is applicable as of Once the draft environmental analysis/ August 2, 2017. document and draft GCP are prepared, Public Availability of Comments FOR FURTHER INFORMATION CONTACT: Ms. Paula L. Hart, Director, Office of Indian we will offer further opportunities for Written comments we receive become Gaming, Office of the Assistant public comment on the content of the part of the public record associated with Secretary—Indian Affairs, Washington, NEPA document and the GCP through this action. Before including your DC 20240, (202) 219–4066. an appropriate public comment period. address, phone number, email address, SUPPLEMENTARY INFORMATION: Proposed Action or other personal identifying Section 11 of the Indian Gaming Regulatory Act The proposed action is issuance of an information in your comment, you should be aware that the entire (IGRA) requires the Secretary of the incidental take permit for the covered Interior (Secretary) to publish in the species to proponents engaged in comment—including your personal identifying information—may be made Federal Register notice of approved geophysical exploration (seismic), Tribal-State compacts that are for the development, extraction, storage, publicly available at any time. While you can ask us in your comment to purpose of engaging in Class III gaming transport, remediation, and/or activities on Indian lands. See Public distribution of crude oil, natural gas, withhold your personal identifying information from public review, we Law 100–497, 25 U.S.C. 2701 et seq. All and/or other petroleum products, and Tribal-State Class III compacts, construction, maintenance, operation, cannot guarantee that we will be able to do so. Comments and materials we including amendments, are subject to repair, and decommissioning of oil and review and approval by the Secretary gas pipelines and well field receive, as well as supporting documentation we use in preparing the under 25 CFR 293.4. The Compact infrastructure. The proposed GCP, increases the number of permissible slot which must meet the requirements in draft environmental analysis/document, will be available for public inspection, machines from 250 to 500, permits the section 10(a)(2)(A) of the Act, would be Tribe to operate Class III gaming at a developed by the Service and by appointment, during normal business hours at the Service’s Ventura Fish and second location, and increases wager implemented by proponents that are limits. The initial duration of the issued ITPs under the plan. This will Wildlife Office in Ventura, California (see ADDRESSES, above). Compact is 10 years with automatic allow for a comprehensive mitigation renewals every 10 years thereafter approach for authorized impacts, which Authority unless the agreement is terminated by will result in more effective the Tribe and the State. The Compact is conservation, while at the same time We publish this notice in compliance approved. See 25 U.S.C. 2710(d)(8)(A). providing a more efficient mechanism with the NEPA and its implementing for permit processing for the Service regulations (40 CFR 1501.7, 1506.6, and Dated: June 26, 2017. and proponents. 1508.22), the Department of the Michael S. Black, Actions covered under the requested Interior’s NEPA implementing Acting Assistant Secretary—Indian Affairs. incidental take permit may include regulations at 43 CFR 46.235, and [FR Doc. 2017–16215 Filed 8–1–17; 8:45 am] possible take of covered species section 10(c) of the ESA. BILLING CODE 4337–15–P
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DEPARTMENT OF THE INTERIOR LOUISIANA ARIZONA St. Tammany Parish Pinal County National Park Service Bogue Falaya Park, 213 Park Dr., Covington, Evergreen Addition Historic District SG100001483 (Additional Documentation), Generally [NPS–WASO–NRNHL–23748; bounded by McMurray Blvd., Gilbert Ave., PPWOCRADI0, PCU00RP14.R50000] NEW YORK Florence Blvd., and Casa Grande Ave., Casa Grande, AD08001346 National Register of Historic Places; Cayuga County Notification of Pending Nominations West High School, 217 Genesee St., Auburn, VIRGINIA and Related Actions SG100001484 Danville Independent city Monroe County Danville Historic District (Additional AGENCY: National Park Service, Interior. Potter Historic District, 1–60 Potter Place, 53, Documentation), Roughly bounded by ACTION: Notice. 73 & 69 W. Church St., Fairport, Main, Green, and Paxton Sts., and SG100001485 Memorial Hospital, Danville (Independent SUMMARY: The National Park Service is City), AD73002207 Nassau County soliciting comments on the significance Southampton County Kellogg, George Sumner, House, 960 Merrick of properties nominated before July 8, Vaughan, Rebecca, House (Additional Rd., Baldwin, SG100001486 2017, for listing or related actions in the Documentation), 26315 Heritage Ln., National Register of Historic Places. New York County Courtland, AD06000162 DATES: Comments should be submitted Congregation Ohab Zedek, 118–120 & 122– Nominations submitted by Federal by August 17, 2017. 124 W. 95th St., New York, SG100001487 Preservation Officers: The State Historic Preservation ADDRESSES: Comments may be sent via Onondaga County Officer reviewed the following U.S. Postal Service and all other carriers Dunne, Morgan, House, (Architecture of nomination and responded to the to the National Register of Historic Ward Wellington Ward in Syracuse MPS), Federal Preservation Officer within 45 Places, National Park Service, 1849 C St. 464 Allen St., Syracuse, MP100001488 days of receipt of the nomination and NW., MS 7228, Washington, DC 20240. Saratoga County supports listing the property in the SUPPLEMENTARY INFORMATION: The International Paper Administration Building National Register of Historic Places. properties listed in this notice are being and Time Office, 17 Pine St., Corinth, DISTRICT OF COLUMBIA considered for listing or related actions SG100001489 in the National Register of Historic District of Columbia Suffolk County Places. Nominations for their U.S. Department of State Building, 2201 C St. consideration were received by the Bates, Charles and Anna, House, 126 Center NW., Washington, SG100001481 St., Greenport, SG100001490 National Park Service before July 8, Authority: 60.13 of 36 CFR part 60. 2017. Pursuant to section 60.13 of 36 Second and Ostrander Historic District, Various, Riverhead, SG100001491 CFR part 60, written comments are Dated: July 13, 2017. Swan River Schoolhouse, 31 Roe Ave., East J. Paul Loether, being accepted concerning the Patchogue, SG100001492 significance of the nominated properties Chief, National Register of Historic Places/ under the National Register criteria for OHIO National Historic Landmarks Program and Keeper, National Register of Historic Places. evaluation. Hamilton County [FR Doc. 2017–16201 Filed 8–1–17; 8:45 am] Before including your address, phone Terrace Plaza Hotel, 15 W. 6th St., Cincinatti, number, email address, or other SG100001493 BILLING CODE 4312–52–P personal identifying information in your comment, you should be aware that VIRGINIA your entire comment—including your Bath County INTERNATIONAL TRADE COMMISSION personal identifying information—may Wilderness, The, 13954 Deerfield Rd., be made publicly available at any time. Deerfield vicinity, SG100001494 [USITC SE–17–034] While you can ask us in your comment to withhold your personal identifying Buckingham County Government in the Sunshine Act information from public review, we Alexander Hill Baptist Church, 1171 Meeting Notice cannot guarantee that we will be able to Jerusalem Church Rd., Buckingham do so. vicinity, SG100001495 AGENCY HOLDING THE MEETING: United Nominations submitted by State Loudoun County States International Trade Commission. Historic Preservation Officers: Llangollen, 21515 Trappe Rd., Upperville, TIME AND DATE: August 10, 2017 at 11:00 a.m. ALABAMA SG100001497 PLACE: Room 101, 500 E Street SW., Orange County Perry County Washington, DC 20436, Telephone: Lincoln Normal School, 205 Lincoln St., Old Manse, 171 Landon Ln., Orange, (202) 205–2000. SG100001498 Marion, SG100001479 STATUS: Open to the public. IOWA WISCONSIN MATTERS TO BE CONSIDERED: Winneshiek County Fond Du Lac County 1. Agendas for future meetings: None 2. Minutes Decorah Commercial Historic District, St. Joseph’s School, 95 E. 2nd St., Fond du (Iowa’s Main Street Commercial Lac, SG100001500 3. Ratification List Architecture MPS), Blks. 500–100 W. 4. Vote in Inv. Nos. 731–TA–1378 and Water, 100–200 E. Water, 100 Washington, An additional documentation has 1379 (Preliminary) (Low Melt 100 Winnebago, parts of W. Main, Court & been received for the following Polyester Staple Fiber from Korea W. Day Spring, Decorah, MP100001482 resources: and Taiwan). The Commission is
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currently scheduled to complete INTERNATIONAL TRADE 8,307,180. The notice of investigation and file its determinations on COMMISSION named the following respondents: SanDisk LLC of Milpitas, California; August 11, 2017; views of the [Investigation No. 337–TA–1034] Commission are currently Western Digital Corporation of Irvine, scheduled to be completed and Certain Flash Memory Devices and California; Western Digital filed on August 18, 2017. Components Thereof; Notice of Technologies, Inc. of Milpitas, California; SanDisk Limited of 5. Outstanding action jackets: None Commission Determination Not To Review and Initial Determination Yokohama, Japan; SanDisk Storage In accordance with Commission Granting a Joint Motion To Terminate Malaysia Sdn. Bhd. of Perai, Malaysia; policy, subject matter listed above, not the Investigation in Its Entirety Based and SanDisk SemiConductor (Shanghai) disposed of at the scheduled meeting, Upon Settlement; Termination of the Co., Ltd., of Shanghai, China may be carried over to the agenda of the Investigation (collectively ‘‘SanDisk’’). The Office of following meeting. Unfair Import Investigations is AGENCY: U.S. International Trade participating in the investigation. By order of the Commission. Commission. On June 22, 2017, Memory Tech. and Issued: July 27, 2017. ACTION: Notice. SanDisk filed a joint motion to William R. Bishop, terminate the investigation in its Supervisory Hearings and Information SUMMARY: Notice is hereby given that entirety based upon settlement. On June Officer. the U.S. International Trade 27, 2017, the Commission investigative [FR Doc. 2017–16367 Filed 7–31–17; 4:15 pm] Commission has determined not to attorney filed a response in support of review the presiding administrative law BILLING CODE 7020–02–P the motion. judge’s (‘‘ALJ’’) initial determination On July 13, 2017, the ALJ issued the (‘‘ID’’) (Order No. 22) granting a joint subject ID, granting the joint motion to INTERNATIONAL TRADE motion to terminate the investigation in terminate the investigation in its COMMISSION its entirety based upon settlement. entirety based upon settlement. The ALJ FOR FURTHER INFORMATION CONTACT: found that the joint motion complied with the requirements of Commission [USITC SE–17–033] Panyin A Hughes, Office of the General Counsel, U.S. International Trade Rule 210.21(b)(1) (19 CFR 210.21(b)(1)) Government in the Sunshine Act Commission, 500 E Street SW., and that the parties provided Meeting Notice Washington, DC 20436, telephone (202) confidential and public copies of the 205–3042. Copies of non-confidential settlement agreement. The ALJ further documents filed in connection with this found that terminating the investigation AGENCY HOLDING THE MEETING: United investigation are or will be available for would not be contrary to the public States International Trade Commission. inspection during official business interest. TIME AND DATE: August 8, 2017 at 9:30 hours (8:45 a.m. to 5:15 p.m.) in the The Commission has determined not a.m. Office of the Secretary, U.S. to review the ID. International Trade Commission, 500 E The authority for the Commission’s PLACE: Room 101, 500 E Street SW., Street SW., Washington, DC 20436, determination is contained in section Washington, DC 20436, Telephone: telephone (202) 205–2000. General 337 of the Tariff Act of 1930, as (202) 205–2000. information concerning the Commission amended (19 U.S.C. 1337), and in Part STATUS: Open to the public. may also be obtained by accessing its 210 of the Commission’s Rules of Internet server at https://www.usitc.gov. Practice and Procedure (19 CFR part MATTERS TO BE CONSIDERED: The public record for this investigation 210). 1. Agendas for future meetings: None may be viewed on the Commission’s By order of the Commission. 2. Minutes electronic docket (EDIS) at https:// Issued: July 27, 2017. edis.usitc.gov. Hearing-impaired 3. Ratification List Lisa R. Barton, persons are advised that information on Secretary to the Commission. 4. Vote in Inv. No. 731–TA–663 (Fourth this matter can be obtained by [FR Doc. 2017–16216 Filed 8–1–17; 8:45 am] Review) (Paper Clips from China). contacting the Commission’s TDD The Commission is currently terminal on (202) 205–1810. BILLING CODE 7020–02–P scheduled to complete and file its SUPPLEMENTARY INFORMATION: The determination and views of the Commission instituted Inv. No. 337– INTERNATIONAL TRADE Commission by August 24, 2017. TA–1034 on January 11, 2017, based on COMMISSION 5. Outstanding action jackets: None a complaint filed by Memory Technologies, LLC of Las Vegas, Nevada [USITC SE–17–035] In accordance with Commission (‘‘Memory Tech.’’). 82 FR 3359–60 (Jan. policy, subject matter listed above, not Government in the Sunshine Act 11, 2017). The complaint alleges Meeting Notice disposed of at the scheduled meeting, violations of section 337 of the Tariff may be carried over to the agenda of the Act of 1930 (19 U.S.C. 1337) in the AGENCY HOLDING THE MEETING: United following meeting. importation into the United States, the States International Trade Commission. sale for importation, and the sale within By order of the Commission. TIME AND DATE: August 11, 2017 at 11:00 the United States after importation of Issued: July 27, 2017. a.m. certain flash memory devices and William R. Bishop, components thereof that infringe one or PLACE: Room 101, 500 E Street SW., Supervisory Hearings and Information more claims of U.S. Patent No. Washington, DC 20436, Telephone: Officer. RE45,542; U.S. Patent No. RE45,486; (202) 205–2000. [FR Doc. 2017–16366 Filed 7–31–17; 4:15 pm] U.S. Patent No. 7,565,469; U.S. Patent STATUS: Open to the public. BILLING CODE 7020–02–P No. 9,063,850, and U.S. Patent No. MATTERS TO BE CONSIDERED:
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1. Agendas for future meetings: None in the Federal Register pursuant to redelegated to the Assistant 2. Minutes Section 6(b) of the Act on December 31, Administrator of the DEA Diversion 3. Ratification List 2014 (79 FR 78909). Control Division (‘‘Assistant 4. Vote in Inv. No. 731–TA–1380 Administrator’’) pursuant to section 7 of Patricia A. Brink, (Preliminary)(Tapered Roller 28 CFR part 0, appendix to subpart R. Bearings from Korea). The Director of Civil Enforcement,Antitrust In accordance with 21 CFR Division. Commission is currently scheduled 1301.34(a), this is notice that on to complete and file its [FR Doc. 2017–16049 Filed 8–1–17; 8:45 am] November 22, 2016, Cambrex High determination on August 14, 2017; BILLING CODE P Point, Inc., 4180 Mendenhall Oaks views of the Commission are Parkway, High Point, North Carolina currently scheduled to be DEPARTMENT OF JUSTICE 27265 applied to be registered as an completed and filed on August 21, importer of poppy straw concentrate 2017. Drug Enforcement Administration (9670), a basic class of controlled 5. Outstanding action jackets: None substance listed in schedule II. [Docket No. DEA–392] In accordance with Commission The company plans to import the policy, subject matter listed above, not Importer of Controlled Substances listed controlled substance to bulk disposed of at the scheduled meeting, Application: Cambrex High Point, Inc. manufacture into other controlled may be carried over to the agenda of the substances for sale to its customers. following meeting. ACTION: Notice of application. Dated: July 24, 2017. By order of the Commission: Demetra Ashley, DATES: Registered bulk manufacturers of Acting Assistant Administrator. Issued: July 27, 2017. the affected basic classes, and William R. Bishop, applicants therefore, may file written [FR Doc. 2017–16058 Filed 8–1–17; 8:45 am] Supervisory Hearings and Information comments on or objections to the BILLING CODE 4410–09–P Officer. issuance of the proposed registration in [FR Doc. 2017–16368 Filed 7–31–17; 4:15 pm] accordance with 21 CFR 1301.34(a) on BILLING CODE 7020–02–P or before September 1, 2017. Such DEPARTMENT OF LABOR persons may also file a written request for a hearing on the application Employment and Training Administration DEPARTMENT OF JUSTICE pursuant to 21 CFR 1301.43 on or before September 1, 2017. Job Corps Center Proposed for Antitrust Division ADDRESSES: Written comments should Closure: Comments Requested be sent to: Drug Enforcement Notice Pursuant to the National Administration, Attention: DEA Federal AGENCY: Office of Job Corps, Cooper, Ative Research and Register Representative/DRW, 8701 Employment and Training Production Act of 1993—Vehicle Safety Morrissette Drive, Springfield, Virginia Administration (ETA), Labor. Communications 5 Consortium 22152. All requests for hearing must be ACTION: Notice. Notice is hereby given that, on June sent to: Drug Enforcement 29, 2017, pursuant to Section 6(a) of the Administration, Attn: Administrator, SUMMARY: The Employment and National Cooperative Research and 8701 Morrissette Drive, Springfield, Training Administration (ETA) of the Production Act of 1993, 15 U.S.C. 4301 Virginia 22152. All requests for hearing U.S. Department of Labor (the et seq. (‘‘the Act’’), Vehicle Safety should also be sent to: (1) Drug Department or DOL) issues this notice to Communications 5 Consortium (‘‘VSC5 Enforcement Administration, Attn: propose the closure of the Homestead Consortium’’) has filed written Hearing Clerk/LJ, 8701 Morrissette Job Corps Center (Homestead) in notifications simultaneously with the Drive, Springfield, Virginia 22152; and Homestead, Florida, based on an Attorney General and the Federal Trade (2) Drug Enforcement Administration, evaluation of the center. This notice Commission disclosing changes in its Attn: DEA Federal Register seeks public comment on the proposal membership. The notifications were Representative/DRW, 8701 Morrissette to close Homestead. filed for the purpose of extending the Drive, Springfield, Virginia 22152. DATES: To be ensured consideration, Act’s provisions limiting the recovery of Comments and requests for hearing on comments must be submitted in writing antitrust plaintiffs to actual damages applications to import narcotic raw on or before September 1, 2017. under specified circumstances. material are not appropriate. 72 FR 3417 ADDRESSES: You may submit comments, Specifically, Mercedes-Benz Research & (January 25, 2007). identified by Docket Number ETA– Development North America, Inc., SUPPLEMENTARY INFORMATION: The 2016–0003, by only one of the following Sunnyvale, CA, has withdrawn as a Attorney General has delegated his methods: party to this venture. authority under the Controlled Federal e-Rulemaking Portal: http:// No other changes have been made in Substances Act to the Administrator of www.regulations.gov. Follow the Web either the membership or planned the Drug Enforcement Administration site instructions for submitting activity of the group research project. (DEA), 28 CFR 0.100(b). Authority to comments. Membership in this group research exercise all necessary functions with Mail and hand delivery/courier: project remains open, and VSC5 respect to the promulgation and Submit comments to Lenita Jacobs- Consortium intends to file additional implementation of 21 CFR part 1301, Simmons, National Director, Office of written notifications disclosing all incident to the registration of Job Corps (OJC), U.S. Department of changes in membership. manufacturers, distributors, dispensers, Labor, Employment and Training On December 3, 2014, VSC5 importers, and exporters of controlled Administration, 200 Constitution Consortium filed its original notification substances (other than final orders in Avenue NW., Room N–4459, pursuant to Section 6(a) of the Act. The connection with suspension, denial, or Washington, DC 20210. Due to security- Department of Justice published a notice revocation of registration) has been related concerns, there may be a
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significant delay in the receipt of FOR FURTHER INFORMATION CONTACT: A. The Criteria for Proposing a Center submissions by United States Mail. You Lenita Jacobs-Simmons, National for Closure must take this into consideration when Director, Office of Job Corps, ETA, U.S. The Workforce Innovation and preparing to meet the deadline for Department of Labor, 200 Constitution Opportunity Act (WIOA), which became submitting comments. The Department Avenue NW., Room N–4463, effective on July 1, 2015, directs DOL to will post all comments received on Washington, DC 20210; Telephone (202) ‘‘establish written criteria that the http://www.regulations.gov without 693–3000 (this is not a toll-free Secretary shall use to determine when a making any changes to the comments or number). Individuals with hearing or Job Corps center supported under this redacting any information, including speech impairments may access the part is to be closed and how to carry out any personal information provided. The telephone number above via TTY by such closure[.]’’ 29 U.S.C. 3211(c)(1). http://www.regulations.gov Web site is calling the toll-free Federal Information The Department has published three the Federal e-rulemaking portal and all Relay Service at (877) 889–5627 (TTY/ criteria upon which it may propose to comments posted there are available TDD). close a center: and accessible to the public. The SUPPLEMENTARY INFORMATION: 1. A methodology for selecting a Department recommends that center for closure based on its chronic commenters not include personal I. Background on the Job Corps low performance, first described in an information such as Social Security Program and Center Closures August 2014 Federal Register Notice Numbers, personal addresses, telephone (FRN) (79 FR 51198), and updated in the numbers, and email addresses in their Established in 1964, Job Corps is a March 9, 2016, FRN (81 FR 12529); comments that they do not wish to be national program administered by ETA 2. An agreement between the made public, as such submitted in the Department. It is the nation’s Secretaries of Labor and Agriculture to information will be available to the largest federally-funded, primarily close a CCC, as described in the March public via the http:// residential training program for at-risk 9, 2016, FRN; and www.regulations.gov Web site. youth, ages 16 to 24. Through 125 3. An evaluation of the effort required Comments submitted through http:// centers in 50 states, Puerto Rico, and the to provide a high-quality education and www.regulations.gov will not include District of Columbia, Job Corps seeks to training program at the center, as the email address of the commenter change lives through education and job described in the March 9, 2016, FRN. unless the commenter chooses to training for in-demand careers. Job Closure may be based on any one of include that information as part of his Corps serves at-risk young people who the three criteria, and a single criterion or her comment. It is the responsibility are overcoming major challenges, which may be applied independently of the of the commenter to safeguard personal can include deep poverty, others. Thus, while a center may qualify information. homelessness, or multiple foster care for closure under more than one Instructions: All submissions received placements, by providing them with the criterion, DOL may choose to rely on should include the Docket Number for academic, career technical, and only one criterion when deciding to the notice: Docket Number ETA–2016– employability skills to enter the propose a center for closure. These 0003. Please submit your comments by workforce, enroll in post-secondary criteria have been previously only one method. Again, please note education, or enlist in the military. The established; therefore, the Department that due to security concerns, postal program represents the core American does not seek comments on these mail delivery in Washington, DC may be value that no matter who you are or criteria in response to this Notice. delayed. Therefore, the Department where you come from, you should have Prior to making a decision to propose encourages the public to submit the opportunity to succeed. a center’s closure, the Department also comments on http:// Large and small businesses, nonprofit applies the Additional Considerations www.regulations.gov. organizations, and Native American first discussed in the August 2014 notice and described below. Docket: All comments on the selected tribes manage and operate 99 of the Job Job Corps Center for closure will be Corps centers through contractual B. Additional Considerations for Center available on the http:// agreements with the Department of Closure www.regulations.gov Web site. The Labor, which are awarded pursuant to federal procurement rules. Twenty-six As described in the March 9, 2016, Department also will make all of the FRN, after applying any of the three Civilian Conservation Centers (CCCs) comments it receives available for closure criterion identified above, the are operated through an interagency public inspection by appointment Department will consider the following agreement with the U.S. Department of during normal business hours at the factors, as appropriate, when deciding Agriculture (USDA). Job Corps receives above address. If you need assistance to whether it should propose a center for annual funding to operate centers, review the comments, the Department closure: will provide appropriate aids such as administer the program, and build, readers or print magnifiers. The maintain, expand, or upgrade a limited 1. Job Corps Services for Residents in Department will make copies of this number of new and existing facilities. Each State, Puerto Rico, and the District of Columbia methodology and the selected Job Corps II. Closure Criteria center for closure available, upon The Department is committed to request, in large print and electronic file The Department is continuously providing services in a broad geographic on computer disk. To schedule an taking steps to ensure that Job Corps’ area. When deciding to propose a center appointment to review the comments resources are used to deliver the best for closure, DOL will ensure that it and/or obtain the notice in an possible results for students. As part of maintains at least one Job Corps center alternative format, contact the Office of these ongoing efforts, the Department in each state, the Commonwealth of Job Corps at (202) 693–3000 (this is not may determine that closing a center will Puerto Rico, and the District of a toll-free number). You may also allow Job Corps to more effectively Columbia. The program will also take contact this office at the address listed serve its students. Since 2014, the into consideration whether a center’s below. Department has closed two centers. closure would have a disproportionate
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impact on the training opportunities for time, while others arise more rapidly. been appropriated annually for students in any one state. Additionally, Challenges may involve the condition of construction and repairs at all 125 Job Job Corps is committed to ensuring that the facility, its proximity to relevant job Corps centers in recent years. a state’s population, especially eligible markets, the ability of the center to The Department has concluded that young people who could benefit from attract students, the impact of one-time investing so much in remaking participating in the program, has events, or a host of other factors. Homestead’s campus is not the best use adequate exposure to Job Corps’ Addressing these challenges may of limited resources. More than 25 opportunities and services. Accordingly, require sustained efforts that involve percent of Job Corps’ more than 4,000 in applying the criteria, DOL will ensure significant programmatic, staff, capital, buildings are over 50 years old, leading that it does not too rapidly reduce Job organizational, and/or other investments to a repair and construction backlog of Corps’ presence in any one state. and resources, and sometimes these more than $470 million. Spending challenges continue regardless of the nearly one-fifth of the program’s 2. Sufficiency of Data Available To contractor or entity operating the center. construction budget to alter this site’s Evaluate Center Performance Even with such a commitment, it may grounds and facilities and remedy its When proposing closure for chronic be difficult to achieve positive outcomes presently identified deficiencies would low performance, the Department will for students. significantly impact Job Corps’ ability to not consider any center for which it In such a situation, Job Corps will make needed repairs and improvements does not have sufficient data to evaluate carefully assess the following: at other centers. This is not a prudent that center’s performance. Because this 1. The ongoing needs of the center use of the Department’s resources, Notice does not propose a closure based against those of the program overall. particularly given the successful on performance, this consideration does 2. The effort required to provide and maintenance of opportunities at the not apply to the proposed closures maintain a high-quality, safe, and other four centers in Florida and the discussed below. productive living and learning Southeast generally. In order to provide environment. functional, safe, and secure campuses 3. Indication of Significant Recent 3. Whether that effort is likely to for as many students as possible given Performance Improvement ultimately produce an outcome that the limited resources available, DOL has When applying the performance- contributes to the program’s overall determined students in Florida and based methodology, the Department will strength and integrity. across the country will be better served consider evidence of recent performance After reviewing all relevant if Job Corps’ construction and repair improvement. Therefore, a center will information, the Department may decide budget—and the time, personnel, and be removed from closure consideration to propose a center for closure. effort required to administer the use of based on performance-based closure Following an evaluation of continuing these funds—is allotted across the entire criteria if it is performing in the top half center operations using the framework system to improve the conditions of as of centers in the most recent full year of outlined above, the Department many centers and as many students as performance data. Again, because this proposes to close the Homestead Job possible. notice does not propose a closure based Corps Center. The Homestead Job Corps Additionally, the events leading to the on performance, this consideration does Center has been inactive since suspension of activities at the not apply to the proposed closures September 2015, after the homicide of a Homestead campus may for the discussed below. Job Corps student in an area adjacent to foreseeable future serve as a significant campus. disincentive for students to attend the 4. Job Corps’ Commitment to Diversity The tragedy highlighted design center, negatively impacting its Job Corps currently serves a diverse problems at the facility which operations by reducing the number of student population and remains negatively affected the safety and students on center and reducing its cost committed to serving disadvantaged security of the center. Homestead has effectiveness. Job Corps is intensely youth from all backgrounds. In making operated on the grounds of a former Air focused on safety and security, and is final closure decisions under any of the Force base, with students trained and presently working to demonstrate to three criteria identified in Section A housed across a 40-acre campus layout potential and enrolled students and above, we will consider whether a with a public street running through the their families that Job Corps is a safe center’s closure would result in a middle, dividing the campus into two and welcoming place. As the criminal significant reduction in student separate and distinct parts. A review of case involving the murder continues to diversity within the overall Job Corps Homestead’s physical plant and campus move through the criminal justice system. layout conducted by Job Corps’ system, Job Corps operations at Engineering Support Contractor after the Homestead will continue to face intense III. Proposal To Close the Homestead suspension of operations concluded that scrutiny, complicating and hindering Job Corps Center the inefficient layout, as well as the lack the process of recruiting, educating, and For the reasons discussed below, Job of any barrier around the campus training at-risk students at this site. Corps proposes to close the Homestead periphery, resulted in unsafe center Despite the change in the Homestead Job Corps Center under the third conditions that would have to be Center’s operating status, Job Corps has criterion—an evaluation of the effort addressed before DOL could reactivate maintained the same capacity to serve required to provide a high-quality the center. The best and most cost students from Florida since operations education and training program at the effective approach for creating a safe, were temporarily suspended. In the center, as described in the March 9, secure environment at the center for wake of the Homestead tragedy, Job 2016, FRN. students and staff would be to Corps transferred 189 students to other Some centers, for a variety of reasons, consolidate the center onto a unified, centers, primarily in Florida and the face more difficult challenges than smaller, 30-acre campus layout with a Southeast region, as it reassessed the others in providing a safe, secure surrounding fence. However, even these safety and security of the property. The environment where participants can necessary improvements could cost as Job Corps program has robust capacity receive high-quality education and much as $13 million, a significant in Florida, a state where there are four training. Some challenges develop over portion of the $75 million Job Corps has other centers, including the Miami Job
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Corps Center less than 50 miles away DEPARTMENT OF LABOR attachments to the OSHA Docket Office, from the Homestead campus, which Docket No. OSHA–2015–0024, helped absorb transferred students. Occupational Safety and Health Technical Data Center, U.S. Department Administration After studying (1) the ongoing needs of Labor, 200 Constitution Avenue NW., Room N–2625, Washington, DC 20210; of the center against those of the [Docket No. OSHA–2015–0024] telephone: (202) 693–2350 (TTY program overall, (2) the effort needed to Jardon and Howard Technologies, number: (877) 889–5627). Note that provide and maintain a high-quality, security procedures may result in safe, and productive living and learning Incorporated; Application for Permanent Variance and Interim Order; significant delays in receiving environment, and (3) whether that effort comments and other written materials is likely to ultimately produce an Grant of Interim Order; Request for Comments by regular mail. Contact the OSHA outcome that contributes to the Docket Office for information about program’s overall strength and integrity, AGENCY: Occupational Safety and Health security procedures concerning delivery the Department concluded that closing Administration (OSHA), Labor. of materials by express mail, hand the Homestead Job Corps Center is in ACTION: Notice. delivery, or messenger service. The the best interest of the program. hours of operation for the OSHA Docket After completing this evaluation, the SUMMARY: In this notice, the Office are 10:00 a.m.–2:30 p.m. Department then applied the relevant Occupational Safety and Health 4. Instructions: All submissions must include the Agency name and the OSHA additional considerations outlined in Administration (‘‘OSHA’’ or ‘‘the Agency’’) announces the application of docket number (OSHA–2015–0024). the March 2016 FRN and discussed Jardon and Howard Technologies, OSHA places comments and other above in Section II.B and determined Incorporated (‘‘JHT’’ or ‘‘the applicant’’) materials, including any personal that these considerations did not for a permanent variance from several information, in the public docket preclude closure of the Homestead Job provisions in OSHA’s standards that without revision, and these materials Corps Center. regulate commercial diving operations. will be available online at http:// The Department now requests public Additionally, the applicant requests an www.regulations.gov. Therefore, the comments on its proposal to close the interim order based on the conditions Agency cautions commenters about Homestead Job Corps Center. specified in the variance application. submitting statements they do not want JHT’s variance request is based on the made available to the public, or IV. The Process for Closing Job Corps conditions that were specified in the submitting comments that contain Centers Under the Workforce alternate standards that OSHA granted personal information (either about Innovation and Opportunity Act to the National Oceanic and themselves or others) such as Social (WIOA) Atmospheric (NOAA) on September 5, Security numbers, birth dates, and 2014. OSHA announces its preliminary medical data. The Department’s process for closing finding to grant the permanent variance, 5. Docket: To read or download Job Corps centers will follow the and also announces that it is granting submissions or other material in the requirements of section 159(j) of the the applicant’s request for an interim docket, go to http://www.regulations.gov WIOA, which include the following: order. OSHA invites the public to or the OSHA Docket Office at the • The proposed decision to close a submit comments on whether to grant address above. All documents in the particular center is announced in the applicant a permanent variance docket are listed in the http:// advance to the general public through based on the conditions specified in the www.regulations.gov index; however, publication in the Federal Register or notice. some information (e.g., copyrighted material) is not publicly available to other appropriate means; DATES: Submit comments, information, read or download through the Web site. • A reasonable comment period, not documents in response to this notice, All submissions, including copyrighted to exceed 30 days, is established for and request for a hearing on or before material, are available for inspection at interested individuals to submit written September 1, 2017. The interim order the OSHA Docket Office. Contact the comments to the Secretary; and specified by this notice becomes OSHA Docket Office for assistance in effective on August 2, 2017, and shall • The Member of Congress who locating docket submissions. remain in effect until it is modified or 6. Copies of this Federal Register represents the district in which such revoked, or until OSHA publishes a center is located is notified within a notice: Electronic copies of the Federal decision on the permanent variance Register notice are available at http:// reasonable period of time in advance of application, whichever occurs first. any final decision to close the center. www.regulations.gov. This Federal ADDRESSES: Submit comments by any of Register notice, as well as new releases This Notice serves as the public the following methods: and other relevant information, also are announcement of the decision to close 1. Electronically: Submit comments available at OSHA’s Web page at http:// the Homestead Job Corps Center. The and attachments electronically at http:// www.osha.gov. Department is providing a 30-day www.regulations.gov, which is the 7. Extension of comment period: period—the maximum amount of time Federal eRulemaking portal. Follow the Submit requests for an extension of the allowed for comment under WIOA sec. instructions online for making comment period on or before September 159(j)—for interested individuals to electronic submissions. 1, 2017 to the Office of Technical submit written comments on the 2. Facsimile: If submissions, Programs and Coordination Activities, proposed decision to close this center. including attachments, are not longer Directorate of Technical Support and than 10 pages, commenters may fax Emergency Management, Occupational Byron Zuidema, them to the OSHA Docket Office at (202) Safety and Health Administration, U.S. Deputy Assistant Secretary for Employment 693–1648. Department of Labor, 200 Constitution and Training. 3. Regular or express mail, hand Avenue NW., Room N–3655, [FR Doc. 2017–16281 Filed 8–1–17; 8:45 am] delivery, or messenger (courier) service: Washington, DC 20210, or by fax to BILLING CODE 4510–FT–P Submit comments, requests, and any (202) 693–1644.
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8. Hearing requests: According to 29 (see Exhibits OSHA–2015–0024–0002, 0024–0003, OSHA’s Comments and CFR 1905.15, hearing requests must OSHA–2015–0024–0004, OSHA–2015– Decisions to NOAA’s Request for an include: (1) A short and plain statement 0024–0003, and OSHA–2015–0024– Alternate Standard on Diving) (‘‘NOAA detailing how the variance would affect 0005). Alternate Diving Standards’’). To the requesting party; (2) a specification Specifically, the applicant seeks a account for the technological advances of any statement or representation in the permanent variance and interim order and design improvements that have variance application that the commenter from the provisions of OSHA’s CDO been made to buoyancy compensatory denies, and a concise summary of the standard that require: devices (BCDs) since OSHA first evidence adduced in support of each (1) A buoyancy compensator to have published its CDO standard in 1977 (see denial; and (3) any views or arguments an inflation source separate from the 42 FR 37662 (July 22, 1977)), the NOAA on any issue of fact or law presented in breathing gas supply when used for Alternate Diving Standards permit the variance application. SCUBA diving (29 CFR 1910.430(d)(3)); NOAA to use modern BCDs during FOR FURTHER INFORMATION CONTACT: (2) use of an inflatable flotation device diving operations that deviate from the Information regarding this notice is capable of maintaining the diver at the configuration requirements in OSHA’s available from the following sources: surface in a face-up position, having a CDO standard, but provide equal or Press inquiries: Contact Mr. Frank manually activated inflation source greater safeguards to the diver. The Meilinger, Director, OSHA Office of independent of the breathing supply, an NOAA Alternate Diving Standards also Communications, U.S. Department of oral inflation device, and an exhaust provide NOAA with modified Labor, 200 Constitution Avenue NW., valve (29 CFR 1910.430(d)(4)); requirements regarding the use of Room N–3647, Washington, DC 20210; (3) the employer to instruct the diver decompression chambers, including telephone: (202) 693–1999; email: to remain awake and in the vicinity of expanding the depth limit for SCUBA [email protected]. the decompression chamber which is at dives within the no-decompression General and technical information: the dive location for at least one hour limits 3 (from 100 to 130 feet of sea Contact Mr. Kevin Robinson, Director, after the dive (including decompression water (fsw)), and modifying Office of Technical Programs and or treatment as appropriate) for any dive decompression chamber availability Coordination Activities, Directorate of outside the no-decompression limits, requirements for certain no- Technical Support and Emergency deeper than 100 feet of sea water (fsw), decompression dives up to 130 fsw in Management, Occupational Safety and or using mixed gas as a breathing depth. Health Administration phone: (202) mixture (29 CFR 1910.423(b)(2)); JHT’s divers who conduct diving 693–2110 or email: robinson.kevin@ (4) the employer to make available at operations for NOAA typically dive dol.gov. the dive location a decompression from NOAA-operated ‘‘uninspected chamber capable of recompressing the vessels’’ in U.S. navigable waters; such SUPPLEMENTARY INFORMATION: diver at the surface to a minimum of 165 diving operations fall under OSHA’s I. Notice of Application fsw (6 ATA) (29 CFR 1910.423(c)(1)); 1 jurisdiction.4 When conducting dives (5) the employer to make available for NOAA, JHT divers are obliged to On September 25, 2015, Jardon and within 5 minutes of the dive location a follow all of the requirements of the Howard Technologies, Incorporated, dual-lock, multiplace decompression NOAA Diving Program (NDP), which (‘‘JHT’’ or ‘‘the applicant’’), submitted chamber (29 CFR 1910.423(c)(3)); and include the NOAA Alternate Diving an application for a permanent, multi- (6) that self-contained underwater Standards. JHT therefore seeks the state variance under Section 6(d) of the breathing apparatus (SCUBA) diving not interim order and permanent variance Occupational Safety and Health Act of be conducted at depths deeper than 100 from the provisions of OSHA’s CDO 1970 (‘‘OSH Act’’; 29 U.S.C. 655) and 29 fsw or outside the no-decompression standard based on the conditions that CFR 1905.11 (‘‘Variances and other limits unless a decompression chamber apply to NOAA divers under the NOAA relief under section 6(d)’’), from is ready for use (29 CFR 1910.424(b)(2)). Alternate Diving Standards, thus provisions of OSHA’s commercial JHT is a contractor for the U.S. permitting JHT’s divers to dive under diving operations (CDO) standard that Department of Commerce, National the same standards as their NOAA- regulate the use of inflatable flotation Oceanic and Atmospheric employed colleagues. devices and decompression chambers Administration (NOAA), a federal The applicant contends that the (Exhibit OSHA–2015–0024–0001, government agency that conducts and proposed variance conditions outlined Request for Variance). JHT’s application promotes undersea research using a in its application provide its workers also requested an interim order pending variety of modes, including diving with a place of employment that is at OSHA’s decision on the variance operations. On September 5, 2014, least as safe and healthful as they would application. JHT’s corporate offices are OSHA granted NOAA alternate obtain under the existing provisions of located at 2710 Discovery Drive, Suite standards 2 regulating its use of OSHA’s CDO standard. The applicant 600, Orlando, FL 32826, and JHT also inflatable flotation devices and certifies that it provided affected identified two field office locations as decompression chambers during NOAA places of employment involved in its diving operations (Exhibit OSHA–2015– 3 The definitions provided in Subpart T, 29 CFR variance application: (1) NOAA/NOS 1910.402, define ‘‘no-decompression limits’’ as ‘‘the depth-time limits of the ‘no-decompression limits Center for Coastal Fisheries and Habitat 1 The full text of 29 CFR 1910.423(c)(1)(i)–(iii) and repetitive dive group designation table for no- Research, 101 Pivers Island Road, reads: ‘‘A decompression chamber capable of decompression air dives’, U.S. Navy Diving Manual, Beaufort, North Carolina, 28516; and (2) recompressing the diver at the surface to a or equivalent limits which the employer can NOAA CCFHBR Laboratory, 219 Fort minimum of 165 fsw (6 ATA) shall be available at demonstrate to be equally effective.’’ the dive location for: (i) Surface-supplied air diving 4 Johnson Road, Charleston, South For more information on OSHA’s enforcement to depths deeper than 100 fsw and shallower than authority over uninspected vessels on U.S. Carolina, 29412. After receiving JHT’s 220 fsw; (ii) Mixed gas diving shallower than 300 navigable waters, see OSHA Directive Number: variance application, OSHA sent two fsw; (iii) Diving outside the no-decompression CPL–02–01–047, ‘‘OSHA Authority over Vessels rounds of follow-up questions to JHT, limits shallower than 300 fsw.’’ and Facilities on or Adjacent to U.S. Navigable 2 on October 13, 2015 and June 27, 2016, An alternate standard is the federal agency Waters and the Outer Continental Shelf (OCS)’’ equivalent to a variance, and federal agency heads [Dated: 02/22/2010], available at: https:// to which JHT responded on November may seek and obtain alternate standards from www.osha.gov/pls/oshaweb/owadisp.show_ 16, 2015 and July 27, 2016, respectively OSHA pursuant to 29 CFR 1960.17. document?p_table=DIRECTIVES&p_id=4254.
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workers with a copy of the variance efficiently. The NDP, the NOAA Diving health standards for commercial diving application. In addition, the applicant Control and Safety Board, and the operations conducted from vessels and informed its workers and their NOAA Diving Medical Review Board all facilities under the jurisdiction of the representatives of their right to petition work together to ensure that qualified U.S. Coast Guard. the Assistant Secretary of Labor for personnel and certified systems are As a NOAA contractor, JHT asserts Occupational Safety and Health for a available to safely meet NOAA’s that its divers are required to strictly hearing on the variance application. The undersea research objectives. follow the requirements of the NDP, applicant also certified that it is not NOAA’s application also explained which include following the conditions contesting any citations involving the that it provides a robust training of the NOAA Alternate Diving standards that are the subject of this program to NDP divers, including Standards. But, even though NOAA- application. contractor divers. NOAA stated that the employed and JHT-employed divers primary training program used to work side-by-side during NDP II. NOAA’s Alternate Diving Standards prepare NOAA and contractor divers to operations, contractor divers (such as and JHT’s Variance Application perform work is NOAA’s three-week, those employed by JHT) are not A. Background 140-hour ‘‘Working Diver’’ course, authorized to dive under the NOAA which trains divers to perform a wide Alternate Diving Standards. JHT states In June 2011, NOAA submitted an range of skills utilizing a variety of that its divers undergo exactly the same application to OSHA proposing a total power and hand tools and specialized training as NOAA employees who are of 12 alternate standards to 29 CFR equipment. All NOAA divers and also part of the NDP, and that there are 1910, Subpart T, and included with its contractors are also required to: (1) Have no differences between NOAA and JHT application extensive introductory, annual refresher training in oxygen divers regarding medical clearance background, and explanatory administration (academic and practical procedures and standards, training information in support of the components); (2) stay current in CPR/ materials, equipment used, equipment application (see Exhibit OSHA–2015– AED and First Aid training; (3) maintain maintenance, and diving procedures 0024–0006, Proposed Alternate Diving proficiency in diving by making at least used (see Ex. OSHA–2015–0024–0003, Standards for the National Oceanic and three dives per quarter; (4) complete an p. 1). JHT stated that the majority of the Atmospheric Administration). After annual swim test; (5) have their life dives that JHT performs under the NDP fully considering NOAA’s application support gear serviced annually by a are ‘‘scientific dives’’ that are exempted and its responses to OSHA’s follow up certified technician; (6) complete an from OSHA’s CDO standard,5 but JHT questions (see Exhibit OSHA–2015– annual skills test to demonstrate their divers also assist NOAA employees with 0024–0007, Responses from the NOAA ability to safely operate underwater; and diving operations that are not exempt Diving Program to OSHA Regarding (7) complete annual rescue drills to under OSHA’s CDO standard. Requested Alternate Standards for demonstrate their ability to surface, Accordingly, when JHT conducts dives Commercial Diving Operations), OSHA extricate, treat and evacuate the victim for NOAA under the NDP that would be decided to grant some, but not all, of the of a diving accident. subject to OSHA’s CDO standard, JHT alternate standards that NOAA NOAA’s application further stated seeks permission from OSHA to dive proposed (see Exhibit OSHA–2015– that it has developed many advances in under the same standards regulating the 0024–0008). JHT now seeks an interim diving equipment and procedures that use of inflatable flotation devices and order and permanent variance based on are now widely recognized and decompression changes that apply to six of the alternate standards that OSHA accepted as industry best practices. NOAA-employed NDP divers, pursuant granted to NOAA in the NOAA NOAA publishes many of these to the NOAA Alternate Diving Alternate Diving Standards. Because advances in the ‘‘NOAA Diving Manual: Standards. JHT’s application proposes to adopt the Diving for Science and Technology,’’ same conditions under which OSHA which serves as a reference manual for B. Requested Variance From Paragraphs granted the alternate standards to all NDP divers. NOAA also maintains (d)(3) and (d)(4) of 29 CFR 1910.430, NOAA, JHT’s application included as an two additional manuals (the ‘‘NOAA Requirements for Inflatable Flotation attachment the introductory, Scientific Diving Standards and Safety Devices background, and explanatory material Manual’’ and the ‘‘NOAA Working OSHA’s standards regulating the that NOAA previously submitted to Diving Standards and Safety Manual’’) buoyancy control of inflatable flotation OSHA with its initial application. that provide in-depth operational devices include requirements that: (1) NOAA explained in its application guidance for all dives, and include the When used for SCUBA diving, a materials that it conducts dives under standards, policies, regulations, buoyancy compensator shall have an two major programs: The NOAA Diving requirements, and responsibilities for all inflation source separate from the Program (NDP) and the National aspects of NOAA’s diving operations. breathing gas supply (29 CFR Undersea Research Program (NURP). Additionally, NOAA stated that 1910.430(d)(3)); and (2) an inflatable The NDP primarily supports intramural OSHA’s CDO standard, which was first flotation device capable of maintaining (within the agency) research programs published in 1977, does not account for the diver at the surface in a face-up conducted by personnel within NOAA’s many of the advancements that have position, having a manually activated major line offices, while NURP been made in diving technology and inflation source independent of the primarily supports extramural (outside safety. For that reason, NOAA sought breathing supply, an oral inflation the agency) research programs alternate standards that would permit device, and an exhaust valve shall be conducted by scientists from various the NDP to conduct diving operations used for SCUBA diving (29 CFR academic and marine institutions. The using equipment and procedures that 1910.430(d)(4)). NDP is responsible for overseeing all reflected modern diving advancements. NOAA and contractor (including JHT) NOAA also stated that OSHA’s 5 Section 1910.401(a)(2)(iv) of the CDO standard diving personnel, equipment, and regulations are not always consistent provides the exemption for scientific diving from the CDO standard’s coverage, and Appendix B to activities, and ensuring that dives with other related federal diving the CDO standard provides guidelines for performed by NOAA and its contractor regulations, such as 46 CFR 197, identifying the scientific diving programs that are divers are completed safely and Subpart B, which provides safety and exempt.
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Following the terms of the NOAA volume of gas equivalent to that of drowning should an inflatable Alternate Diving Standards, JHT’s consumed in three or fewer breaths, and flotation device malfunction. variance application seeks permission to therefore asserted that taking such small Additionally, JHT’s proposed variance use modern buoyancy compensator amounts of gas from the SCUBA conditions would follow the NOAA devices (BCDs) that deviate from the cylinder would have minimal effect on Alternate Diving Standards by replacing requirements in 1910.430(d)(3) and the duration of a dive. 1910.430(d)(4)’s requirement that BCDs (d)(4) that such devices have an Under the alternate conditions that used for SCUBA dives be capable of inflation source that is ‘‘separate from’’ OSHA granted NOAA in the NOAA maintaining the diver at the surface in or ‘‘independent of’’ the diver’s Alternate Diving Standards, which JHT a ‘‘face-up position’’ with a requirement breathing gas. NOAA’s application for adopts as the proposed conditions for that the BCD be capable of maintaining the alternate standards explained that the variance, NDP divers may use BCDs the diver at the surface in a ‘‘positively the overwhelming majority of that are inflated by the breathing gas buoyant state.’’ NOAA’s application commercial-off-the-shelf (COTS) BCDs supply so long as all divers carry an materials explained that the majority of are designed to use the diver’s breathing independent reserve cylinder of COTS BCDs available today are not gas for inflation, making it difficult to breathing gas with a separate regulator, designed to maintain unconscious comply with OSHA’s requirement for a which allows divers to orally inflate divers in a face-up position on the BCD to have an independent inflation their BCDs using gas from their reserve surface, as systems capable of meeting source. According to NOAA, older gas supplies even if their primary that requirement have inherent safety- systems that utilize separate, non- breathing gas supply is depleted. When related problems that lead most breathing gas inflation sources— granting the NOAA Alternate Diving manufacturers to abandon them in favor particularly, carbon-dioxide cartridges— Standards, OSHA explained that this of more modern systems. pose potential safety problems for the requirement is consistent with 29 CFR Specifically, NOAA asserted that the diver, including potential cartridge 1910.424(c)(4), which requires SCUBA only BCD able to maintain a diver in a failure, and accidental activation, divers to carry a reserve breathing-gas face-up position at the surface was the leading to an unexpected and supply. As OSHA stated in the preamble ‘‘horse-collar’’ style BCD, which has potentially dangerous over-inflation of to the CDO standard final rule (42 FR been widely replaced by jacket-style the BCD, which could cause a rapid and 37650, 37633), ‘‘[a reserve] supply is BCDs (also known as stabilizing, or stab, uncontrolled ascent of the diver to the essential to the safety of the SCUBA jackets) or back-mounted systems, both surface. NOAA’s application stated that diver,’’ and employers must take of which have greater operational and industry recognition of these inherent precautions to ‘‘assure that the air safety features compared to the older safety problems prompted reserve will not be depleted style. NOAA explained that newer BCDs have more lift, fewer straps (reducing manufacturers to discontinue inadvertently during the dive.’’ OSHA entanglement hazards, particularly production of systems relying on such ultimately concluded that NOAA’s when ditching the BCD in an inflation sources. NOAA also explained proposed alternate standard provides emergency, or when used in that using a diver’s emergency air equivalent safety protection to divers as conjunction with a weight harness), supply to inflate the BCD is potentially 1910.430(d)(3) so long as the diver require fewer steps to don, will not problematic, as connecting the BCD to carries a reserve breathing gas supply, choke divers when fully inflated on the an auxiliary cylinder would impede a does not connect the reserve breathing gas to the BCD’s inflation source, and surface, and most significantly, do not diver who is ‘‘ditching’’ components of uses the BCD in accordance with the impede operation of chest-mounted a SCUBA unit during an emergency, and manufacturer’s instructions. drysuit inflation valves. Additionally, would also create additional points of Further, OSHA noted in the NOAA NOAA explained that the inability of potential equipment failure and Alternate Diving Standards that stab-jacket or back-mounted BCDs to entanglement. JHT echoed NOAA’s 1910.430(d)(4)’s requirement that maintain a diver in a face-up position is concerns regarding the use of BCDs that SCUBA divers use a BCD with a off-set by NOAA’s requirement that are inflated by a source other than the manually activated inflation source divers always dive in buddy pairs (or be diver’s breathing gas (see Ex. OSHA– (e.g., via a carbon-dioxide cartridge) in line-tended), and receive training in the 2015–0024–0003, p. 9). addition to an oral inflation device is proper technique for inflating their The training that NOAA provides to intended to allow the diver to quickly buddy’s BCD while keeping their its divers and contractors, including inflate the BCD in an emergency, but buddy’s head face-up during rescues. JHT, mitigates the risk of using technological improvements in manual Accordingly, NOAA stated that the breathing gas to inflate BCDs. NDP BCD power inflators now allow for chance of a stricken diver drowning divers are trained to continually rapid inflation of BCDs with breathing while wearing a BCD that does not monitor their gas supplies and return to gas, but with less safety risk (e.g., over- provide for face-up flotation is very the surface with no less than 500 psi in inflation) than using carbon-dioxide remote. JHT added that horse-collar their SCUBA cylinders, and NOAA cartridges. Using these manual BCD BCDs were not originally designed for stated that this practice, which has been power inflators to inflate a BCD with emergency buoyancy ascents, and many used for more than 30 years, has proven breathing gas therefore provides are thus not equipped with the over- to be an effective method for managing protection to a diver that is equivalent pressure relief valves that are essential a diver’s breathing gas. NDP divers are to the standard, and obviates the need for safe emergency ascents. also trained in techniques to manually for 1910.430(d)(4)’s requirement that the When granting the NOAA Alternate inflate their BCDs, both underwater and BCD’s inflation source be independent Diving Standards, OSHA noted that the at the surface, to control their buoyancy. of the breathing supply. In addition, preamble to the CDO final rule NOAA also explained that the amount OSHA stated that NOAA’s policy that, explained that ‘‘[t]he provision for an of gas needed to inflate a BCD is except when line-tended, divers never inflatable flotation device for SCUBA minimal compared to the amount of dive alone and always have topside diving [was] given design specifications breathing gas that is available in a support, expedites the rescue of divers because an improperly designed device standard SCUBA cylinder, and that who must make emergency ascents to can be a greater safety hazard than aid’’ most BCDs can be fully inflated with a the surface, thereby reducing their risk (42 FR 37650, 37666). BCDs were not
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commercially available when the CDO and in the vicinity of the decompression at least one hour to ensure immediate standard was published, and OSHA chamber which is at the dive location treatment should DCS or AGE develop. therefore articulated minimum design for at least one hour after the dive Addressing the 100 fsw limit in the standards for inflatable flotation devices (including decompression or treatment preamble to the CDO rule, OSHA stated: in the final rule. OSHA agreed in the as appropriate) (1910.423(b)(2)); (2) for By adding a depth limit to the NOAA Alternate Diving Standards that mixed gas diving shallower than 300 decompression chamber requirement, the the flotation design of contemporary fsw, or diving outside the no- standard sets a specified depth at which all BCDs is superior to the equipment that decompression limits shallower than diving operations will require a chamber, was in use when OSHA published the 300 fsw, a decompression chamber eliminating the safety hazard inherent in CDO standard in 1977, and explained capable of recompressing the diver at operations which are planned below that that modern BCDs are equipped to the surface to a minimum of 165 fsw (6 depth . . . . OSHA believes that this maintain a diver at the surface in a ATA) shall be available at the dive provision will result in recompression capability being available for the great positively buoyant state, even if they do location, and must be dual-lock, majority of diving situations where the not ‘‘prop up’’ the diver’s head. OSHA multiplace, and accessible within 5 probability of its being needed is greatest. thus granted NOAA’s proposed minutes of the dive location alternative standard on the condition (1910.423(c)(1) and (c)(3)(i)–(iii)); and 42 FR at 37662. that NOAA continues its policy of (3) SCUBA dives shall not be conducted In its application, NOAA sought requiring that SCUBA divers not dive at depths deeper than 100 fsw or outside permission to conduct SCUBA dives alone unless they are line-tended, and the no-decompression limits unless a within the no-decompression limit up to providing topside support to those decompression chamber is ready for use 130 fsw (rather than 100 fsw) without divers. (1910.424(b)(2)). triggering the decompression chamber OSHA determined that those Adopting the conditions of the NOAA requirements in 1910.423(b)(2) and conditions would provide NOAA’s Alternate Diving Standards, JHT’s 1910.424(b)(2). In support, NOAA cited divers with protection equivalent to the application proposes conditions that statistics published by the U.S. Navy CDO standard, and JHT’s proposed would allow it deviate from these (USN) indicating that no-decompression variance includes the very same decompression chamber availability and dives to 130 fsw actually pose a lower conditions under which OSHA capability requirements in OSHA’s CDO risk of DCS to divers than no- approved the NOAA’s Alternate Diving standard. As OSHA explained when it decompression dives to 100 fsw, and Standards for NOAA-employed NDP granted the NOAA Alternate Diving also cited the extremely low DCS divers. As stated above, there are no Standards, the purpose of having a incident rate that NOAA has observed differences in the training requirements, decompression chamber available and in no-decompression SCUBA dives that medical clearance procedures and ready for use at a dive site is to treat it has conducted between 101 and 130 standards, equipment use and decompression sickness (DCS) and fsw since 2000. maintenance requirements, or diving arterial gas embolism (AGE). DCS may When granting NOAA alternate procedures that apply to NOAA- occur from breathing air or mixed gases standards to 1910.423(b)(2) and employed and JHT-employed divers at diving depths and durations that 1910.424(b)(2), OSHA explained that who conduct diving operations for the require decompression, while AGE may the CDO standard sets the 100 fsw limit NDP. Additionally, OSHA believes that result from over-pressurizing the lungs, based on the increased risk of diver safety is best promoted where usually following a rapid ascent to the developing DCS and AGE on dives diving safety rules are clear and surface during a dive without proper deeper than 100 fsw. However, OSHA consistently applicable to all divers at a exhalation. In the event that DCS or explained that the Agency amended the worksite. Accordingly, OSHA accepts AGE develops, a decompression CDO standard in 2004 to permit JHT’s proposal to adopt the conditions chamber, oxygen or treatment gas employers of recreational diving from the NOAA Alternate Diving mixtures, and treatment tables and instructors and diving guides to comply Standards as the basis for its requested instructions must be readily available to with an alternative set of decompression variance from the inflatable flotation treat these conditions effectively. chamber requirements (see 69 FR 7351 device requirements in 1910.430(d)(3) Decompression chambers provide the (February 17, 2004)).7 Under the and (d)(4), and has preliminarily most effective therapy— conditions articulated in Appendix C to decided to grant the interim order and recompression—for DCS and AGE. Subpart T, eligible employers are not permanent variance to JHT on those First, JHT’s proposed variance would required to provide a decompression same conditions. adopt the conditions of the NOAA chamber at the dive site when engaged Alternate Diving Standards that permit in SCUBA diving to 130 fsw while C. Requested Variance From Paragraphs NOAA to deviate from the requirement breathing a nitrox gas mixture within (b)(2), (c)(1), (c)(3) of 29 CFR 1910.423, of 1910.423(b)(2) that the employer the no-decompression limits. and (b)(2) of 29 CFR 1910.424, instruct all divers who dive deeper than OSHA explained in the NOAA Requirements for Decompression Alternate Diving Standards that it 6 100 fsw remain awake and in the Chambers. vicinity of a decompression chamber for created this exemption for recreational OSHA’s standards regulating the one hour after the dive, and the diving instructors and diving guides availability and use of decompression requirement of 1910.424(b)(2) that because the Agency determined that the chambers require that: (1) For any dive SCUBA diving not be conducted at elevated levels of oxygen in nitrox outside the no-decompression limits, depths deeper than 100 fsw or outside breathing-gas mixtures reduced the deeper than 100 fsw, or using mixed gas the no-decompression limits unless a incidence of DCS compared to breathing as a breathing mixture, the employer decompression chamber is ‘‘ready for air at the same depths, and therefore shall instruct the diver to remain awake use.’’ In other words, Sections 1910.423(b)(2) and 1910.424(b)(2) 7 Appendix C incorporated into the CDO standard 6 A decompression chamber is ‘‘a pressure vessel require that any diver who conducts a essentially the same terms as those used in a for human occupancy such as a surface dive deeper than 100 fsw or outside the variance that OSHA granted to Dixie Divers, Inc., decompression chamber, closed bell, or deep diving a diving school that employed several recreational system used to decompress divers and to treat no-decompression limits to remain alert diving instructors, in 1999 (see 64 FR 71242, decompression sickness’’ (29 CFR 1910.402). and near a decompression chamber for December 20, 1999).
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found that the risk of DCS was minimal. divers participate. OSHA believes that for transporting divers to bigger This determination justified OSHA’s use in order to maximize diving safety, it is chambers, but it does not provide divers in Appendix C of the equivalent-air- imperative that, when diving for the with protection that is equivalent to the depth (EAD) formula from NOAA’s 2001 NDP, the diving practices of JHT- CDO standard’s requirements, and Diving Manual to calculate the no- employed divers be identical to those of OSHA therefore did not approve decompression limits that should apply NOAA-employed divers. NOAA’s proposed chamber-capability to a dive depending on the nitrogen Additionally, JHT’s application would alternative. partial pressures in the gas. As adopt the conditions of the NOAA Regarding the proposed chamber- explained in the preamble to the Alternate Diving Standards that permit availability alternative, OSHA noted Appendix C final rule (69 Fed Reg. NOAA to deviate from the that the preamble to the CDO final rule 7351, 7356), the EAD formula assumes decompression chamber availability and explained that having the that equivalent nitrogen partial capability requirements in decompression chamber near the dive pressures and dive durations will result 1910.423(c)(1) (that employers have a 6 site was originally considered necessary in similar DCS risk to dives performed ATA chamber at the dive location) and ‘‘because the surface decompression with air, and OSHA concluded that the 1910.423(c)(3) (that the chamber be tables are commonly designed to be ‘‘EAD formula can accurately estimate dual-lock, multiplace, and located used with equipment that meets this the DCS risk associated with nitrox within five minutes of the dive criterion’’ (42 FR 37650, 37662). breathing-gas mixtures based on location). In its original application to However, OSHA reexamined equivalent nitrogen partial pressures the Agency, NOAA proposed alternate 1910.423(c)(3)’s five-minute availability and dive durations used in air diving.’’ standards that would have permitted it requirement when it developed After considering the statistics and to use a 2.8 ATA, mono-lock chamber Appendix C to Subpart T. In Appendix information regarding NDP operations available within two (2) hours of the C, OSHA found that, for no- that NOAA submitted, OSHA concluded dive location for all working dives decompression dives at 130 fsw or less, that NOAA’s proposed alternate conducted deeper than 130 fsw or a four-hour travel delay to a 6–ATA standards would provide equivalent outside the no-decompression limits. decompression chamber is acceptable protection to the CDO standard when NOAA explained that complying with when the employer meets specified NDP divers use air or nitrox breathing- 1910.423(c)(1) and (c)(3) requires conditions, including: verifying before gas mixtures with SCUBA, so long as employers to use a large enough boat to starting diving operations the NOAA complies with the no- carry and transport a large and powerful availability of a treatment facility, decompression provisions of Appendix decompression chamber to the dive site, qualified healthcare professionals, and a C of 29 CFR 1910, Subpart T (i.e., but most NDP dives are conducted from rescue service; ensuring that suitable Condition 5, ‘‘Use of No-Decompression small boats, which are launched from transportation to the decompression Limits’’).8 Also, when using nitrox larger ships or land-based facilities. chamber is available at the dive site breathing-gas mixtures with SCUBA at Accordingly, NOAA sought permission during diving operations; ensuring at depths up to 130 fsw, NOAA must to use light-weight, portable least two attendants qualified in first-aid ensure that the partial pressure of decompression systems, which it and administering oxygen treatment are oxygen does not exceed 1.40 ATA or 40 referred to as ‘‘hyperlite chambers,’’ to available for treatment during diving percent by volume (whichever exposes transport injured divers from dive sites operations; and that these attendants the diver to less oxygen),9 in keeping to larger chambers located elsewhere. administer medical-grade oxygen to the with the requirements of Appendix C. Additionally, NOAA sought to make the injured diver during transportation to JHT’s proposed variance would adopt hyperlite chamber available within two the treatment facility. OSHA came to these same conditions under which hours, rather than within five minutes, this conclusion because, as explained in OSHA granted the alternate standards to of the dive location for dives conducted the preamble to the Appendix C final 1910.423(b)(2) and 1910.424(b)(2) to deeper than 130 fsw or outside the no- rule, ‘‘a four-hour delay is unlikely to NOAA for NDP dives in which JHT decompression limits. impair treatment outcomes for [DCS], OSHA did not grant NOAA the and that [AGE] is rare among 8 Condition 5 of Appendix C requires: alternate standards based on these recreational divers and can be prevented (a) For diving conducted while using nitrox proposed conditions, but rather granted with proper training and experience’’ breathing-gas mixtures, the employer must ensure revised alternate standards in order to (69 FR 7351, 7359–60). that each diver remains within the no- decompression limits specified for single and ensure that NOAA divers would receive After considering the information that repetitive air diving and published in the 2001 equivalent protection to the CDO NOAA submitted regarding the NDP’s NOAA Diving Manual or the report entitled standard. Regarding the chamber diving operations, OSHA determined ‘‘Development and Validation of No-Stop capability requirements, OSHA found that, for no-decompression dives using Decompression Procedures for Recreational Diving: The DSAT Recreational Dive Planner,’’ published in that mono-lock chambers provide air or nitrox that are 130 fsw or less, a 1994 by Hamilton Research Ltd. (known commonly limited hyperbaric treatment options four-hour travel delay to a 6 ATA as the ‘‘1994 DSAT No-Decompression Tables’’). (for example, administration of oxygen) chamber provides NDP divers with (b) An employer may permit a diver to use a dive- to a diver, and explained that the protection equivalent to the CDO decompression computer designed to regulate preamble to the original CDO final rule standard, so long as NOAA meets the decompression when the dive-decompression computer uses the no-decompression limits discusses and justifies Subpart T’s medical-treatment provisions of specified in paragraph 5(a) of this appendix, and capability requirements for Appendix C to the CDO rule (i.e., provides output that reliably represents those decompression chambers, including the Condition 8, ‘‘Treating Diving-Related limits. requirements that the chamber have 6 Medical Emergencies’’). OSHA thus 9 As OSHA explained in the NOAA Alternate Diving Standards, a key purpose of OSHA’s diving ATA capability and be dual-lock (i.e., granted the NOAA Alternate Diving standards is to prevent oxygen toxicity (hypoxia), have two compartments) and multiplace Standards under these conditions, and and the maximum acceptable partial pressure of (i.e., have a main lock large enough to JHT now seeks to conduct NDP dives oxygen when SCUBA diving is 1.40 ATA or 40 accommodate and decompress two according to the same conditions. percent by volume, whichever exposes the diver to less oxygen. ATA, as used here, is the partial individuals) (see 42 FR 37650, 37661– Based on its technical review of the pressure of a constituent gas in the total pressure 63). Accordingly, OSHA stated that JHT’s application, the NOAA Alternate of a breathing gas. mono-lock chambers may be an option Diving Standards, and related
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supporting material, OSHA scope and application section of the standards do not adopt 29 CFR part preliminarily finds that the proposed CDO standard, 29 CFR 1910.401, 1910, subpart T by reference, but conditions would also provide JHT explains that OSHA has jurisdiction include rules that are identical to each divers with protection equivalent to the over commercial diving operations of the federal requirements at issue in CDO standard; there are no differences when the dive location is within JHT’s application (see Washington in the training requirements, medical OSHA’s geographical authority, and Administrative Code, Chapter 296–37, clearance procedures and standards, when such operations are not covered §§ 510–595). California’s diving equipment use and maintenance by the U.S. Coast Guard. As explained operations standards contain two rules requirements, or diving procedures that in OSHA’s Directive regarding its that are substantively identical to two of apply to NOAA-employed and JHT- enforcement of Subpart T (‘‘CDO the OSHA standards at issue in JHT’s employed divers who dive under the Directive’’),11 OSHA’s CDO standard application (see California Code of NDP, and diver safety is best promoted covers private-sector employers in Regulations, Title 8, Subchapter 7, where diving safety rules are clear and federal enforcement states, and Group 26 §§ 6062(b)(1) and (3)((A)–(C)) consistently applicable to all divers at a employers who dive in association with (substantively identical to 29 CFR worksite. In fact, OSHA believes that in maritime standards (i.e., shipyard 1910.423(c)(1) and (c)(3)). Exhibit order to maximize diving safety, it is employment, longshoring, and marine OSHA–2015–0024–0009 provides a imperative that, when diving for the terminals) when these operations are side-by-side comparison of the NDP, the diving practices of JHT- not covered by a State with an OSHA- Washington and California standards employed divers be identical to those of approved State Plan. States with that are identical in substance and NOAA-employed divers. Accordingly, approved State Plans enforce the diving requirements to the Federal OSHA OSHA has preliminarily decided to standard: (1) When commercial diving standards at issue in this variance grant the interim order and permanent operations are being conducted by application. variance to JHT on those same private-sector employees not engaged in JHT certified in its application that it conditions. shipyard employment or marine has not filed an application for a terminal activities (e.g., equipment permanent variance on the same D. Multi-State Variance repair, sewer maintenance, or material facts with a State Plan program. As previously stated in this notice, construction); (2) in maritime operations JHT’s variance application fits the JHT seeks a permanent variance from (i.e., shipyard employment and marine parameters of 29 CFR 1902.8, and several provisions of OSHA’s CDO terminals) as provided by their plans in Federal OSHA’s action on this standard in order to carry out NDP California, Minnesota, Vermont, and application will be deemed diving projects conducted from NOAA Washington; and (3) with regard to state prospectively an authoritative vessels in accordance with the and local government employees. The interpretation of JHT’s compliance conditions of the NOAA Alternate location of the dive determines which obligations regarding the applicable Diving Standards. JHT’s land-based entity has authority over the dive state standards in the places of operations, which are responsible for conditions. employment covered by the application. managing and administering these Under 29 CFR 1902.8(c), an employer As part of the permanent variance diving projects, are located at: (1) NOAA may apply to Federal OSHA for a process, OSHA’s Directorate of CCEHBR Laboratory, 219 Fort Johnson variance where a state standard is Cooperative and State Programs will Road, Charleston, South Carolina, identical to a federal standard addressed notify all State Plans that are potentially 29412; and (2) NOAA/NOS Center for to the same hazard, and the variance affected by JHT’s variance application, Coastal Fisheries and Habitat Research, would be applicable to employment or and the states will have the opportunity 101 Pivers Island Road, Beaufort, North places of employment in more than one to comment. Carolina, 28516. JHT conducts diving state, including at least one state with III. Description of the Conditions operations with NOAA with essentially an approved plan. Of the twenty-eight Specified by the Interim Order and the no geographical limitations, and have State Plans, only California, Michigan, Application for a Permanent Variance conducted diving operations in various Oregon, and Washington have navigable waters within OSHA’s promulgated their own state diving This section describes the alternative geographical authority, including the standards; Arizona has adopted 29 CFR means of compliance with the navigable waters of the Virginia, North 1910, subpart T with the exception of provisions of 29 CFR 1910.430(d)(3), Carolina, South Carolina, Georgia and one provision that is not germane to this 1910.430(d)(4), 1910.423(b)(2), Florida, the Florida Keys, the Gulf of application,12 and all other State Plans 1910.423(c)(1), 1910.423(c)(3), and Mexico, the Caribbean (e.g., U.S. Virgin have fully adopted 29 CFR part 1910, 1910.424(b)(2), and provides additional Islands and Puerto Rico) and the Pacific subpart T by reference. Both Michigan’s detail regarding the proposed conditions (e.g., Hawaii, Guam, Palau, Marianas and Oregon’s diving standards also that form the basis of JHT’s application and American Samoa). adopt 29 CFR part 1910, subpart T by for an interim order and permanent Twenty-eight state safety and health reference, although Oregon’s diving variance. As indicated earlier in this plans have been approved by OSHA standards include additional State- notice, JHT is seeks the interim order under section 18 of the OSH Act.10 The specific rules.13 Washington’s diving and permanent variance based on proposed conditions derived from the 10 Six State Plans (Connecticut, Illinois, Maine, 11 See OSHA Directive Number: CPL–02–00–151, conditions of the alternate standards New Jersey, New York, and the Virgin Islands) limit ‘‘29 CFR part 1910, subpart T—Commercial Diving that OSHA granted to NOAA on their occupational safety and health authority to Operations’’ [Dated: 06/13/2011], available at: _ _ September 5, 2014 (Exhibit OSHA– state and local employers only. State Plans that http://www.osha.gov/OshDoc/Directive pdf/CPL 2015–0024–0003, OSHA’s Comments exercise their occupational safety and health 02-00-151.pdf]. authority over both public- and private-sector 12 See 20 A.A.C. 5 § R20–5–602.01 (adopting and Decisions to NOAA’s Request for an employers are: Alaska, Arizona, California, Hawaii, OSHA’s CDO Standard with the exception of 29 Indiana, Iowa, Kentucky, Maryland, Michigan, CFR 1910.401(a)(2)(ii)), available at: http:// www.michigan.gov/documents/lara/lara_miosha_ Minnesota, Nevada, New Mexico, North Carolina, apps.azsos.gov/public_services/Title_20/20–05.pdf. OH_504_417497_7.pdf; Oregon Admin. Rule 437– Oregon, Puerto Rico, South Carolina, Tennessee, 13 See Michigan’s Occupational Health Standards, 002–0340, ‘‘Adoption by Reference,’’ available at: Utah, Vermont, Virginia, Washington, and Part 504, § R 325.50303, ‘‘Adoption by reference of http://osha.oregon.gov/OSHARules/div2/ Wyoming. federal standard,’’ available at: http:// div2T.pdf#page=7.
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Alternate Standard on Diving)(‘‘NOAA 1910.423(c)(1), 1910.423(c)(3), and Alternate Diving Standards, in Alternate Diving Standards’’). After 1910.424(b)(2). combination with the additional reviewing all available information, The interim order only applies to conditions specified in this notice. including JHT’s variance application, JHT’s employees when they conduct diving operations under the NDP, as Proposed Condition D: Requirements for NOAA’s application for the alternate Decompression Chambers diving standards, and OSHA’s analysis would the permanent variance should and subsequent granting of the NOAA OSHA decide to grant it. This proposed condition will/would Alternate Diving Standards, OSHA has require that, for any dive that is outside Proposed Condition B: List of the no-decompression limits or deeper added additional conditions to this Abbreviations proposal from those adopted from the than 130 fsw or using mixed gas with a In proposed condition B, OSHA NOAA Alternate Diving Standard, percentage of oxygen less than air as a defines a number of abbreviations used which the Agency believes are breathing mixture, JHT will/would in the interim order/proposed instruct the diver to remain awake and necessary to ensure the safety of JHT’s permanent variance. OSHA believes that in the vicinity of the decompression divers who conduct dives under the defining these abbreviations serves to chamber which is at the dive location NOAA Diving Program (NDP). The clarify and standardize their usage, for at least one hour after the dive below-described conditions form the thereby enhancing the applicant’s and (including decompression or treatment basis of the interim order and the its employees’ understanding of the 14 as appropriate). Additionally, for any requested permanent variance. conditions specified by the interim dive using air or a nitrox breathing-gas Proposed Condition A: Scope order/proposed permanent variance. mixture within the no-decompression Proposed Condition C: Requirements for limits that is deeper than 100 fsw but no The interim order/proposed Inflatable Flotation Devices deeper than 130 fsw, JHT will/would permanent variance will/would apply make available within four hours of the only to JHT commercial diving This proposed condition will/would dive location a dual-lock and multi- operations that are conducted for NOAA require that, when using a buoyancy place decompression chamber capable as part of the NDP from a NOAA vessel. compensator device (BCD) for SCUBA of recompressing the diver at the surface Additionally, coverage is/would be diving, JHT will/would ensure that: The to a minimum of 165 fsw (6 ATA). JHT limited to the work situations specified device is used in accordance with the will/would also be required to meet the under the ‘‘Scope and application’’ manufacturer’s instructions; is capable medical-treatment provisions of section of Subpart T, Commercial of being inflated orally and via the Appendix C to the CDO rule (i.e., Diving Operations (1910.401(a)), and diver’s primary breathing gas supply; Condition 8, ‘‘Treating Diving-Related will/would not apply to commercial and, all divers carry an independent Medical Emergencies’’), and will/would diving operations that are already reserve cylinder of breathing gas with a be prohibited from conducting SCUBA exempted under 1910.401(a)(2).15 separate regulator that could be used for diving using air or nitrox breathing-gas Accordingly the scope specifies that the BCD inflation in an emergency. It will/ mixture at depths deeper than 100 fsw interim order/proposed variance will/ would also require that, when SCUBA but no deeper than 130 fsw, or outside would only apply when the dive diving, JHT will/would ensure divers the no-decompression limits, unless a 6 location is an uninspected vessel use an inflatable flotation device that is: ATA decompression chamber is ready operated by NOAA, within OSHA’s Capable of maintaining the diver at the for use (diving operations performed for geographical authority, and when such surface in a positively buoyant state; instructional purposes in accordance operations are not covered by the U.S. and, has a manually activated inflation with § 1910.401(a)(2)(i) are exempt). Coast Guard. When implementing the source, an oral inflation device, and an When using a nitrox breathing-gas conditions of the interim order/ exhaust valve. Also, when SCUBA mixture, JHT will/would be required to diving, JHT will/would ensure divers proposed permanent variance, JHT will/ meet the no-decompression provisions are never permitted to dive alone unless would have to comply fully with all of Appendix C to the CDO rule (i.e., they are line-tended and provided with safety and health provisions that are Condition 5, ‘‘Use of No-Decompression topside support. applicable to commercial diving Limits’’) and ensure that the partial Based upon the technical review of pressure of oxygen in breathing-gas operations as specified by 29 CFR 1910, the proposed alternate conditions Subpart T, except for the requirements mixtures does not exceed 1.40 ATA or described above (see section II.B.), 40% by volume, whichever exposes the specified by 29 CFR 1910.430(d)(3), OSHA preliminarily determined that diver to less oxygen. 1910.430(d)(4), 1910.423(b)(2), these conditions will/would provide Based upon the technical review of JHT’s divers with protection equivalent the proposed alternate conditions 14 In these conditions, the present tense form of to the provisions in the CDO standard regarding its use of decompression the verb (e.g., ‘‘must’’) pertains to the interim order, while the future conditional form of the verb (e.g., that regulate inflatable flotation devices. chambers (see section II.C.), OSHA ‘‘would’’) pertains to the application for a OSHA approved these same conditions preliminarily determined the specified permanent variance (designated as ‘‘permanent for NOAA-employed NDP divers when conditions will/would provide JHT’s variance’’). it granted the NOAA Alternate Diving divers with protection equivalent to the 15 Section 1910.401(a)(2) provides that the CDO standard does not apply to any dive (i) performed Standards on September 5, 2014, and CDO standard. OSHA approved these solely for instructional purposes, using open- because there are no differences in same conditions for NOAA-employed circuit, compressed-air SCUBA and conducted training requirements, medical NDP divers when it granted the NOAA within the no-decompression limits; (ii) performed clearance procedures, equipment use Alternate Diving Standards on solely for search, rescue, or related public safety purposes by or under the control of a governmental and maintenance requirements, and September 5, 2014, and because there agency; (iii) governed by 45 CFR part 46 (Protection diving procedures for NOAA-employed are no differences in training of Human Subjects, U.S. Department of Health and and JHT-employed divers under the requirements, medical clearance Human Services) or equivalent rules or regulations NDP, OSHA grants JHT’s request for an procedures, equipment use and established by another federal agency, which regulate research, development, or related purposes interim order, and proposes to grant maintenance requirements, and required involving human subjects; or (iv) fitting the JHT’s request for a permanent variance, diving procedures for NOAA-employed standard’s definition of ‘‘scientific diving.’’ using the conditions of the NOAA and JHT-employed divers under the
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NDP, OSHA grants JHT’s request for an recorded under this provision, in year’s dive locations, with a report interim order, and proposes to grant the concert with the information provided summarizing the dives completed requested permanent variance, using the under proposed condition G (using during the year just ended and conditions of the NOAA Alternate OSHA 301 Incident Report form to evaluating the effectiveness of the Diving Standards in combination with investigate and record dive-related variance conditions in providing a safe the additional conditions specified in recordable injuries as defined by 29 CFR and healthful work environment and in this notice. 1904.4, 1904.7, 1904.8 through 1904.12), preventing dive-related incidents. will/would enable the applicant and It should be noted that the Proposed Condition E: Worker OSHA to determine the effectiveness of requirement of completing and Qualification and Training the interim order and proposed submitting the dive-related (recordable) OSHA added this proposed condition, permanent variance in preventing DCS incident investigation report (OSHA 301 which will/would require JHT to and other dive-related injuries and form) will/would be more restrictive develop and implement an effective illnesses.16 than the current recordkeeping qualification and training program for requirement of completing the OSHA its affected divers that, at a minimum, Proposed Condition G: Notifications 301 form within seven (7) calendar days meets the requirements set forth in 29 OSHA added this proposed condition of the incident (29 CFR 1904.29(b)(3)). CFR 1910.410 qualifications of a dive to JHT’s application in order to ensure This modified and more stringent team. The proposed condition specifies that the applicant provides timely incident investigation and reporting that as members of the NDP, JHT’s notification regarding the continued use requirement will/would be restricted to affected divers must/would be required and effectiveness of the proposed dive-related (recordable) incidents only. to successfully complete the three-week, conditions in maintaining the safety and Providing notification will/would be 140-hour ‘‘Working Diver’’ course that health of affected divers and preventing essential because time is a critical trains NOAA and contractor divers to dive-related incidents. element in OSHA’s ability to determine perform a wide range of skills utilizing Under this proposed condition, the the continued effectiveness of the a variety of power and hand tools and applicant will/would be required to: (1) variance conditions in preventing dive- specialized equipment. The proposed Notify the Office of Technical Programs related incidents, and the applicant’s condition also specifies that JHT’s diver and Coordination Activities (OTPCA) identification and implementation of must/would be required to complete and the Area Office closest to the dive appropriate corrective and preventive NDP’s diver training requirements, location of any recordable injuries, actions. which include: (1) Instruction in the illnesses, in-patient hospitalizations, Further, these notification conditions of the proposed variance; (2) amputations, loss of an eye, or fatality requirements will/would enable the annual refresher training in oxygen that occur as a result of diving applicant, its employees, and OSHA to administration (academic and practical operations within eight (8) hours of the determine the effectiveness of the components); (3) instruction in incident; (2) provide OTPCA and the proposed permanent variance in maintaining current CPR/AED and First Area Office closest to the dive location providing the requisite level of safety to Aid certification; (4) maintaining within twenty-four (24) hours of the the applicant’s divers, and based on this proficiency in diving by making at least incident with a copy of the incident determination, whether to revise or three (3) dives per quarter; (5) investigation report (using OSHA 301 revoke the conditions of the proposed completing and passing an annual swim form); (3) include on the OSHA 301 permanent variance. Timely notification test; (6) completing and passing an form information on the diving will/would permit OSHA to take annual skills test to demonstrate the conditions associated with the whatever action may be necessary and diver’s ability to safely operate recordable injury or illness, the root- appropriate to prevent further injuries underwater; (7) successfully completing cause determination, and preventive and illnesses. Providing notification to one or more annual rescue drills to and corrective actions identified and affected employees will/would inform demonstrate the diver’s ability to implemented; (4) provide its them of the precautions taken by the surface, extricate, treat and evacuate the certification that it informed affected applicant to prevent similar incidents in victim of a diving accident; and (8) divers of the incident and the results of the future. instruction in properly verifying that the the incident investigation; (5) notify Additionally, this proposed condition diver’s life support gear was serviced OTPCA and the Area Office closest to also will/would require the applicant to annually by a certified technician. the dive location within fifteen (15) notify OSHA if it ceases to do business, OSHA believes that having well- working days should the applicant need has a new address or location for its trained and qualified divers performing to revise its dive procedures to main office, or transfers the operations the required dive tasks ensures that they accommodate changes in its diving covered by the proposed permanent recognize, and respond appropriately to operations that affect its ability to variance to a successor company. underwater safety and health hazards. comply with the conditions of the Further, the condition will/would These qualification and training proposed permanent variance; and (6) specify that OSHA must approve the requirements will/would enable affected by the fifteenth (15th) of January, at the transfer of the interim order or proposed JHT divers to cope effectively with beginning of each new calendar year, permanent variance to a successor emergencies, as well as the discomfort provide OTPCA, and the Area and company. These requirements will/ and physiological effects of hyperbaric Regional Offices closest to the preceding would: (1) Provide assurance that the exposure, thereby preventing injury, successor company has knowledge of, illness, and fatalities. 16 See 29 CFR 1904, Recording and Reporting and would comply with, the conditions Occupational Injuries and Illnesses (http:// specified by the interim order or Proposed Condition F: Recordkeeping www.osha.gov/pls/oshaweb/owadisp.show_ document?p_table=STANDARDS&p_id=9631); proposed permanent variance; (2) allow OSHA also includes proposed recordkeeping forms and instructions (http:// OSHA to communicate effectively with condition F, which will/would require www.osha.gov/recordkeeping/RKform300pkg- the applicant regarding the status of the the applicant to maintain records of fillable-enabled.pdf); and updates to OSHA’s interim order or proposed permanent recordkeeping rule, 79 Fed Reg. 56130, September specific factors associated with each 18, 2014 (more information available at: http:// variance; and (3) expedite the Agency’s dive. The information gathered and www.osha.gov/recordkeeping2014/index.html). administration and enforcement of the
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interim order or proposed permanent starting with the publication of this and scientific diving. To qualify for the variance, thereby ensuring the notice, the interim order shall remain in scientific diving exemption, all of the continued safety of affected divers. effect until the Agency publishes a final requirements in 29 CFR decision on the application for a 1910.401(a)(2)(iv) and Appendix B to 29 IV. Grant of Interim Order permanent variance, or until the Agency CFR part 1910, subpart T, must be met. In Addition to a permanent variance, modifies or revokes the interim order in 4. Except for the requirements JHT requested an interim order, which accordance with 29 CFR 1905.13, specified by 29 CFR 1910.430(d)(3), would remain in effect until the Agency whichever occurs first. 1910.430(d)(4), 1910.423(b)(2), modifies or revokes the interim order, or V. Specific Conditions of the Interim 1910.423(c)(1), 1910.423(c)(3), and until the Agency makes a decision on its 1910.424(b)(2), JHT must/would be application for a permanent variance, Order and the Application for a Permanent Variance required to comply fully with all other whichever occurs first. During this applicable provisions of Subpart T of 29 interim period, the applicant is required After comprehensively reviewing the CFR part 1910 when conducting to comply fully with the conditions of evidence, OSHA has preliminarily commercial diving operations. the interim order as an alternative to determined that the proposed 5. The interim order will remain in complying with the inflatable flotation conditions will provide a place of effect until the Agency publishes a final device requirements of 29 CFR employment as safe and healthful as decision on the application for a 1910.430(d)(3) and (4), and the that provided by 29 CFR 1910.430(d)(3), permanent variance, or until the Agency decompression chamber requirements of 1910.430(d)(4), 1910.423(b)(2), modifies or revokes the interim order in 29 CFR 1910.423(b)(2), (c)(1), and (c)(3), 1910.423(c)(1), 1910.423(c)(3), and accordance with 29 CFR 1905.13, and 1910.424(b)(2). 1910.424(b)(2). The following As described earlier in this notice, conditions apply to the interim order whichever occurs first. JHT proposes to adopt the conditions of that OSHA is granting to JHT. In B. List of Abbreviations the NOAA Alternate Diving Standards, addition, these conditions specify the which were granted to NOAA on alternative means of compliance that Abbreviations used throughout this September 5, 2014, as the conditions of OSHA proposes for JHT’s requested proposed permanent variance would the interim order and permanent permanent variance from the above- include the following: variance. In addition to adopting the listed provisions of Subpart T of 29 CFR ATA—Atmosphere Absolute NOAA Alternate Diving Standards’ part 1910. The conditions will/would BCD—Buoyancy Compensator Device conditions for deviating from the apply to all of JHT’s commercial diving CDO—Commercial Diving Operations applicable inflatable flotation device operations conducted from NOAA DCS—Decompression Sickness and decompression chamber provisions fsw—feet of seawater vessels under the NOAA Diving JHT—Jardon and Howard Technologies, of Subpart T, OSHA added several Program (NDP). These conditions Incorporated conditions, which the Agency believes include: NDP—NOAA Diving Program are necessary to ensure the safety of A. Scope OSHA—Occupational Safety and Health JHT’s divers who conduct commercial Administration diving operations for NOAA under the 1. This interim order/permanent OTPCA—OSHA’s Office of Technical NDP. variance applies/would apply only to Programs and Coordination Activities After comprehensively reviewing the JHT’s commercial diving operations p.s.i.—pounds per square inch record discussed above, the Agency conducted for NOAA under the NDP SCUBA—Self Contained Underwater preliminarily finds that when the from a NOAA vessel. Breathing Apparatus employer complies with the conditions 2. The interim order/permanent C. Requirements for Inflatable Flotation of the proposed variance, the working variance only applies/would apply to Devices conditions of the applicant’s workers JHT diving operations that are covered would be at least as safe and healthful under Subpart T of 29 CFR part 1910 1. When using a BCD for SCUBA as if the employer complied with the (see 29 CFR 1910.401(a)). Accordingly, diving, JHT will/would ensure that: The working conditions specified by 29 CFR the variance will/would only apply device is used in accordance with the 1910.430(d)(3), 1910.430(d)(4), when the dive location is an manufacturer’s instructions; is capable 1910.423(b)(2), 1910.423(c)(1), uninspected vessel within OSHA’s of being inflated orally and via the 1910.423(c)(3), and 1910.424(b)(2). geographical authority, as defined by 29 diver’s primary breathing gas supply; Accordingly, OSHA is issuing an U.S.C. 653(a), and when such operations and all divers carry an independent interim order to the applicant pursuant are not covered by the U.S. Coast Guard. reserve cylinder of breathing gas with a to the provisions of 29 CFR 1910.11(c). 3. The interim order/permanent separate regulator that could be used for In lieu of complying with the provisions variance will/would not apply to BCD inflation in an emergency. listed of Subpart T specified above, the commercial diving operations exempted 2. When SCUBA diving, JHT will/ applicant will: (1) Comply with the by 29 CFR 1910.401(a)(2), including would ensure that divers use an conditions listed below in Section V diving operations performed solely for inflatable flotation device that is: (‘‘Specific Conditions of the Interim instructional purposes, using open- Capable of maintaining the diver at the Order and the Application for a circuit, compressed-air SCUBA and surface in a positively buoyant state; Permanent Variance’’) of this notice for conducted within the no-decompression and have a manually activated inflation as long as the interim order remains in limits; diving performed solely for source, an oral inflation device, and an effect; (2) comply fully with all other search, rescue, or related public safety exhaust valve. applicable provisions of 29 CFR part purposes by or under the control of a 3. When SCUBA diving, JHT will/ 1910; and (3) provide a copy of this governmental agency; or; diving for would ensure that divers are never Federal Register notice to all employees research, development, or related permitted to dive alone unless they are affected by the proposed conditions, purposes involving human subjects, as line-tended and provided with topside using the same means it used to inform governed by 45 CFR part 46 or support (as a minimum, topside support these employees of its application for a equivalent rules or regulations includes a designated person-in-charge permanent variance. During the period established by another federal agency; and a standby diver).
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D. Requirements for Decompression successfully completes NOAA’s three- associated with the recordable injury or Chambers week, 140-hour ‘‘Working Diver’’ illness, the root-cause determination, 1. For any dive that is outside the no- course; and preventive and corrective actions 3. Ensure that the diver training decompression limits or deeper than identified and implemented; program also includes the following: (a) 130 fsw or using mixed gas with a 4. Provide its certification that it Instruction in the conditions of the percentage of oxygen less than air as a informed affected divers of the incident proposed variance; (b) annual refresher breathing mixture, JHT will/would and the results of the incident training in oxygen administration instruct the diver to remain awake and investigation; (academic and practical components); in the vicinity of the decompression (c) instruction in maintaining current 5. Notify OTPCA and the Area Office chamber, which is at the dive location CPR/AED and First Aid certification; (d) closest to the dive location within for at least one hour after the dive maintaining proficiency in diving by fifteen (15) working days should the (including decompression or treatment making at least three (3) dives per applicant need to revise its dive as appropriate). quarter; (e) completing and passing an procedures to accommodate changes in 2. For any dive using air or a nitrox its diving operations that affect its breathing-gas mixture within the no- annual swim test; (f) completing and passing an annual skills test to ability to comply with the conditions of decompression limits that is deeper the proposed permanent variance; than 100 fsw but no deeper than 130 demonstrate the diver’s ability to safely fsw, JHT will/would make available operate underwater; (g) successfully 6. Obtain OSHA’s written approval within four hours of the dive location, completing one or more annual rescue prior to implementing the revision in its a decompression chamber capable of drills to demonstrate the diver’s ability dive procedures to accommodate recompressing the diver at the surface to to surface, extricate, treat and evacuate changes in its diving operations that a minimum of 165 fsw (6 ATA). the victim of a diving accident; and (h) affect its ability to comply with the 3. For any dive using air or nitrox instruction in properly verifying that the conditions in the proposed permanent breathing-gas mixture within the no- diver’s life support gear was serviced variance; decompression limits that is deeper annually by a certified technician; 7. By the fifteenth (15th) of January, 4. Document the training in order to than 100 fsw but no deeper than 130 at the beginning of each new calendar provide a means of tracking the training fsw, JHT will/would make available a year, provide OTPCA, and the Area and received by divers and, consequently, to decompression chamber that is: dual- Regional Offices closest to the preceding prompt JHT to update that training if lock, multiplace, and located within year’s dive locations, with a report necessary. four hours of the dive location. summarizing the dives completed 4. JHT will/would have to meet the F. Recordkeeping during the year just ended and medical-treatment provisions of JHT will/would be required to: evaluating the effectiveness of the Appendix C to the CDO rule (i.e., 1. Maintain records of recordable variance conditions in providing a safe Condition 8, ‘‘Treating Diving-Related injuries that occur as a result of diving and healthful work environment and in Medical Emergencies’’). operations conducted for NOAA under preventing dive-related incidents; 5. JHT will/would be prohibited from the NDP; 8. Notify OSHA if it ceases to do conducting SCUBA diving using air or 2. Ensure that the information business, has a new address or location nitrox breathing-gas mixture at depths gathered and recorded under this for its main office, or transfers the deeper than 100 fsw but no deeper than provision, in concert with the operations covered by the proposed 130 fsw, or outside the no- information provided under proposed permanent variance to a successor decompression limits, unless a 6 ATA condition G (using OSHA 301 Incident company; and decompression chamber is ready for use Report form to investigate and record (diving operations performed for 9. Ensure that OSHA would approve dive-related recordable injuries as the transfer of the interim order or instructional purposes in accordance defined by 29 CFR 1904.4, 1904.7, with § 1910.401(a)(2)(i) are exempt). permanent variance to a successor 1904.8 through 1904.12), would enable company. 6. When using a nitrox breathing-gas the JHT and OSHA to determine the mixture, JHT will/would have to meet effectiveness of the proposed permanent OSHA will publish a copy of this the no-decompression provisions of variance in preventing DCS and other notice in the Federal Register. Appendix C to the CDO rule (i.e., 17 dive-related injuries and illnesses. Authority and Signature Condition 5, ‘‘Use of No-Decompression Limits’’) and ensure that the partial G. Notifications Thomas M. Galassi, Acting Deputy pressure of oxygen in breathing-gas JHT will/would be required to: Assistant Secretary of Labor for mixtures does not exceed 1.40 ATA or 1. Notify the OTPCA and the Area Occupational Safety and Health, 200 40% by volume, whichever exposes the Office closest to the dive location of any Constitution Avenue NW., Washington, diver to less oxygen. recordable injuries, illnesses, in-patient DC 20210, authorized the preparation of hospitalizations, amputations, loss of an E. Worker Qualification and Training this notice. Accordingly, the Agency is eye, or fatality that occur as a result of issuing this notice pursuant to 29 U.S.C. JHT will/would be required to: diving operations within eight (8) hours 655(d), Secretary of Labor’s Order No. 1. Develop and implement an of the incident; 1–2012 (77 FR 3912, Jan. 25, 2012), and effective qualification and training 2. Provide OTPCA and the Area Office 29 CFR 1905.11. program for its affected divers that as a closest to the dive location within minimum, meets the requirements set twenty-four (24) hours of the incident Signed at Washington, DC, on July 19, 2017. forth in 29 CFR 1910.410 qualifications with a copy of the incident investigation of a dive team; report (using OSHA 301 form); Thomas M. Galassi, 2. Ensure that each affected diver 3. Include on the OSHA 301 form Acting Deputy Assistant Secretary of Labor (including, but not limited to, current information on the diving conditions for Occupational Safety and Health. and newly assigned to be involved in [FR Doc. 2017–15876 Filed 8–1–17; 8:45 am] diving operations under the NDP) 17 See footnote 16. BILLING CODE 4510–26–P
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NUCLEAR REGULATORY • Federal Rulemaking Web site: Go to existing HEAF zone of influences (ZOIs) COMMISSION http://www.regulations.gov and search damage models and support revisions to for Docket ID NRC–2017–0168. those methods if necessary. [NRC–2017–0168] • NRC’s Agencywide Documents Additionally, phase 2 of testing will Draft Test Plan High Energy Arcing Access and Management System focus on the HEAFs involving Faults Phase 2 (ADAMS): You may obtain publicly- aluminum components as it pertains to available documents online in the both increased physical damage states AGENCY: Nuclear Regulatory ADAMS Public Documents collection at and potential product of combustion Commission. http://www.nrc.gov/reading-rm/ electrical conductivity concerns. This ACTION: Draft test plan; request for adams.html. To begin the search, select research is also being proposed as an comment. ‘‘ADAMS Public Documents’’ and then international nuclear safety research select ‘‘Begin Web-based ADAMS project. SUMMARY: The U.S. Nuclear Regulatory Search.’’ For problems with ADAMS, Currently, there are two available Commission (NRC) is requesting public please contact the NRC’s Public methods to model HEAF damage. comment on the draft test plan entitled, Document Room (PDR) reference staff at Electrical enclosure guidance is ‘‘High Energy Arcing Faults (HEAFs) in 1–800–397–4209, 301–415–4737, or by contained in NUREG/CR–6850 (EPRI Electrical Equipment Phase 2,’’ in order email to [email protected]. The draft 1011989), ‘‘EPRI/NRC–RES Fire PRA to receive feedback from the widest test plan, ‘‘High Energy Arcing Faults Methodology for Nuclear Power range of interested parties and to ensure (HEAFs) in Electrical Equipment Phase Facilities Volume 2: Detailed that all information relevant to 2,’’ is available in ADAMS under Methodology,’’ Appendix M (ADAMS developing this document is available to Accession No. ML17201Q551. Accession No. ML15167A411). This the NRC staff. • NRC’s PDR: You may examine and model is limited because it was largely DATES: Submit comments by September purchase copies of public documents at derived from empirical evidence from 1, 2017. Comments received after this the NRC’s PDR, Room O1–F21, One one single well-documented HEAF date will be considered if it is practical White Flint North, 11555 Rockville event that occurred at the San Onofre to do so, but the Commission is able to Pike, Rockville, Maryland 20852. Nuclear Generating Station, Unit 3, on ensure consideration only for comments February 3, 2001. A second method that B. Submitting Comments received on or before this date. focuses on damage involving bus duct ADDRESSES: You may submit comments Please include Docket ID NRC–2017– HEAF events can be found in NUREG/ by any of the following methods: 0168 in the subject line of your CR–6850 (EPRI 1019259) Supplement 1, • Federal Rulemaking Web site: Go to comment submission. ‘‘Fire Probabilistic Risk Assessment http://www.regulations.gov and search The NRC cautions you not to include Methods Enhancements’’, Section 7 for Docket ID NRC–2017–0168. Address identifying or contact information that ‘‘Bus Duct (Counting) Guidance for questions about NRC dockets to Carol you do not want to be publicly High-Energy Arcing Faults (FAQ 07– Gallagher; telephone: 301–415–3463; disclosed in your comment submission. 0035)’’ (ADAMS Accession No. email: [email protected]. For The NRC posts all comment ML15167A550). technical questions, contact the submissions at http:// Both methods employ a ‘‘one size fits individual listed in the FOR FURTHER www.regulations.gov as well as entering all’’ ZOI methodology that prescribes a INFORMATION CONTACT section of this the comment submissions into ADAMS. damage zone around an initiating document. The NRC does not routinely edit component. These ZOIs prescribe • Mail comments to: Cindy Bladey, comment submissions to remove damage to potentially vulnerable Office of Administration, Mail Stop: identifying or contact information. electrical or electromechanical TWFN–8–D36M, U.S. Nuclear If you are requesting or aggregating components nearby such as cables, Regulatory Commission, Washington, comments from other persons for transformers, ventilation fans, other DC 20555–0001. submission to the NRC, then you should cabinets, etc. The international For additional direction on obtaining inform those persons not to include Organization for Economic Co-operation information and submitting comments, identifying or contact information that and Development (OECD)/Nuclear see ‘‘Obtaining Information and they do not want to be publicly Energy Agency (NEA) experimental Submitting Comments’’ in the disclosed in their comment submission. HEAF Project was created in an attempt SUPPLEMENTARY INFORMATION section of Your request should state that the NRC to take an exploratory scientific this document. does not routinely edit comment approach to better understand the HEAF FOR FURTHER INFORMATION CONTACT: submissions to remove such information phenomena and produce data that could Nicholas Melly, Office of Nuclear before making the comment be used to better inform fire modeling Regulatory Research, U.S. Nuclear submissions available to the public or techniques for postulating a realistic Regulatory Commission, Washington, entering the comment submissions into damage range of HEAF scenarios. The DC 20555–0001; telephone: 301–415– ADAMS. report can be downloaded here: https:// www.oecd-nea.org/nsd/docs/2017/csni- 2392; email: [email protected]. II. Discussion r2017-7.pdf. SUPPLEMENTARY INFORMATION: The purpose of this test program is to This draft test plan describes the I. Obtaining Information and better understand the fire risk presented NRC’s next phase of testing necessary to Submitting Comments by high energy arc fault phenomena and better understand the HEAF phenomena to characterize physical parameters such and to characterize the damage A. Obtaining Information as the thermal conditions, pressure involving thermal conditions, pressure Please refer to Docket ID NRC–2017– effects, and electrical conductive effects, and electrically conductive 0168 when contacting the NRC about products of combustion created by deposits on nearby surfaces created by the availability of information for this HEAFs occurring primarily in electrical HEAFs occurring in electrical cabinets action. You may obtain publicly- cabinets and bus ducts. The and bus ducts. The results of this available information related to this experimental data will be used by the program will provide qualitative action by any of the following methods: NRC to determine the adequacy of information on the impact of HEAFs on
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typical fire probabilistic risk assessment Filing Online system at http:// Comments filed July 20, 2017, did not targets such as electrical cable and www.prc.gov. Those who cannot submit have the benefit of the Postal Service’s nearby equipment. The experimental comments electronically should contact responses to CHIR No. 3 or CHIR No. 4 data will be used by the NRC to the person identified in the FOR FURTHER (and had only one day to review and determine the adequacy of existing INFORMATION CONTACT section by consider the Postal Service’s response to HEAF ZOIs presented in NUREG/CR– telephone for advice on filing CHIR No. 2). The Association for Postal 6850, Appendix M and Supplement 1 alternatives. Commerce notes that ‘‘a few elements in and to adjust existing methodology as FOR FURTHER INFORMATION CONTACT: the Postal Service’s filing, and in its necessary. The phase 2 testing will also David A. Trissell, General Counsel, at proposed Move Update assessment focus on the HEAF involving aluminum (202) 789–6820. process generally, . . . warrant further components as it pertains to both 5 SUPPLEMENTARY INFORMATION: On June explanation.’’ increased physical damage states and 30, 2017, the Postal Service filed a The Commission, due to the potential electrical conductive products of notice of market dominant price importance of this missing information combustion concerns. This test program adjustment and classification changes in to the issues of the proceeding (for both is also being proposed internationally accordance with 39 U.S.C. 3622 and 39 informed comments and the through the OECD and the NEA as a CFR part 3010.1 On July 3, 2017, Order Commission’s review), finds that collaborative international nuclear No. 3990 established the procedural commenters and its own review would safety research program. schedule for this proceeding, including be prejudiced without equitably tolling This document is not intended for a comment deadline of July 20, 2017.2 the time of filing (and deadlines set by interim use. The NRC will review public By rule, the Commission determines, at that time of filing). Therefore, the comments received on the document, a minimum, whether the planned Commission finds it necessary to incorporate suggested changes as adjustment is consistent with the price constructively adjust (toll) the filing appropriate, and make the final test plan cap 14 days following the comment date for Postal Service’s Notice to July available. Consistent with past deadline. See 39 CFR 3010.11(d). These 20, 2017, at which time the Postal experimental programs, the final test dates are predicated on complete Service had provided the bulk of the plan will be considered a living information being available for parties information necessary to evaluate the document. to comment on and the Commission to potential impacts of proposed changes Changes to the final test plan can, and 3 in its Notice. As a result, commenters likely will be made during the testing review. See, e.g., 39 CFR 3010.12(b)(3). This case represents a series of changes may file additional comments by August phase as insights and observations from 6 relating to the Move Update assessment 9, 2017. Likewise, the date required by the testing develop that would suggest 39 CFR 3010.11(d) for the Commission’s changes are necessary to ensure charge, where complete information regarding the potential price cap determination shall be August 23, 2017. valuable data from experiments is being It is ordered: obtained. impacts of the changes was not available with the Postal Service’s initial filing, 1. Any additional comments are due Dated at Rockville, Maryland, this 27th day prompting several Chairman’s by August 9, 2017. of July, 2017. Information Requests.4 2. The Commission’s determination, For the Nuclear Regulatory Commission. pursuant to 39 CFR 3010.11(d) shall be Mark Henry Salley, 1 United States Postal Service Notice of Market filed by August 23, 2017. Chief, Fire and External Hazard Analysis Dominant Price Adjustment and Classification 3. The Secretary shall arrange for Branch, Division of Risk Analysis, Office of Changes, June 30, 2017 (Notice). publication of this order in the Federal Nuclear Regulatory Research. 2 Notice and Order on Price Adjustment for Move Register. Update, July 3, 2017 (Order No. 3990). Comments [FR Doc. 2017–16233 Filed 8–1–17; 8:45 am] for market dominant rate adjustments are due 20 By the Commission. BILLING CODE 7590–01–P days after the date of filing, pursuant to 39 CFR Ruth Ann Abrams, 3010.11(a)(5). Acting Secretary. 3 39 CFR 3010.12(b)(3) requires that the Postal Service include with its notice of rate adjustment [FR Doc. 2017–16199 Filed 8–1–17; 8:45 am] POSTAL REGULATORY COMMISSION { } ‘‘ t he percentage change in rates for each class of BILLING CODE 7710–FW–P [Docket No. R2017–7; Order No. 4018] mail calculated as required by § 3010.23.’’ It further requires that this information ‘‘be supported by workpapers in which all calculations are shown Postal Rate and Classification and all input values, including current rates, new Changes rates, and billing determinants, are listed with POSTAL SERVICE citations to the original sources.’’ Id. 39 CFR AGENCY: Postal Regulatory Commission. 3010.23(d)(2) requires that the Postal Service ‘‘make Sunshine Act Meeting ACTION: Notice. reasonable adjustments to the billing determinants to account for the effects of classification changes Temporary Emergency Committee of SUMMARY: The Commission is providing such as the introduction, deletion, or redefinition the Board of Governors notice of its adjustment to the of rate cells.’’ 39 CFR 3010.23(d)(2). In making those adjustments, the Postal Service is required to DATES AND TIMES: procedural schedule to allow for ‘‘identify and explain all adjustments’’ and provide Thursday, August 7, additional time to file comments ‘‘{a}ll information and calculations relied upon to 2017, at 9:00 a.m. regarding the Postal Service’s filing develop the adjustments . . . with an explanation PLACE: Washington, DC. amending prices and classification of why the adjustments are appropriate.’’ Id. 4 The Postal Service proposes an increase to the STATUS: Closed. language for Move Update. This notice Move Update assessment charge, an updated MATTERS TO BE CONSIDERED: informs the public of the filing, invites enforcement method for the charge, and a change public comment, and takes other to the threshold for its tolerance of change of 2017 (CHIR No. 4); Chairman’s Information Request administrative steps. address (COA) errors. Notice at 1; id. n.1. There have been five Chairman’s Information Requests No. 5, July 27, 2017. DATES: Comments are due August 9, issued in this case: Chairman’s Information Request 5 Comments of the Association for Postal 2017. No. 1, July 5, 2017; Chairman’s Information Request Commerce, July 20, 2017, at 1 (PostCom No. 2, July 7, 2017 (CHIR No. 2); Chairman’s Comments). ADDRESSES: Submit comments Information Request No. 3, July 13, 2017 (CHIR No. 6 All comments received to date shall also be electronically via the Commission’s 3); Chairman’s Information Request No. 4, July 20, considered.
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Thursday, August 7, 2017, at 9:00 a.m. settlement cycle from three business cycle from T+3 to T+2.4 Following this 1. Financial Matters. days after the trade date (‘‘T+3’’) to two action by the SEC, the Exchange business days after the trade date adopted new rules with the modifier 2. Strategic Issues. 5 3. Personnel Matters and (‘‘T+2’’), to (1) delete NYSE Rule 282.65 ‘‘T’’ to reflect a T+2 settlement cycle. Compensation Issues. (Failure to Deliver and Liability Notice Because the Exchange would not 4. Executive Session—Discussion of Procedures) (‘‘Rule 282.65’’) and Section implement the new rules until after the final implementation of T+2, the prior agenda items and Temporary 703.02 (part 2) (Stock Split/Stock Exchange retained the versions of the Emergency Committee governance. Rights/Stock Dividend Listing Process) (‘‘Section 703.02 (part 2)’’) of the NYSE rules reflecting T+3 settlement on its GENERAL COUNSEL CERTIFICATION: The Listed Company Manual (‘‘Listed books. Certain of these rules have since General Counsel of the United States Company Manual’’); (2) delete the been deleted in connection with the Postal Service has certified that the preamble and ‘‘T’’ modifier from NYSE Exchange’s elimination of non-regular meeting may be closed under the Rule 282.65T (Failure to Deliver and way trading.6 In order to reduce the Government in the Sunshine Act. Liability Notice Procedures) (‘‘Rule potential for confusion regarding which CONTACT PERSON FOR MORE INFORMATION: 282.65T’’) and Section 703.02T (part 2) version of the rule governs, the Julie S. Moore, Secretary of the Board, (Stock Split/Stock Rights/Stock Exchange added explanatory preambles, U.S. Postal Service, 475 L’Enfant Plaza Dividend Listing Process) (‘‘Section provided below. SW., Washington, DC 20260–1000. 703.02T’’) of Listed Company Manual; In particular, the following preamble Telephone: (202) 268–4800. and (3) establish the operative date of was added to the Rule 282.65 and Rule 282.65T and Section 703.02T of Section 703.02 (part 2): Julie S. Moore, ‘‘This version of . . . will remain Secretary. the Listed Company Manual. The proposed rule change is available on the operative until the Exchange files [FR Doc. 2017–16301 Filed 7–31–17; 11:15 am] Exchange’s Web site at www.nyse.com, separate proposed rule changes as BILLING CODE 7710–12–P at the principal office of the Exchange, necessary to establish the operative date and at the Commission’s Public of ..., to delete this version of . . . Reference Room. and preamble, and to remove the SECURITIES AND EXCHANGE preamble text from the version of .... COMMISSION II. Self-Regulatory Organization’s In addition to filing the necessary Statement of the Purpose of, and proposed rule changes, the Exchange [Release No. 34–81231; File No. SR–NYSE– Statutory Basis for, the Proposed Rule will announce via Information Memo 2017–38] Change the operative date of the deletion of this Self-Regulatory Organizations; New In its filing with the Commission, the Rule and implementation of . . .’’ York Stock Exchange LLC; Notice of self-regulatory organization included The following preamble was added to Filing and Immediate Effectiveness of statements concerning the purpose of, the Rule 282.65T and Section 703.02T: ‘‘The Exchange will file separate Proposed Rule Change in Connection and basis for, the proposed rule change proposed rule changes to establish the With the September 5, 2017 and discussed any comments it received operative date of ..., to delete . . . Compliance Date for the Shortening of on the proposed rule change. The text and the preamble text from ..., and the Standard Settlement Cycle From of those statements may be examined at to remove the preamble text from the Three Business Days After the Trade the places specified in Item IV below. version of .... Until such time,... Date to Two Business Days After the The Exchange has prepared summaries, will remain operative. In addition to Trade Date set forth in sections A, B, and C below, filing the necessary proposed rule of the most significant parts of such changes, the Exchange will announce July 27, 2017. statements. Pursuant to Section 19(b)(1) 1 of the via Information Memo the Securities Exchange Act of 1934 (the A. Self-Regulatory Organization’s implementation of this Rule and the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Statement of the Purpose of, and the operative date of the deletion of . . .’’ notice is hereby given that on July 26, Statutory Basis for, the Proposed Rule On March 22, 2017, the SEC adopted 2017, New York Stock Exchange LLC Change the proposed amendment to Rule 15c6– 1(a) under the Act 7 with a compliance (‘‘NYSE’’ or the ‘‘Exchange’’) filed with 1. Purpose the Securities and Exchange date of September 5, 2017.8 In connection with the September 5, Commission (the ‘‘Commission’’) the Proposed Rule Change proposed rule change as described in 2017 compliance date for shortening of Items I, II, and III below, which Items the standard settlement cycle from T+3 In order to comply with the have been prepared by the self- to T+2, the Exchange proposes to (1) September 5, 2017, transition to T+2 regulatory organization. The delete Rule 282.65 and Section 703.02 settlement, the Exchange proposes to: • Delete Rule 282.65 and Section Commission is publishing this notice to (part 2) of the Listed Company Manual; 703.02 (part 2), including the preambles, solicit comments on the proposed rule (2) delete the preamble and ‘‘T’’ in their entirety; change from interested persons. modifier from Rule 282.65T and Section 703.02T of the Listed Company Manual; I. Self-Regulatory Organization’s and (3) establish the operative date of 4 See Securities Exchange Act Release No. 78962 (September 28, 2016), 81 FR 69240 (October 5, Statement of the Terms of Substance of Rule 282.65T and Section 703.02T of the Proposed Rule Change 2016) (File No. S7–22–16). the Listed Company Manual as 5 See Securities Exchange Act Release No. 80021 The Exchange proposes in connection September 5, 2017. (February 104, 2017), 82 FR 10931 (February 16, with the September 5, 2017 compliance 2017) (SR–NYSE–2016–87). Background 6 date for the shortening of the standard See Securities Exchange Act Release No. 811762 On September 28, 2016, the Securities (July 20, 2017) (SR–NYSE–2017–33). 7 See 17 CFR 240.15c6–1(a). 1 15 U.S.C. 78s(b)(1). and Exchange Commission (‘‘SEC’’) 8 See Securities Exchange Act Release No. 80295 2 15 U.S.C. 78a. proposed amendments to Rule 15c6– (March 22, 2017), 82 FR 15564 (March 29, 2017) 3 17 CFR 240.19b–4. 1(a) to shorten the standard settlement (File No. S7–22–16).
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• delete the preambles to Rule T+2 regular-way settlement cycle. The change is consistent with the Act. 282.65T Section 703.02T; and Exchange also believes that the Comments may be submitted by any of • delete the ‘‘T’’ modifier in Rule proposed rule change will serve to the following methods: 282.65T and Section 703.02T, which promote clarity and consistency, distinguished such rules from the T+3 thereby reducing burdens on the Electronic Comments rules. marketplace and facilitating investor • Use the Commission’s Internet The Exchange proposes that the protection. comment form (http://www.sec.gov/ changes described herein would take rules/sro.shtml); or effect on September 5, 2017, to coincide C. Self-Regulatory Organization’s with the transition to T+2. The Statement on Comments on the • Send an email to rule-comments@ Exchange will announce via Information Proposed Rule Change Received From sec.gov. Please include File Number SR– Memo the implementation of Rule Members, Participants, or Others NYSE–2017–38 on the subject line. 282.65T and Section 703.02T of the No written comments were solicited Paper Comments Listed Company Manual and the or received with respect to the proposed operative date of the deletion of Rule rule change. • Send paper comments in triplicate 282.65 and Section 703.02 (part 2). III. Date of Effectiveness of the to Brent J. Fields, Secretary, Securities 2. Statutory Basis Proposed Rule Change and Timing for and Exchange Commission, 100 F Street Commission Action NE., Washington, DC 20549–1090. The Exchange believes that the proposed rule change is consistent with The Exchange has filed the proposed All submissions should refer to File Section 6(b) of the Act,9 in general, and rule change pursuant to Section Number SR–NYSE–2017–38. This file further the objectives of Section 6(b)(5) 19(b)(3)(A)(iii) of the Act 11 and Rule number should be included on the of the Act,10 in particular, because it is 19b–4(f)(6) thereunder.12 Because the subject line if email is used. To help the designed to prevent fraudulent and proposed rule change does not: (i) Commission process and review your manipulative acts and practices, Significantly affect the protection of comments more efficiently, please use promote just and equitable principles of investors or the public interest; (ii) only one method. The Commission will trade, remove impediments to and impose any significant burden on post all comments on the Commission’s perfect the mechanism of a free and competition; and (iii) become operative Internet Web site (http://www.sec.gov/ open market and a national market prior to 30 days from the date on which rules/sro.shtml). Copies of the system, and, in general, to protect it was filed, or such shorter time as the submission, all subsequent investors and the public interest. Commission may designate, if amendments, all written statements In particular, the Exchange believes consistent with the protection of with respect to the proposed rule that the proposed changes remove investors and the public interest, the change that are filed with the impediments to and perfect the proposed rule change has become Commission, and all written effective pursuant to Section 19(b)(3)(A) mechanism of a free and open market by communications relating to the of the Act and Rule 19b–4(f)(6)(iii) adding clarity as to which rules are proposed rule change between the operative and when, thereby reducing thereunder.13 At any time within 60 days of the Commission and any person, other than potential confusion, and making the those that may be withheld from the Exchange’s rules easier to navigate. The filing of such proposed rule change, the Commission summarily may public in accordance with the Exchange also believes that eliminating provisions of 5 U.S.C. 552, will be obsolete material from its rulebook and temporarily suspend such rule change if it appears to the Commission that such available for Web site viewing and Listed Company Manual also removes printing in the Commission’s Public impediments to and perfects the action is necessary or appropriate in the public interest, for the protection of Reference Room, 100 F Street NE., mechanism of a free and open market by Washington, DC 20549 on official removing confusion that may result investors, or otherwise in furtherance of the purposes of the Act. If the business days between the hours of from having obsolete material in the 10:00 a.m. and 3:00 p.m. Copies of the Exchange’s rulebook and Listed Commission takes such action, the filing also will be available for Company Manual. The Exchange Commission shall institute proceedings inspection and copying at the principal believes that eliminating such obsolete under Section 19(b)(2)(B) 14 of the Act to office of the Exchange. All comments material would not be inconsistent with determine whether the proposed rule received will be posted without change; the public interest and the protection of change should be approved or the Commission does not edit personal investors because investors will not be disapproved. identifying information from harmed and in fact would benefit from IV. Solicitation of Comments submissions. You should submit only increased transparency, thereby information that you wish to make reducing potential confusion. Interested persons are invited to submit written data, views, and available publicly. All submissions B. Self-Regulatory Organization’s arguments concerning the foregoing, should refer to File Number SR–NYSE– Statement on Burden on Competition including whether the proposed rule 2017–38 and should be submitted on or The Exchange does not believe that before August 23, 2017. 11 the proposed rule change would impose 15 U.S.C. 78s(b)(3)(A). For the Commission, by the Division of 12 17 CFR 240.19b–4(f)(6). any burden on competition that is not Trading and Markets, pursuant to delegated 13 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 15 necessary or appropriate in furtherance 4(f)(6)(iii) requires the Exchange to give the authority. of the purposes of the Act. The Commission written notice of the Exchange’s intent Eduardo A. Aleman, proposed change is not designed to to file the proposed rule change, along with a brief Assistant Secretary. address any competitive issue but rather description and text of the proposed rule change, at least five business days prior to the date of filing [FR Doc. 2017–16211 Filed 8–1–17; 8:45 am] facilitate the industry’s transition to a of the proposed rule change, or such shorter time BILLING CODE 8011–01–P as designated by the Commission. The Exchange 9 15 U.S.C. 78f(b). has satisfied this requirement. 10 15 U.S.C. 78f(b)(5). 14 15 U.S.C. 78s(b)(2)(B). 15 17 CFR 200.30–3(a)(12).
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SECURITIES AND EXCHANGE II. Self-Regulatory Organization’s • Rule 257T—Equities (Deliveries COMMISSION Statement of the Purpose of, and After Ex-Date); Statutory Basis for, the Proposed Rule • 282.65T (Failure to Deliver and [Release No. 34–81232; File No. SR– Change Liability Notice Procedures); and NYSEAMER–2017–01] • Sec. 510T (Two Day Delivery Plan) In its filing with the Commission, the and Sec. 512T (Ex-Dividend Procedure). Self-Regulatory Organizations; NYSE self-regulatory organization included The Exchange proposes that the American LLC; Notice of Filing and statements concerning the purpose of, operative date for these changes would Immediate Effectiveness of Proposed and basis for, the proposed rule change be September 5, 2017 to conform to the Rule Change in Connection With the and discussed any comments it received compliance date for T+2. September 5, 2017 Compliance Date on the proposed rule change. The text for the Shortening of the Standard of those statements may be examined at Background Settlement Cycle From Three Business the places specified in Item IV below. On September 28, 2016, the Securities Days After the Trade Date to Two The Exchange has prepared summaries, and Exchange Commission (‘‘SEC’’) Business Days After the Trade Date set forth in sections A, B, and C below, proposed amendments to Rule 15c6– of the most significant parts of such 1(a) to shorten the standard settlement July 27, 2017. statements. cycle from T+3 to T+2.6 Following this Pursuant to Section 19(b)(1) 1 of the A. Self-Regulatory Organization’s action by the SEC, the Exchange Securities Exchange Act of 1934 (the Statement of the Purpose of, and the adopted new rules with the modifier ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 7 Statutory Basis for, the Proposed Rule ‘‘T’’ to reflect a T+2 settlement cycle. notice is hereby given that on July 26, Change Because the Exchange would not 2017, NYSE American LLC (the implement the new rules until after the ‘‘Exchange’’ or ‘‘NYSE AMER’’) filed 1. Purpose final implementation of T+2, the with the Securities and Exchange In connection with the September 5, Exchange retained the versions of rules Commission (the ‘‘Commission’’) the 2017 compliance date for shortening of reflecting T+3 settlement on its books. proposed rule change as described in the standard settlement cycle from T+3 In order to reduce the potential for Items I and II below, which Items have to T+2, the Exchange proposes to delete: confusion regarding which version of been prepared by the self-regulatory • Rule 14—Equities (Non-Regular the rule governs, the Exchange added organization. The Commission is Way Settlement Instructions for explanatory preambles as noted below. publishing this notice to solicit Orders); 4 In particular, the following preamble comments on the proposed rule change • Rule 64—Equities (Bonds, Rights was added to Rules 14, 64, 235, 236, from interested persons. and 100-Share-Unit Stocks), 257, and 282.65, and Sec. 510 and Sec. I. Self-Regulatory Organization’s • Rule 235—Equities (Ex-Dividend, 512 of the Company Guide: ‘‘This version of . . . will remain Statement of the Terms of Substance of Ex-Rights); 5 operative until the Exchange files the Proposed Rule Change • Rule 236—Equities (Ex-Warrants); • Rule 257—Equities (Deliveries After separate proposed rule changes as The Exchange proposes in connection Ex-Date); necessary to establish the operative date with the September 5, 2017 compliance • Rule 282.65 (Failure to Deliver and of . . . to delete this version of . . . and date for the shortening of the standard Liability Notice Procedures); and preamble, and to remove the preamble settlement cycle from three business • Sec. 510 (Three Day Delivery Plan) text from the version of . . . In addition days after the trade date (‘‘T+3’’) to two and Sec. 512 (Ex-Dividend Procedure) of to filing the necessary proposed rule business days after the trade date the Company Guide. changes, the Exchange will announce (‘‘T+2’’), to (1) delete NYSE American The Exchange further proposes to via Information Memo the operative Rules 14—Equities, 64—Equities, 235— delete the preamble and ‘‘T’’ modifier date of the deletion of this Rule and Equities, 236—Equities, 257—Equities, from the following rules: implementation of revised . . .’’ 282—Equities. Supplementary Material The following preamble was added to • Rule 64T—Equities (Bonds, Rights .65, and Sections 510 and 512 of the Rules 14T, 64T, 235T, 236T, 257T, and and 100-Share-Unit Stocks); NYSE American Company Guide 282.65T, as well as Sections 510T and • Rule 236T—Equities (Ex-Warrants); (‘‘Company Guide’’); (2) delete the 512T of the Company Guide: ‘‘The Exchange will file separate preamble and ‘‘T’’ modifier from NYSE 4 The Exchange proposes to retain the title of American Rules 14T—Equities, 64T— current Rule 14 (‘‘Non-Regular Way Settlement proposed rule changes to establish the Equities, 235T—Equities, 236T— Instructions for Orders’’) and the legend that states operative date of . . ., to delete . . . and Equities, 257T—Equities, and 282.65— ‘‘This Rule is not applicable to trading the Pillar the preamble text from . . ., and to trading platform,’’ which was added in connection remove the preamble text from the Equities, and Sections 510T and 512T of with the Exchange’s transition to Pillar, an the Company Guide; and (3) establish integrated trading technology platform designed to version of . . . Until such time, . . . the operative date of Rules 14T— use a single specification for connecting to the will remain operative. In addition to Equities, 64T—Equities, 235T—Equities, equities and options markets operated by the filing the necessary proposed rule Exchange and its affiliates, NYSE Arca, Inc. (‘‘NYSE changes, the Exchange will announce 236T—Equities, 257T—Equities, and Arca’’) and New York Stock Exchange LLC 282 65T—Equities, and Sections 510T (‘‘NYSE’’). See Securities Exchange Act Release via Information Memo the and 512T of the Company Guide. The Nos. 80590 (May 4, 2017), 82 FR 21843 (May 10, implementation of this Rule and the proposed rule change is available on the 2017) (Approval Order) and 79993 (February 9, operative date of the deletion of . . .’’ 2017), 82 FR 10814, 10815–16 (February 15, 2017) On March 22, 2017, the SEC adopted Exchange’s Web site at www.nyse.com, (SR–NYSEMKT–2017–01) (Notice) (the ‘‘Pillar at the principal office of the Exchange, Trading Rule Filing’’). The Exchange began trading the proposed amendment to Rule 15c6– and at the Commission’s Public on the Pillar platform on July 24, 2017. Reference Room. 5 The Exchange proposes to retain the title of 6 See Securities Exchange Act Release No. 78962 current Rule 235 (‘‘Ex-Dividend, Ex-Rights’’) and (September 28, 2016), 81 FR 69240 (October 5, the legend that states ‘‘This Rule is not applicable 2016) (File No. S7–22–16). 1 15 U.S.C. 78s(b)(1). to trading the Pillar trading platform,’’ which was 7 See Securities Exchange Act Release No. 80020 2 15 U.S.C. 78a. added in connection with the Exchange’s transition (February 13, 2017), 82 FR 10940 (February 16, 3 17 CFR 240.19b–4. to Pillar. See note 5, supra. 2017) (SR–NYSEMKT–2016–119).
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1(a) under the Act 8 with a compliance impediments to and perfect the of the Act and Rule 19b–4(f)(6)(iii) date of September 5, 2017.9 mechanism of a free and open market by thereunder.15 adding clarity as to which rules are At any time within 60 days of the Proposed Rule Change operative and when, thereby reducing filing of such proposed rule change, the In order to comply with the potential confusion, and making the Commission summarily may September 5, 2017 transition to T+2 Exchange’s rules easier to navigate. The temporarily suspend such rule change if settlement, the Exchange proposes to: Exchange also believes that eliminating it appears to the Commission that such • Delete Rules 64, 236, 257, 282.65, obsolete material from its rulebook also action is necessary or appropriate in the and Sec. 510 and Sec. 512 of the removes impediments to and perfects public interest, for the protection of Company Guide, including the the mechanism of a free and open investors, or otherwise in furtherance of preambles, in their entirety; the purposes of the Act. If the • market by removing confusion that may delete the text of Rules 14 and 235, result from having obsolete material in Commission takes such action, the including the preambles, and retain the the Exchange’s rulebook. The Exchange Commission shall institute proceedings title of each rule and the legend believes that eliminating such obsolete under Section 19(b)(2)(B) 16 of the Act to providing that the rule will not be material would not be inconsistent with determine whether the proposed rule applicable to trading in the Pillar change should be approved or 10 the public interest and the protection of platform; investors because investors will not be disapproved. • delete the preambles to Rules 14T, harmed and in fact would benefit from 64T, 235T, 236T, 257T, 282.65T and IV. Solicitation of Comments increased transparency, thereby Sec. 510T and 512T of the Company reducing potential confusion. Interested persons are invited to Guide; and submit written data, views, and • delete the ‘‘T’’ modifier in Rules B. Self-Regulatory Organization’s arguments concerning the foregoing, 64T, 236T, 257T, 282.65T and Sec. 510T Statement on Burden on Competition including whether the proposed rule and 512T of the Company Guide which The Exchange does not believe that change is consistent with the Act. distinguished such rules from the T+3 the proposed rule change would impose Comments may be submitted by any of rules. any burden on competition that is not the following methods: The Exchange proposes that the necessary or appropriate in furtherance changes described herein would take Electronic Comments of the purposes of the Act. The effect on September 5, 2017, to coincide • Use the Commission’s Internet with the transition to T+2. The proposed change is not designed to address any competitive issue but rather comment form (http://www.sec.gov/ Exchange will announce via Information rules/sro.shtml); or facilitate the industry’s transition to a Memo the implementation of Rules 14T, • Send an email to rule-comments@ T+2 regular-way settlement cycle. The 64T, 235T, 236T, 257T, 282.65T and sec.gov. Please include File Number SR– Sec. 510T and 512T of the Company Exchange also believes that the NYSEAMER–2017–01 on the subject Guide and the operative date of the proposed rule change will serve to line. deletion of Rules 64, 236, 257, 282.65, promote clarity and consistency, Paper Comments and Sec. 510 and Sec. 512 of the thereby reducing burdens on the Company Guide. marketplace and facilitating investor • Send paper comments in triplicate protection. to Brent J. Fields, Secretary, Securities 2. Statutory Basis C. Self-Regulatory Organization’s and Exchange Commission, 100 F Street The Exchange believes that the Statement on Comments on the NE., Washington, DC 20549–1090. proposed rule change is consistent with Proposed Rule Change Received From All submissions should refer to File 11 Section 6(b) of the Act, in general, and Members, Participants, or Others Number SR–NYSEAMER–2017–01. This further the objectives of Section 6(b)(5) file number should be included on the No written comments were solicited of the Act,12 in particular, because it is subject line if email is used. To help the or received with respect to the proposed designed to prevent fraudulent and Commission process and review your rule change. manipulative acts and practices, comments more efficiently, please use promote just and equitable principles of III. Date of Effectiveness of the only one method. The Commission will trade, remove impediments to and Proposed Rule Change and Timing for post all comments on the Commission’s perfect the mechanism of a free and Commission Action Internet Web site (http://www.sec.gov/ open market and a national market The Exchange has filed the proposed rules/sro.shtml). Copies of the system, and, in general, to protect rule change pursuant to Section submission, all subsequent investors and the public interest. 19(b)(3)(A)(iii) of the Act 13 and Rule amendments, all written statements In particular, the Exchange believes 19b–4(f)(6) thereunder.14 Because the with respect to the proposed rule that the proposed changes remove proposed rule change does not: (i) change that are filed with the Significantly affect the protection of Commission, and all written 8 See 17 CFR 240.15c6–1(a). investors or the public interest; (ii) communications relating to the 9 See Securities Exchange Act Release No. 80295 proposed rule change between the (March 22, 2017), 82 FR 15564 (March 29, 2017) impose any significant burden on (File No. S7–22–16). competition; and (iii) become operative Commission and any person, other than 10 See notes 5 & 6, supra. As noted in the Pillar prior to 30 days from the date on which those that may be withheld from the Trading Rules Filing, once trading on the Pillar it was filed, or such shorter time as the trading platform begins, specified current Exchange 15 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– equities trading rules would no longer be Commission may designate, if 4(f)(6)(iii) requires the Exchange to give the applicable, and current Exchange rules governing consistent with the protection of Commission written notice of the Exchange’s intent equities trading that are not identified as investors and the public interest, the to file the proposed rule change, along with a brief inapplicable would continue to govern Exchange proposed rule change has become description and text of the proposed rule change, operations on its cash equities trading platform. See at least five business days prior to the date of filing Pillar Trading Rule Filing, supra note 5, 82 FR at effective pursuant to Section 19(b)(3)(A) of the proposed rule change, or such shorter time 10815–16. as designated by the Commission. The Exchange 11 15 U.S.C. 78f(b). 13 15 U.S.C. 78s(b)(3)(A). has satisfied this requirement. 12 15 U.S.C. 78f(b)(5). 14 17 CFR 240.19b–4(f)(6). 16 15 U.S.C. 78s(b)(2)(B).
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public in accordance with the Exchange’s transition to a fully- To effect its transition to Pillar, the provisions of 5 U.S.C. 552, will be automated cash equities market. The Exchange adopted the rule numbering available for Web site viewing and Exchange proposes to implement the framework of the NYSE Arca Equities, printing in the Commission’s Public rule change on July 24, 2017. The Inc. (‘‘NYSE Arca Equities’’) rules for Reference Room, 100 F Street NE., proposed change is available on the Exchange cash equities trading on the Washington, DC 20549 on official Exchange’s Web site at www.nyse.com, Pillar trading platform.7 The Exchange’s business days between the hours of at the principal office of the Exchange, trading rules for cash equity trading on 10:00 a.m. and 3:00 p.m. Copies of the and at the Commission’s Public Pillar are based on the trading rules of filing also will be available for Reference Room. NYSE Arca Equities.8 As described in inspection and copying at the principal the Trading Rules Filing, with Pillar, the office of the Exchange. All comments II. Self-Regulatory Organization’s Exchange will transition its cash received will be posted without change; Statement of the Purpose of, and equities trading platform from a Floor- the Commission does not edit personal Statutory Basis for, the Proposed Rule based market with a parity allocation identifying information from Change model to a fully automated price-time submissions. You should submit only In its filing with the Commission, the priority allocation model that trades all information that you wish to make self-regulatory organization included NMS Stocks. available publicly. All submissions statements concerning the purpose of, In connection with this transition, the should refer to File Number SR– and basis for, the proposed rule change Exchange proposes to amend its Price NYSEAMER–2017–01 and should be and discussed any comments it received List to adopt a new pricing model for submitted on or before August 23, 2017. on the proposed rule change. The text trading on the Pillar platform. The proposed changes would apply to For the Commission, by the Division of of those statements may be examined at Trading and Markets, pursuant to delegated the places specified in Item IV below. transactions executed in all trading authority.17 The Exchange has prepared summaries, sessions in securities priced at or above Eduardo A. Aleman, set forth in sections A, B, and C below, and below $1.00. The Exchange proposes to implement Assistant Secretary. of the most significant parts of such these changes effective July 24, 2017. [FR Doc. 2017–16212 Filed 8–1–17; 8:45 am] statements. BILLING CODE 8011–01–P A. Self-Regulatory Organization’s Proposed Rule Change Statement of the Purpose of, and the The Exchange proposes the following Statutory Basis for, the Proposed Rule transaction fees for trading on its Pillar SECURITIES AND EXCHANGE Change trading platform. COMMISSION The Exchange also proposes to add 1. Purpose [Release No. 34–81228; File No. SR– the following legend immediately before NYSEMKT–2017–43] On January 29, 2015, the Exchange those current fees and credits in the announced the implementation of Pillar, Self-Regulatory Organizations; NYSE which is an integrated trading Trading Halts, Short Sales, Limit Up-Limit Down, MKT LLC; Notice of Filing and technology platform designed to use a and Odd Lots and Mixed Lots); and Securities Immediate Effectiveness of Proposed single specification for connecting to the Exchange Act Release Nos. 76085 (October 6, 2015), 80 FR 61513 (October 13, 2015) (Notice) and 76869 Change To Adopt Transaction Fees in equities and options markets operated (January 11, 2016), 81 FR 2276 (January 15, 2016) Connection With the Exchange’s by the Exchange and its affiliates, NYSE (SR–NYSEArca–2015–86) (Approval Order of NYSE Transition to a Fully-Automated Cash Arca, Inc. (‘‘NYSE Arca’’) and New York Arca Pillar IV Filing, adopting rules for Auctions). Equities Market Stock Exchange LLC (‘‘NYSE’’).4 NYSE 7 See Securities Exchange Act Release No. 79242 (November 4, 2016), 81 FR 79081 (November 10, Arca Equities, Inc. (‘‘NYSE Arca 2016) (SR–NYSEMKT–2016–97) (Notice and Filing July 27, 2017. Equities),5 which operates the cash 1 of Immediate Effectiveness of Proposed Rule Pursuant to Section 19(b)(1) of the equities trading platform for NYSE Arca, Change) (the ‘‘Framework Filing’’). The rules Securities Exchange Act of 1934 (the was the first trading system to migrate applicable to cash equities trading on Pillar are 2 3 ‘‘Act’’) and Rule 19b–4 thereunder, to Pillar.6 denoted with the letter ‘‘E’’. Additionally, the notice is hereby given that, on July 19, Exchange filed a proposed rule change to support Exchange trading of securities listed on other 2017, NYSE MKT LLC (the ‘‘Exchange’’ 4 See Trader Update dated January 29, 2015, national securities exchanges on an unlisted trading or ‘‘NYSE MKT’’) filed with the available here: https://www.nyse.com/trader- privileges basis, including Exchange Traded Securities and Exchange Commission update/history#13517. Products (‘‘ETP’’) listed on other exchanges. See (the ‘‘Commission’’) the proposed rule 5 NYSE Arca Equities is a wholly-owned Securities Exchange Act Release No. 79400 corporation of NYSE Arca and operates as a facility (November 25, 2016), 81 FR 86750 (December 1, change as described in Items I, II, and of NYSE Arca. 2016) (SR–NYSEMKT–2016–103) (Notice) (the III below, which Items have been 6 NYSE Arca filed four rule proposals in ‘‘ETP Listing Rules Filing’’). prepared by the self-regulatory connection with the NYSE Arca implementation of 8 See Securities Exchange Act Release Nos. 80590 organization. The Commission is Pillar. See Securities Exchange Act Release Nos. (May 4, 2017), 82 FR 21843 (May 10, 2017) publishing this notice to solicit 74951 (May 13, 2015), 80 FR 28721 (May 19, 2015) (Approval Order) and 79993 (February 9, 2017), 82 (Notice) and 75494 (July 20, 2015), 80 FR 44170 FR 10814 (February 15, 2017) (SR–NYSEMKT– comments on the proposed rule change (July 24, 2015) (SR–NYSEArca–2015–38) (Approval 2017–01) (Notice) (‘‘Trading Rules Filing’’). The from interested persons. Order of NYSE Arca Pillar I Filing, adopting rules Exchange also has established market maker for Trading Sessions, Order Ranking and Display, obligations when trading on the Pillar trading I. Self-Regulatory Organization’s and Order Execution); Securities Exchange Act platform. See Securities Exchange Act Release No. Statement of the Terms of Substance of Release Nos. 75497 (July 21, 2015), 80 FR 45022 80577 (May 2, 2017), 82 FR 21446 (May 8, 2017) the Proposed Rule Change (July 28, 2015) (Notice) and 76267 (October 26, (SR–NYSEMKT–2017–04) (Approval Order) (‘‘DMM 2015), 80 FR 66951 (October 30, 2015) (SR– Obligations Filing’’). In addition, the Exchange will The Exchange proposes to adopt NYSEArca–2015–56) (Approval Order of NYSE introduce a delay mechanism on Pillar that will add transaction fees in connection with the Arca Pillar II Filing, adopting rules for Orders and the equivalent of 350 microseconds of latency to Modifiers and the Retail Liquidity Program); inbound and outbound order messages. See Securities Exchange Act Release Nos. 75467 (July Securities Exchange Act Release Nos. 80700 (May 17 17 CFR 200.30–3(a)(12). 16, 2015), 80 FR 43515 (July 22, 2015) (Notice) and 16, 2017), 82 FR 23381 (May 22, 2017) (SR– 1 15 U.S.C. 78s(b)(1). 76198 (October 20, 2015), 80 FR 65274 (October 26, NYSEMKT–2017–05) (Approval Order) and 79998 2 15 U.S.C. 78a. 2015) (SR–NYSEArca–2015–58) (Approval Order of (February 9, 2017), 82 FR 10828 (February 15, 2017) 3 17 CFR 240.19b–4. NYSE Arca Pillar III Filing, adopting rules for (SR–NYSEMKT–2017–05) (Notice).
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current fee schedule that would no would apply to securities priced at or rebate, eDMMs in NYSE American 11- longer be applicable when trading on above $1.00 as well as below $1.00. listed securities will receive the the Pillar platform begins: ‘‘The specified rebates based on the specified Liquidity Adding Non-Displayed Order following Fees and Credits are not quoting requirement for securities at or Fees Applicable to Trading on the Pillar above $1.00. Trading Platform.’’ The Exchange For securities priced at or above The second bullet would define ‘‘Core believes that the proposed legend would $1.00, the Exchange proposes to charge Trading Hours’’ to mean the hours of clarify which fees and credits in the $0.0002 per share for executions on the 9:30 a.m. Eastern Time through 4:00 current fee schedule would not be Exchange of non-displayed orders that p.m. Eastern Time or such other hours applicable to trading on the Pillar add liquidity to the Exchange. as may be determined by the Exchange platform, and thus promote For securities priced below $1.00, the from time to time. The proposed bullet transparency regarding which rules Exchange proposes to charge 0.25% of is consistent with Rule 1.1E(j), which would govern trading on the Exchange the total dollar value of the transaction defines ‘‘Core Trading Hours.’’ once it transitions to Pillar. for executions on the Exchange of non- Finally, the third bullet would displayed orders that add liquidity to provide that, for each eDMM to qualify General Information Applicable to the the Exchange. for the specified credits, each eDMM Price List Liquidity Removing Order Fees must meet the heightened quoting The Exchange proposes to summarize obligations set forth in Rule 7.24E(c).12 general information applicable to fees The Exchange proposes to charge The Exchange proposes three new for the Pillar trading platform in three $0.0002 per share for securities priced at subheadings A through C setting forth bullets under the first heading in the or above $1.00 and 0.25% of the total eDMM transaction fee and credits, Price List titled ‘‘Pillar Trading dollar value of the transaction for eDMM monthly credits, and market data Platform.’’ securities priced below $1.00 for all revenue. executions on the Exchange that remove The first bullet would provide that liquidity from the Exchange. As noted Transaction Fees and Credits rebates are indicated by parentheses. below, the same fees would apply to The second bullet would provide that, Beneath a new subheading A titled eDMM transactions that remove ‘‘Transaction Fees and Credits,’’ the for purposes of determining transaction liquidity from the Exchange. fees and credits based on requirements Exchange would summarize eDMM fees based on quoting levels, average daily Executions at the Open and Close and credits for transactions that (1) add liquidity to the Exchange, (2) remove volume (‘‘ADV’’), and consolidated ADV For securities priced at or above $1.00 liquidity from the Exchange, and (3) for (‘‘CADV’’), the Exchange may exclude as well as below $1.00, the Exchange executions at the open and close of shares traded any day that (1) the proposes to charge a fee of $0.0005 per trading, as follows: Exchange is not open for the entire share for executions at the open and For transactions in securities with a trading day and/or (2) a disruption close. affects an Exchange system that lasts for price at or above $1.00, the Exchange more than 60 minutes during regular eDMM Fees and Credits proposes a rebate to eDMMs of $0.0045 trading hours. The second proposed Following the transition to Pillar, per share for displayed transactions that bullet would reproduce the language in Exchange DMMs will be electronic add liquidity to the Exchange. footnote 6 of the current Price List. access only,10 and the Exchange The Exchange does not propose to Finally, the Exchange would state that proposes to refer to them as ‘‘eDMMs’’ charge for non-displayed transactions Electronic Designated Market Maker in the Price List and in this Filing. The that add liquidity to the Exchange in (‘‘eDMM’’) 9 liquidity credits based on Exchange proposes new fees and credits securities with a price at or above $1.00. quoting in Exchange-listed securities in applicable to eDMM on transactions in For transactions in securities with a the current month will include securities assigned to the eDMM under price below $1.00, the Exchange scheduled early closing days but will heading II in the Price List titled ‘‘Fees proposes a rebate of .25% of total dollar not include days involving one or both and Credits Applicable to eDMMs on value for displayed transactions that of the events described in proposed Transactions in Securities Assigned to add liquidity to the Exchange. bullet two described above. Once again, an eDMM.’’ the language on the third proposed Immediately below the new proposed 11 Effective on or before July 24, 2017, the Exchange’s name will change to NYSE American bullet would reproduce language in heading, the Exchange proposes to LLC. The Exchange has filed to amend, among other footnote 7 of the current Price List. summarize certain general information documents, the Price List to reflect the name applicable to eDMM fees and credits in change. See Securities Exchange Act Release No. Transaction Fees three introductory bullets. 80283 (March 21, 2017), 82 FR 15244 (March 21, The first bullet would provide that, 2017). Because the proposed amendments to the The Exchange proposes the following Price List described in this proposed rule change transactions fees for all transactions unless an eDMM qualifies for a higher will be effective after the Exchange changes its other than transactions by an eDMM in name, the Exchange proposes to reflect the new securities assigned to an eDMM under 10 See DMM Obligations Filing, 82 FR at 21446. name in the proposed Price List. heading I titled ‘‘Transaction Fees (other In addition, because DMMs in Pillar will not be 12 Rule 7.24E(c) describes the obligations of Floor-based individuals who operate within a DMM DMMs on the Pillar Trading Platform and provides than for Transactions by an eDMM in unit of a member organization, the Exchange will that, in addition to meeting the Market Maker Securities Assigned to an eDMM)’’: not assign securities at the natural person level and obligations set forth in Rule 7.23E, DMMs are will not require DMMs to facilitate the opening, required to maintain a bid or an offer at the Liquidity Adding Displayed Order Fees reopening, or closing of assigned Exchange-listed National Best Bid and National Best Offer (‘‘NBBO’’ securities. Further, the DMM rules do not entitle e- or ‘‘inside’’) at least 25% of the day as measured The Exchange does not propose to DMMs to a parity allocation of executions, and also across all Exchange-listed securities that have been charge a fee for executions on the would not subject DMMs to heightened capital assigned to the DMM. Rule 7.24E(c) further Exchange of displayed orders that add requirements. Finally, DMMs would continue to be provides that time at the inside is calculated as the liquidity to the Exchange. The proposal subject to rules governing allocation of securities average of the percentage of time the DMM unit has and combination of DMM units. See generally id. a bid or offer at the inside and that orders entered The registration and obligations of DMMs are set by the DMM that are not displayed would not be 9 See note 10, infra. forth in Rule 7.24E. included in the inside quote calculation.
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The Exchange does not propose to orders from eDMMs in their assigned For order/quote entry ports, the charge for non-displayed transactions NYSE American-listed securities. Exchange proposes to charge $250 per that add liquidity to the Exchange in For executions in securities with a port per month. The fee would apply to securities with a price below $1.00. price at or above $1.00 that route to and all market participants. The Exchange The Exchange does not propose to execute on Away Markets,13 the proposes not to charge for order/quote charge for executions at the open and Exchange proposes to charge a fee of entry ports until October 1, 2017. close for securities priced at or above $0.0016 per share for executions in an Thereafter, the Exchange proposes to $1.00 as well as below $1.00. Away Market auction, and a fee of implement the $250 per port per month The Exchange proposes to charge $0.0030 for all other executions. fee. $0.0002 per share for securities priced at For securities priced below $1.00 that Similarly, the Exchange proposes to or above $1.00 and 0.25% of the total route to and execute on Away Markets, charge $250 per drop copy port per dollar value of the transaction for the Exchange proposes to charge a fee of month. The fee would apply to all securities priced below $1.00 for all 0.30% of the total dollar value of the market participants. Additionally, the eDMM executions on the Exchange that transaction for executions in an Away Exchange proposes to specify that only remove liquidity from the Exchange. Market auction as well as all other one fee per drop copy port would apply, even if the port receives drop copies Monthly Credits executions. from multiple order/quote entry ports. Beneath a new subheading B titled Off-Hours Trading Facility The Exchange proposes not to charge ‘‘Monthly Credits,’’ the Exchange Following the transition to Pillar, for drop copy ports until October 1, proposes that, in addition to the current trading on the Exchange’s Off-Hours 2017. Thereafter, the Exchange proposes rate on transactions, the Exchange Trading Facility will be governed by to implement the $250 per port per would provide additional per security Rule 7.39E for trading in aggregate-price month fee. credits for eDMMs if certain coupled orders, which is also known as Equity Trading Permit (‘‘ETP’’) Fee requirements are met. ‘‘Crossing Session II.’’ The Exchange The Exchange proposes a new First, the Exchange proposes a $100 currently charges a fee of $0.0004 per heading VI titled ‘‘ETP Fee.’’ The per security credit in a month that a share for multiple stock aggregate priced Exchange does not propose to charge a security is assigned to the eDMM for buy and sell orders in Crossing Session fee to obtain an ETP.15 securities whose CADV during the II. Fees for such executions are currently previous month would be less than capped at $100,000 per month per * * * * * 50,000 shares per day and for which the member organization. The proposed changes are not eDMM quotes at the NBBO at least 25% The Exchange proposes to retain this otherwise intended to address any other of the time during Core Trading Hours fee structure without any substantive issues, and the Exchange is not aware of for that symbol in that month. The differences for aggregate-price coupled any problems that member credit would be prorated to the number orders executed in the Off-Hours organizations would have in complying of trading days in a month that a Trading Facility described in Rule with the proposed change. security is assigned to the eDMM. 7.39E. Because such trading would be Second, in addition to the current rate 2. Statutory Basis pursuant to a Pillar rule, the Exchange on transactions and the $100 monthly The Exchange believes that the proposes to set forth the fee under a new credit, the Exchange proposes to proposed rule change is consistent with heading IV titled ‘‘Fees for Off-Hours provide a $500 per security credit in a Section 6(b) of the Act,16 in general, and Trading Facility’’ in the proposed Price month that a security is assigned to an furthers the objectives of Sections List and omit any reference to Crossing eDMM, for each security for which the 6(b)(4) and 6(b)(5) of the Act,17 in Session II. eDMM quotes at the NBBO at least 25% particular, because it provides for the of the time during Core Trading Hours Port Fees equitable allocation of reasonable dues, for that symbol in that month up to a fees, and other charges among its Under proposed new heading V titled maximum of 20 symbols per month per members, issuers and other persons ‘‘Port Fees,’’ the Exchange proposes fees eDMM. using its facilities and does not unfairly for the use of ports that (1) that provide discriminate between customers, connectivity to the Exchange’s trading Market Data Revenue issuers, brokers or dealers. Under new heading C titled ‘‘Market systems (i.e., ports for entry of orders Data Revenue,’’ the Exchange proposes and/or quotes (‘‘order/quote entry Transaction Fees that, for securities with a trading price ports’’)), and (2) allow for the receipt of Liquidity Adding Displayed Order Fees either at, above or below $1.00, each ‘‘drop copies’’ of order or transaction information (‘‘drop copy ports’’ and, The Exchange believes that not eDMM would receive all of the market charging a fee for liquidity adding data quote revenue (the ‘‘Quoting together with order/quote entry ports, ‘‘ports’’).14 displayed orders would encourage price Share’’) in their assigned securities discovery and enhance market quality received by the Exchange from the 13 The term ‘‘Away Market’’ is defined in Rule by encouraging more competitive Consolidated Tape Association under 1.1E(ff) to mean any exchange, alternative trading pricing of displayed orders. The the Revenue Allocation Formula of system (‘‘ATS’’) or other broker-dealer (1) with Exchange believes that not charging a Regulation NMS in any month in which which the Exchange maintains an electronic linkage, and (2) that provides instantaneous fee for liquidity adding displayed orders the eDMM quotes at the NBBO at least is equitable and not unfairly 25% of time during Core Trading Hours. responses to orders routed from the Exchange. 14 Firms receive confirmations of their orders and discriminatory because it is designed to Routing Fees for All ETP Holders receive execution reports via the order/quote entry facilitate execution of, and enhance port that is used to enter the order or quote. A ‘‘drop Under new heading III titled ‘‘Fees for copy’’ contains redundant information that a firm sent via a drop copy port. Drop copy ports cannot Routing for all ETP Holders,’’ the chooses to have ‘‘dropped’’ to another destination (e.g., to allow the firm’s back office and/or be used to enter orders and/or quotes. Exchange proposes the following fees compliance department, or another firm—typically 15 See Rule 1.1E(m) (definition of ETP). for routing, which would be applicable the firm’s clearing broker—to have immediate 16 15 U.S.C. 78f(b). to all orders that are routed, including access to the information). Drop copies can only be 17 15 U.S.C. 78f(b)(4) & (5).
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trading opportunities for, displayable eDMM Fees and Credits the proposed prorating is reasonable in orders, thereby further incentivizing light of lower trading volumes in the Transaction Fees and Credits entry of displayed orders on the applicable securities relatively [sic] to Exchange. The Exchange believes that the those securities that have a consolidated proposed rebate of $0.0045 per share for ADV of less than 50,000 shares. The Liquidity Adding Non-Displayed Order eDMM displayed transactions that add Exchange believes it is appropriate to Fees liquidity to the Exchange in securities prorate the rebate to the number of with a price at or above $1.00 and the The Exchange believes that charging trading days because it would provide a proposed rebate of .25% of total dollar nexus between, and directly tie, the $0.0002 per share for securities priced at value for eDMM displayed transactions or above $1.00 and 0.25% of the total rebate paid to a eDMM and the number that add liquidity to the in securities of trading days for which an eDMM has dollar value of the transaction for with a price below $1.00 are reasonable securities priced below $1.00 for regulatory responsibility for a stock and not unfairly discriminatory. To pursuant to Rule 7.24E(c). The Exchange executions on the Exchange of non- qualify for the proposed adding displayed orders that add liquidity to also believes that the proposal is liquidity, monthly and market data equitable and not unfairly the Exchange is reasonable and not credits, each eDMM must satisfy the unfairly discriminatory because the discriminatory because all eDMMs heightened quoting obligation in for would be treated the same. The proposed rate would be lower than the eDMMs in Rule 7.24E(c), which requires fee charged by other exchanges.18 The Exchange believes that the proposed the eDMM to maintain a bid or an offer additional $500 per security credit is Exchange further believes that the at the NBBO at least 25% of the day as reasonable and not unfairly proposed fee increase is equitable and measured across all Exchange-listed discriminatory for the same reasons. not unfairly discriminatory because it securities that have been assigned to the would apply to all non-displayed orders eDMM. The Exchange believes that the Market Data Revenue that add liquidity to the Exchange. proposed rebates based on the The Exchange believes that the heightened quoting obligations in Rule Liquidity Removing Order Fees proposed DMM quoting requirement at 7.24E(c) would encourage additional the NBBO at least 25% of the time The Exchange believes that charging displayed liquidity on the Exchange in during Core Trading Hours in order to $0.0002 per share for securities priced at Exchange-listed securities. Further, the receive in each applicable security or above $1.00 and 0.25% of the total Exchange believes that the proposed 100% of the Quoting Share is reasonable dollar value of the transaction for rebates are equitably allocated and not because the proposed requirement securities priced below $1.00 for unfairly discriminatory because they would improve quoting and increase executions on the Exchange that remove would apply equally to all eDMMs. adding liquidity across thinly traded Further, the Exchange believes that liquidity, including eDMM transactions, securities where there may be fewer not charging eDMMs for non-displayed is reasonable and consistent with the liquidity providers. Moreover, the transactions that add liquidity to the Act. The Exchange notes that the requirement is equitable and not Exchange in all securities is reasonable proposed fees are less than the unfairly discriminatory because it and not unfairly discriminatory because comparable fees on other exchanges.19 would apply equally to all eDMMs. The it would encourage additional non- Exchange notes that the Quoting Share Executions at the Open and Close displayed liquidity on the Exchange in is in addition to the eDMM rebate for Exchange-listed securities. The providing liquidity and the monthly The Exchange believes that charging Exchange believes that not charging credit payable to eDMMs for securities $0.0005 per share for executions at the eDMMs for adding non-displayed with an ADV of less than 50,000 shares open and close for all securities would liquidity is not unfairly discriminatory during the billing month. encourage order flow to maintain the because it would apply equally to all quality of the Exchange’s closing eDMMs. In addition, eDMMs have Routing Fees auctions for the benefit of all market higher quoting obligations than other participants. The Exchange’s closing The Exchange believes that its market participant, which contributes to proposed routing fees are a reasonable auction is a recognized industry price discovery and benefits all market benchmark,20 and member and not an unfairly discriminatory participants. As such, it is equitable and allocation of fees because the fee would organizations receive a substantial not unfairly discriminatory to offer benefit from the Exchange in obtaining be applicable to all ETP Holders in an eDMMs fees that are relatively lower equivalent manner. Moreover, the high levels of executions at the than other market participants that do Exchange’s closing price on a daily proposed fees for routing shares are also not have such obligations. reasonable and not unfairly basis. The Exchange believes that not discriminatory because they are charging eDMMs for executions at the consistent with fees charged on other 18 IEX, for instance, charges a fee of $0.0009 per open or close in all securities does not exchanges. In particular, the Exchange’s share for providing non-displayed liquidity for constitute an inequitable allocation of securities priced at or above $1.00 and 0.30% of proposal to charge a fee of $0.0016 per dues, fees and other charges as it TDVT (i.e., the total dollar value of the transaction share for executions that route to and calculated as the execution price) for securities provides the eDMMs appropriate execute on Away Market auctions in below $1.00. See Investors Exchange Fee Schedule incentives to act as liquidity providers securities priced at or above $1.00 is 2017, available at https://www.iextrading.com/ and would support them in performing trading/fees/. reasonable and not unfairly their market making function in the 19 For example, IEX charges a fee of $0.0009 per discriminatory because it is consistent Exchange’s new automated price-time share for taking non-displayed liquidity for with fees charged on other exchanges.21 securities priced at or above $1.00 and 0.30% of priority allocation market model on TDVT (for securities below $1.00. See Investors Pillar. Exchange Fee Schedule 2017, available at https:// 21 For example, the NASDAQ Stock Market www.iextrading.com/trading/fees/. Monthly Credits (‘‘NASDAQ’’) charges a rate of $0.0016 per executed 20 For example, the pricing and valuation of share for Tier F. See NASDAQ Fee Schedule at certain indices, funds, and derivative products The Exchange believes that the http://www.nasdaqtrader.com/Trader.aspx?id= require primary market prints. proposed $100 per security credit and PriceListTrading2.
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The proposal to charge $0.0030 for all is equitable and not unfairly proposed rule change would not impose other executions in securities priced at discriminatory because charges for any burden on competition that is not or above $1.00 that route to and execute order/entry ports being [sic] will be necessary or appropriate in furtherance on Away Market auctions is reasonable based on the number of ports utilized. of the purposes of the Act. Instead, the and not unfairly discriminatory because This aspect of the proposed rule change Exchange believes that the proposed it is consistent with fees charged on is also equitable and not unfairly changes would encourage the other exchanges.22 discriminatory because it will apply on submission of additional liquidity to a Finally, the proposal to charge a fee an equal basis for all ports on the public exchange, thereby promoting of 0.30% of total dollar value for Exchange. The Exchange also believes price discovery and transparency and transactions in securities with a price that these changes to the fees are enhancing order execution under $1.00 are reasonable and not equitable and not unfairly opportunities for member organizations. unfairly discriminatory because it is discriminatory because they would The Exchange believes that this could consistent with fees charged on other apply to all users of order/quote entry promote competition between the exchanges.23 ports on the Exchange. Exchange and other execution venues, The Exchange believes that the including those that currently offer Off-Hours Trading Facility proposed fee for drop copy ports is similar order types and comparable The Exchange believes that retaining reasonable because it will result in a fee transaction pricing, by encouraging the current fee structure for off-hours being charged for the use of technology additional orders to be sent to the aggregate-price coupled orders in Pillar and infrastructure provided by the Exchange for execution. without substantive change and moving Exchange. In this regard, the Exchange Finally, the Exchange notes that it the fee to the new Pillar section of the believes that the rate is reasonable operates in a highly competitive market Price List utilizing updated references is because it is comparable to the rate in which market participants can reasonable because the proposed charged by other exchanges for drop readily favor competing venues if they changes are designed to provide greater copy ports.25 deem fee levels at a particular venue to specificity and clarity to the Price List, The Exchange also believes that it is be excessive or rebate opportunities reduce potential confusion, and make reasonable that only one fee per drop available at other venues to be more the Exchange’s rules easier to navigate, copy port would apply, even if the port favorable. In such an environment, the thereby removing impediments to and receives drop copies from multiple Exchange must continually adjust its perfecting the mechanism of a free and order/quote entry ports, because the fees and rebates to remain competitive open market and a national market purpose of drop copies is such that a with other exchanges and with system, and, in general, protecting trading unit’s or a firm’s entire order alternative trading systems that have investors and the public interest. and execution activity is captured. The been exempted from compliance with the statutory standards applicable to Port Fees Exchange believes that the proposed new fee for drop copy ports is equitable exchanges. Because competitors are free The Exchange believes that the and not unfairly discriminatory because to modify their own fees and credits in proposed rates for order/quote entry it will apply on an equal basis to all response, and because market ports and drop copy ports are users of drop copy ports and to all drop participants may readily adjust their reasonable because the fees charged for copy ports on the Exchange. In this order routing practices, the Exchange both types of ports are expected to regard, all firms will be able to request believes that the degree to which fee permit the Exchange to offset, in part, its drop copy ports, as would be the case changes in this market may impose any connectivity costs associated with with order/quote entry ports. burden on competition is extremely making such ports available, including limited. As a result of all of these costs based on software and hardware ETP Fee considerations, the Exchange does not enhancements and resources dedicated The Exchange believes that not believe that the proposed changes will to gateway development, quality charging member organization [sic] a fee impair the ability of member assurance, and support. The proposed to obtain an ETP on the Exchange is organizations or competing order port fees are also reasonable because the reasonable because it may incentivize execution venues to maintain their proposed fees are comparable to the broker-dealers to become Exchange competitive standing in the financial rates charged by other venues, and in member organizations and to direct markets. some cases are less expensive than order flow to the Exchange, which many of the Exchange’s competitors.24 benefits all market participants through C. Self-Regulatory Organization’s The Exchange believes that the increased liquidity and enhanced price Statement on Comments on the proposed fee for order/quote entry ports discovery. Proposed Rule Change Received From Finally, the Exchange believes that it Members, Participants, or Others 22 For example, NASDAQ charges a rate of is subject to significant competitive No written comments were solicited $0.0030 to remove liquidity for shares executed at forces, as described below in the or received with respect to the proposed or above $1.00. See NASDAQ Fee Schedule at http://www.nasdaqtrader.com/Trader.aspx?id= Exchange’s statement regarding the rule change. PriceListTrading2. burden on competition. III. Date of Effectiveness of the 23 NASDAQ, for example, charges a fee of 0.30% For the foregoing reasons, the Proposed Rule Change and Timing for (i.e. 30 basis points) of total dollar volume to Exchange believes that the proposal is Commission Action remove liquidity for shares executed below $1.00. consistent [sic] See NASDAQ Fee Schedule at http:// The foregoing rule change is effective www.nasdaqtrader.com/Trader.aspx?id= B. Self-Regulatory Organization’s PriceListTrading2. upon filing pursuant to Section 24 For example, NASDAQ charges $575 for order Statement on Burden on Competition 19(b)(3)(A) 27 of the Act and entry ports and $550 for DROP ports. See NASDAQ In accordance with Section 6(b)(8) of subparagraph (f)(2) of Rule 19b–4 28 Fee Schedule at http://www.nasdaqtrader.com/ the Act,26 the Exchange believes that the thereunder, because it establishes a due, Trader.aspx?id=PriceListTrading2#connectivity. Also, BZX charges $550 per month per pair for logical ports. Additionally, EDGA and EDGX each 25 See note 24, supra. 27 15 U.S.C. 78s(b)(3)(A). charge $550 per port per month. 26 15 U.S.C. 78f(b)(8). 28 17 CFR 240.19b–4(f)(2).
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fee, or other charge imposed by the filing also will be available for Options Rules Exchange. inspection and copying at the principal * * * * * At any time within 60 days of the office of the Exchange. All comments filing of such proposed rule change, the received will be posted without change; Chapter IV Securities Traded on NOM Commission summarily may the Commission does not edit personal * * * * * temporarily suspend such rule change if identifying information from it appears to the Commission that such submissions. You should submit only Sec. 6 Series of Options Contracts Open action is necessary or appropriate in the information that you wish to make for Trading public interest, for the protection of available publicly. All submissions (a)–(g) No change. investors, or otherwise in furtherance of should refer to File Number SR– the purposes of the Act. If the NYSEMKT–2017–43 and should be Supplementary Material to Section 6 Commission takes such action, the submitted on or before August 23, 2017. .01 Commission shall institute proceedings For the Commission, by the Division of under Section 19(b)(2)(B) 29 of the Act to (a) and (b) No change. Trading and Markets, pursuant to delegated (c) Notwithstanding any other determine whether the proposed rule authority.30 provision regarding the interval of strike change should be approved or Eduardo A. Aleman, disapproved. prices of series of options on Exchange- Assistant Secretary. Traded Fund Shares in this rule, the IV. Solicitation of Comments [FR Doc. 2017–16208 Filed 8–1–17; 8:45 am] interval of strike prices on SPDR® S&P Interested persons are invited to BILLING CODE 8011–01–P 500® ETF (‘‘SPY’’), iShares Core S&P submit written data, views, and 500 ETF (‘‘IVV’’), and the SPDR® Dow Jones® Industrial Average ETF (‘‘DIA’’) arguments concerning the foregoing, SECURITIES AND EXCHANGE options will be $1 or greater. including whether the proposed rule COMMISSION change is consistent with the Act. (d)–(f) No change. Comments may be submitted by any of [Release No. 34–81245; File No. SR– .02–.09 No change. the following methods: NASDAQ–2017–073] * * * * * Electronic Comments Self-Regulatory Organizations; The II. Self-Regulatory Organization’s • Use the Commission’s Internet NASDAQ Stock Market LLC; Notice of Statement of the Purpose of, and comment form (http://www.sec.gov/ Filing and Immediate Effectiveness of Statutory Basis for, the Proposed Rule rules/sro.shtml); or Proposed Rule Change To Amend Change • Options Market Rules at Chapter IV, Send an email to rule-comments@ In its filing with the Commission, the Section 6 sec.gov. Please include File Number SR– Exchange included statements NYSEMKT–2017–43 on the subject line. July 28, 2017. concerning the purpose of and basis for Paper Comments Pursuant to Section 19(b)(1) of the the proposed rule change and discussed any comments it received on the • Send paper comments in triplicate Securities Exchange Act of 1934 (the 1 2 proposed rule change. The text of these to Brent J. Fields, Secretary, Securities ‘‘Act’’), and Rule 19b–4 thereunder, statements may be examined at the and Exchange Commission, 100 F Street notice is hereby given that on July 27, places specified in Item IV below. The NE., Washington, DC 20549–1090. 2017, The NASDAQ Stock Market LLC (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the Exchange has prepared summaries, set All submissions should refer to File Securities and Exchange Commission forth in sections A, B, and C below, of Number SR–NYSEMKT–2017–43. This (the ‘‘Commission’’) the proposed rule the most significant aspects of such file number should be included on the change as described in Items I and II statements. subject line if email is used. To help the below, which Items have been prepared Commission process and review your A. Self-Regulatory Organization’s by the Exchange. The Commission is Statement of the Purpose of, and comments more efficiently, please use publishing this notice to solicit only one method. The Commission will Statutory Basis for, the Proposed Rule comments on the proposed rule change Change post all comments on the Commission’s from interested persons. Internet Web site (http://www.sec.gov/ 1. Purpose rules/sro.shtml). Copies of the I. Self-Regulatory Organization’s submission, all subsequent Statement of the Terms of the Substance The Exchange proposes to amend amendments, all written statements of the Proposed Rule Change NOM Rules at Chapter IV, Section 6, entitled ‘‘Series of Options Contracts with respect to the proposed rule The Exchange proposes to amend The Open for Trading’’ by modifying the change that are filed with the NASDAQ Options Market LLC (‘‘NOM’’) strike setting regime for the iShares Core Commission, and all written Rules at Chapter IV, Section 6, entitled S&P 500 ETF (‘‘IVV’’) options. communications relating to the ‘‘Series of Options Contracts Open for Specifically, the Exchange proposes to proposed rule change between the Trading.’’ Commission and any person, other than The text of the proposed rule change modify the interval setting regime for those that may be withheld from the is set forth below. Proposed new IVV options to allow $1 strike price public in accordance with the language is italicized; deleted text is in intervals above $200. provisions of 5 U.S.C. 552, will be brackets. The Exchange believes that the proposed rule change would make IVV available for Web site viewing and * * * * * printing in the Commission’s Public options easier for investors and traders Reference Room, 100 F Street NE., NASDAQ Stock Market Rules to use and more tailored to their Washington, DC 20549 on official * * * * * investment needs. Additionally, the business days between the hours of interval setting regime the Exchange 10:00 a.m. and 3:00 p.m. Copies of the 30 17 CFR 200.30–3(a)(12). proposes to apply to IVV options is 1 15 U.S.C. 78s(b)(1). currently applied to options on units of 29 15 U.S.C. 78s(b)(2)(B). 2 17 CFR 240.19b–4. the Standard & Poor’s Depository
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Receipts Trust (‘‘SPY’’),3 which is an regarded as the best single gauge of large roll open positions from a lower strike exchange-traded fund (‘‘ETF’’) that is cap U.S. equities and is widely quoted to a higher strike in conjunction with identical in all material respects to the as an indicator of stock prices and the price movement of the underlying. IVV ETF. investor confidence in the securities Pursuant to Chapter IV, Section 6, The SPY and IVV ETFs are identical market. As a result, individual investors where the next higher available series in all material respects. The SPY and often use S&P 500 Index-related would be $5 away above a $200 strike IVV ETFs are designed to roughly track products to diversify their portfolios price, the ability to roll such positions the performance of the S&P 500 Index and benefit from market trends. is effectively negated. Accordingly, to with the price of SPY and IVV designed Accordingly, the Exchange believes that move a position from a $200 strike to a to roughly approximate 1/10th of the offering a wide range of S&P 500 Index- $205 strike pursuant to the current rule, price of the S&P 500 Index. based options affords traders and an investor would need for the Accordingly, SPY and IVV strike investors important hedging and trading underlying product to move 2.5%, and prices—having a multiplier of $100— opportunities. The Exchange believes would not be able to execute a roll up reflect a value roughly equal to 1/10th that not having the proposed $1 strike until such a large movement occurred. of the value of the S&P 500 Index. For price intervals above $200 in IVV With the proposed rule change, example, if the S&P 500 Index is at significantly constricts investors’ however, the investor would be in a 1972.56, SPY and IVV options might hedging and trading possibilities. significantly safer position of being able have a value of approximately 197.26 The Exchange proposes to amend to roll his open options position from a with a notional value of $19,726. In Supplementary Material .01(c) of $200 to a $201 strike price, which is general, SPY and IVV options provide Chapter IV, Section 6 to allow IVV only a 0.5% move for the underlying. options to trade in $1 increments above retail investors and traders with the The proposed rule change will allow a strike price of $200. Specifically, the benefit of trading the broad market in a the Exchange to better respond to Exchange proposes to amend manageably sized contract. As options customer demand for IVV strike prices with an ETP underlying, SPY and IVV Supplementary Material .01(c) of Chapter IV, Section 6 to state that more precisely aligned with current S&P options are listed in the same manner as 500 Index values. The Exchange equity options under the Rules. notwithstanding other provisions limiting the ability of the Exchange to believes that the proposed rule change, However, pursuant to current like the other strike price programs Supplementary Material .01 to Chapter list $1 increment strike prices on equity and ETF options above $200, the currently offered by the Exchange, will IV, Section 6, the interval between strike benefit investors by providing investors prices in series of options on ETPs, interval between strike prices of series of options on Units of IVV will be $1 or the flexibility to more closely tailor their including IVV options will be $1 or investment and hedging decisions using greater where the strike price is $200 or greater. The Exchange believes that by having smaller strike intervals in IVV, IVV options. By allowing series of IVV less and $5.00 or greater where the options to be listed in $1 intervals strike price is greater than $200. In investors would have more efficient hedging and trading opportunities due between strike prices over $200, the addition, pursuant to Supplementary proposal will moderately augment the Material .07(e) to Chapter IV, Section 6, to the lower $1 interval ascension. The proposed $1 intervals, particularly potential total number of options series The interval between strike prices on Short above the $200 strike price, will result available on the Exchange. However, the Term Option Series may be (i) $0.50 or in having at-the-money series based Exchange believes it and the Options greater where the strike price is less than Price Reporting Authority (‘‘OPRA’’) $100, and $1 or greater where the strike price upon the underlying IVV moving less is between $100 and $150 for all classes that than 1%. have the necessary systems capacity to participate in the Short Term Options Series The Exchange believes that the handle any potential additional traffic Program; (ii) $0.50 for classes that trade in proposed strike setting regime is in line associated with this proposed rule one dollar increments in Related non-Short with the slower movements of broad- change. The Exchange also believes that Term Options and that participate in the based indices. Furthermore, the Participants will not have a capacity Short Term Option Series Program; or (iii) proposed $1 intervals would allow issue due to the proposed rule change. $2.50 or greater where the strike price is In addition, the Exchange represents above $150. Related non-Short Term Option option trading strategies (such as, for series shall be opened during the month prior example, risk reduction/hedging that it does not believe that this to expiration of such Related non-Short Term strategies using IVV weekly options), to expansion will cause fragmentation of Option series in the same manner as remain viable. Considering the fact that liquidity. In addition, the interval permitted in Supplementary Material to $1 intervals already exist below the setting regime the Exchange proposes to Section 6 at .07 and in the same strike price $200 price point and that IVV is above apply to IVV options is currently intervals that are permitted in the $200 level, the Exchange believes applied to options on SPY,4 which is an Supplementary Material to Section 6 at .07. that continuing to maintain the artificial ETF that is identical in all material The Exchange’s proposal seeks to $200 level (above which intervals respects to the IVV ETF. narrow the strike price intervals to $1 increase by $5), would have a negative for IVV options above $200, in effect effect on investing, trading and hedging 2. Statutory Basis matching the strike setting regime for opportunities, and volume. The Exchange believes that its strike intervals in IVV options below The Exchange believes that the proposal is consistent with Section 6(b) $200 and matching the strike setting investing, trading, and hedging of the Act,5 in general, and furthers the regime applied to SPY options. opportunities available with IVV objectives of Section 6(b)(5) of the Act,6 Currently, the S&P 500 Index is above options far outweighs any potential in particular.7 Specifically, the 2000. The S&P 500 Index is widely negative impact of allowing IVV options Exchange believes the proposed rule to trade in more finely tailored intervals change is consistent with the Section 3 See Supplementary Material .01(c) to Chapter above the $200 price point. The IV, Section 6. See also Securities Exchange Act proposed strike setting regime would 4 Release No. 80913 (June 13, 2017), 82 FR 27907 See note 4 above [sic]. (June 19, 2017) (SR–CBOE–2017–048) (Notice of permit strikes to be set to more closely 5 15 U.S.C. 78f(b). Filing and Immediate Effectiveness of a Proposed reflect values in the underlying S&P 500 6 15 U.S.C. 78f(b)(5). Rule Change Related to Rule 5.5). Index and allow investors and traders to 7 15 U.S.C. 78f(b).
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6(b)(5) 8 requirements that the rules of closely tailor their investment and III. Date of Effectiveness of the an exchange be designed to prevent hedging decisions. Moreover, the Proposed Rule Change and Timing for fraudulent and manipulative acts and proposed rule change is consistent with Commission Action practices, to promote just and equitable a prior rule change on NASDAQ PHLX The Exchange has designated this rule principles of trade, to foster cooperation LLC.10 filing as non-controversial under and coordination with persons engaged With regard to the impact of this Section 19(b)(3)(A) 13 of the Act and in regulating, clearing, settling, Rule 19b–4(f)(6) 14 thereunder. Because processing information with respect to, proposal on system capacity, the Exchange believes it and OPRA have the the proposed rule change does not: (i) and facilitating transactions in Significantly affect the protection of securities, to remove impediments to necessary systems capacity to handle any potential additional traffic investors or the public interest; (ii) and perfect the mechanism of a free and impose any significant burden on associated with this proposed rule open market and a national market competition; and (iii) become operative change. The Exchange believes that its system, and, in general, to protect for 30 days from the date on which it investors and the public interest. members will not have a capacity issue was filed, or such shorter time as the Additionally, the Exchange believes the as a result of this proposal. Commission may designate if consistent proposed rule change is consistent with In addition, the interval setting regime with the protection of investors and the 9 the Section 6(b)(5) requirement that the Exchange proposes to apply to IVV public interest, it has become effective the rules of an exchange not be designed options is currently applied to options pursuant to Section 19(b)(3)(A) of the to permit unfair discrimination between on SPY,11 which is an ETF that is Act and Rule 19b–4(f)(6) thereunder.15 customers, issuers, brokers, or dealers. A proposed rule change filed under In particular, the proposed rule identical in all material respects to the IVV ETF. Rule 19b–4(f)(6) 16 normally does not change will allow investors to more become operative prior to 30 days after easily use IVV options. Moreover, the B. Self-Regulatory Organization’s the date of the filing. However, pursuant proposed rule change would allow Statement on Burden on Competition to Rule 19b–4(f)(6)(iii),17 the investors to better trade and hedge Commission may designate a shorter positions in IVV options where the The Exchange does not believe that time if such action is consistent with the strike price is greater than $200, and the proposed rule change will impose protection of investors and the public ensure that IVV options investors are any burden on competition not interest. The Exchange has asked the not at a disadvantage simply because of necessary or appropriate in furtherance Commission to waive the 30-day the strike price. of the purposes of the Act. Rather, the operative delay because this proposal The Exchange also believes the Exchange believes that the proposed permits listing IVV options in a manner proposed rule change is consistent with rule change will result in additional permitted by the Chicago Board Options Section 6(b)(1) of the Act, which investment options and opportunities to Exchange, Incorporated,18 and will provides that the Exchange be organized achieve the investment and trading provide investors with an alternative and have the capacity to be able to carry objectives of market participants seeking venue for trading IVV options. The out the purposes of the Act and the Commission believes that waiver of the rules and regulations thereunder, and efficient trading and hedging vehicles, to the benefit of investors, market operative delay is consistent with the the rules of the Exchange. The rule protection of investors and the public change proposal allows the Exchange to participants, and the marketplace in general. Specifically, the Exchange interest. Therefore, the Commission respond to customer demand to allow hereby waives the operative delay and IVV options to trade in $1 intervals believes that IVV options investors and traders will significantly benefit from designates the proposed rule change above a $200 strike price. The Exchange operative upon filing.19 the availability of finer strike price does not believe that the proposed rule At any time within 60 days of the would create additional capacity issues intervals above a $200 price point. In filing of the proposed rule change, the or affect market functionality. addition, the interval setting regime the Commission summarily may As noted above, ETF options trade in Exchange proposes to apply to IVV temporarily suspend such rule change if wider $5 intervals above a $200 strike options is currently applied to options it appears to the Commission that such price, whereas options at or below a on SPY,12 which is an ETF that is action is necessary or appropriate in the $200 strike price trade in $1 intervals. identical in all material respects to the public interest, for the protection of This creates a situation where contracts IVV ETF. Thus, applying the same strike investors, or otherwise in furtherance of on the same option class effectively may setting regime to SPY and IVV options the purposes of the Act. If the not be able to execute certain strategies will help level the playing field for such as, for example, rolling to a higher options on similar, competing ETFs. 13 15 U.S.C. 78s(b)(3)(A). strike price, simply because of the 14 17 CFR 240.19b–4(f)(6). arbitrary $200 strike price above which C. Self-Regulatory Organization’s 15 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– options intervals increase by $5. This Statement on Comments on the 4(f)(6) requires a self-regulatory organization to give the Commission written notice of its intent to file proposal remedies the situation by Proposed Rule Change Received From the proposed rule change at least five business days establishing an exception to the current Members, Participants, or Others prior to the date of filing of the proposed rule ETF interval regime for IVV options to change, or such shorter time as designated by the allow such options to trade in $1 or No written comments were either Commission. The Exchange has satisfied this solicited or received. requirement. greater intervals at all strike prices. 16 17 CFR 240.19b–4(f)(6). The Exchange believes that the 17 17 CFR 240.19b–4(f)(6)(iii). proposed rule change, like other strike 10 See Securities and Exchange Act Release 34– 18 See Securities Exchange Act Release No. 80913 price programs currently offered by the 72664 (July 24, 2014), 79 FR 44231 (July 30, 2014) (June 13, 2017), 82 FR 27907 (June 19, 2017) (SR– Exchange, will benefit investors by (Notice of Filing of Proposed Rule Change, as CBOE–2017–048). 19 giving them increased flexibility to more Modified by Amendment No. 1, Relating to SPY For purposes only of waiving the 30-day operative delay, the Commission has also and DIA Options) (SR–Phlx–2014–046). considered the proposed rule’s impact on 8 15 U.S.C. 78f(b)(5). 11 See note 4 above [sic]. efficiency, competition, and capital formation. See 9 Id. 12 See note 4 above [sic]. 15 U.S.C. 78c(f).
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Commission takes such action, the NASDAQ–2017–073, and should be (C) Notwithstanding any other Commission shall institute proceedings submitted on or before August 23, 2017. provision regarding the interval of strike 20 under Section 19(b)(2)(B) of the Act to For the Commission, by the Division of prices of series of options on Exchange- determine whether the proposed rule Trading and Markets, pursuant to delegated Traded Fund Shares in this rule, the ® change should be approved or authority.21 interval of strike prices on SPDR S&P ® disapproved. Eduardo A. Aleman, 500 ETF (‘‘SPY’’), iShares Core S&P 500 ETF (‘‘IVV’’), and the SPDR® Dow IV. Solicitation of Comments Assistant Secretary. ® [FR Doc. 2017–16265 Filed 8–1–17; 8:45 am] Jones Industrial Average ETF (‘‘DIA’’) Interested persons are invited to options will be $1 or greater. submit written data, views, and BILLING CODE 8011–01–P (v)–(vii) No change. arguments concerning the foregoing, (b) and (c) No change. including whether the proposed rule SECURITIES AND EXCHANGE .06–.13 No change. change is consistent with the Act. COMMISSION * * * * * Comments may be submitted by any of the following methods: [Release No. 34–81246; File No. SR–Phlx– II. Self-Regulatory Organization’s 2017–57] Statement of the Purpose of, and Electronic Comments Statutory Basis for, the Proposed Rule Self-Regulatory Organizations; • Use the Commission’s Internet Change NASDAQ PHLX LLC; Notice of Filing comment form (http://www.sec.gov/ In its filing with the Commission, the and Immediate Effectiveness of rules/sro.shtml); or Exchange included statements Proposed Rule Change To Amend Rule • Send an email to rule-comments@ concerning the purpose of and basis for 1012 sec.gov. Please include File Number SR– the proposed rule change and discussed NASDAQ–2017–073 on the subject line. July 28, 2017. any comments it received on the proposed rule change. The text of these Paper Comments Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the statements may be examined at the • Send paper comments in triplicate ‘‘Act’’),1 and Rule 19b–4 thereunder,2 places specified in Item IV below. The to Secretary, Securities and Exchange notice is hereby given that on July 21, Exchange has prepared summaries, set Commission, 100 F Street NE., 2017, NASDAQ PHLX LLC (‘‘Phlx’’ or forth in sections A, B, and C below, of Washington, DC 20549–1090. the ‘‘Exchange’’) filed with the the most significant aspects of such All submissions should refer to File Securities and Exchange Commission statements. Number SR–NASDAQ–2017–073. This (the ‘‘Commission’’) the proposed rule A. Self-Regulatory Organization’s file number should be included on the change as described in Items I and II Statement of the Purpose of, and subject line if email is used. To help the below, which Items have been prepared Statutory Basis for, the Proposed Rule Commission process and review your by the Exchange. The Commission is Change comments more efficiently, please use publishing this notice to solicit only one method. The Commission will comments on the proposed rule change 1. Purpose post all comments on the Commission’s from interested persons. The Exchange proposes to amend Internet Web site (http://www.sec.gov/ I. Self-Regulatory Organization’s Rule 1012, entitled ‘‘Series of Options rules/sro.shtml). Copies of the Statement of the Terms of the Substance Open for Trading’’ by modifying the submission, all subsequent of the Proposed Rule Change strike setting regime for the iShares Core amendments, all written statements S&P 500 ETF (‘‘IVV’’) options. with respect to the proposed rule The Exchange proposes to amend Specifically, the Exchange proposes to change that are filed with the Rule 1012, entitled ‘‘Series of Options modify the interval setting regime for Commission, and all written Open for Trading.’’ IVV options to allow $1 strike price communications relating to the The text of the proposed rule change intervals above $200. proposed rule change between the is set forth below. Proposed new The Exchange believes that the Commission and any person, other than language is italicized; deleted text is in proposed rule change would make IVV those that may be withheld from the brackets. options easier for investors and traders public in accordance with the * * * * * to use and more tailored to their provisions of 5 U.S.C. 552, will be NASDAQ PHLX Rules investment needs. Additionally, the available for Web site viewing and interval setting regime the Exchange printing in the Commission’s Public * * * * * proposes to apply to IVV options is Reference Room, 100 F Street NE., Options Rules currently applied to options on units of Washington, DC 20549 on official the Standard & Poor’s Depository business days between the hours of * * * * * Receipts Trust (‘‘SPY’’),3 which is an 10:00 a.m. and 3:00 p.m. Copies of such Rule 1012. Series of Options Open for exchange-traded fund (‘‘ETF’’) that is filing also will be available for Trading identical in all material respects to the inspection and copying at the principal IVV ETF. (a)–(d) No change. office of the Exchange. All comments The SPY and IVV ETFs are identical •••Commentary: ------received will be posted without change; in all material respects. The SPY and the Commission does not edit personal .01–.04 No change .05 IVV ETFs are designed to roughly track identifying information from (a) the performance of the S&P 500 Index submissions. You should submit only (i)–(iii) No change. information that you wish to make (iv) (A) and (B) No change. 3 See Commentary .05(a)(iv)(C) to Rule 1012. See available publicly. All submissions also Securities Exchange Act Release No. 80913 should refer to File Number SR– (June 13, 2017), 82 FR 27907 (June 19, 2017) (SR– 21 17 CFR 200.30–3(a)(12). CBOE–2017–048) (Notice of Filing and Immediate 1 15 U.S.C. 78s(b)(1). Effectiveness of a Proposed Rule Change Related to 20 15 U.S.C. 78s(b)(2)(B). 2 17 CFR 240.19b–4. Rule 5.5).
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with the price of SPY and IVV designed significantly constricts investors’ to roll his open options position from a to roughly approximate 1/10th of the hedging and trading possibilities. $200 to a $201 strike price, which is price of the S&P 500 Index. The Exchange proposes to amend only a 0.5% move for the underlying. Accordingly, SPY and IVV strike Commentary .05(a)(iv)(C) of Rule 1012 The proposed rule change will allow prices—having a multiplier of $100— to allow IVV options to trade in $1 the Exchange to better respond to reflect a value roughly equal to 1/10th increments above a strike price of $200. customer demand for IVV strike prices of the value of the S&P 500 Index. For Specifically, the Exchange proposes to more precisely aligned with current S&P example, if the S&P 500 Index is at amend Commentary .05(a)(iv)(C) of Rule 500 Index values. The Exchange 1972.56, SPY and IVV options might 1012 to state that notwithstanding other believes that the proposed rule change, have a value of approximately 197.26 provisions limiting the ability of the like the other strike price programs with a notional value of $19,726. In Exchange to list $1 increment strike currently offered by the Exchange, will general, SPY and IVV options provide prices on equity and ETF options above benefit investors by providing investors retail investors and traders with the $200, the interval between strike prices the flexibility to more closely tailor their benefit of trading the broad market in a of series of options on Units of IVV will investment and hedging decisions using manageably sized contract. As options be $1 or greater. The Exchange believes IVV options. By allowing series of IVV with an ETP underlying, SPY and IVV that by having smaller strike intervals in options to be listed in $1 intervals options are listed in the same manner as IVV, investors would have more between strike prices over $200, the equity options under the Rules. efficient hedging and trading proposal will moderately augment the However, pursuant to current opportunities due to the lower $1 potential total number of options series Commentary .05(a) to Rule 1012, the interval ascension. The proposed $1 available on the Exchange. However, the interval between strike prices in series intervals, particularly above the $200 Exchange believes it and the Options of options on ETPs, including IVV strike price, will result in having at-the- Price Reporting Authority (‘‘OPRA’’) options will be $1 or greater where the money series based upon the underlying have the necessary systems capacity to strike price is $200 or less and $5.00 or IVV moving less than 1%. handle any potential additional traffic greater where the strike price is greater The Exchange believes that the associated with this proposed rule than $200. In addition, pursuant to proposed strike setting regime is in line change. The Exchange also believes that Commentary .11(e) to Rule 1012, with the slower movements of broad- members will not have a capacity issue The interval between strike prices on Short based indices. Furthermore, the due to the proposed rule change. Term Option Series may be (i) $0.50 or proposed $1 intervals would allow In addition, the Exchange represents greater where the strike price is less than option trading strategies (such as, for that it does not believe that this $100, and $1 or greater where the strike price example, risk reduction/hedging expansion will cause fragmentation of is between $100 and $150 for all classes that strategies using IVV weekly options), to liquidity. In addition, the interval participate in the Short Term Options Series remain viable. Considering the fact that setting regime the Exchange proposes to Program; (ii) $0.50 for classes that trade in $1 intervals already exist below the apply to IVV options is currently one dollar increments in Related non-Short $200 price point and that IVV is above 4 Term Options and that participate in the applied to options on SPY, which is an the $200 level, the Exchange believes ETF that is identical in all material Short Term Option Series Program; or (iii) that continuing to maintain the artificial $2.50 or greater where the strike price is respects to the IVV ETF. $200 level (above which intervals above $150. Related non-Short Term Option 2. Statutory Basis series shall be opened during the month prior increase 500% [sic] by $5), would have to expiration of such Related non-Short Term a negative effect on investing, trading The Exchange believes that its Option series in the same manner as and hedging opportunities, and volume. proposal is consistent with Section 6(b) permitted in Commentary .11 to this Rule The Exchange believes that the of the Act,5 in general, and furthers the 1012 and in the same strike price intervals investing, trading, and hedging objectives of Section 6(b)(5) of the Act,6 that are permitted in Commentary .11 to this opportunities available with IVV in particular, the requirements of Rule 1012. options far outweighs any potential Section 6(b) of the Act [sic].7 The Exchange’s proposal seeks to negative impact of allowing IVV options Specifically, the Exchange believes the narrow the strike price intervals to $1 to trade in more finely tailored intervals proposed rule change is consistent with for IVV options above $200, in effect above the $200 price point. The the Section 6(b)(5) 8 requirements that matching the strike setting regime for proposed strike setting regime would the rules of an exchange be designed to strike intervals in IVV options below permit strikes to be set to more closely prevent fraudulent and manipulative $200 and matching the strike setting reflect values in the underlying S&P 500 acts and practices, to promote just and regime applied to SPY options. Index and allow investors and traders to equitable principles of trade, to foster Currently, the S&P 500 Index is above roll open positions from a lower strike cooperation and coordination with 2000. The S&P 500 Index is widely to a higher strike in conjunction with persons engaged in regulating, clearing, regarded as the best single gauge of large the price movement of the underlying. settling, processing information with cap U.S. equities and is widely quoted Pursuant to Rule 1012, where the next respect to, and facilitating transactions as an indicator of stock prices and higher available series would be $5 in securities, to remove impediments to investor confidence in the securities away above a $200 strike price, the and perfect the mechanism of a free and market. As a result, individual investors ability to roll such positions is open market and a national market often use S&P 500 Index-related effectively negated. Accordingly, to system, and, in general, to protect products to diversify their portfolios move a position from a $200 strike to a investors and the public interest. and benefit from market trends. $205 strike pursuant to the current rule, Additionally, the Exchange believes the Accordingly, the Exchange believes that an investor would need for the proposed rule change is consistent with offering a wide range of S&P 500 Index- underlying product to move 2.5%, and based options affords traders and would not be able to execute a roll up 4 See note 4 [sic] above. investors important hedging and trading until such a large movement occurred. 5 15 U.S.C. 78f(b). opportunities. The Exchange believes With the proposed rule change, 6 15 U.S.C. 78f(b)(5). that not having the proposed $1 strike however, the investor would be in a 7 15 U.S.C. 78f(b). price intervals above $200 in IVV significantly safer position of being able 8 15 U.S.C. 78f(b)(5).
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the Section 6(b)(5) 9 requirement that In addition, the interval setting regime A proposed rule change filed under the rules of an exchange not be designed the Exchange proposes to apply to IVV Rule 19b–4(f)(6) 16 normally does not to permit unfair discrimination between options is currently applied to options become operative prior to 30 days after customers, issuers, brokers, or dealers. on SPY,11 which is an ETF that is the date of the filing. However, pursuant In particular, the proposed rule identical in all material respects to the to Rule 19b–4(f)(6)(iii),17 the change will allow investors to more IVV ETF. Commission may designate a shorter easily use IVV options. Moreover, the time if such action is consistent with the proposed rule change would allow B. Self-Regulatory Organization’s Statement on Burden on Competition protection of investors and the public investors to better trade and hedge interest. The Exchange has asked the positions in IVV options where the The Exchange does not believe that Commission to waive the 30-day strike price is greater than $200, and the proposed rule change will impose operative delay because this proposal ensure that IVV options investors are any burden on competition not permits listing IVV options in a manner not at a disadvantage simply because of necessary or appropriate in furtherance permitted by the Chicago Board Options the strike price. of the purposes of the Act. Rather, the Exchange, Incorporated,18 and will The Exchange also believes the Exchange believes that the proposed provide investors with an alternative proposed rule change is consistent with rule change will result in additional venue for trading IVV options. The Section 6(b)(1) of the Act, which investment options and opportunities to Commission believes that waiver of the provides that the Exchange be organized achieve the investment and trading operative delay is consistent with the and have the capacity to be able to carry objectives of market participants seeking protection of investors and the public out the purposes of the Act and the efficient trading and hedging vehicles, interest. Therefore, the Commission rules and regulations thereunder, and to the benefit of investors, market hereby waives the operative delay and the rules of the Exchange. The rule participants, and the marketplace in designates the proposed rule change change proposal allows the Exchange to general. Specifically, the Exchange operative upon filing.19 respond to customer demand to allow believes that IVV options investors and IVV options to trade in $1 intervals traders will significantly benefit from At any time within 60 days of the above a $200 strike price. The Exchange the availability of finer strike price filing of the proposed rule change, the does not believe that the proposed rule intervals above a $200 price point. In Commission summarily may would create additional capacity issues addition, the interval setting regime the temporarily suspend such rule change if or affect market functionality. Exchange proposes to apply to IVV it appears to the Commission that such As noted above, ETF options trade in options is currently applied to options action is necessary or appropriate in the wider $5 intervals above a $200 strike on SPY,12 which is an ETF that is public interest, for the protection of price, whereas options at or below a identical in all material respects to the investors, or otherwise in furtherance of $200 strike price trade in $1 intervals. IVV ETF. Thus, applying the same strike the purposes of the Act. If the This creates a situation where contracts setting regime to SPY and IVV options Commission takes such action, the on the same option class effectively may will help level the playing field for Commission shall institute proceedings not be able to execute certain strategies options on similar, competing ETFs. under Section 19(b)(2)(B) 20 of the Act to such as, for example, rolling to a higher determine whether the proposed rule C. Self-Regulatory Organization’s strike price, simply because of the change should be approved or Statement on Comments on the arbitrary $200 strike price above which disapproved. Proposed Rule Change Received From options intervals increase by $5. This Members, Participants, or Others IV. Solicitation of Comments proposal remedies the situation by establishing an exception to the current No written comments were either Interested persons are invited to ETF interval regime for IVV options to solicited or received. submit written data, views, and allow such options to trade in $1 or III. Date of Effectiveness of the arguments concerning the foregoing, greater intervals at all strike prices. Proposed Rule Change and Timing for including whether the proposed rule The Exchange believes that the Commission Action change is consistent with the Act. proposed rule change, like other strike Comments may be submitted by any of The Exchange has designated this rule price programs currently offered by the the following methods: Exchange, will benefit investors by filing as non-controversial under giving them increased flexibility to more Section 19(b)(3)(A) 13 of the Act and Electronic Comments Rule 19b–4(f)(6) 14 thereunder. Because closely tailor their investment and • hedging decisions. Moreover, the the proposed rule change does not: (i) Use the Commission’s Internet proposed rule change is consistent with Significantly affect the protection of comment form (http://www.sec.gov/ a prior rule change.10 investors or the public interest; (ii) rules/sro.shtml); or With regard to the impact of this impose any significant burden on proposal on system capacity, the competition; and (iii) become operative the Commission written notice of its intent to file for 30 days from the date on which it the proposed rule change at least five business days Exchange believes it and OPRA have the prior to the date of filing of the proposed rule necessary systems capacity to handle was filed, or such shorter time as the change, or such shorter time as designated by the any potential additional traffic Commission may designate if consistent Commission. The Exchange has satisfied this associated with this proposed rule with the protection of investors and the requirement. change. The Exchange believes that its public interest, it has become effective 16 17 CFR 240.19b–4(f)(6). 17 members will not have a capacity issue pursuant to Section 19(b)(3)(A) of the 17 CFR 240.19b–4(f)(6)(iii). Act and Rule 19b–4(f)(6) thereunder.15 18 See Securities Exchange Act Release No. 80913 as a result of this proposal. (June 13, 2017), 82 FR 27907 (June 19, 2017) (SR– CBOE–2017–048). 11 9 Id. See note 4 [sic] above. 19 For purposes only of waiving the 30-day 12 10 See Securities and Exchange Act Release 34– See note 4 [sic] above. operative delay, the Commission has also 72664 (July 24, 2014), 79 FR 44231 (July 30, 2014) 13 15 U.S.C. 78s(b)(3)(A). considered the proposed rule’s impact on (Notice of Filing of Proposed Rule Change, as 14 17 CFR 240.19b–4(f)(6). efficiency, competition, and capital formation. See Modified by Amendment No. 1, Relating to SPY 15 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 15 U.S.C. 78c(f). and DIA Options) (SR–Phlx–2014–046). 4(f)(6) requires a self-regulatory organization to give 20 15 U.S.C. 78s(b)(2)(B).
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• Send an email to rule-comments@ SECURITIES AND EXCHANGE below. The Exchange also proposes to sec.gov. Please include File Number SR– COMMISSION amend Rule 519A to set forth clearly the Phlx–2017–57 on the subject line. manner in which the RPM handles the [Release No. 34–81229; File No. SR–MIAX– 2017–34] various complex order types listed in Paper Comments that Rule, as described below. amend • Send paper comments in triplicate Self-Regulatory Organizations; Miami Exchange Rule 515A to reflect changes to Secretary, Securities and Exchange International Securities Exchange LLC; to the MIAX Options Price Improvement Mechanism (‘‘PRIME’’) [sic]. Commission, 100 F Street NE., Notice of Filing and Immediate The text of the proposed rule change Washington, DC 20549–1090. Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule is available on the Exchange’s Web site All submissions should refer to File 515A, MIAX Price Improvement at http://www.miaxoptions.com/rule- Number SR–Phlx–2017–57. This file Mechanism (‘‘PRIME’’) and PRIME filings, at MIAX’s principal office, and number should be included on the Solicitation Mechanism, Rule 518, at the Commission’s Public Reference subject line if email is used. To help the Complex Orders, and Rule 519A, Risk Room. Commission process and review your Protection Monitor II. Self-Regulatory Organization’s comments more efficiently, please use July 27, 2017. Statement of the Purpose of, and only one method. The Commission will Statutory Basis for, the Proposed Rule Pursuant to the provisions of Section post all comments on the Commission’s Change Internet Web site (http://www.sec.gov/ 19(b)(1) of the Securities Exchange Act 1 In its filing with the Commission, the rules/sro.shtml). Copies of the of 1934 (‘‘Act’’) and Rule 19b–4 thereunder,2 notice is hereby given that Exchange included statements submission, all subsequent on July 13, 2017, Miami International concerning the purpose of and basis for amendments, all written statements Securities Exchange, LLC (‘‘MIAX the proposed rule change and discussed with respect to the proposed rule Options’’ or ‘‘Exchange’’) filed with the any comments it received on the change that are filed with the Securities and Exchange Commission proposed rule change. The text of these Commission, and all written (‘‘Commission’’) a proposed rule change statements may be examined at the communications relating to the as described in Items I and II below, places specified in Item IV below. The proposed rule change between the which Items have been prepared by the Exchange has prepared summaries, set Commission and any person, other than Exchange. The Commission is forth in sections A, B, and C below, of those that may be withheld from the publishing this notice to solicit the most significant aspects of such public in accordance with the comments on the proposed rule change statements. provisions of 5 U.S.C. 552, will be from interested persons. A. Self-Regulatory Organization’s available for Web site viewing and I. Self-Regulatory Organization’s Statement of the Purpose of, and printing in the Commission’s Public Statement of the Terms of Substance of Statutory Basis for, the Proposed Rule Reference Room, 100 F Street NE., the Proposed Rule Change Change Washington, DC 20549 on official business days between the hours of The Exchange proposes to amend 1. Purpose 10:00 a.m. and 3:00 p.m. Copies of such Exchange Rule 515A, MIAX Price The Exchange proposes to amend filing also will be available for Improvement Mechanism (‘‘PRIME’’) Exchange Rule 515A, MIAX Price inspection and copying at the principal and PRIME Solicitation Mechanism, to Improvement Mechanism (‘‘PRIME’’) 3 office of the Exchange. All comments state that the Exchange’s System will and PRIME Solicitation Mechanism, to received will be posted without change; reject an Agency Order (as defined state that the Exchange’s System will the Commission does not edit personal below) if, at the time of receipt of the reject an Agency Order if, at the time of Agency Order, the option is a identifying information from receipt of the Agency Order, the option component of a complex strategy that is submissions. You should submit only is a component of a complex strategy the subject of a cPRIME Auction (as information that you wish to make that is the subject of a cPRIME Auction defined below). The Exchange also (as defined below). The Exchange also available publicly. All submissions proposes to amend Rule 518, Complex should refer to File Number SR–Phlx– proposes to amend Rule 518, Complex Orders, and Rule 519A, Risk Protection Orders, and Rule 519A, RPM, so that the 2017–57, and should be submitted on or Monitor (‘‘RPM’’), so that the price and before August 23, 2017. price and other trade protections other trade protections contained in contained in those rules address certain For the Commission, by the Division of those rules address certain new complex new complex order types on the Trading and Markets, pursuant to delegated order types on the Exchange. In Exchange, as described below. In authority.21 addition, the Exchange proposes to addition, the Exchange proposes to Eduardo A. Aleman, amend Exchange Rule 518, amend Exchange Rule 518, Assistant Secretary. Interpretations and Policies .05, to state Interpretations and Policies .05, to state that, unless otherwise specifically set [FR Doc. 2017–16266 Filed 8–1–17; 8:45 am] that, unless otherwise specifically set forth in the Rule, the price and other BILLING CODE 8011–01–P forth in the Rule, the price and other protections contained in Interpretations protections contained in Interpretations and Policies .05 (including proposed and Policies .05 (including proposed amendments to the Rule, described amendments to the Rule, described below) apply to all complex order types below) apply to all complex order types set forth in Rule 518(b), as described set forth in Rule 518(b), as described below. The Exchange also proposes to 1 15 U.S.C. 78s(b)(1). amend Rule 519A to set forth clearly the 2 17 CFR 240.19b–4. 3 The term ‘‘System’’ means the automated manner in which the RPM handles the trading system used by the Exchange for the trading various complex order types listed in 21 17 CFR 200.30–3(a)(12). of securities. See Exchange Rule 100. that Rule, as described below.
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Background Exchange’s PRIME mechanism, the The Exchange proposes to amend 9 The Exchange began trading complex same mechanism that the Exchange uses Rule 515A(a)(2) to add cPRIME Orders orders 4 in October, 2016.5 As part of its to process and execute simple PRIME to the list of price-improvement effort to continue to build out its orders, pursuant to Exchange Rule auctions that are prohibited by the complex order market segment, the 515A. cC2C and cQCC Orders will be Exchange’s System from occurring Exchange recently adopted rules to processed and executed in the same simultaneously on the Exchange. establish three new types of complex mechanism that the Exchange uses to Specifically, Rule 515A(a)(2) will orders—complex PRIME (‘‘cPRIME’’) cross simple Customer Cross orders and continue to state clearly that only one Orders, Complex Customer Cross QCC orders, pursuant to Exchange Rule Auction may be ongoing at any given (‘‘cC2C’’) Orders, and Complex 515. time in an option and Auctions in the Qualified Contingent Cross (‘‘cQCC’’) The Exchange is proposing to modify same option may not queue or overlap Orders—and to adopt new provisions Exchange Rule 518, Complex Orders, in any manner. Currently, the Rule that relate to the processing of those and Rule 519A, RPM, which govern states that the System will reject an new complex order types.6 A cPRIME certain price and other trade protection Agency Order if, at the time of receipt Order is a complex order that is features in the Exchange’s System so of the Agency Order, the option is in an submitted for participation in a cPRIME that they address (through inclusion or Auction or is a component of a complex 10 Auction. A cC2C Order is comprised of exclusion) cPRIME Orders, cC2C strategy that is the subject of a one Priority Customer complex order to Orders, and cQCC Orders in those Complex Auction pursuant to Rule buy and one Priority Customer complex features. 518(d). The proposed amendment order to sell the same complex strategy Proposal would state that the System will reject at the same initiating price (which must an Agency Order if, at the time of 7 The Exchange is proposing to amend receipt of the Agency Order, the option be better than (inside) the icMBBO Exchange Rules 515A, MIAX Price price or the best net price of a complex is a component of a complex strategy Improvement Mechanism (‘‘PRIME’’) that is the subject of a cPRIME Auction. order for the strategy) and for the same and PRIME Solicitation Mechanism, to quantity. A cQCC Order is comprised of The Exchange believes that the rejection state that the Exchange’s System will of Agency Orders that are received in an an originating complex order to buy or reject an Agency Order if, at the time of sell where each leg is at least 1,000 option in which an Auction, cPRIME receipt of the Agency Order, the option Auction, or Complex Auction is ongoing contracts and that is identified as being is a component of a complex strategy part of a qualified contingent trade, as ensures that there will not be any that is the subject of a cPRIME Auction interference with the potential for price defined in Rule 516, Interpretations and (as defined below). The Exchange also Policies .01,8 coupled with a contra-side improvement for the Agency Order as a proposes to amend Rule 518, Complex result of overlapping, concurrent complex order or orders for the same Orders, Interpretations and Policies .05, strategy totaling an equal number of auctions on the Exchange. Price and Other Protections, and The Exchange further believes that, contracts. cPRIME orders will be Interpretations and Policies .06, MIAX processed and executed in the without such a limitation, investors Order Monitor for Complex Orders could be faced with an unusually large (‘‘cMOM’’), and Exchange Rule 519A, 4 A ‘‘complex order’’ is any order involving the number of simultaneous PRIME and/or concurrent purchase and/or sale of two or more RPM, by stating in those rules how the Complex Auctions in the same option in different options in the same underlying security new cPRIME Order, cC2C Order, and the simple market, or involving the (the ‘‘legs’’ or ‘‘components’’ of the complex order), cQCC Order types will be handled by same strategy or components of the for the same account, in a ratio that is equal to or the System with respect to those price greater than one-to-three (.333) and less than or same strategy in the complex market, equal to three-to-one (3.00) and for the purposes of and other protections. The Exchange is which in turn could impact the orderly executing a particular investment strategy. Mini- also proposing to amend Exchange Rule function of the markets. The Exchange options may only be part of a complex order that 518, Interpretations and Policies .05, to believes that this limitation is consistent includes other mini-options. Only those complex state that, unless otherwise specifically orders in the classes designated by the Exchange with the Act because it protects and communicated to Members via Regulatory set forth in the Rule, the price and other investors and the public interest by Circular with no more than the applicable number protections contained in Interpretations ensuring orderliness in the PRIME, of legs, as determined by the Exchange on a class- and Policies .05 (including proposed cPRIME and Complex Auction process. by-class basis and communicated to Members via Regulatory Circular, are eligible for processing. See amendments to the Rule, described below) apply to all complex order types Complex Order Price and Other Exchange Rule 518(a)(5). Protections in Rule 518 5 For a complete description of the trading of set forth in Rule 518(b), as described complex orders on the Exchange, see Exchange Rule below. The Exchange is also proposing The Exchange proposes to amend 518. See also, Securities Exchange Act Release No. to amend Rule 519A, Interpretations Rule 518, Interpretations and Policies 79072 (October 7, 2016), 81 FR 71131 (October 14, 2016) (SR–MIAX–2016–26). and Policies .02, to set forth clearly the .05, to state that, unless otherwise 6 See Securities Exchange Act Release No. 81131 manner in which the RPM handles the (July 12, 2017) (SR–MIAX–2017–19). (Order various complex order types listed in 9 ‘‘cPRIME’’ is the process by which a Member Granting Approval of a Proposed Rule Change to that Rule, as described below. may electronically submit a ‘‘cPRIME Order’’ (as Amend MIAX Options Rules 515, Execution of defined in Rule 518(b)(7)) it represents as agent (a Orders and Quotes; 515A, MIAX Price Improvement MIAX PRIME ‘‘cPRIME Agency Order’’) against principal or Mechanism (‘‘PRIME’’) and PRIME Solicitation solicited interest for execution (a ‘‘cPRIME Mechanism; and 518, Complex Orders). The Exchange is proposing to amend Auction’’). See Exchange Rule 515A, Interpretations 7 The Implied Complex MIAX Best Bid or Offer Rule 515A, MIAX Price Improvement and Policies .12(a). (‘‘icMBBO’’) is a calculation that uses the best price Mechanism (‘‘PRIME’’) and PRIME 10 The term ‘‘complex strategy’’ means a from the Simple Order Book for each component of particular combination of components and their a complex strategy including displayed and non- Solicitation Mechanism. PRIME is a ratios to one another. New complex strategies can displayed trading interest. For stock-option orders, process by which a Member may be created as the result of the receipt of a complex the icMBBO for a complex strategy will be electronically submit for execution order or by the Exchange for a complex strategy that calculated using the best price (whether displayed (‘‘Auction’’) an order it represents as is not currently in the System. The Exchange may or non-displayed) on the Simple Order Book in the limit the number of new complex strategies that individual option component(s), and the NBBO in agent (‘‘Agency Order’’) against may be in the System at a particular time and will the stock component. See Exchange Rule 518(a)(11). principal interest, and/or an Agency communicate this limitation to Members via 8 See id. Order against solicited interest. Regulatory Circular. See Exchange Rule 518(a)(6).
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specifically set forth in the Rule, the The remaining proposed amendments the other hand, are automatically price and other protections contained in to Rule 518, Interpretations and Policies executed upon entry provided that, with Interpretations and Policies .05 apply to .05, are intended to exclude certain respect to each option leg of the cQCC all complex order types set forth in Rule order types from certain provisions in Order, the execution (i) is not at the 518(b).11 The Exchange believes that the the Rule. same price as a Priority Customer 18 application of existing protections to all ixABBO Protection order on the Exchange’s Book; and (ii) complex order types as described in is at or between the NBBO.19 Therefore, proposed Rule 518, Interpretations and First, the Exchange proposes to the System will not consider the Policies .05 is consistent with the Act modify Rule 518, Interpretations and ixABBO protection parameters (each because such application is designed to Policies .05(d) to state that the Implied other single exchange’s best displayed protect investors and the public interest, Away Best Bid or Offer (‘‘ixABBO’’) bid or offer for the complex strategy) by assisting investors in maintaining Price Protection feature is not available with respect to cPRIME Orders, cC2C their established risk tolerance levels on for cPRIME Orders, cC2C Orders, and Orders, and cQCC Orders. cQCC Orders. The ixABBO price the Exchange when making investment Wide Market Conditions decisions concerning these order types. protection feature is a price protection mechanism under which, when in Current Exchange Rule 518, The Exchange is proposing to modify operation as requested by the submitting Interpretations and Policies .05(e), Rule 518, Interpretations and Policies Member, a buy order will not be describes the handling of complex .05, Price and Other Protections, to executed at a price that is higher than orders when a component of a complex describe the manner in which the each other single exchange’s best strategy is in a wide market condition,20 System will handle cPRIME Orders, displayed offer for the complex strategy, a Simple Market Auction or Timer cC2C Orders, and cQCC Orders with and under which a sell order will not be (‘‘SMAT’’) Event,21 or a Halt. Complex respect to the protections described in executed at a price that is lower than orders will be handled in accordance the Rule. The Exchange is proposing to each other single exchange’s best with current Rule 518, Interpretations apply these protections to complex displayed bid for the complex strategy. and Policies .05(e)(2), with respect to orders so that investors submitting The ixABBO is calculated using the best SMAT Events, and Interpretations and complex orders are better able to net bid and offer for a complex strategy Policies .05(e)(3), with respect to Halts. manage their risk tolerance levels with using each other exchange’s displayed The Exchange is not proposing to respect to complex orders they submit best bid or offer on their simple order amend these rules. to the Exchange, just as they are book. For stock-option orders, the The Exchange is proposing to amend currently able to manage their risk ixABBO for a complex strategy is Rule 518, Interpretations and Policies tolerance levels with respect to orders in calculated using the BBO for each .05, with respect to wide market the simple market and certain types of component on each individual away conditions. Currently, during free 12 complex orders listed in Rule 518(b). options market and the NBBO for the trading, if a wide market condition The Exchange believes that extending stock component. The ixABBO price exists for a component of a complex the application of existing protections to protection feature must be engaged on strategy, trading in the complex strategy all complex order types, including the an order-by-order basis by the will be suspended.22 Similarly, if a wide recently added cPRIME Orders, cC2C submitting Member and is not available market condition exists for a component Orders, and cQCC Orders, as described for complex Standard quotes, complex of a complex strategy following a 14 in the proposed rules is consistent with eQuotes, or cAOC orders. Complex Auction, trading in the the Act because such application is The ixABBO protection will not be complex strategy will be suspended.23 available because this type of protection designed to protect investors and the The Exchange is proposing to exclude isn’t necessary for these new complex public interest, by ensuring that cPRIME Orders, cC2C Orders, and cQCC order types. Specifically, with respect to investors that participate in these order Orders from these current trade cPRIME Orders, a cPRIME Agency types are afforded the price protections protection provisions relating to wide Order is received by the Exchange that already apply to all order types market conditions. 13 accompanied by, and guarantees an currently listed in Rule 518(b). These The purpose of this ‘‘carve-out’’ is execution against, a contra-side order at protections are designed to assist similar to the purpose of the ixABBO a single price or at multiple prices with investors in maintaining their carve-out described above: cPRIME a ‘‘stop’’ price outside of which the established risk tolerance levels on the Orders, cC2C Orders, and cQCC Orders Exchange when making investment cPRIME Agency Order, the contra-side decisions concerning complex orders. order, and auction responses will not be 18 15 The term ‘‘Priority Customer’’ means a person executed. Additionally, cC2C Orders or entity that (i) is not a broker or dealer in 11 In addition to a general description, Rule 518(b) are automatically executed upon entry securities, and (ii) does not place more than 390 defines the following complex orders: a ‘‘Complex provided that: (i) The execution is at orders in listed options per day on average during Auction-on-Arrival’’ or ‘‘cAOA’’ order, which is a least $0.01 better than (inside) the a calendar month for its own beneficial account(s). complex order designated to be placed into a See Exchange Rule 100. icMBBO price, or (ii) the best net price 19 See supra note 6. Complex Auction upon receipt or upon evaluation; of a complex order (as defined in Rule a Complex Auction-or-Cancel or ‘‘cAOC’’ order, 20 A ‘‘wide market condition’’ is defined as any which is a complex limit order used to provide 518(a)(5)) on the Strategy Book (as individual component of a complex strategy having, liquidity during a specific Complex Auction with defined in Rule 518(a)(17)),16 whichever at the time of evaluation, an MBBO quote width a time in force that corresponds with that event; is more aggressive (i.e., the higher bid that is wider than the permissible valid quote width and a Complex Immediate-or-Cancel or ‘‘cIOC’’ and/or lower offer).17cQCC Orders, on as defined in Rule 603(b)(4). See Exchange Rule order, which is a complex order that is to be 518.05(e)(1). executed in whole or in part upon receipt. See 21 A SMAT Event is defined as a PRIME Auction Exchange Rule 518(b). The Exchange recently 14 See Exchange Rule 518, Interpretations and (pursuant to Rule 515A); a Route Timer (pursuant amended Rule 518(b) to add cPRIME, cC2C and Policies .05(d). to Rule 529); or a liquidity refresh pause (pursuant cQCC Orders to the complex order types defined in 15 See supra note 6. to Rule 515(c)(2)). See Exchange Rule 518(a)(16). the Rule. See supra note 6. 16 The ‘‘Strategy Book’’ is the Exchange’s 22 See Exchange Rule 518, Interpretations and 12 Id. electronic book of complex orders and complex Policies .05(e)(1)(i). 13 See Exchange Rule 518(b). See also supra note quotes. See Exchange Rule 518(a)(17). 23 See Exchange Rule 518, Interpretations and 6. 17 See supra note 6. Policies .05(e)(1)(ii).
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are all received with either a paired .06(a), by stating that the cMOM price Automatically either (A) prevent the cPRIME Agency Order (in the case of a protection feature shall not apply to System from receiving any new orders cPRIME Order) or a contra-side order or cPRIME Orders, cC2C Orders, and cQCC in all series in all classes from the orders. cPRIME and cC2C orders are Orders. Under the proposal, the new Member; (B) prevent the System from received with an execution price at least order types will therefore not be rejected receiving any new orders in all series in $0.01 better than (inside) the icMBBO for being outside of cMOM price all classes from the Member and cancel price or the best net price of a complex parameters upon receipt. The purpose of all existing orders with a time-in-force order on the Strategy Book, whichever excluding these complex order types of Day in all series in all classes from is more aggressive. cQCC Orders are from the cMOM price protection feature the Member; or (C) send a notification received with an execution price that (i) is that cPRIME Orders, cC2C Orders and to the Member without any further is not at the same price as a Priority cQCC Orders are all guaranteed an preventative or cancellation action by Customer Order on the Exchange’s execution at a price or prices the System. When engaged, the RPM Book; and (ii) is at or between the determined by the participants, and will still allow the Member to interact NBBO. Therefore, these three order cPRIME Orders are subject to further with existing orders entered prior to types, all of which consist of paired price improvement. Therefore, the exceeding the Allowable Order Rate orders with execution price cMOM price protection feature isn’t setting or the Allowable Contract requirements, are not affected by wide necessary for these complex order types, Execution Rate setting, including market conditions because they may and thus these complex order types will sending cancel order messages and only be executed at or inside of their not be rejected based upon cMOM price receiving trade executions from those obligatory prices. Accordingly, parameters. In order to remain orders. The RPM remains engaged until proposed Rule 518, Interpretations and consistent in the Rule, the Exchange is the Member communicates with the Policies .05(e)(iii), states that a wide also proposing to make a conforming Help Desk to enable the acceptance of market condition shall have no impact change to Rule 518, Interpretations and new orders. on the trading of cPRIME Orders and Policies .06(e). Specifically, the The Exchange is proposing to amend processing of cPRIME Auctions Exchange is proposing to carve out Interpretations and Policies .02 to Rule (including the processing of cPRIME cPRIME, cC2C and cQCC Orders from 519A by setting forth the specific Auction responses) pursuant to Rule the Rule by stating, in Rule 518, circumstances under which the Rule 515A, Interpretations and Policies .12, Interpretations and Policies .06(e), that, will apply to cPRIME Orders, QCC or on the trading of cC2C and cQCC except as provided in sub-paragraph Orders, cQCC Orders, Customer Cross Orders pursuant to Rule 515(h)(3) and .06(a) above (which excludes cPRIME, Orders, and cC2C Orders, in addition to (4). Such trading and processing will cC2C and cQCC Orders), the protections the order types currently set forth in the not be suspended and will continue set forth in Interpretations and Policies rule (PRIME Orders, PRIME Solicitation during wide market conditions. .06 will be available for complex orders Orders, and GTC Orders). Rather than as determined by the Exchange and MIAX Order Monitor for Complex ‘‘carve-out’’ these new complex order communicated to Members via Orders (‘‘cMOM’’) types, the Exchange is proposing to state Regulatory Circular. in the Rule how these order types will The Exchange is also proposing to RPM participate in the RPM. amend Exchange Rule 518, Rule 519A, Interpretations and Interpretations and Policies .06(a), to The Exchange is proposing to amend Policies .02, currently states that PRIME Rule 519A, RPM. RPM is a feature of the exclude cPRIME Orders, cC2C Orders, Orders, PRIME Solicitation Orders, and MIAX System which maintains a and cQCC Orders from the System’s GTC Orders do not participate in the counting program (‘‘counting program’’) cMOM feature. cMOM defines a price RPM. However, the System does include for each participating Member that will range outside of which a complex limit such PRIME Orders, PRIME Solicitation count the number of orders entered and order will not be accepted by the Orders, and GTC Orders in the counting the number of contracts traded via an System. A complex limit order that is program for purposes of this Rule. order entered by a Member on the priced through the cMOM range will be Under current Rule 519A, Exchange within a specified time period rejected. cMOM is a number defined by Interpretations and Policies .02(b), that has been established by the Member the Exchange and communicated to PRIME Orders, PRIME Solicitation (the ‘‘specified time period’’). The Members via Regulatory Circular. The Orders, and Customer Cross Orders 25 default price range for cMOM will be maximum duration of the specified time period is established by the Exchange will each be counted as two orders for greater than or equal to a price through the purpose of calculating the Allowable the cNBBO for the complex strategy to and announced via a Regulatory Circular. The RPM maintains one or Order Rate. Current Rule 519A, be determined by the Exchange and Interpretations and Policies .02(c), communicated to Members via more Member-configurable Allowable Order Rate settings and Allowable further provides that, once engaged, the Regulatory Circular. Such price will not RPM will not cancel any existing PRIME be greater than $2.50. A complex limit Contract Execution Rate settings. When a Member’s order is entered or when an Orders, PRIME Solicitation Orders, AOC order to sell will not be accepted at a orders, OPG orders, or GTC orders. price that is lower than the cNBBO bid, execution of a Member’s order occurs, the System will look back over the PRIME Orders, PRIME Solicitation and a complex limit order to buy will Orders, and GTC Orders remain in the not be accepted at a price that is higher specified time period to determine if the Member has: (i) Entered during the System available for trading when the than the cNBBO offer, by more than RPM is engaged. cMOM. A complex limit order that is specified time period a number of orders exceeding their Allowable Order The Exchange is proposing to amend priced through this range will be Interpretations and Policies .02 by 24 Rate setting(s), or (ii) executed during rejected. adding the new order types to the Rule The Exchange is proposing to amend the specified time period a number of contracts exceeding their Allowable Rule 518, Interpretations and Policies 25 The Exchange is proposing a technical Contract Execution Rate setting(s). Once amendment to refer in the Rule to ‘‘Customer 24 See Exchange Rule 518, Interpretations and engaged, the RPM will then, as Cross’’ orders and to delete an erroneous reference Policies .06. determined by the Member: to ‘‘Customer-to-Customer Orders.’’
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where appropriate (as described below) subject them to higher risk levels than purposes of calculating the Allowable and to re-word and reorganize the Rule they are prepared to tolerate. The Order Rate. to clearly describe the functionality of Exchange believes that this should The Exchange notes that, as of the the RPM as it relates to both existing result in more order flow on the date of this proposal, the Exchange is and the proposed new order types. Exchange, all to the benefit of the not aware of any Member whose best These proposed amendments are marketplace. execution obligation has been designed to remove impediments to and Proposed new Rule 519A, compromised based upon the Member’s perfect the mechanisms of a free and Interpretations and Policies .02(b), will level of RPM settings, and is not aware open market and to eliminate possible continue to state, just as Interpretations of any Member whose RPM settings confusion by establishing clearly in the and Policies .02(b) states today, that were so stringent that the Member’s Rule the manner in which the RPM PRIME Orders, PRIME Solicitation Agency Order did not receive an handles each existing and proposed Orders, and Customer Cross Orders will execution it should have received. order type. This should assist MIAX each be counted as two orders for the Additionally, Exchange members are Options participants in managing their purpose of calculating the Allowable expected to consider their best risk tolerance levels with respect to the Order Rate. These order types included execution obligations when setting order types that are included in the in the current Rule all consist of orders parameters for the RPM. In connection RPM’s counting program. that are paired with contra-side orders with this proposal, the Exchange will First, the Exchange proposes to upon receipt, with certain execution issue a Regulatory Circular reminding amend the introduction of Rule 519A, guarantees. For consistency, the Members of their best execution Interpretations and Policies .02, to add Exchange is proposing to include a list obligations. cPRIME Orders, QCC Orders, cQCC of all paired orders that are counted as Rule 519A, Interpretations and Policies .02, currently states that, once Orders, Customer Cross Orders, and two orders for purposes of the RPM in engaged, the RPM will not cancel any cC2C Orders to the currently the Rule. Orders received by the existing PRIME Orders, PRIME enumerated order types (PRIME Orders, Exchange are from various sources, and Solicitation Orders, AOC orders, OPG PRIME Solicitation Orders, and GTC order consolidators may submit them as orders, or GTC orders, and that PRIME Orders). Thus, as amended, Rule 519A, components of crossing orders where Orders, PRIME Solicitation Orders and Interpretations and Policies .02 applies appropriate. The purpose of counting GTC Orders will remain in the System to all of these order types. these order types as two separate orders Currently, Rule 519A, Interpretations available for trading when the RPM is is to protect investors whose orders are and Policies .02(a), states that the engaged. The Exchange is proposing to submitted on their behalf as a System includes PRIME Orders, PRIME add new sub-paragraph (c) to component of crossing orders from the Solicitation Orders, and GTC Orders in Interpretations and Policies .02, to risk that an automated trading system or the counting program for purposes of include cPRIME Orders in the list of algorithm could inadvertently send an this Rule. The Exchange is proposing to order types that will remain in the exponential number of paired orders amend the Rule by expanding it to list System instead of being cancelled by the during times of high volatility. By all order types (i.e., cPRIME Orders, RPM. The Exchange believes that, just counting each paired order as two QCC Orders, cQCC Orders, Customer as PRIME Orders are not cancelled separate orders for purposes of the RPM, Cross Orders, and cC2C Orders) that are under the current rule, cPRIME Orders, the Exchange believes that the subject to the RPM counting program.26 which are similarly paired and likelihood of a participant engaging in The Exchange believes that the guaranteed an execution on receipt, activity that exceeds participants’ inclusion of all of these order types in should not be cancelled and instead be established risk thresholds is mitigated the rules and System functionality is retained by the System so that they can and accounted for. Counting these order consistent with the Act because it be executed according to their terms, types as two separate orders thus removes impediments to, and perfects regardless of whether the RPM is protects investors and the public the mechanisms of a free and open engaged. market, by correctly and accurately interest, and is therefore consistent with The Exchange will announce the describing how existing orders are the Act. implementation date of the proposed handled by RPM and, also describing Additionally, these order types are rule change by Regulatory Circular to be the handling of the proposed new order counted as two separate orders for a published no later than 60 days types. This is consistent with the Act systemic reason. Specifically, these following the operative date of the because it is intended to remove paired order types are counted in the proposed rule. The implementation date impediments to and perfect the counting program as two orders when will be no later than 60 days following mechanisms of a free and open market calculating the Allowable Order Rate the issuance of the Regulatory Circular. by applying the counting program to all because a participant sending such a of the order types mentioned, thus paired order submits just one single 2. Statutory Basis instilling confidence in participants that message representing two orders. The MIAX believes that its proposed rule an unusually high number of orders RPM does not count the number of change is consistent with Section 6(b) of and/or contracts submitted within a messages submitted; it counts orders. the Act 27 in general, and furthers the specified time period during, for Therefore, for the foregoing reasons, the objectives of Section 6(b)(5) of the Act 28 example, periods of unusually high Exchange is proposing to add the in particular, in that it is designed to market volatility, will be counted following order types to be counted as prevent fraudulent and manipulative towards the possible prevention of two orders for purposes of the RPM: acts and practices, to promote just and additional orders and quotes that cPRIME Orders, QCC Orders, cQCC equitable principles of trade, to foster Orders, Customer Cross Orders and cooperation and coordination with 26 The counting program counts the number of cC2C Orders. The proposed amended persons engaged in regulating, clearing, orders entered and the number of contracts traded Rule thus accurately and correctly settling, processing information with via an order entered by a Member on the Exchange within a specified time period that has been reflects the manner in which paired established by the Member (the ‘‘specified time order types are submitted (as a single 27 15 U.S.C. 78f(b). period’’). See Exchange Rule 519A(a). message representing two orders) for 28 15 U.S.C. 78f(b)(5).
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respect to, and facilitating transactions The Exchange believes that its currently listed in Rule 518(b).31 These in, securities, to remove impediments to proposal to adopt Rule 518, protections are designed to assist and perfect the mechanisms of a free Interpretations and Policies .05(e)(1)(iii), investors in maintaining their and open market and a national market to state that a wide market condition established risk tolerance levels on the system and, in general, to protect shall have no impact on the trading of Exchange when making investment investors and the public interest. cPRIME Orders, cC2C Orders, and cQCC decisions concerning complex orders. The Exchange believes that the Orders perfects the mechanisms of a free The Exchange further believes that its application of existing protections to all and open market and a national market proposal in Rule 518, Interpretations complex order types as described in system and, in general, protects and Policies .06(a), that the cMOM Price proposed Rule 518, Interpretations and investors and the public interest, by Protection feature shall not apply to Policies .05 is consistent with the Act ensuring participants submitting these cPRIME Orders, cC2C Orders, and cQCC because such application is designed to order types that such paired orders will Orders removes impediments to and protect investors and the public interest, be executed at the submitted price perfects the mechanisms of a free and by assisting investors in maintaining regardless of wide market conditions. open market and a national market their established risk tolerance levels on The Exchange does not believe that such system and, in general, protects the Exchange when making investment orders should be affected by wide investors and the public interest. Under decisions concerning these order types. market conditions since the execution of the proposal, these new order types will The Exchange believes that the these order types is guaranteed. The not be rejected for being outside of the proposed amendment to Rule Exchange believes that preventing the cMOM price upon receipt, and will thus 515A(a)(2), specifically adding to the execution of these orders would be executed instead of being rejected existing limitations against unnecessarily preclude executions on unnecessarily. These order types are simultaneous Auctions and Complex the Exchange that should occur already effectively executed when they Auctions by stating that the System will regardless of wide market conditions. are received (and, in the case of cPRIME reject an Agency Order if, at the time of Additionally, the Exchange believes Orders, subject to price improvement) receipt of the Agency Order, the option that proposed Rule 518, Interpretations because they are paired orders with a is a component of a complex strategy and Policies .05(e)(1)(i), stating that guaranteed execution. The Exchange that is the subject of a cPRIME Auction, trading and processing in these order believes that accepting these orders, is consistent with the Act. Specifically, types will not be suspended and will rather than rejecting them, protects the proposal perfects the mechanisms of continue during wide market conditions investors that have established crossing a free and open market and a national perfects the mechanisms of a free and orders at a specific execution price. The Exchange believes that its market system and, in general, protects open market and a national market proposal to amend, re-word and investors and the public interest system and, in general, protects reorganize Rule 519A, Interpretations because, without such a limitation, investors and the public interest by and Policies .02, is designed to facilitate investors could be faced with an systemically avoiding the unnecessary transactions in securities and to remove unusually large number of simultaneous preclusion of executions of paired order impediments to and perfect the PRIME, cPRIME and/or Complex types during market conditions that do mechanisms of a free and open market, Auctions in the same option in the not affect such executions. The simple market, and in the same strategy by amending the existing Rule to suspension of trading in these order indicate that PRIME Orders, PRIME in the complex market, which in turn types due to wide market conditions could impact the orderly function of the Solicitation Orders, and GTC Orders would unnecessarily preclude the participate in the RPM, and by markets. The Exchange believes that this execution of transactions that are limitation is consistent with the Act expanding the Rule to identify the guaranteed at protected prices upon proposed new order types and to because it protects investors and the receipt. public interest by establishing the same describe how RPM handles each order The Exchange is proposing to apply type. limitation with respect to any these protections to complex orders so combination of concurrent PRIME, The Exchange’s proposal to add that investors submitting complex cPRIME Orders, QCC Orders, cQCC cPRIME and Complex Auctions. The orders are better able to manage their Exchange notes that other exchanges Orders, Customer Cross Orders and risk tolerance levels with respect to cC2C Orders to the list of order types in also limit concurrent auctions involving complex orders they submit to the the same option.29 which Rule 519A, Interpretations and Exchange, just as they are currently able Policies .02 applies, and to the list of The Exchange believes that the to manage their risk tolerance levels proposed amendments to Rule 518, order types to be counted as two orders with respect to orders in the simple for purposes of the RPM’s open order Interpretations and Policies .05(d), to market and certain types of complex exclude cPRIME Orders, cC2C Orders, protection in Rule 519A, Interpretations orders listed in Rule 518(b).30 The and cQCC Orders from the ixABBO and Policies .02(b), perfects the Exchange believes that extending the protection facilitates transactions in mechanisms of a free and open market application of existing protections to all securities and removes impediments to and a national market system by complex order types, including the and perfects the mechanisms of a free assisting investors in managing their recently added cPRIME Orders, cC2C and open market and a national market acceptable risk levels respecting open Orders, and cQCC Orders, as described system. The Exchange believes that, if orders. The submission of a single in the proposed rules is consistent with not excluded, such protection feature message into the System for the the Act because such application is could unnecessarily impede certain execution of a paired order type is a designed to protect investors and the transactions in order types submitted submission representing two orders, and public interest, by ensuring that with contra-side participation and the RPM counts them as such for investors that participate in these order guaranteed executions. purposes of calculating the Allowable types are afforded the price protections Order Rate. Participants thus will know that already apply to all order types 29 See, e.g., NASDAQ PHLX LLC (‘‘Phlx’’) Rule that their single message for these order 1080(n)(ii). See also, Chicago Board Options Exchange, Inc. (‘‘CBOE’’) Rule 6.74A(b). 30 See supra note 11. 31 See supra note 11.
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types represents two orders for purposes competition by enabling MIAX Options A proposed rule change filed of the counting system and may to compete for this type of order flow pursuant to Rule 19b–4(f)(6) under the determine their appropriate risk with other exchanges that have similar Act 34 normally does not become tolerance parameters accordingly. functionalities in place. operative for 30 days after the date of its The Exchange’s proposal in Rule The Exchange further believes that filing. However, Rule 19b–4(f)(6)(iii) 35 519A, Interpretations and Policies enhancing the trade protections permits the Commission to designate a .02(c), not to cancel existing cPRIME promotes intra-market competition by shorter time if such action is consistent Orders once the RPM is engaged ensures protecting new order types through with the protection of investors and the that paired orders that are guaranteed which competing MIAX Options public interest. The Exchange has asked executions are not unnecessarily participants may submit complex orders the Commission to waive the 30-day cancelled. CPRIME Agency Orders are into the System. Furthermore, the price operative delay so that the proposed submitted with a contra side order at a protections and limitations on trade and price protections will be guaranteed improved price; the simultaneous auctions described in this operative at the commencement of engagement of RPM has no effect on the proposal are available, and apply trading in the new crossing and cPRIME cPRIME price guarantee. Therefore, the equally, to all market participants, order types on the Exchange.36 The Exchange believes that this proposal resulting in an even playing field on the Exchange believes that the trade and removes impediments to and perfects Exchange with respect to available trade price protections proposed for the new the mechanisms of a free and open and price protections on the Exchange. order types are indispensable tools for market and a national market system This should result in enhanced liquidity participants in managing their risk and, in general, protects investors and and more competition on the Exchange. levels, and that a waiver of the operative the public interest, by permitting Additionally, the Exchange believes delay will ensure the protection of existing cPRIME Orders to be executed that the proposed limitation on investors and the public interest, despite the engagement of RPM. simultaneous auctions involving the consistent with the Act. The The Exchange believes that the same options should encourage Commission believes the waiver of the proposed amendments to its trade participants to submit more PRIME and operative delay is consistent with the protection rules should instill cPRIME Agency Orders to the Exchange, protection of investors and the public additional confidence in Members that thus increasing the number of such interest to assure that the Risk submit orders to the Exchange that their orders, and responses to those orders on Protection Monitor provisions and the risk tolerance levels are protected, and the Exchange, which should enhance price and other protections in MIAX thus should encourage such Members to the Exchange’s position with respect to Rule 518, Interpretation and Policy .05, submit additional order flow and inter-market competition. except as otherwise provided therein, liquidity to the Exchange with the For all the reasons stated, the will apply to the new cPRIME Orders, understanding that they retain necessary Exchange does not believe that the cC2C Orders, and cQCC Orders at the protections and avoid unnecessary proposed rule change will impose any time these orders begin trading on protections with respect to all orders burden on competition not necessary or MIAX.37 As noted above, MIAX states they submit to the Exchange, including appropriate in furtherance of the that the trade and price protections are complex orders, thereby removing purposes of the Act, and believes the indispensable tools for participants to impediments to and perfecting the proposed change will in fact enhance manage their risk tolerance levels. mechanisms of a free and open market competition. Therefore, the Commission hereby and a national market system and, in C. Self-Regulatory Organization’s waives the operative delay and general, protecting investors and the Statement on Comments on the designates the proposed rule change public interest. Proposed Rule Change Received From operative upon filing.38 The Exchange also believes that the Members, Participants, or Others At any time within 60 days of the proposed rule change removes filing of the proposed rule change, the impediments to and perfects the Written comments were neither Commission summarily may mechanisms of a free and open market solicited nor received. temporarily suspend such rule change if and a national market system by III. Date of Effectiveness of the it appears to the Commission that such attracting more order flow and by Proposed Rule Change and Timing for action is necessary or appropriate in the increasing the frequency with which Commission Action public interest, for the protection of Initiating Members initiate Auctions in investors, or otherwise in furtherance of Because the proposed rule change complex orders through PRIME. the purposes of the Act. If the does not (i) significantly affect the Commission takes such action, the B. Self-Regulatory Organization’s protection of investors or the public Commission shall institute proceedings Statement on Burden on Competition interest; (ii) impose any significant burden on competition; and (iii) become The Exchange does not believe that 34 17 CFR 240.19b–4(f)(6). the proposed rule change will impose operative for 30 days from the date on 35 17 CFR 240.19b–4(f)(6)(iii). any burden on competition that is not which it was filed, or such shorter time 36 See supra note 6. necessary or appropriate in furtherance as the Commission may designate, it has 37 See id. The Commission notes that the proposal become effective pursuant to Section also provides that the ixABBO Price Protection and of the purposes of the Act. 32 the wide market condition provisions in MIAX Rule On the contrary, the proposed rule 19(b)(3)(A) of the Act and Rule 19b– 33 518, Interpretation and Policy .05, and the cMOM change is intended to promote 4(f)(6) thereunder. Price Protection feature in MIAX Rule 518, competition by ensuring that necessary Interpretation and Policy .06, will not apply to 32 trade protections are available on the 15 U.S.C. 78s(b)(3)(A). cPRIME, cC2C, and cQCC Orders because, as 33 17 CFR 240.19b–4(f)(6). As required under Rule described more fully above, cPRIME, cC2C, and Exchange, and by avoiding unnecessary 19b–4(f)(6)(iii), the Exchange provided the cQCC Orders are submitted as paired orders and are protections that would preclude Commission with written notice of its intent to file guaranteed executions. executions, enabling MIAX Options the proposed rule change, along with a brief 38 For purposes only of waiving the 30-day participants to execute more complex description and the text of the proposed rule operative delay, the Commission also has change, at least five business days prior to the date considered the proposed rule’s impact on orders on the Exchange. The Exchange of filing of the proposed rule change, or such efficiency, competition, and capital formation. See believes that this enhances inter-market shorter time as designated by the Commission. 15 U.S.C. 78c(f).
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to determine whether the proposed rule For the Commission, by the Division of On June 23, 2017, the Exchange filed change should be approved or Trading and Markets, pursuant to delegated Amendment No. 1 to the proposed rule 39 disapproved. authority. change.7 The Commission has received Eduardo A. Aleman, no comments on the proposed rule IV. Solicitation of Comments Assistant Secretary. change. 8 Interested persons are invited to [FR Doc. 2017–16209 Filed 8–1–17; 8:45 am] Section 19(b)(2) of the Act provides submit written data, views, and BILLING CODE 8011–01–P that, after initiating disapproval arguments concerning the foregoing, proceedings, the Commission shall issue including whether the proposed rule an order approving or disapproving the SECURITIES AND EXCHANGE proposed rule change not later than 180 change is consistent with the Act. COMMISSION days after the date of publication of Comments may be submitted by any of notice of filing of the proposed rule the following methods: [Release No. 34–81224; File No. SR– NYSEArca–2017–05] change. The Commission may extend Electronic Comments the period for issuing an order Self-Regulatory Organizations; NYSE approving or disapproving the proposed • Use the Commission’s Internet Arca, Inc.; Notice of Designation of a rule change by not more than 60 days comment form (http://www.sec.gov/ Longer Period for Commission Action if the Commission determines that a rules/sro.shtml); or on Proceedings To Determine Whether longer period is appropriate and • Send an email to rule-comments@ To Approve or Disapprove a Proposed publishes the reasons for such sec.gov. Please include File Number SR– Rule Change, as Modified by determination. The proposed rule Amendment No. 1, To List and Trade MIAX–2017–34 on the subject line. change was published for notice and Shares of Direxion Daily Crude Oil Bull comment in the Federal Register on Paper Comments 3x Shares and Direxion Daily Crude Oil February 7, 2017. August 6, 2017 is 180 Bear 3x Shares Under NYSE Arca • days from that date, and October 5, 2017 Send paper comments in triplicate Equities Rule 8.200 is 240 days from that date. to Brent J. Fields, Secretary, Securities July 27, 2017. The Commission finds it appropriate and Exchange Commission, 100 F Street to designate a longer period within NE., Washington, DC 20549–1090. On January 23, 2017, NYSE Arca, Inc. (‘‘Exchange’’) filed with the Securities which to issue an order approving or All submissions should refer to File and Exchange Commission disapproving the proposed rule change Number SR–MIAX–2017–34. This file (‘‘Commission’’), pursuant to Section so that it has sufficient time to consider number should be included on the 19(b)(1) of the Securities Exchange Act this proposed rule change. Accordingly, subject line if email is used. To help the of 1934 (‘‘Act’’) 1 and Rule 19b–4 the Commission, pursuant to Section 9 Commission process and review your thereunder,2 a proposed rule change to 19(b)(2) of the Act, designates October comments more efficiently, please use list and trade shares of Direxion Daily 5, 2017 as the date by which the only one method. The Commission will Crude Oil Bull 3x Shares and Direxion Commission shall either approve or post all comments on the Commission’s Daily Crude Oil Bear 3x Shares under disapprove the proposed rule change Internet Web site (http://www.sec.gov/ NYSE Arca Equities Rule 8.200. The (File No. SR–NYSEArca–2017–05), as rules/sro.shtml). Copies of the proposed rule change was published for modified by Amendment No. 1. submission, all subsequent comment in the Federal Register on For the Commission, by the Division of amendments, all written statements February 7, 2017.3 Trading and Markets, pursuant to delegated 10 with respect to the proposed rule On March 16, 2017, pursuant to authority. change that are filed with the Section 19(b)(2) of the Act,4 the Eduardo A. Aleman, Commission, and all written Commission designated a longer period Assistant Secretary. communications relating to the within which to approve the proposed [FR Doc. 2017–16205 Filed 8–1–17; 8:45 am] proposed rule change between the rule change, disapprove the proposed BILLING CODE 8011–01–P Commission and any person, other than rule change, or institute proceedings to those that may be withheld from the determine whether to disapprove the 5 public in accordance with the proposed rule change. On May 5, 2017, SECURITIES AND EXCHANGE provisions of 5 U.S.C. 552, will be the Commission instituted proceedings COMMISSION to determine whether to approve or available for Web site viewing and 6 [Release No. IC–32764] printing in the Commission’s Public disapprove the proposed rule change. Notice of Applications for Reference Room, 100 F Street NE., 39 17 CFR 200.30–3(a)(12). Deregistration Under Section 8(f) of the Washington, DC 20549, on official 1 15 U.S.C. 78s(b)(1). business days between the hours of 2 17 CFR 240.19b–4. Investment Company Act of 1940 10:00 a.m. and 3:00 p.m. Copies of the 3 See Securities Exchange Act Release No. 79916 July 28, 2017. filing also will be available for (February 1, 2017), 82 FR 9608. inspection and copying at the principal 4 15 U.S.C. 78s(b)(2). The following is a notice of 5 applications for deregistration under office of the Exchange. All comments See Securities Exchange Act Release No. 80265, 82 FR 14778 (March 22, 2017). section 8(f) of the Investment Company received will be posted without change; 6 See Securities Exchange Act Release No. 80606, Act of 1940 for the month of July 2017. the Commission does not edit personal 82 FR 22042 (May 11, 2017). Specifically, the identifying information from Commission instituted proceedings to allow for 7 Amendment No. 1, which amended and submissions. You should submit only additional analysis of the proposed rule change’s consistency with Section 6(b)(5) of the Act, which replaced the proposed rule change in its entirety, information that you wish to make requires, among other things, that the rules of a is available on the Commission’s Web site at: available publicly. All submissions national securities exchange be ‘‘designed to https://www.sec.gov/comments/sr-nysearca-2017- should refer to File Number SR–MIAX– prevent fraudulent and manipulative acts and 05/nysearca201705-1822806-154288.pdf. 8 15 U.S.C. 78s(b)(2). 2017–34 and should be submitted on or practices, to promote just and equitable principles of trade,’’ and ‘‘to protect investors and the public 9 Id. before August 23, 2017. interest.’’ See id. at 22043. 10 17 CFR 200.30–3(a)(57).
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A copy of each application may be any offering of securities. Applicant will thereunder, 2 a proposed rule change to obtained via the Commission’s Web site continue to operate as a private adopt new Rule 14.11(k) to permit it to by searching for the file number, or for investment fund in reliance on section list and trade Managed Portfolio Shares. an applicant using the Company name 3(c)(7) of the Act. The Exchange also proposed to list and box, at http://www.sec.gov/search/ Filing Dates: The application was trade shares of ClearBridge Appreciation search.htm or by calling (202) 551– filed on July 6, 2017 and amended on ETF, ClearBridge Large Cap ETF, 8090. An order granting each July 18, 2017. ClearBridge MidCap Growth ETF, application will be issued unless the Applicant’s Address: 599 Lexington ClearBridge Select ETF, and ClearBridge SEC orders a hearing. Interested persons Avenue, 19th Floor, New York, New All Cap Value ETF under proposed Rule may request a hearing on any York 10022. 14.11(k). The proposed rule change was application by writing to the SEC’s published for comment in the Federal Secretary at the address below and RiverSource Tax-Exempt Series, Inc. Register on June 19, 2017.3 The serving the relevant applicant with a [File No. 811–02686] copy of the request, personally or by Summary: Applicant seeks an order Commission has received three mail. Hearing requests should be declaring that it has ceased to be an comment letters on the proposed rule 4 received by the SEC by 5:30 p.m. on investment company. Applicant has change. August 22, 2017, and should be transferred its assets to Columbia Section 19(b)(2) of the Act 5 provides accompanied by proof of service on Intermediate Municipal Bond Fund, a that, within 45 days of the publication applicants, in the form of an affidavit or, series of Columbia Funds Series Trust I, of notice of the filing of a proposed rule for lawyers, a certificate of service. and, on June 6, 2011, made a final change, or within such longer period up Pursuant to Rule 0–5 under the Act, distribution to its shareholders based on to 90 days as the Commission may hearing requests should state the nature net asset value. Expenses of designate if it finds such longer period of the writer’s interest, any facts bearing approximately $183,001 incurred in to be appropriate and publishes its upon the desirability of a hearing on the connection with the reorganization were reasons for so finding or as to which the matter, the reason for the request, and paid by applicant’s investment adviser. self-regulatory organization consents, the issues contested. Persons who wish Filing Dates: The application was the Commission shall either approve the to be notified of a hearing may request filed on December 16, 2016, and proposed rule change, disapprove the notification by writing to the amended on July 17, 2017. proposed rule change, or institute Applicant’s Address: 50606 Commission’s Secretary. proceedings to determine whether the Address: The Commission: Secretary, Ameriprise Financial Center, proposed rule change should be U.S. Securities and Exchange Minneapolis, Minnesota 55474. disapproved. The 45th day after Commission, 100 F Street NE., For the Commission, by the Division of Washington, DC 20549–1090. publication of the notice for this Investment Management, pursuant to proposed rule change is August 3, 2017. For Further Information Contact: delegated authority. The Commission is extending this 45- Jessica Shin, Attorney-Adviser, at (202) Brent J. Fields, 551–5921 or Chief Counsel’s Office at day time period. Secretary. (202) 551–6821; SEC, Division of [FR Doc. 2017–16273 Filed 8–1–17; 8:45 am] The Commission finds that it is Investment Management, Chief appropriate to designate a longer period BILLING CODE 8011–01–P Counsel’s Office, 100 F Street NE., within which to take action on the Washington, DC 20549–8010. proposed rule change so that it has Susa Registered Fund, L.L.C. [File No. SECURITIES AND EXCHANGE sufficient time to consider the proposed 811–22924] COMMISSION rule change and the comment letters. Summary: Applicant, a closed-end Accordingly, the Commission, pursuant [Release No. 34–81247; File No. SR- to Section 19(b)(2) of the Act,6 investment company, seeks an order BatsBZX–2017–30] declaring that it has ceased to be an designates September 17, 2017, as the investment company. On June 19, 2017 Self-Regulatory Organizations; Bats date by which the Commission shall and July 21, 2017, applicant made BZX Exchange, Inc.; Notice of either approve or disapprove, or liquidating distributions to its Designation of a Longer Period for institute proceedings to determine shareholders, based on net asset value. Commission Action on a Proposed whether to disapprove, the proposed Expenses of approximately $27,000 Rule Change To Permit the Listing and rule change (File Number SR–BatsBZX– incurred in connection with the Trading of Managed Portfolio Shares; 2017–30). liquidation were paid by the applicant. and To List and Trade Shares of the Filing Dates: The application was Following Under Proposed Rule filed on June 27, 2017 and amended on 14.11(k): ClearBridge Appreciation July 24, 2017. ETF; ClearBridge Large Cap ETF; Applicant’s Address: 4400 Computer ClearBridge MidCap Growth ETF; 2 17 CFR 240.19b–4. Drive, Westborough, Massachusetts ClearBridge Select ETF; and 3 See Securities Exchange Act Release No. 80911 01581. ClearBridge All Cap Value ETF (June 13, 2017), 82 FR 27925. 4 See letters from: (1) Gary Gastineau, President, Ramius Archview Credit & Distressed July 28, 2017. ETF Consultants.com, Inc., dated July 7, 2017; (2) Fund [File No. 811–23056] On June 1, 2017, Bats BZX Exchange, Todd J. Broms, Chief Executive Officer, Broms & Summary: Applicant, a closed-end Inc. (‘‘Exchange’’) filed with the Company LLC, dated July 10, 2017; and (3) James J. Angel, Associate Professor of Finance, investment company, seeks an order Securities and Exchange Commission Georgetown University, McDonough School of declaring that it has ceased to be an (‘‘Commission’’), pursuant to Section Business, dated July 10, 2017. The comment letters investment company. Applicant 19(b)(1) of the Securities Exchange Act are available at https://www.sec.gov/comments/sr- currently has three beneficial owners, is of 1934 (‘‘Act’’) 1 and Rule 19b–4 batsbzx-2017–30/batsbzx201730.htm. not presently making an offering of 5 15 U.S.C. 78s(b)(2). securities and does not propose to make 1 15 U.S.C. 78s(b)(1). 6 Id.
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For the Commission, by the Division of dealer registered under the Securities at their NAV in Creation Units only. All Trading and Markets, pursuant to delegated Exchange Act of 1934 (‘‘Exchange Act’’). orders to purchase Creation Units and authority.7 FILING DATES: The application was filed all redemption requests will be placed Eduardo A. Aleman, on February 21, 2017, and amended on by or through an ‘‘Authorized Assistant Secretary. May 11, 2017 and July 12, 2017. Participant’’, which will have signed a [FR Doc. 2017–16267 Filed 8–1–17; 8:45 am] HEARING OR NOTIFICATION OF HEARING: participant agreement with the BILLING CODE 8011–01–P An order granting the requested relief Distributor. Shares will be listed and will be issued unless the Commission traded individually on a national orders a hearing. Interested persons may securities exchange, where share prices SECURITIES AND EXCHANGE request a hearing by writing to the will be based on the current bid/offer COMMISSION Commission’s Secretary and serving market. Any order granting the [Investment Company Act Release No. applicants with a copy of the request, requested relief would be subject to the 32763; 812–14746] personally or by mail. Hearing requests terms and conditions stated in the should be received by the Commission application. Change Finance, PBC, et al. by 5:30 p.m. on August 21, 2017, and 2. Each Fund will hold investment positions selected to correspond closely July 27, 2017. should be accompanied by proof of service on applicants, in the form of an to the performance of an Underlying AGENCY: Securities and Exchange Index. In the case of Self-Indexing Commission (‘‘Commission’’). affidavit, or for lawyers, a certificate of service. Pursuant to rule 0–5 under the Funds, an affiliated person, as defined ACTION: Notice. Act, hearing requests should state the in section 2(a)(3) of the Act (‘‘Affiliated Notice of an application for an order nature of the writer’s interest, any facts Person’’), or an affiliated person of an under section 6(c) of the Investment bearing upon the desirability of a Affiliated Person (‘‘Second-Tier Company Act of 1940 (the ‘‘Act’’) for an hearing on the matter, the reason for the Affiliate’’), of the Trust or a Fund, of the exemption from sections 2(a)(32), request, and the issues contested. Adviser, of any sub-adviser to or 5(a)(1), 22(d), and 22(e) of the Act and Persons who wish to be notified of a promoter of a Fund, or of the Distributor rule 22c–1 under the Act, under hearing may request notification by will compile, create, sponsor or sections 6(c) and 17(b) of the Act for an writing to the Commission’s Secretary. maintain the Underlying Index.2 exemption from sections 17(a)(1) and ADDRESSES: Secretary, Securities and 3. Shares will be purchased and 17(a)(2) of the Act, and under section Exchange Commission, 100 F Street NE., redeemed in Creation Units and 12(d)(1)(J) for an exemption from Washington, DC 20549–1090; generally on an in-kind basis. Except sections 12(d)(1)(A) and 12(d)(1)(B) of Applicants: The Initial Adviser, 705 where the purchase or redemption will the Act. The requested order would Grand View Drive, Alexandria, Virginia include cash under the limited permit (a) index-based series of certain 22305; the Trust and the Distributor, circumstances specified in the open-end management investment 615 East Michigan Street, 4th Floor, application, purchasers will be required companies (‘‘Funds’’) to issue shares Milwaukee, Wisconsin 53202. to purchase Creation Units by redeemable in large aggregations only FOR FURTHER INFORMATION CONTACT: depositing specified instruments (‘‘Creation Units’’); (b) secondary market Elizabeth G. Miller, Senior Counsel, at (‘‘Deposit Instruments’’), and transactions in Fund shares to occur at (202) 551–8707, or Aaron T. Gilbride, shareholders redeeming their shares negotiated market prices rather than at Acting Branch Chief, at (202) 551–6825 will receive specified instruments net asset value (‘‘NAV’’); (c) certain (Division of Investment Management, (‘‘Redemption Instruments’’). The Funds to pay redemption proceeds, Chief Counsel’s Office). Deposit Instruments and the Redemption Instruments will each under certain circumstances, more than SUPPLEMENTARY INFORMATION: The seven days after the tender of shares for following is a summary of the correspond pro rata to the positions in redemption; (d) certain affiliated application. The complete application the Fund’s portfolio (including cash persons of a Fund to deposit securities may be obtained via the Commission’s positions) except as specified in the into, and receive securities from, the Web site by searching for the file application. 4. Because shares will not be Fund in connection with the purchase number, or for an applicant using the individually redeemable, applicants and redemption of Creation Units; and Company name box, at http:// (e) certain registered management www.sec.gov/search/search.htm or by request an exemption from section investment companies and unit calling (202) 551–8090. 5(a)(1) and section 2(a)(32) of the Act investment trusts outside of the same that would permit the Funds to register Summary of the Application group of investment companies as the as open-end management investment Funds (‘‘Funds of Funds’’) to acquire 1. Applicants request an order that companies and issue shares that are shares of the Funds. would allow Funds to operate as index redeemable in Creation Units only. 1 5. Applicants also request an APPLICANTS: Change Finance, PBC (the exchange traded funds (‘‘ETFs’’). Fund shares will be purchased and redeemed exemption from section 22(d) of the Act ‘‘Initial Adviser’’), a Colorado public and rule 22c–1 under the Act as benefit corporation that will be 1 secondary market trading in shares will registered as an investment adviser Applicants request that the order apply to the new series of the Trust and any additional series of take place at negotiated prices, not at a under the Investment Advisers Act of the Trust, and any other open-end management current offering price described in a 1940, ETF Series Solutions (the investment company or series thereof, that may be Fund’s prospectus, and not at a price ‘‘Trust’’), a Delaware statutory trust created in the future (each, included in the term ‘‘Fund’’), each of which will operate as an ETF and registered under the Act as an open-end will track a specified index comprised of domestic 2 Each Self-Indexing Fund will post on its Web management investment company with or foreign equity and/or fixed income securities site the identities and quantities of the investment multiple series, and Quasar Distributors, (each, an ‘‘Underlying Index’’). Any Fund will (a) positions that will form the basis for the Fund’s LLC (the ‘‘Distributor’’), a Delaware be advised by the Initial Adviser or an entity calculation of its NAV at the end of the day. controlling, controlled by, or under common Applicants believe that requiring Self-Indexing limited liability company and broker- control with the Initial Adviser (each, an Funds to maintain full portfolio transparency will ‘‘Adviser’’) and (b) comply with the terms and help address, together with other protections, 7 17 CFR 200.30–3(a)(31). conditions of the application. conflicts of interest with respect to such Funds.
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based on NAV. Applicants state that (a) valued in the same manner as those SECURITIES AND EXCHANGE secondary market trading in shares does investment positions currently held by COMMISSION not involve a Fund as a party and will the Funds. Applicants also seek relief not result in dilution of an investment from the prohibitions on affiliated [Release No. 34–81225; File No. SR–NYSE– in shares, and (b) to the extent different transactions in section 17(a) to permit a 2017–35] prices exist during a given trading day, Fund to sell its shares to and redeem its or from day to day, such variances occur shares from a Fund of Funds, and to Self-Regulatory Organizations; New as a result of third-party market forces, engage in the accompanying in-kind York Stock Exchange LLC; Notice of such as supply and demand. Therefore, transactions with the Fund of Funds.3 Filing and Immediate Effectiveness of applicants assert that secondary market The purchase of Creation Units by a Proposed Rule Change for Trading transactions in shares will not lead to Fund of Funds directly from a Fund will UTP Securities on Pillar, the discrimination or preferential treatment Exchange’s New Trading Technology among purchasers. Finally, applicants be accomplished in accordance with the represent that share market prices will policies of the Fund of Funds and will Platform be based on the NAVs of the Funds. be disciplined by arbitrage July 27, 2017. opportunities, which should prevent 9. Section 6(c) of the Act permits the 1 shares from trading at a material Commission to exempt any persons or Pursuant to Section 19(b)(1) of the discount or premium from NAV. transactions from any provision of the Securities Exchange Act of 1934 (the 2 3 6. With respect to Funds that effect Act if such exemption is necessary or ‘‘Act’’) and Rule 19b–4 thereunder, creations and redemptions of Creation appropriate in the public interest and notice is hereby given that on July 13, Units in kind and that are based on consistent with the protection of 2017, New York Stock Exchange LLC certain Underlying Indexes that include investors and the purposes fairly (‘‘NYSE’’ or the ‘‘Exchange’’) filed with foreign securities, applicants request intended by the policy and provisions of the Securities and Exchange relief from the requirement imposed by the Act. Section 12(d)(1)(J) of the Act Commission (the ‘‘Commission’’) the section 22(e) in order to allow such provides that the Commission may proposed rule change as described in Funds to pay redemption proceeds exempt any person, security, or Items I and II below, which Items have within fifteen calendar days following been prepared by the self-regulatory the tender of Creation Units for transaction, or any class or classes of persons, securities, or transactions, from organization. The Commission is redemption. Applicants assert that the publishing this notice to solicit requested relief would not be any provision of section 12(d)(1) if the comments on the proposed rule change inconsistent with the spirit and intent of exemption is consistent with the public from interested persons. section 22(e) to prevent unreasonable, interest and the protection of investors. undisclosed or unforeseen delays in the Section 17(b) of the Act authorizes the I. Self-Regulatory Organization’s actual payment of redemption proceeds. Commission to grant an order Statement of the Terms of Substance of 7. Applicants request an exemption to permitting a transaction otherwise the Proposed Rule Change permit Funds of Funds to acquire Fund prohibited by section 17(a) if it finds shares beyond the limits of section that (a) the terms of the proposed The Exchange proposes rules for 12(d)(1)(A) of the Act; and the Funds, transaction are fair and reasonable and trading UTP Securities on Pillar, the and any principal underwriter for the do not involve overreaching on the part Exchange’s new trading technology Funds, and/or any broker or dealer of any person concerned; (b) the platform. The proposed rule change is registered under the Exchange Act, to proposed transaction is consistent with available on the Exchange’s Web site at sell shares to Funds of Funds beyond the policies of each registered www.nyse.com, at the principal office of the limits of section 12(d)(1)(B) of the investment company involved; and (c) the Exchange, and at the Commission’s Act. The application’s terms and the proposed transaction is consistent Public Reference Room. conditions are designed to, among other things, help prevent any potential (i) with the general purposes of the Act. II. Self-Regulatory Organization’s undue influence over a Fund through For the Commission, by the Division of Statement of the Purpose of, and control or voting power, or in Investment Management, under delegated Statutory Basis for, the Proposed Rule connection with certain services, authority. Change transactions, and underwritings, (ii) Eduardo A. Aleman, In its filing with the Commission, the excessive layering of fees, and (iii) Assistant Secretary. overly complex fund structures, which self-regulatory organization included [FR Doc. 2017–16200 Filed 8–1–17; 8:45 am] are the concerns underlying the limits statements concerning the purpose of, in sections 12(d)(1)(A) and (B) of the BILLING CODE 8011–01–P and basis for, the proposed rule change Act. and discussed any comments it received 8. Applicants request an exemption on the proposed rule change. The text from sections 17(a)(1) and 17(a)(2) of the of those statements may be examined at Act to permit persons that are Affiliated the places specified in Item IV below. Persons, or Second Tier Affiliates, of the The Exchange has prepared summaries, Funds, solely by virtue of certain 3 The requested relief would apply to direct sales set forth in sections A, B, and C below, ownership interests, to effectuate of shares in Creation Units by a Fund to a Fund of of the most significant parts of such purchases and redemptions in-kind. The Funds and redemptions of those shares. Applicants, statements. deposit procedures for in-kind moreover, are not seeking relief from section 17(a) purchases of Creation Units and the for, and the requested relief will not apply to, redemption procedures for in-kind transactions where a Fund could be deemed an Affiliated Person, or a Second-Tier Affiliate, of a redemptions of Creation Units will be Fund of Funds because an Adviser or an entity the same for all purchases and controlling, controlled by or under common control 1 15 U.S.C. 78s(b)(1). redemptions and Deposit Instruments with an Adviser provides investment advisory 2 15 U.S.C. 78a. and Redemption Instruments will be services to that Fund of Funds. 3 17 CFR 240.19b–4.
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A. Self-Regulatory Organization’s Exchange proposes to refer to the rules this preamble will govern Exchange Statement of the Purpose of, and the of NYSE MKT as ‘‘NYSE American Rule operations on Pillar. Statutory Basis for, the Proposed Rule X.’’ 8 Subject to rule approvals, the Change Exchange will announce the Overview implementation of trading of UTP 1. Purpose The Exchange previously amended its Securities on the Pillar trading system On January 29, 2015, the Exchange rules to add the Pillar Platform Rules, as by Trader Update, which the Exchange announced the implementation of Pillar, set forth in Rules 1P–13P.9 With this anticipates will be in the fourth quarter which is an integrated trading proposed rule change, the Exchange of 2017. technology platform designed to use a proposes additional rules for Rules 1P single specification for connecting to the Proposed Rule Changes equities and options markets operated Definitions and 7P Equities Trading to support trading of UTP Securities.10 The As noted above, the Exchange by the Exchange and its affiliates, NYSE proposes rules that would be applicable Arca, Inc. (‘‘NYSE Arca’’) and NYSE proposed rules address general order processing and post-trade functions for to trading UTP Securities on Pillar that MKT LLC (‘‘NYSE MKT’’).4 NYSE Arca are based on the rules of NYSE Arca Equities, Inc. (‘‘NYSE Arca Equities),5 the Pillar trading platform and are based on the rules of NYSE Arca Equities and Equities and NYSE American. As a which operates the cash equities trading global matter, the Exchange proposes platform for NYSE Arca, was the first NYSE American without any substantive differences.11 non-substantive differences as trading system to migrate to Pillar.6 compared to the NYSE Arca Equities NYSE MKT’s equities market will Once trading on the Pillar trading rules to use the terms ‘‘Exchange’’ transition to Pillar in the second quarter platform begins, specified current instead of the terms ‘‘NYSE Arca of 2017 and as part of this transition, Exchange rules would not be applicable. Marketplace,’’ ‘‘NYSE Arca,’’ or will be renamed NYSE American LLC For each current rule that would not be ‘‘Corporation,’’ and to use the terms 7 (‘‘NYSE American’’). In this filing, the applicable for trading UTP Securities on ‘‘mean’’ or ‘‘have meaning’’ instead of the Pillar trading platform, the Exchange the terms ‘‘shall mean’’ or ‘‘shall have 4 See Trader Update dated January 29, 2015, proposes to state in a preamble to such the meaning.’’ In addition, the Exchange available here: www.nyse.com/pillar. rule that ‘‘this Rule is not applicable to 5 will use the term ‘‘member NYSE Arca Equities is a wholly-owned trading UTP Securities on the Pillar corporation of NYSE Arca and operates as a facility organization,’’ which is defined in Rule 12 of NYSE Arca. trading platform.’’ Current Exchange 2, instead of ‘‘ETP Holder.’’ 13 6 In connection with the NYSE Arca rules governing trading that do not have The Framework Filing established implementation of Pillar, NYSE Arca filed four rule proposals relating to Pillar. See Securities Exchange Rule 1P Definitions and Rule 1.1 21446 (May 8, 2017) (SR–NYSEMKT–2017–04) Act Release Nos. 74951 (May 13, 2015), 80 FR thereunder with definitions used for (Approval Order) (NYSE MKT rules governing 28721 (May 19, 2015) (Notice) and 75494 (July 20, market makers); 80700 (May 16, 2017), 82 FR 23381 trading on the Pillar trading platform. 2015), 80 FR 44170 (July 24, 2015) (SR–NYSEArca– (May 22, 2017) (SR–NYSEMKT–2017–05) The Exchange proposes the following 2015–38) (Approval Order of NYSE Arca Pillar I (Approval Order) (NYSE MKT rules governing Filing, adopting rules for Trading Sessions, Order additional definitions: delay mechanism). • Ranking and Display, and Order Execution); Rule 1.1(a) would define the term 8 Securities Exchange Act Release Nos. 75497 (July In the NYSE American Filings, id., NYSE MKT ‘‘Exchange Book’’ to refer to the represented that the name change to NYSE 21, 2015), 80 FR 45022 (July 28, 2015) (Notice) and Exchange’s electronic file of orders, 76267 (October 26, 2015), 80 FR 66951 (October 30, American would become operative upon the 2015) (SR–NYSEArca–2015–56) (Approval Order of effectiveness of an amendment to NYSE MKT’s which contains all orders entered on the NYSE Arca Pillar II Filing, adopting rules for Orders Certificate of Formation, which is expected to be no Exchange. This proposed rule is based and Modifiers and the Retail Liquidity Program); later than July 31, 2017. Because the NYSE on NYSE American Rule 1.1E(a) without American name would become operative before the Securities Exchange Act Release Nos. 75467 (July any substantive differences. 16, 2015), 80 FR 43515 (July 22, 2015) (Notice) and operative date of this proposed rule change, the • 76198 (October 20, 2015), 80 FR 65274 (October 26, Exchange believes it would promote transparency Rule 1.1(g) would define the term 2015) (SR–NYSEArca–2015–58) (Approval Order of and reduce confusion to refer to NYSE MKT rules ‘‘Authorized Trader’’ or ‘‘AT’’ to mean NYSE Arca Pillar III Filing, adopting rules for as ‘‘NYSE American’’ rules. a person who may submit orders to the 9 Trading Halts, Short Sales, Limit Up-Limit Down, See Securities Exchange Act Release Nos. 76803 Exchange on behalf of his or her and Odd Lots and Mixed Lots); and Securities (December 30, 2015), 81 FR 536 (January 6, 2016) Exchange Act Release Nos. 76085 (October 6, 2015), (SR–NYSE–2015–67) (Notice of Filing and member organization. This proposed 80 FR 61513 (October 13, 2015) (Notice) and 76869 Immediate Effectiveness of Proposed Rule Change) rule is based on NYSE American Rule (January 11, 2016), 81 FR 2276 (January 15, 2016) (‘‘Framework Filing’’). 1.1E(g) without any substantive (Approval Order of NYSE Arca Pillar IV Filing, 10 The term ‘‘UTP Security’’ means a security that differences. is listed on a national securities exchange other adopting rules for Auctions). • Rule 1.1(j) would define the term 7 See Securities Exchange Act Release Nos. 80283 than the Exchange and that trades on the Exchange (March 21, 2017), 82 FR 15244 (March 27, 2017) pursuant to unlisted trading privileges. See Rule ‘‘Core Trading Hours’’ to mean the (SR–NYSEMKT–201714) (Notice of filing and 1.1(ii). The Exchange has authority to extend hours of 9:30 a.m. Eastern Time through immediate effectiveness of proposed rule change to unlisted trading privileges to any security that is an 4:00 p.m. Eastern Time or such other NMS Stock that is listed on another national change the name of NYSE MKT to NYSE American) hours as may be determined by the and 80748 (May 23, 2017), 82 FR 24764, 24765 (SR– securities exchange or with respect to which NYSEMKT–2017–20) (Notice of filing and unlisted trading privileges may otherwise be Exchange from time to time. This immediate effectiveness of proposed rule change to extended in accordance with Section 12(f) of the proposed rule is based on NYSE Arca change the name of NYSE MKT to NYSE American) Act. See Rule 5.1(a)(1). Equities Rule 1.1(j) and NYSE American 11 (‘‘NYSE American Filings’’). In connection with the The Exchange will file a separate proposed rule Rule 1.1E(j) without any substantive NYSE American implementation of Pillar, NYSE change to add additional rules that would govern MKT filed several rule changes. See Securities trading of UTP Securities on the Exchange on the differences. Exchange Act Release Nos. 79242 (November 4, Pillar trading platform. • Rule 1.1(k) would define the term 2016), 81 FR 79081 (November 10, 2016) (SR– 12 The Exchange proposes to amend the ‘‘Exchange’’ to mean the New York NYSEMKT–2016–97) (Notice and Filing of description of Pillar Platform Rules, which precedes Stock Exchange LLC. This proposed rule Immediate Effectiveness of Proposed Rule Change Rule 1P, to delete the last sentence, which currently of framework rules); 81038 (June 28, 2017), 82 FR provides that ‘‘[t]he following rules will not be is based on NYSE Arca Equities Rule 31118 (July 5, 2017) (SR–NYSEMKT–2016–103) applicable to trading on the Pillar trading platform: (Approval Order) (the ‘‘ETP Listing Rules Filing’’); Rules 7, 55, 56, and 62.’’ As proposed, the 13 Because these non-substantive differences 80590 (May 4, 2017), 82 FR 21843 (May 10, 2017) inapplicability of these rules on the Pillar platform would be applied throughout the proposed rules, (Approval Order) (NYSE MKT rules governing would be addressed in the preamble that the the Exchange will not note these differences automated trading); 80577 (May 2, 2017), 82 FR Exchange proposes to add to each of these rules. separately for each proposed rule.
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1.1(k) and NYSE American Rule 1.1E(k), business day. The proposed rule also Equities Rule 7.14 and NYSE American but uses the Exchange’s name. sets forth when the CEO may take Rule 7.14E without any substantive • Rule 1.1(p) would define the term specified actions, such as halting or differences. The Exchange proposes that ‘‘General Authorized Trader’’ or ‘‘GAT’’ suspending trading in some or all its current rules governing clearing, to mean an AT who performs only non- securities on the Exchange. The Rules 130 and 132 would not be market making activities on behalf of a proposed rule is based on NYSE Arca applicable to trading UTP Securities on member organization. This proposed Equities Rule 7.1, NYSE American Rule the Pillar trading platform.14 rule is based on NYSE Arca Equities 7.1E, Rule 51, and Rule 52. The • Proposed Rule 7.17 (Firm Orders Rule 1.1(p) and NYSE American Rule Exchange proposes that Rules 51 and 52 and Quotes) would establish 1.1E(p) without any substantive would not be applicable to trading UTP requirements that all orders and quotes differences. Securities on the Pillar trading platform. must be firm. This proposed rule is • Proposed Rule 1.1(u) would define In addition, because the definition of based on NYSE Arca Equities Rule 7.17 the term ‘‘Marketable’’ to mean, for a the term ‘‘business day’’ in Rule 12 and NYSE American Rule 7.17E without Limit Order, an order that can be would be redundant of proposed Rule any substantive differences. Because on immediately executed or routed and 7.1E, the Exchange proposes that Rule the Pillar trading platform, the Exchange that Market Orders are always 12 would not be applicable to trading on would only publish automated considered Marketable. This proposed the Pillar trading platform. quotations consistent with proposed • rule is based on NYSE Arca Equities Proposed Rule 7.2 (Holidays) would Rule 7.17, the Exchange proposes that Rule 1.1(u) and NYSE American Rule establish the holidays when the Rule 60—Equities (Dissemination of 1.1E(u) without any substantive Exchange would not be open for Quotations) would not be applicable to differences. business. The proposed rule is based on trading UTP Securities on the Pillar • Proposed Rule 1.1(rr) would define NYSE Arca Equities Rule 7.2, NYSE trading platform. the terms ‘‘security’’ and ‘‘securities’’ to American Rule 7.2, and Supplementary mean any security as defined in Section Section 3 of Rule 7P sets forth Material .10 to Rule 51, including text Exchange Trading on the Pillar trading 3(a)(10) under the Securities Exchange that provides that when any holiday Act of 1934; provided, however, that for platform. The Exchange proposes the observed by the Exchange falls on a following additional rules for this purposes of Rule 7P, such term means Sunday, the Exchange would not be section of Rule 7P: any NMS stock. This proposed rule is open for business on the succeeding • Proposed Rule 7.29 (Access) would based on NYSE Arca Equities Rule Monday, which is in Rule 51. 1.1(rr) and NYSE American Rule • Rule 7.8 (Bid or Offer Deemed provide that the Exchange would be 1.1E(rr) without any substantive Regular Way) would establish that all available for entry and cancellation of differences. In addition, because the bids and offers would be considered to orders by member organizations with term ‘‘security’’ would be defined in be ‘‘regular way.’’ This proposed rule is authorized access. To obtain authorized proposed Rule 1.1(rr), the Exchange based on NYSE Arca Equities Rule 7.8 access to the Exchange, each member proposes that Rules 3 and 4, which and NYSE American Rule 7.8E without organization would be required to enter define the terms ‘‘Security’’ and any substantive differences. The into a User Agreement. Proposed Rule ‘‘Stock,’’ would not be applicable to Exchange proposes that Rule 14 would 7.29 is based on NYSE Arca Equities trading UTP Securities on the Pillar not be applicable to trading of UTP Rule 7.29(a) and NYSE American Rule trading platform. Securities on the Pillar trading platform. 7.29E(a), without any substantive • Proposed Rule 1.1(ss) would define • Proposed Rule 7.9 (Execution Price differences. The Exchange does not the terms ‘‘self-regulatory organization’’ Binding) would establish that, propose to include rule text based on and ‘‘SRO’’ to have the same meaning as notwithstanding Exchange rules NYSE Arca Equities Rule 7.29(b) set forth in the provisions of the governing clearly erroneous executions, because the Exchange would not offer Securities Exchange Act of 1934 relating the price at which an order is executed sponsored access. to national securities exchanges. This is binding notwithstanding that an • Proposed Rule 7.30 (Authorized proposed rule is based on NYSE Arca erroneous report is rendered. This Traders) would establish requirements Equities Rule 1.1(ss) and NYSE proposed rule is based on NYSE Arca for member organizations relating to American Rule 1.1E(ss) without any Equities Rule 7.9 and NYSE American ATs. The proposed rule is based on substantive differences. Rule 7.9E without any substantive NYSE Arca Equities Rule 7.30 and • Proposed Rule 1.1(xx) would define differences. The Exchange proposes that NYSE American Rule 7.30E, with one the term ‘‘Trading Facilities’’ or Rules 71 (Precedence of Highest Bid and non-substantive difference to refer to ‘‘Facilities’’ to mean any and all Lowest Offer) and 411 (Erroneous ‘‘the Rules and procedures of the electronic or automatic trading systems Reports) would not be applicable to Exchange’’ rather than to refer to ‘‘the provided by the Exchange to member trading of UTP Securities on the Pillar trading rules and procedures related to organizations. This proposed rule is trading platform. the NYSE Arca Marketplace and all based on NYSE Arca Equities Rule • Proposed Rule 7.14 (Clearance and other Rules of the Corporation.’’. 1.1(xx) and NYSE American Rule Settlement) would establish the • Proposed Rule 7.32 (Order Entry) 1.1E(xx) without any substantive requirements regarding a member would establish requirements for order differences. organization’s arrangements for clearing entry size. The proposed rule is based Section 1 of Rule 7P sets forth the UTP Securities on Pillar. Because all on NYSE Arca Equities Rule 7.32 and General Provisions relating to trading on post-trade functions on the Exchange’s NYSE American Rule 7.32E without any the Pillar trading platform. The Pillar trading platform would follow substantive differences. The Exchange Exchange proposes the following same procedures for post-trade proposes that the paragraph of Rule additional rules in this section of Rule processing as NYSE Arca Equities and 1000 (Automatic Executions) relating to 7P: NYSE American follow, the Exchange ‘‘Maximum Order Size for Automatic • Proposed Rule 7.1 (Hours of proposes rules that are based on NYSE Executions’’ would not be applicable to Business) would specify that the Arca Equities and NYSE American rules Exchange would be open for the governing clearing. Accordingly, the 14 See also infra proposed Rules 7.33 (Capacity transaction of business on every proposed rule is based on NYSE Arca Codes) and 7.41 (Clearance and Settlement).
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trading UTP Securities on the Pillar Æ Rule 133 (Comparison—Non- More specifically, the Exchange trading platform. cleared Transactions), believes that the proposed definitions • Proposed Rule 7.33 (Capacity Æ Rule 134 (Differences and for Rule 1.1 would remove impediments Codes) would establish requirements for Omissions—Cleared Transactions QTs), to and perfect the mechanism of a free capacity code information that member Æ Rule 135 (Differences and and open market and a national market organizations must include with every Omissions—Non-cleared Transactions system because the proposed definitions order. The proposed rule is based on (‘DKs’)), and are terms that would be used in the NYSE Arca Equities Rule 7.33 and Æ Rule 136 (Comparison— additional rules proposed by the NYSE American Rule 7.33E without any Transactions Excluded from a Exchange. The proposed rules are substantive differences. The Exchange Clearance). definitional and would promote proposes to use the title ‘‘Capacity The Exchange further proposes to transparency in Exchange rules Codes’’ instead of ‘‘ETP Holder User,’’ specify that the following additional regarding the use of those terms. for proposed Rule 7.33, which the rules, which also relate to post-trade The Exchange believes that the Exchange believes provides more clarity functions and have no analog on either additional rules proposed for Rule 7P regarding the content of the proposed NYSE Arca Equities or NYSE American would remove impediments to and rule. The Exchange proposes that the would not be applicable to trading UTP perfect the mechanism of a free and capacity code requirements in Securities on the Pillar trading platform: open market and a national market Supplementary Material .30(9) to Rule Rules 137 (Written Contracts), Rule system because they would establish 132 would not be applicable to trading 137A (Samples of Written Contracts), rules governing general order processing UTP Securities on the Pillar trading 138 (Give-Ups), 139 (Recording), 140 and post-trade functions for the Pillar platform. (Members Closing Contracts— trading platform. The proposed rules are • Proposed Rule 7.40 (Trade Conditions), 141 (‘‘Fail to Deliver’’ based on the rules of NYSE Arca Execution and Reporting) would Confirmations), 142 (Effect on Contracts Equities and NYSE American without establish the Exchange’s obligation to of Errors in Comparison, etc.), 165–168 any substantive differences. The report trades to an appropriate (Marking to the Market), 175–227 proposed rule change would therefore consolidated transaction reporting (Settlement of Contracts), 235–251 remove impediments to and perfect the system. The proposed rule is based on (Dividends, Interest, Rights, etc.), 255– mechanism of a free and open market NYSE Arca Equities Rule 7.40 and 259 (Due-Bills), 265–275 and a national market system because NYSE American Rule 7.40E without any (Reclamations), 280–295 (Closing they are based on the approved rules of substantive differences. Because all Contracts), 296 (Liquidation of another exchange. The Exchange further believes that it reporting of transactions would be Securities Loans and Borrowings), and would remove impediments to and automated, the Exchange proposes that 297–299C (Miscellaneous Floor perfect the mechanism of a free and Rules 128A and 128B would not be Procedure). open market and a national market applicable to trading UTP Securities on * * * * * system to specify which current rules the Pillar trading platform. As discussed above, because of the • would not be applicable to trading UTP Proposed Rule 7.41 (Clearance and technology changes associated with the Securities on the Pillar trading platform. Settlement) would establish migration to the Pillar trading platform, The Exchange believes that the requirements that all trades be the Exchange will announce by Trader following legend, which would be processed for clearance and settlement Update when the Pillar rules for trading added to existing rules, ‘‘This rule is not on a locked-in and anonymous basis. UTP Securities will become operative. applicable to trading UTP Securities on The proposed rule is based on NYSE 2. Statutory Basis the Pillar trading platform,’’ would American Rule 7.41E with a non- promote transparency regarding which substantive difference to cross reference The proposed rule change is rules would govern trading on the Supplementary Material .10 to Rule 132 consistent with Section 6(b) of the Exchange once it transitions to Pillar. to define the term ‘‘Qualified Clearing Securities Exchange Act of 1934 (the The Exchange has proposed to add this Agency.’’ In addition, proposed Rules ‘‘Act’’),15 in general, and furthers the legend to rules that would be 7.41(a), (b), (d), and (e) are based on objectives of Section 6(b)(5),16 in superseded by proposed rules. NYSE Arca Equities Rule 7.41(a), (b), particular, because it is designed to (d), and (e) with non-substantive prevent fraudulent and manipulative B. Self-Regulatory Organization’s differences not to include references to acts and practices, to promote just and Statement on Burden on Competition sponsored access, because the Exchange equitable principles of trade, to foster The Exchange does not believe that will not offer sponsored access. Because cooperation and coordination with the proposed rule change will impose all trades would be reported by the persons engaged in facilitating any burden on competition that is not Exchange on a locked-in basis, the transactions in securities, to remove necessary or appropriate in furtherance Exchange proposes to specify that the impediments to, and perfect the of the purposes of the Act. The following rules relating to clearance and mechanism of, a free and open market proposed change is designed to propose settlement would not be applicable to and a national market system and, in rules to support the Exchange’s new trading UTP Securities on the Pillar general, to protect investors and the Pillar trading platform and to introduce trading system: public interest. The Exchange believes trading of UTP Securities on the Æ Rule 130 (Overnight Comparison of that the proposed rules would remove Exchange on that platform. The Exchange Transactions), impediments to and perfect the Exchange operates in a highly Æ Rule 131 (Comparison— mechanism of a free and open market competitive environment in which its Requirements for Reporting Trades and because they provide for additional unaffiliated exchange competitors Providing Facilities), rules to support trading of UTP operate multiple affiliated exchanges Æ Rule 132 (Comparison and Securities on the Pillar trading platform. that operate under common rules. By Settlement of Transactions Through a basing its rules on those of NYSE Arca Fully-Interfaced or Qualified Clearing 15 15 U.S.C. 78f(b). Equities and NYSE American, the Agency), 16 15 U.S.C. 78f(b)(5). Exchange will provide its member
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organizations with consistency across Comments may be submitted by any of SECURITIES AND EXCHANGE affiliated exchanges, thereby enabling the following methods: COMMISSION the Exchange to compete with Electronic Comments [Release No. 34–81250; File No. SR– unaffiliated exchange competitors that NASDAQ–2017–075] similarly operate multiple exchanges on • Use the Commission’s Internet the same trading platforms. comment form (http://www.sec.gov/ Self-Regulatory Organizations; The C. Self-Regulatory Organization’s rules/sro.shtml); or NASDAQ Stock Market LLC; Notice of Statement on Comments on the • Filing and Immediate Effectiveness of Send an email to rule-comments@ Proposed Rule Change To Delay the Proposed Rule Change Received From sec.gov. Please include File Number SR– Members, Participants, or Others Effective Date of the TotalView and NYSE–2017–35 on the subject line. OpenView Depth-of-Book Products No written comments were solicited Paper Comments or received with respect to the proposed July 28, 2017. rule change. • Send paper comments in triplicate Pursuant to Section 19(b)(1) of the to Brent J. Fields, Secretary, Securities Securities Exchange Act of 1934 III. Date of Effectiveness of the (‘‘Act’’),1 and Rule 19b–4 thereunder,2 and Exchange Commission, 100 F Street Proposed Rule Change and Timing for notice is hereby given that on July 21, NE., Washington, DC 20549–1090. Commission Action 2017, The NASDAQ Stock Market LLC The Exchange has filed the proposed All submissions should refer to File (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the rule change pursuant to Section Number SR–NYSE–2017–35. This file Securities and Exchange Commission 19(b)(3)(A)(iii) of the Act 17 and Rule number should be included on the (‘‘SEC’’ or ‘‘Commission’’) the proposed 19b–4(f)(6) thereunder.18 Because the subject line if email is used. To help the rule change as described in Items I and foregoing proposed rule change does Commission process and review your II below, which Items have been not: (i) Significantly affect the comments more efficiently, please use prepared by the Exchange. The protection of investors or the public only one method. The Commission will Commission is publishing this notice to interest; (ii) impose any significant post all comments on the Commission’s solicit comments on the proposed rule change from interested persons. burden on competition; and (iii) become Internet Web site (http://www.sec.gov/ operative for 30 days from the date on rules/sro.shtml). Copies of the I. Self-Regulatory Organization’s which it was filed, or such shorter time submission, all subsequent Statement of the Terms of Substance of as the Commission may designate, it has amendments, all written statements the Proposed Rule Change become effective pursuant to Section with respect to the proposed rule The Exchange proposes to delay the 19 19(b)(3)(A)(iii) of the Act and change that are filed with the effective date of the merger of TotalView subparagraph (f)(6) Rule 19b–4 Commission, and all written and OpenView by 31 days, until 20 thereunder. communications relating to the September 1, 2017. At any time within 60 days of the proposed rule change between the II. Self-Regulatory Organization’s filing of such proposed rule change, the Commission and any person, other than Commission summarily may Statement of the Purpose of, and those that may be withheld from the Statutory Basis for, the Proposed Rule temporarily suspend such rule change if public in accordance with the it appears to the Commission that such Change provisions of 5 U.S.C. 552, will be action is necessary or appropriate in the In its filing with the Commission, the available for Web site viewing and public interest, for the protection of Exchange included statements printing in the Commission’s Public investors, or otherwise in furtherance of concerning the purpose of and basis for Reference Room, 100 F Street NE., the purposes of the Act. If the the proposed rule change and discussed Commission takes such action, the Washington, DC 20549 on official any comments it received on the Commission shall institute proceedings business days between the hours of proposed rule change. The text of these under Section 19(b)(2)(B) 21 of the Act to 10:00 a.m. and 3:00 p.m. Copies of the statements may be examined at the determine whether the proposed rule filing also will be available for places specified in Item IV below. The change should be approved or inspection and copying at the principal Exchange has prepared summaries, set disapproved. office of the Exchange. All comments forth in sections A, B, and C below, of received will be posted without change; the most significant aspects of such IV. Solicitation of Comments the Commission does not edit personal statements. Interested persons are invited to identifying information from A. Self-Regulatory Organization’s submit written data, views, and submissions. You should submit only Statement of the Purpose of, and the arguments concerning the foregoing, information that you wish to make Statutory Basis for, the Proposed Rule including whether the proposed rule available publicly. All submissions Change change is consistent with the Act. should refer to File Number SR–NYSE– 2017–35 and should be submitted on or 1. Purpose 17 15 U.S.C. 78s(b)(3)(A)(iii). before August 23, 2017. The purpose of this filing is to delay 18 17 CFR 240.19b–4(f)(6). For the Commission, by the Division of the effective date of the merger of 19 15 U.S.C. 78s(b)(3)(A). Trading and Markets, pursuant to delegated TotalView and OpenView by 31 days, 20 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 22 4(f)(6)(iii) requires the Exchange to give the authority. from August 1, 2017, until September 1, Commission written notice of the Exchange’s intent Eduardo A. Aleman, 2017. to file the proposed rule change, along with a brief On May 26, 2017, the Exchange filed Assistant Secretary. description and text of the proposed rule change, with the Commission a proposed rule at least five business days prior to the date of filing [FR Doc. 2017–16206 Filed 8–1–17; 8:45 am] of the proposed rule change, or such shorter time change (‘‘Proposal’’) to merge the BILLING CODE 8011–01–P as designated by the Commission. The Exchange has satisfied this requirement. 1 15 U.S.C. 78s(b)(1). 21 15 U.S.C. 78s(b)(2)(B). 22 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4.
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OpenView depth-of-book product into C. Self-Regulatory Organization’s IV. Solicitation of Comments TotalView, and to amend the Statement on Comments on the Exchange’s fees at Rules 7023 and 7026 Proposed Rule Change Received From Interested persons are invited to to reflect the merger of these two Members, Participants, or Others submit written data, views, and products. The SEC published the arguments concerning the foregoing, No written comments were either including whether the proposed rule Proposal in the Federal Register for solicited or received. notice and comment on June 8, 2017.3 change is consistent with the Act. The comment period expired on July 5, III. Date of Effectiveness of the Comments may be submitted by any of 2017, and no comments have been Proposed Rule Change and Timing for the following methods: received. Commission Action Electronic Comments The Exchange has recently been Because the foregoing proposed rule informed that certain Distributors will change does not: (i) Significantly affect • Use the Commission’s Internet require additional time to modify the protection of investors or the public comment form (http://www.sec.gov/ systems and procedures to interest; (ii) impose any significant rules/sro.shtml); or accommodate the merger of OpenView burden on competition; and (iii) become • Send an email to rule-comments@ into TotalView, and the Exchange has operative for 30 days from the date on sec.gov. Please include File Number SR– agreed to modify the effective date of which it was filed, or such shorter time NASDAQ–2017–075 on the subject line. the Proposal from August 1, 2017, to as the Commission may designate, it has September 1, 2017, to allow all become effective pursuant to Section Paper Comments Distributors an additional 31 days to 6 19(b)(3)(A)(iii) of the Act and • prepare for the merger. subparagraph (f)(6) of Rule 19b–4 Send paper comments in triplicate 7 to Secretary, Securities and Exchange 2. Statutory Basis thereunder. In its filing, Nasdaq requests that the Commission, 100 F Street NE., The Exchange believes that its Commission waive the 30-day operative Washington, DC 20549–1090. proposal is consistent with Section 6(b) delay so that certain of its Distributors All submissions should refer to File of the Act,4 in general, and furthers the will have sufficient time to modify their Number SR–NASDAQ–2017–075. This objectives of Sections 6(b)(4) and 6(b)(5) systems and procedures to file number should be included on the 5 of the Act, in particular, in that it accommodate the merger of OpenView subject line if email is used. To help the provides for the equitable allocation of into TotalView. The Exchange further Commission process and review your reasonable dues, fees and other charges represents that Distributors that do not comments more efficiently, please use require additional time to modify their among members and issuers and other only one method. The Commission will persons using any facility, and is not systems and procedures will not be post all comments on the Commission’s designed to permit unfair harmed by a delayed merger of Internet Web site (http://www.sec.gov/ discrimination between customers, TotalView and OpenView, because they rules/sro.shtml). Copies of the issuers, brokers, or dealers. All will be able to continue using their Distributors will be able to use their current systems and procedures. submission, all subsequent current systems and procedures to Accordingly, the Commission believes amendments, all written statements obtain the products that they now that granting a waiver of the operative with respect to the proposed rule purchase during the period of delay, delay is consistent with the protection change that are filed with the and such service will not be interrupted. of investors and the public interest and Commission, and all written Those Distributors that require therefore designates the proposed rule communications relating to the additional time will be able to change to be operative upon filing.8 proposed rule change between the implement the merger of OpenView into At any time within 60 days of the Commission and any person, other than TotalView, and those Distributors that filing of the proposed rule change, the those that may be withheld from the do not require additional time will not Commission summarily may public in accordance with the be harmed because they will be able to temporarily suspend such rule change if provisions of 5 U.S.C. 552, will be continue using their current systems it appears to the Commission that such available for Web site viewing and and procedures to obtain the products action is: (i) Necessary or appropriate in printing in the Commission’s Public that they purchase. the public interest; (ii) for the protection Reference Room, 100 F Street NE., of investors; or (iii) otherwise in B. Self-Regulatory Organization’s Washington, DC 20549, on official furtherance of the purposes of the Act. Statement on Burden on Competition business days between the hours of If the Commission takes such action, the 10:00 a.m. and 3:00 p.m. Copies of the The Exchange does not believe that Commission shall institute proceedings filing also will be available for the proposed rule change will impose to determine whether the proposed rule inspection and copying at the principal any burden on competition not should be approved or disapproved. office of the Exchange. All comments necessary or appropriate in furtherance received will be posted without change; of the purposes of the Act. The delay 6 15 U.S.C. 78s(b)(3)(A)(iii). the Commission does not edit personal will not change the current competitive 7 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 4(f)(6) requires a self-regulatory organization to give identifying information from position of any Distributor because all the Commission written notice of its intent to file submissions. You should submit only Distributors will be able to use their the proposed rule change at least five business days information that you wish to make current systems and procedures to prior to the date of filing of the proposed rule available publicly. All submissions obtain the products that they purchase. change, or such shorter time as designated by the Commission. The Exchange has satisfied this should refer to File Number SR– requirement. NASDAQ–2017–075, and should be 3 Securities Exchange Act Release No. 80891 8 For purposes only of waiving the 30-day submitted on or before August 23, 2017. (June 8, 2017), 82 FR 27318 (June 14, 2017) (SR– operative delay, the Commission has also NASDAQ–2017–054). considered the proposed rule’s impact on 4 15 U.S.C. 78f(b). efficiency, competition, and capital formation. See 5 15 U.S.C. 78f(b)(4) and (5). 15 U.S.C. 78c(f).
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For the Commission, by the Division of filed Amendment No. 1 to the proposed procedures, established by MSRB Rule Trading and Markets, pursuant to delegated rule change (‘‘Amendment No. 1’’).6 The G–12(h).12 In addition, current Rule G– authority.9 Commission is publishing this notice to 26 requires the use of the automated Eduardo A. Aleman, solicit comments on Amendment No. 1 customer account transfer service in Assistant Secretary. to the proposed rule change from place at a registered clearing agency [FR Doc. 2017–16270 Filed 8–1–17; 8:45 am] interested parties and is approving the registered with the Commission when BILLING CODE 8011–01–P proposed rule change, as modified by both dealers are direct participants in Amendment No. 1, on an accelerated the same clearing agency.13 Finally, the basis. rule contains a provision for enhancing SECURITIES AND EXCHANGE compliance by requiring submission of COMMISSION II. Description of Proposed Rule Change transfer instructions to the enforcement In the Notice of Filing, the MSRB authority with jurisdiction over the [Release No. 34–81233; File No. SR–MSRB– stated that the purpose of the proposed dealer carrying the account, if the 2017–03] rule change is to modernize Rule G–26 enforcement authority requests such and promote a uniform customer submission.14 Self-Regulatory Organizations; account transfer standard for all As discussed in the Notice of Filing, Municipal Securities Rulemaking dealers.7 The MSRB stated that it the MSRB adopted Rule G–26 in 1986 Board; Notice of Filing of Amendment believes that, by including certain as part of an industry-wide initiative to No. 1 and Order Granting Accelerated provisions parallel to the customer create a uniform customer account Approval of a Proposed Rule Change, account transfer rules of other SROs, transfer standard by applying a as Modified by Amendment No. 1, particularly FINRA Rule 11870, in customer account transfer procedure to Consisting of Proposed Amendments current Rule G–26, the transfer of all dealers that are engaged in municipal to MSRB Rule G–26, on Customer customer securities account assets will securities activities.15 The uniform Account Transfers, To Modernize the be more flexible, less burdensome, and standard for all customer account Rule and Promote a Uniform Customer more efficient, while reducing transfers (i.e., automated and manual Account Transfer Standard confusion and risk to investors and processes) is largely driven by the National Securities Clearing July 27, 2017. allowing them to better move their municipal securities to their dealer of Corporation’s (‘‘NSCC’’) Automated I. Introduction choice.8 Customer Account Transfer Service 16 On May 26, 2017, the Municipal As further described by the MSRB in (‘‘ACATS’’). The MSRB stated that it Securities Rulemaking Board (the the Notice of Filing, Rule G–26 requires adopted Rule G–26 in conjunction with ‘‘MSRB’’ or ‘‘Board’’) filed with the dealers to cooperate in the transfer of the adoption of similar rules by other Securities and Exchange Commission customer accounts and specifies self-regulatory organizations (‘‘SROs’’)— (the ‘‘SEC’’ or ‘‘Commission’’), pursuant procedures for carrying out the transfer New York Stock Exchange (‘‘NYSE’’) to Section 19(b)(1) of the Securities process.9 According to the MSRB, such Rule 412 and Financial Industry 1 transfers occur when a customer decides Regulatory Authority (‘‘FINRA’’) Rule Exchange Act of 1934 (‘‘Act’’) and Rule 17 19b–4 thereunder,2 a proposed rule to transfer an account from one dealer, 11870. The MSRB stated that those change consisting of proposed the carrying party (i.e., the dealer from rules are not applicable to certain amendments to MSRB Rule G–26, on which the customer is requesting the accounts at dealers, particularly municipal security-only accounts and customer account transfers, to account be transferred) to another, the accounts at bank dealers.18 Current Rule modernize the rule and promote a receiving party (i.e., the dealer to which G–26 governs the municipal security- uniform customer account transfer the customer is requesting the account only customer account transfers standard for all brokers, dealers, be transferred).10 Moreover, Rule G–26 performed by those dealers to ensure municipal securities brokers and currently establishes specific time that all customer account transfers are municipal securities dealers frames within which the carrying party subject to regulation that is consistent (collectively, ‘‘dealers’’) (the ‘‘proposed is required to transfer a customer with the uniform industry standard. rule change’’). The proposed rule account; limits the reasons for which a Thus, the MSRB noted, in order to change was published for comment in receiving party may take exception to an maintain consistency and the uniform 3 account transfer instruction; provides the Federal Register on June 14, 2017. standard, the MSRB has, from time to for the establishment of fail-to-receive The Commission received two time, modified the requirements of Rule and fail-to-deliver contracts; 11 and comment letters on the proposed rule G–26 to conform to certain provisions of 4 requires that fail contracts be resolved change. On July 20, 2017, the MSRB the parallel FINRA and NYSE customer 5 in accordance with MSRB close-out responded to those comments and account transfer rules, as well as to enhancements made to the ACATS 9 available at https://www.sec.gov/comments/sr-msrb- 17 CFR 200.30–3(a)(12) and (59). process by NSCC, that had relevance to 1 15 U.S.C. 78s(b)(1). 2017-03/msrb201703-1871538-156223.pdf. 19 2 17 CFR 240.19b–4. 6 Id. In Amendment No. 1, the MSRB proposed to municipal securities. amend the requested implementation date to 3 Securities Exchange Act Release No. 80890 Residual Credit Positions (June 7, 2017) (the ‘‘Notice of Filing’’), 82 FR 27307 provide for a longer implementation period and (June 14, 2017). later effective date by proposing an effective date The MSRB has proposed to update six months from the date of Commission approval 4 See Letter to Secretary, Commission, from Mike rather than three months. Rule G–26 to include the transfer of Nicholas, Chief Executive Officer, Bond Dealers of 7 See Notice of Filing. America (‘‘BDA’’), dated July 5, 2017 (the ‘‘BDA 12 See Notice of Filing. Letter’’); and, Letter to Secretary, Commission, from 8 Id. 13 See Rule G–26(h). Leslie M. Norwood, Managing Director and 9 Id. 14 Associate General Counsel, Securities Industry and 10 Id. See Rule G–26(i). 15 Financial Markets Association (‘‘SIFMA’’), dated 11 The MSRB stated that fail-to-receive and fail- See Notice of Filing. 16 July 5, 2017 (the ‘‘SIFMA Letter’’). to-deliver contracts are records maintained by the Id. 5 See Letter to Secretary, Commission, from Carl receiving party and the carrying party, respectively, 17 Id. E. Tugberk, Assistant General Counsel, MSRB, when a customer account transfer fails. See Notice 18 Id. dated July 20, 2017 (the ‘‘MSRB Response Letter’’), of Filing. 19 Id.
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customer account residual credit securities to the dealer of their choice.27 Electronic Signature for Customer positions.20 The MSRB noted that in The MSRB noted that in 1994, the NYSE Authorization of Account Transfer 1989 the NSCC expanded ACATS to and FINRA amended their rules to Under current Rule G–26, a customer include the transfer of customer account permit partial or non-standard customer can initiate a transfer of a municipal residual credit positions. These are account transfers (i.e., the transfer of securities account from one dealer to assets in the form of cash or securities specifically designated assets from an another by giving written notice to the that can result from dividends, interest account held at one dealer to an account receiving party.34 The MSRB states that payments or other types of assets held at another dealer).28 The MSRB under current Rule G–26(c)(i), received by the carrying party after the further noted that in 2004, the NYSE customers and dealers may use Form G– transfer process is completed, or which and FINRA further amended their rules 26 (the transfer instruction prescribed were restricted from being included in generally to apply the same procedural by the MSRB), the transfer instructions the original transfer.21 The MSRB noted standards and time frames that are required by a clearing agency registered that the NYSE and FINRA made with the SEC in connection with its corresponding changes to their rules applicable to the transfer of entire 29 automated customer account transfer that require dealers that participate in a accounts to partial transfers as well. According to the MSRB, because system or transfer instructions that are registered clearing agency with substantially similar to those required automated residual credit processing customer and dealer obligations resulting from the transfer of an entire by such clearing agency to accomplish capabilities to utilize those facilities to a customer account transfer.35 The account differ from the obligations transfer residual credit positions that proposed rule change would replace the 22 arising from the transfer of specified accrue to an account after a transfer. written notice requirement under Prior to allowing for these transfers, a assets within an account that will current Rule G–26 with an authorized check frequently would have to be remain active at the carrying party, the instruction requirement, which could be produced, or a delivery bill or report, NYSE and FINRA rules distinguish a customer’s actual written or electronic which then required a check to be between the transfer of security account 36 23 signature. The MSRB stated that issued or securities to be transferred. assets in whole or in specifically updating the written notice requirement The MSRB stated that this process could designated part.30 The MSRB stated in Rule G–26 to include electronic result in lost or improperly routed that, as an example, it would not be signatures will expedite the transfer of checks and securities, as well as the necessary for a customer to instruct the customer assets between dealers and expenses of postage and processing.24 carrying party as to the disposition of more easily allow investors to transfer According to the MSRB, the proposed his or her assets that are nontransferable their assets to the dealer of their amendments to Rule G–26(k)(ii) would if the customer is not transferring the choice.37 benefit both customers and dealers by entire account.31 substantially decreasing the paperwork, Shortened ACATS Cycle risks, inefficiencies and costs associated Transfer of Third-Party and/or The proposed rule change would with the practice of check issuance and Proprietary Products shorten the time for validating or taking initiation of securities deliveries to exception to the transfer instructions 25 The MSRB stated that the proposed resolve residual credit positions. from three days to one day, and shorten rule change would amend Rule G–26 to Partial Account Transfers the time for completing a customer be consistent with the NSCC’s Rule 50 account transfer from four days to three The MSRB has proposed to update regarding the transfer of third-party and/ 38 Rule G–26 to permit partial account days, respectively. Rule G–26 or proprietary products that the currently specifies three days as the transfers under the same time frames receiving party is unable to receive or applicable to transfers of entire time to validate or take exception to the carry—which allow the receiving party transfer instructions and four days as accounts, which the MSRB believes to review the asset validation report, would provide dealers with the ability the time frame for completion of a designate those nontransferable assets it 39 to facilitate more efficient and customer account transfer. The MSRB is unable to receive/carry, provide the expeditious transfers, as well as increase stated that reducing those time frames to accountability for dealers and reduce customer with a list of those assets, and one and three day(s), respectively, will difficulties encountered by customers require instructions from the customer ensure consistency with the industry related to transfers.26 The proposed rule regarding their disposition—by standard set by the NSCC and change would require that dealers requiring the receiving party to harmonization with other SROs, while expedite all authorized municipal designate any third-party products it is providing greater efficiency and securities account asset transfers, unable to receive.32 The MSRB stated improving the customer experience in 40 whether through ACATS or via other that the proposed rule change will the customer account transfer process. means permissible, and coordinate their eliminate the present need for reversing Definition of ‘‘Nontransferable Asset’’ activities with respect thereto. The the transfer of nontransferable assets, In response to a specific question in MSRB stated that this proposed change reduce the overall time frame for the Request for Comment,41 SIFMA would further competition among transferring third-party products, and dealers by more easily allowing generally reduce delay in and the cost 34 Id. 33 investors to transfer their municipal of customer account transfers. 35 Id. 36 See Notice of Filing and Supplementary 20 See Notice of Filing and proposed Rule G– 27 See Notice of Filing. Material .01 to proposed Rule G–26. 26(k)(ii). 37 28 Id. See Notice of Filing. 21 See Notice of Filing. 38 See Notice of Filing and proposed Rule G– 29 Id. 22 Id. 26(d)(i), (f)(i). 30 Id. 23 Id. 39 See Notice of Filing and Rule G–26(d)(i), (v). 31 24 Id. Id. 40 See Notice of Filing and proposed Rule G– 25 Id. 32 See Notice of Filing and proposed Rule G– 26(d)(i), (f)(i). 26 See Notice of Filing and proposed Rule G– 26(e)(vii). 41 See Notice of Filing and MSRB Notice 2017– 26(b), (c)(ii), (d)(i), (e)(ii), (k)(i). 33 See Notice of Filing. 01 (Jan. 6, 2017) (‘‘Request for Comment’’),
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indicated that dealers may sell customer’s desired disposition of such requirements in Rule G–26 will help proprietary products that are municipal assets, as opposed to limiting that ensure that customers receive as much securities to customers, the requirement to the carrying party, which relevant information as possible transferability of which FINRA Rule was proposed in the Request for regarding potential redemption fees, 11870 addresses.42 Given this Comment.47 The MSRB stated that, including for municipal fund affirmative response, and because a because there are third-party products securities.54 In addition, the proposed receiving party cannot hold a that are municipal securities that a rule change would require dealers to proprietary product of a carrying party, receiving party may not be able to carry, specifically indicate any redemption or the MSRB stated that it is important to and such a receiving party may be the other liquidation-related fees that may include proprietary products of the only party to a customer account result from liquidation and that those carrying party in the definition of transfer with that knowledge, allowing fees may be deducted from the money ‘‘nontransferable asset’’ to better the receiving party to notify the balance due the customer.55 The MSRB harmonize with FINRA’s corresponding customer of any nontransferable assets stated that it is important to require definition and to ensure that bank in a transfer and request their explicitly the distribution of the dealers, and other dealers subject to disposition in such circumstances will remaining balance to the customer and Rule G–26, have clarity when handling help ensure that nontransferable assets an indication of how it will be such proprietary products in customer are properly identified and that both accomplished.56 account transfers.43 The proposed rule parties to a transfer are coordinating change would also provide the closely to complete the transfer Transfer of Nontransferable Assets to following options for the disposition of efficiently and expeditiously.48 The Customers such proprietary products that would be MSRB also stated that to allow for this, The MSRB stated that some municipal nontransferable assets: Liquidation; to improve harmonization with FINRA securities that are nontransferable assets retention by the carrying party for the Rule 11870 and to promote a uniform could transferred, physically and customer’s benefit; or transfer, standard for all dealers, the proposed directly, to the customer, in a manner physically and directly, in the rule change would explicitly require similar to FINRA Rule 11870(c)(3)(C)— 44 customer’s name to the customer. that the carrying party and/or the which provides an option for Disposition of Nontransferable Assets receiving party provide the list of nontransferable assets that are nontransferable assets.49 proprietary products to be transferred, Under current Rule G–26, if there are physically and directly, in the nontransferable assets included in a Liquidation of Nontransferable Assets customer’s name to the customer—and transfer instruction, there are multiple The proposed rule change would have therefore included amendments in options available to the customer for require a referral to the program the proposed rule change that add this their disposition, and the carrying party disclosure for a municipal fund security option to the alternative dispositions must request further instructions from or to the registered representative for available to customers.57 The MSRB the customer with respect to which specific details regarding any noted that not all municipal securities option the customer would like to redemption or liquidation-related fees.50 may be appropriate for this option and exercise.45 Depending on the type of Under current Rule G–26, one of the that the carrying party would not be nontransferable asset at issue, FINRA disposition options for nontransferable required to physically deliver any Rule 11870(c) requires either the assets available to customers is nontransferable assets of which it does carrying party or the receiving party to liquidation.51 When providing not have physical possession.58 provide the customer with a list of the customers with this option, dealers are specific nontransferable assets and required to specifically indicate any Timing of Disposition of request the customer’s desired redemption or other liquidation-related Nontransferable Assets disposition of such assets. For example, fees that may result from such FINRA Rule 11870(c)(4) places the liquidation and that those fees may be Under the proposed rule change, the burden on the receiving party for third- deducted from the money balance due Rule G–26 would be amended to harmonize with FINRA Rule 11870(c)(5) party products that are the customer.52 FINRA Rule 11870 nontransferable.46 In response to the provides the same requirements, but to require that the money balance Request for Comment, SIFMA noted that also requires dealers to refer customers resulting from liquidation must be current industry practice and standard to the disclosure information for third- distributed, and any transfer instructed requires that, depending on the type of party products or to the registered by the customer must be initiated, nontransferable asset, either the carrying representative at the carrying party for within five business days following party or the receiving party provide the receipt of the customer’s disposition specific details regarding any such fees, 59 customer with a list of the as well as to distribute any remaining instruction. Rule G–26 currently does nontransferable assets and request the balance to the customer and an not provide a time frame for the carrying indication of the method of how it will party to effect the disposition of nontransferable assets as instructed by Question 8 (‘‘Do municipal securities brokers or do so.53 The MSRB stated that the the customer. The MSRB stated that it municipal securities dealers sell proprietary inclusion of these additional products that are municipal securities to is important to provide clarity as to the customers?’’). timing of these dispositions to ensure 42 See Notice of Filing and Letter from Leslie M. 47 See Notice of Filing and SIFMA Response Norwood, Managing Director and Associate General Letter to Request for Comment. Counsel, SIFMA, to Ronald W. Smith, Corporate 48 See Notice of Filing. 54 See Notice of Filing and proposed Rule G– Secretary, MSRB, dated February 17, 2017 (‘‘SIFMA 49 See Notice of Filing and proposed Rule G– 26(c)(ii)(A). Response Letter to Request for Comment’’). 26(c)(ii). 55 See Notice of Filing. 43 See Notice of Filing and proposed Rule G– 50 See Notice of Filing and proposed Rule G– 56 See Notice of Filing and proposed Rule G– 26(a)(iii)(C); FINRA Rule 11870(c)(1)(D)(i). 26(c)(ii). 26(c)(ii)(A). 44 See Notice of Filing and proposed Rule G– 51 See Notice of Filing and Rule G–26(c)(ii). 57 See Notice of Filing and proposed Rule G– 26(c)(ii)(A)–(C). 52 See Notice of Filing and Rule G–26(c)(ii)(A). 26(c)(ii)(C). 45 See Notice of Filing and Rule G–26(c)(ii). 53 See Notice of Filing and FINRA Rule 58 See Notice of Filing. 46 See Notice of Filing. 11870(c)(3)(A), (c)(4)(A). 59 Id.
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that customer transfers are handled positions,67 which are defined to be any request; (6) it violates the receiving expeditiously.60 security held by a carrying party in the party’s credit policy; (7) it contains name of the customer, including unrecognized residual credit assets (i.e., Transfer Procedures securities that are unendorsed or have a the receiving party cannot identify the Current Rule G–26(d) establishes, as stock/bond power attached thereto.68 customer); (8) the customer rescinds the part of the transfer procedures, the Additionally, current Rule G– instruction (e.g., the customer has requirements for validation of the 26(d)(iv)(B) requires the carrying party submitted a written request to cancel transfer instructions and completion of to include a then-current market value the transfer); (9) there is a mismatch of the transfer.61 The proposed rule change for all assets to be transferred. FINRA the Social Security Number/Tax ID (e.g., would provide the provisions describing Rule 11870(d)(5) provides that the the number on the transfer instruction the specific validation/exception and original cost should be used as the value does not correspond to that on the if a then-current value cannot be carrying party’s records); (10) the completion processes in new, separate 69 sections of the rule.62 As a result of this determined for an asset. The MSRB account title on the transfer instruction restructuring, the subsequent, existing stated that the proposed rule change does not match that on the carrying would include a provision substantially sections of Rule G–26 would be party’s records; (11) the account type on similar to the FINRA provision to renumbered in proposed Rule G–26. the transfer instruction does not provide clarity on how any such The MSRB stated that these correspond to that on the carrying municipal securities should be valued amendments will detail the specific party’s records; (12) the transfer and to improve harmonization between validation/exception and completion instruction is missing or contains an the MSRB and FINRA rules.70 processes more clearly and better improper authorization (e.g., the transfer instruction requires an additional harmonize with FINRA Rule 11870.63 Exceptions to Transfer Instructions customer authorization or successor Validation of Transfer Instructions As part of the validation process, custodian’s acceptance authorization or current Rule G–26 provides that the custodial approval; or (13) the customer Under current Rule G–26(d)(iv)(A), carrying party may take certain has taken possession of the assets in the upon validation of a transfer instruction, exceptions to the transfer instructions account (e.g., the municipal securities the carrying party must ‘‘freeze’’ the authorized by the customer and account assets in question have been account to be transferred and return the provided by the receiving party. transferred directly to the customer).75 transfer instruction to the receiving Specifically, Rule G–26(d)(ii) allows a The MSRB stated that in order to party with an attachment indicating all carrying party to take exception to a include the exceptions to transfer securities positions and money balance transfer instruction only if it has no instructions with the provisions related in the account as shown on the books record of the account on its books or the to validation, the proposed rule change of the carrying party.64 Because the transfer instruction is incomplete.71 would move the existing exceptions and proposed rule change would allow for FINRA Rule 11870(d)(3) provides add the new exceptions in the new partial account transfers of specifically numerous other bases to take exception separate section on validation of transfer designated municipal securities assets, to a transfer instruction that—according instructions.76 the proposed rule change would require to the MSRB—would more Additionally, FINRA Rule 11870(d)(2) the account freeze only for validation of comprehensively address potential precludes a carrying party from taking the transfer of an entire account, as the issues with a transfer instruction with an exception and denying validation of customer’s account at the carrying party which a carrying party could reasonably the transfer instruction because of a should not be frozen if certain take issue and better harmonize with dispute over security positions or the municipal securities would remain in FINRA Rule 11870.72 Accordingly, the money balance in the account to be the account and the customer may want MSRB stated, in addition to the existing transferred, and it requires the carrying to continue transacting in that bases for exceptions, the proposed rule party to transfer the positions and/or account.65 Under the proposed rule change would allow a carrying party to money balance reflected on its books for change, for whole and partial account take exception to a transfer instruction the account.77 The MSRB stated that transfers, the carrying party would if: (1) The transfer instruction contains this provision will be equally valuable continue to have the responsibility to an improper signature; (2) additional to transfers covered under Rule G–26 to return the instructions and indicate the documentation is required (e.g., legal ensure that customers are able to hold securities positions and money balance documents such as death or marriage their municipal securities at their to be transferred.66 However, the MSRB certificate); (3) the account is ‘‘flat’’ and dealers of choice.78 reflects no transferable assets; 73 (4) the noted that to identify the assets held in Recordkeeping and Customer account number is invalid (i.e., the the customer account at the carrying Notification party more comprehensively and to account number is not on the carrying harmonize with FINRA Rule party’s books); 74 (5) it is a duplicate According to the MSRB, during the 11870(d)(5)(A), the proposed rule validation process for a customer change would also require the carrying 67 Id. account transfer, there is a risk that the party to indicate safekeeping 68 See Notice of Filing and proposed Rule G– parties to the transfer fail to identify 26(a)(vi). 69 See Notice of Filing. 60 internally reassigning the account, it would be the See Notice of Filing and proposed Rule G– 70 See Notice of Filing and proposed Rule G– responsibility of the carrying party to track the 26(c)(iii). 26(e)(ii). changed account number, and such reassigned 61 See Notice of Filing. 71 See Notice of Filing and Rule G–26(d)(ii). account number would not be considered invalid 62 See Notice of Filing and proposed Rule G– 72 See Notice of Filing. for purposes of fulfilling a transfer instruction. See 26(e), (f). 73 The MSRB stated that for such an exception, Notice of Filing and proposed Rule G–26(e)(iv)(F). 63 See Notice of Filing. the receiving party would have to resubmit the 75 See Notice of Filing and proposed Rule G– 64 Id. transfer instruction only if the most recent customer 26(e)(iv). 65 See Notice of Filing and proposed Rule G– statement is attached. See Notice of Filing and 76 See Notice of Filing. 26(e)(i). proposed Rule G–26(e)(v). 77 Id. 66 See Notice of Filing and proposed Rule G– 74 The MSRB stated that if the carrying party has 78 See Notice of Filing and proposed Rule G– 26(e)(ii). changed the account number for purposes of 26(e)(iii).
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certain nontransferable assets, resulting transfer must be resolved within five SEC offering automated customer in the improper transfer of those business days from notice of such claim securities account transfer assets.79 FINRA Rule 11870(c)(1)(E) or the non-claiming party must take capabilities.95 The MSRB stated that the requires that the parties promptly exception to the claim and set forth majority of customer account transfers resolve and reverse any such specific reasons for doing so. The subject to Rule G–26 occur manually, misidentified nontransferable assets, proposed rule change would include and that it is important to provide update their records and bookkeeping these same additional provisions.86 The clarity on the obligation and timing systems and notify the customer of the MSRB stated that these amendments required to transfer such credit balances action taken. The proposed rule change will provide the same level of clarity as, for any customer account transfer.96 would require that the parties promptly and improve harmonization with, Written Procedures resolve and reverse any such FINRA Rule 11870(g).87 misidentified nontransferable assets, Current Rule G–26 does not itself update their records and bookkeeping Participant in a Registered Clearing include any requirement for policies systems and notify the customer of the Agency and procedures.97 The proposed rule action taken.80 The MSRB stated that Rule G–26(h) currently requires the change includes a requirement for believes it is important to add this account transfer procedure to be dealers to document the procedures explicit requirement to Rule G–26 to accomplished pursuant to the rules of they follow to effect customer account ensure that dealers address any errors in and through a registered clearing agency transfers and to require explicitly the transfer process promptly.81 when both the carrying party and the written procedures for supervision of receiving party are direct participants in the same.98 Transfer Rejection The MSRB stated that such a clearing agency that is registered with a requirement is consistent with MSRB The proposed rule change would the SEC and offers automated customer Rule G–27, on supervision.99 provide the receiving party the ability to securities account transfer FINRA Rule 11650—Transfer Fees deny a customer’s transfer request due capabilities.88 FINRA Rule 11870(m) to noncompliance with its credit has a similar requirement that provides The MSRB stated that it is important policies or minimum asset an exception for specifically designated to clarify which party is responsible for requirements.82 FINRA Rule 11870(d)(8) securities assets transferred pursuant to the fees incurred for a customer account allows the receiving party to reject a full the submittal of a customer’s authorized transfer. The proposed rule change account transfer if the account would alternate instructions to the carrying would include a provision identical to not be in compliance with its credit party.89 FINRA Rule 11870(m)(3) also FINRA Rule 11650 which specifies that policies or minimum asset requires the transfer of residual credit the party at the instance of which a 83 requirements. A receiving party may positions through the registered clearing transfer of securities is made shall pay not reject only a portion of the account agency. FINRA Rule 11870(m)(4) also all service charges of the transfer assets (i.e., the particular assets not in prescribes several conditions for such agent.100 compliance with the dealer’s credit transfers for participants in a registered III. Summary of Comments Received policies or minimum asset requirement). 90 clearing agency. The MSRB stated that and MSRB’s Responses to Comments Rule G–26 currently does not include customers and the parties to a customer any comparable provisions, but the account transfer should have the option As noted previously, the Commission MSRB stated that it is reasonable for a of performing the transfer outside of the received two comment letters on the receiving party to deny a customer’s facilities of a registered clearing agency proposed rule change, as well as the transfer request due to noncompliance when an appropriate authorized MSRB Response Letter and Amendment with its credit policies or minimum alternate instruction is given.91 No. 1. SIFMA expressed general support 84 asset requirements. Additionally, the MSRB stated the for the stated purpose of the proposed Resolution of Discrepancies additional prescription related to the rule change, although SIFMA disapproved of the proposed rule Rule G–26(f) currently provides that process provided by FINRA will give greater clarity to customers and change in its current form and stated any discrepancies relating to positions 92 that the proposed rule change is or money balances that exist or occur dealers. The MSRB, therefore, included these provisions in the unnecessary and not an efficient way to after transfer of a customer account 93 achieve its stated purposes.101 SIFMA 85 proposed rule change. must be resolved promptly. FINRA suggested alternative amendments to Rule 11870(g) includes the same Transfer of Residual Positions Rule G–26 that it believed would result standard but also requires that the The proposed rule change would in a more efficient rule that would be carrying party must promptly distribute include a provision with the same 10- more closely harmonized with similar to the receiving party any transferable business-day requirement as FINRA SRO rules.102 BDA suggested that the assets that accrue to the customer’s Rule 11870(n) 94 that is not limited to Commission request that FINRA transferred account after the transfer has when both parties are direct participants harmonize the timeframe in FINRA Rule been effected. Further, FINRA Rule in a clearing agency registered with the 11870(f)(1) with MSRB Rules G–12(h) 11870(g) provides clarity to the and G–26 as soon as practicable and that promptness requirement by requiring 86 See Notice of Filing proposed Rule G–26(i)(ii)– that any claims of discrepancies after a (iii). 95 See Notice of Filing and proposed Rule G– 87 See Notice of Filing. 26(g). 79 See Notice of Filing. 88 See Notice of Filing and Rule G–26(h). 96 See Notice of Filing. 80 See Notice of Filing and proposed Rule G– 89 See Notice of Filing. 97 Id. 26(e)(vi). 90 See Notice of Filing and proposed Rule G– 98 See Notice of Filing and Supplementary 81 See Notice of Filing. 26(a)(iv)–(v). Material .02 to proposed Rule G–26. 82 See Notice of Filing and proposed Rule G– 91 See Notice of Filing. 99 See Notice of Filing. 26(e)(viii). 92 Id. 100 See Notice of Filing and Supplementary 83 See Notice of Filing. 93 See Notice of Filing and proposed Rule G– Material .03 to proposed Rule G–26. 84 See Notice of Filing. 26(k). 101 See SIFMA Letter. 85 See Notice of Filing and Rule G–26(f). 94 See Notice of Filing. 102 Id.
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the MSRB amend the proposed rule likely not direct clearing participants of consideration of future amendments to change to allow for a longer period the NSCC and, therefore, ineligible to Rule G–26, which ability could be between the adoption of the proposed participate in ACATS, this does not hindered if the MSRB were merely to rule change and its effective date.103 obviate the need for Rule G–26. The incorporate FINRA Rule 11870 by The MSRB stated that it believes the MSRB stated that, contrary to SIFMA’s reference.117 proposed rule change is consistent with assertion, this is a key reason why Rule In response to SIFMA’s suggested its statutory mandate and has responded G–26 is not redundant and is necessary alternative to effectively allow FINRA to the comments, as discussed below.104 to ensure that all dealers are subject to and NYSE members to follow FINRA 1. Alternative Amendments to Rule G– a customer account transfer rule, and Rule 11870 in lieu of Rule G–26, while 26 To Further Purpose of Proposed Rule the proposed rule change is necessary dealers that are not members of those Change and appropriate to ensure that the SROs would remain subject to Rule G– standard in Rule G–26 is consistent with 26, the MSRB stated that it believes that SIFMA stated that the MSRB should the industry standard.110 The MSRB SIFMA’s suggestion captures how Rule not have rejected its previously further stated that ACATS, which is G–26 already operates (and would submitted suggestion to amend Rule G– established and governed by NSCC Rule continue to operate as proposed to be 26 to follow the NYSE model and 50, is an automated process utilized by amended).118 The MSRB further incorporate FINRA Rule 11870 by NSCC members to perform customer responded by stating that it had reference because, contrary to the MSRB account transfers.111 The MSRB also explained in the Request for Comment statement in the Notice of Filing, ‘‘the responded to SIFMA’s comment by and the Notice of Filing that, at the time MSRB would not be seen to be stating that not only does NSCC Rule 50 Rule G–26 was adopted, NYSE Rule 412 delegating its core mission to protect the not apply to dealers that are not direct and FINRA Rule 11870 (NASD Rule municipal securities market, as there is clearing participants and members of 11870 at the time) were not applicable nothing particularly unique regarding NSCC, it does not apply to manual to certain dealers, particularly those the transfer of customer accounts with 105 processes, which are used by certain with municipal security-only accounts respect to municipal securities.’’ dealers with municipal security-only and bank dealers.119 The MSRB further SIFMA noted that it believed there is customer accounts, particularly bank stated that this jurisdictional divide precedence in the MSRB rulebook for dealers that are not members of FINRA remains true today, such that Rule G–26 making incorporating the rules of other or the NYSE.112 The MSRB stated that, is not applicable to FINRA or NYSE SROs by reference in a MSRB rule.106 as a result, it believes that there remains members.120 However, the MSRB noted SIFMA also suggested that, as an a need for Rule G–26, which applies, that there are dealers which are not alternative to incorporation by currently and as proposed, to both members of those other SROs, reference, ‘‘FINRA member firms could automated and manual processes, particularly bank dealers, necessitating elect to follow FINRA 11870 in lieu of including provisions to facilitate the use the existence of Rule G–26.121 The MSRB Rule G–26, NYSE member firms of ACATS,113 to address the customer MSRB further stated that the main effect can follow NYSE Rule 412 in lieu of account transfers of these dealers.114 of the proposed rule change is to MSRB Rule G–26, and firms that are not The MSRB stated that it continues to increase harmonization with FINRA covered by either, then must follow believe that amending Rule G–26 to Rule 11870, promoting a uniform MSRB Rule G–26.’’ 107 SIFMA stated incorporate FINRA Rule 11870 by customer account transfer standard that that it believes adoption of one of these, or similar, alternative would be an reference would not be an appropriate will make the transfer of customer ‘‘efficient way to reduce confusion and approach to the proposed rule change, securities accounts more flexible, less risk to investors, and reduce regulatory as well as being inconsistent with the burdensome and more efficient, while risk to dealers.’’ 108 MSRB’s statutory mandate and mission, reducing confusion and risk to investors The MSRB responded that, as it as most relevant here, to protect and allowing them to better move their previously noted in the Notice of Filing, investors, issuers, and the public municipal securities to their dealer of 122 it continues to believe that Rule G–26 is interest, and to promote a fair and choice. efficient municipal market.115 The necessary and that the proposed rule 2. Extension of the Implementation Date MSRB further stated that—putting aside change is the appropriate approach to of the Proposed Rule Change achieve the purpose of modernizing the whether there are unique aspects of the rule and promoting a uniform customer transfer of municipal security-only BDA suggested, in its comment letter, account transfer standard for all dealers. customer accounts—it believes that that the effective date of the proposed The MSRB noted that it believed that bank dealers clearly are unique, as they rule change be adjusted from three SIFMA’s comments are substantially would not be subject to a customer months from the date of approval to 180 similar to previous comments it account transfer rule but for the days from the effective date of a submitted in response to the MSRB’s existence of Rule G–26.116 The MSRB approval to benefit smaller dealers with Request for Comment,109 and the MSRB stated that, as a result, it believes it is fewer compliance staff and resources had addressed them in detail in the important that, at a minimum, it retain and dealers subject to new Department Notice of Filing. The MSRB stated that the full ability to deliberately consider of Labor rules effective January 1, 2018 it believes that, although SIFMA is issues that may be unique to these and new MSRB and FINRA retail correct that any firms that are not dealers, but also to the municipal confirmation rules effective in May members of FINRA or the NYSE are securities market more broadly, in the 2018.123
103 See BDA Letter. 110 See MSRB Response Letter. 117 Id. 104 See MSRB Response Letter. 111 Id. 118 Id. 105 See SIFMA Letter and SIFMA Response Letter 112 Id. 119 See MSRB Response Letter, Notice of Filing to Request for Comment. 113 See Notice of Filing, MSRB Rule G–26(h) and and Request for Comment. 106 See SIFMA Letter. proposed MSRB Rule G–26(k)(i). 120 See MSRB Response Letter. 107 Id. 114 See MSRB Response Letter. 121 Id. 108 Id. 115 Id. 122 Id. 109 See Request for Comment. 116 Id. 123 See BDA Letter.
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The MSRB stated that it agreed that a appropriate in furtherance of the settling, processing information with more lengthy implementation period is purposes of the Act.130 respect to, and facilitating transactions appropriate, but that it does not believe in municipal securities and municipal 4. Request for an Update and a period of nearly a year is necessary, financial products, to remove Harmonization of Relevant FINRA Rules as the proposed rule change is designed impediments to and perfect the primarily to create efficiencies in the SIFMA and BDA requested that mechanism of a free and open market in customer account transfer process and FINRA amend its Rule 11870 as soon as municipal securities and municipal the MSRB does not anticipate that the practicable to reflect the recent financial products, in general, to protect limited number of dealers subject to the amendments to MSRB Rule G–12 investors, municipal entities, obligated amended rule would need to make relating to close-outs.131 SIFMA also persons, and the public interest.135 significant changes to systems and/or suggested that the Commission should Section 15B(b)(2)(G) of the Act requires policies and procedures.124 To ease the direct FINRA to ‘‘consolidate its that the MSRB’s rules prescribe records extent of the burden created by the provisions that relate to the transfer of to be made and kept by municipal proposed rule change, the MSRB stated securities into FINRA 11870’’ and securities brokers, municipal securities that it believes doubling the recommended that FINRA delete its dealers, and municipal advisors and the implementation period from three to six Rule 11650 with its operative language periods for which such records shall be months from the date of approval is a being included as new FINRA 11870 preserved.136 Supplementary Material .04.132 sufficient amount of time for dealers to The Commission believes that the effect any changes necessary to achieve The comments from BDA and SIFMA regarding their suggestion that FINRA proposed rule change is consistent with compliance.125 In response to the 137 amend its Rules 11870 and 11650 are the provisions of Sections 15B(b)(2) comment from BDA, the MSRB and 15B(b)(2)(C) 138 of the Act because proposed, in Amendment No. 1, to beyond the scope of the proposed rule change. it would re-establish consistency with amend the effective date of the proposed the customer account transfer rules of rule change requested in the Notice of IV. Discussion and Commission other SROs by conforming to significant Filing from three months to six months Findings updates by the NSCC, the NYSE and 126 from the date of approval. The Commission has carefully FINRA that have relevance to municipal 3. Economic Impact of the Proposed considered the proposed rule change, securities. The Commission further Rule Change the comment letters received, the MSRB believes that including certain Response Letter, and Amendment No. 1. provisions from the other rules in the SIFMA stated that while it agrees that The Commission finds that the proposed rule change will make the current Rule G–26 is not consistent with proposed rule change, as modified by transfer of customer securities account current securities industry standards Amendment No. 1, is consistent with assets more flexible, less burdensome, and practices and that it likely creates the requirements of the Act and the and more efficient, while reducing ‘‘uncertainties, inefficiencies and rules and regulations thereunder confusion and risk to investors and unnecessary costs associated with applicable to the MSRB. allowing them to better move their customer account transfers for all In particular, the proposed rule securities to their dealer of choice. The market participants’’ but that the change, as modified by Amendment No. Commission believes that the proposed proposed rule change is not the most 1, is consistent with Sections 15B(b)(2), rule change will promote fairness and effective means for addressing these 15B(b)(2)(C) and 15B(b)(2)(G) of the 127 provide greater efficiency in the transfer issues. SIFMA stated that ‘‘[h]aving Act.133 Section 15B(b)(2) of the Act of customer accounts, which should different rules for account level transfers requires the MSRB to adopt rules to prevent fraudulent and manipulative could result in: Additional compliance effect the purposes of this title with acts and practices, promote just and burdens, conflicting examiners from respect to transactions in municipal equitable principles of trade, foster different regulators applying different securities effected by brokers, dealers, cooperation and coordination with rules to the same customer account and municipal securities dealers and persons engaged in regulating, clearing, transfer, and confusion among advice provided to or on behalf of 128 settling, processing information with customers.’’ municipal entities or obligated persons respect to, and facilitating transactions The MSRB stated in Notice of Filing by brokers, dealers, municipal securities in municipal securities and municipal that it has evaluated the potential dealers, and municipal advisors with financial products, remove impediments impacts on competition of the proposed respect to municipal financial products, to and perfect the mechanism of a free rule change, including in comparison to the issuance of municipal securities, and open market in municipal securities reasonable alternative regulatory and solicitations of municipal entities or and municipal financial products, and, approaches, relative to the baseline in obligated persons undertaken by in general, protect investors and the accordance with its Policy on the Use of brokers, dealers, municipal securities public interest. Economic Analysis in MSRB dealers, and municipal advisors.134 129 The Commission believes that the Rulemaking, and does not believe the Section 15B(b)(2)(C) of the Act requires proposed rule change imposes any proposed rule change is consistent with that the MSRB’s rules be designed to 139 burden on competition not necessary or prevent fraudulent and manipulative Section 15B(b)(2)(G) of the Act acts and practices, to promote just and because it would require dealers to 124 See MSRB Response Letter and Amendment equitable principles of trade, to foster document the procedures they follow to No. 1. cooperation and coordination with effect customer account transfers and to 125 See MSRB Response Letter and Amendment persons engaged in regulating, clearing, require explicitly written procedures for No. 1. supervision of the same. 126 See Amendment No. 1. 127 See SIFMA Letter. 130 See Notice of Filing. 135 128 Id. 131 See SIFMA Letter and BDA Letter. See 15 U.S.C. 78o–4(b)(2)(C). 136 129 See Notice of Filing and Policy on the Use of 132 See SIFMA Letter. See 15 U.S.C. 78o–4(b)(2)(G). Economic Analysis in MSRB Rulemaking, MSRB, 133 15 U.S.C. 78o–4(b)(2); 78o–4(b)(2)(C) and 78o– 137 See 15 U.S.C. 78o–4(b)(2). available at: http://msrb.org/rules-and- 4(b)(2)(G). 138 See 15 U.S.C. 78o–4(b)(2)(C). interpretations/economic-analysis-policy. 134 See 15 U.S.C. 78o–4(b)(2). 139 Id.
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In approving the proposed rule Paper Comments implementation period to address a change, the Commission also has • Send paper comments in triplicate commenter’s concern and ease the considered the impact of the proposed to Secretary, Securities and Exchange limited burden of the proposed rule rule change, as modified by Amendment Commission, 100 F Street NE., change on dealers. No. 1, on efficiency, competition, and Washington, DC 20549. For the foregoing reasons, the 140 capital formation. The Commission All submissions should refer to File Commission finds good cause for does not believe that the proposed rule Number SR–MSRB–2017–03. This file approving the proposed rule change, as change will impose any burden on number should be included on the modified by Amendment No. 1, on an competition not necessary or subject line if email is used. To help the accelerated basis, pursuant to Section appropriate in furtherance of the Commission process and review your 19(b)(2) of the Act. purposes of the Act. The Commission comments more efficiently, please use VIII. Conclusion believes the proposed rule change only one method. The Commission will It is therefore ordered, pursuant to would apply equally to all municipal post all comments on the Commission’s Section 19(b)(2) of the Act,141 that the securities brokers and municipal Internet Web site (http://www.sec.gov/ proposed rule change (SR–MSRB–2017– securities dealers and may reduce rules/sro.shtml). Copies of the 03) be, and hereby is, approved. inefficiencies that stem from uncertainty submission, all subsequent and confusion associated with existing amendments, all written statements For the Commission, pursuant to delegated Rule G–26. The Commission believes with respect to the proposed rule authority.142 that the clarifications and revisions change that are filed with the Eduardo A. Aleman, included in the proposed rule change Commission, and all written Assistant Secretary. will likely result in dealers processing communications relating to the [FR Doc. 2017–16213 Filed 8–1–17; 8:45 am] of customer account transfers by dealer proposed rule change between the BILLING CODE 8011–01–P in a manner that more closely reflects Commission and any person, other than the securities industry standard, which those that may be withheld from the may, in turn, reduce operational risk to public in accordance with the SECURITIES AND EXCHANGE dealers and investors. Furthermore, the provisions of 5 U.S.C. 552, will be COMMISSION Commission believes that the proposed available for Web site viewing and rule change will likely make the transfer [Release No. 34–81251; File No. SR–BX– printing in the Commission’s Public 2017–034] of customer municipal securities Reference Room, 100 F Street NE., account assets more flexible, less Washington, DC 20549 on official Self-Regulatory Organizations; burdensome, and more efficient, while business days between the hours of NASDAQ BX, Inc.; Notice of Filing and reducing confusion and risk to investors 10:00 a.m. and 3:00 p.m. Copies of the Immediate Effectiveness of Proposed and allowing them to more efficiently filing also will be available for Rule Change To Amend BX Rules at and effectively transfer their municipal inspection and copying at the principal Chapter IV, Section 6 securities to their dealer of choice. office of the MSRB. All comments As noted above, the Commission received will be posted without change; July 28, 2017. received two comment letters on the the Commission does not edit personal Pursuant to Section 19(b)(1) of the filing. The Commission believes that the identifying information from Securities Exchange Act of 1934 (the 1 2 MSRB, through its responses and submissions. You should submit only ‘‘Act’’), and Rule 19b–4 thereunder, through Amendment No. 1, has information that you wish to make notice is hereby given that on July 27, addressed commenters’ concerns. available publicly. All submissions 2017, NASDAQ BX, Inc. (‘‘BX’’ or should refer to File Number SR–MSRB– ‘‘Exchange’’) filed with the Securities For the reasons noted above, the 2017–03 and should be submitted on or and Exchange Commission (the Commission believes that the proposed before August 23, 2017. ‘‘Commission’’) the proposed rule rule change, as modified by Amendment change as described in Items I and II VI. Accelerated Approval of Proposed No. 1, is consistent with the Act. below, which Items have been prepared Rule Change, as Modified by by the Exchange. The Commission is V. Solicitation of Comments on Amendment No. 1 Amendment No. 1 publishing this notice to solicit The Commission finds good cause for comments on the proposed rule change Interested persons are invited to approving the proposed rule change, as from interested persons. submit written data, views, and amended by Amendment No. 1, prior to I. Self-Regulatory Organization’s arguments concerning the foregoing, the 30th day after the date of publication of notice of Amendment No. Statement of the Terms of the Substance including whether Amendment No. 1 to of the Proposed Rule Change the proposed rule change is consistent 1 in the Federal Register. As discussed with the Act. Comments may be above, Amendment No. 1 modifies the The Exchange proposes to amend BX submitted by any of the following proposed rule change by proposing a Rules at Chapter IV, Section 6, entitled methods: longer implementation period of six ‘‘Series of Options Contracts Open for months rather than the previously Trading.’’ Electronic Comments proposed three months. The MSRB has The text of the proposed rule change proposed the revisions included in is set forth below. Proposed new • Use of the Commission’s Internet Amendment No. 1 to provide a language is italicized; deleted text is in comment form (http://www.sec.gov/ sufficient amount of time for dealers to brackets. rules/sro.shtml); or effect any changes necessary to achieve * * * * * • Send an email to rule-comments@ compliance with the proposed rule sec.gov. Please include File Number SR– change. As noted by the MSRB, 141 15 U.S.C. 78s(b)(2). MSRB–2017–03 on the subject line. Amendment No. 1 does not alter the 142 17 CFR 200.30–3(a)(12). substance of the original proposed rule 1 15 U.S.C. 78s(b)(1). 140 15 U.S.C. 78c(f). change and only provides a lengthier 2 17 CFR 240.19b-4.
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Rules of NASDAQ BX proposes to apply to IVV options is regime applied to SPY options. * * * * * currently applied to options on units of Currently, the S&P 500 Index is above the Standard & Poor’s Depository 2000. The S&P 500 Index is widely Options Rules Receipts Trust (‘‘SPY’’),3 which is an regarded as the best single gauge of large * * * * * exchange-traded fund (‘‘ETF’’) that is cap U.S. equities and is widely quoted identical in all material respects to the as an indicator of stock prices and Chapter IV Securities Traded on BX IVV ETF. investor confidence in the securities Options The SPY and IVV ETFs are identical market. As a result, individual investors * * * * * in all material respects. The SPY and often use S&P 500 Index-related IVV ETFs are designed to roughly track products to diversify their portfolios Sec. 6 Series of Options Contracts Open the performance of the S&P 500 Index and benefit from market trends. for Trading with the price of SPY and IVV designed Accordingly, the Exchange believes that (a)–(g) No change. to roughly approximate 1/10th of the offering a wide range of S&P 500 Index- price of the S&P 500 Index. based options affords traders and Supplementary Material to Section 6 Accordingly, SPY and IVV strike investors important hedging and trading .01 prices—having a multiplier of $100— opportunities. The Exchange believes (a) and (b) No change. reflect a value roughly equal to 1/10th that not having the proposed $1 strike (c) Notwithstanding any other of the value of the S&P 500 Index. For price intervals above $200 in IVV provision regarding the interval of strike example, if the S&P 500 Index is at significantly constricts investors’ prices of series of options on Exchange- 1972.56, SPY and IVV options might hedging and trading possibilities. Traded Fund Shares in this rule, the have a value of approximately 197.26 The Exchange proposes to amend interval of strike prices on SPDR® S&P with a notional value of $19,726. In Supplementary Material .01(c) of 500® ETF (‘‘SPY’’), iShares Core S&P general, SPY and IVV options provide Chapter IV, Section 6 to allow IVV 500 ETF (‘‘IVV’’), and the SPDR® Dow retail investors and traders with the options to trade in $1 increments above Jones® Industrial Average ETF (‘‘DIA’’) benefit of trading the broad market in a a strike price of $200. Specifically, the options will be $1 or greater. manageably sized contract. As options Exchange proposes to amend (d)–(f) No change. with an ETP underlying, SPY and IVV Supplementary Material .01(c) of .02–.09 No change. options are listed in the same manner as Chapter IV, Section 6 to state that * * * * * equity options under the Rules. notwithstanding other provisions However, pursuant to current limiting the ability of the Exchange to II. Self-Regulatory Organization’s Supplementary Material .01 to Chapter list $1 increment strike prices on equity Statement of the Purpose of, and IV, Section 6, the interval between strike and ETF options above $200, the Statutory Basis for, the Proposed Rule prices in series of options on ETPs, interval between strike prices of series Change including IVV options will be $1 or of options on Units of IVV will be $1 or In its filing with the Commission, the greater where the strike price is $200 or greater. The Exchange believes that by Exchange included statements less and $5.00 or greater where the having smaller strike intervals in IVV, concerning the purpose of and basis for strike price is greater than $200. In investors would have more efficient the proposed rule change and discussed addition, pursuant to Supplementary hedging and trading opportunities due any comments it received on the Material .07(e) to Chapter IV, Section 6, to the lower $1 interval ascension. The proposed rule change. The text of these proposed $1 intervals, particularly The interval between strike prices on Short above the $200 strike price, will result statements may be examined at the Term Option Series may be (i) $0.50 or places specified in Item IV below. The greater where the strike price is less than in having at-the-money series based Exchange has prepared summaries, set $100, and $1 or greater where the strike price upon the underlying IVV moving less forth in sections A, B, and C below, of is between $100 and $150 for all classes that than 1%. the most significant aspects of such participate in the Short Term Options Series The Exchange believes that the Program; (ii) $0.50 for classes that trade in statements. proposed strike setting regime is in line one dollar increments in Related non-Short with the slower movements of broad- A. Self-Regulatory Organization’s Term Options and that participate in the based indices. Furthermore, the Statement of the Purpose of, and Short Term Option Series Program; or (iii) proposed $1 intervals would allow $2.50 or greater where the strike price is Statutory Basis for, the Proposed Rule above $150. Related non-Short Term Option option trading strategies (such as, for Change series shall be opened during the month prior example, risk reduction/hedging strategies using IVV weekly options), to 1. Purpose to expiration of such Related non-Short Term Option series in the same manner as remain viable. Considering the fact that The Exchange proposes to amend permitted in Supplementary Material to $1 intervals already exist below the NOM [sic] Rules at Chapter IV, Section Section 6 at .07 and in the same strike price $200 price point and that IVV is above 6, entitled ‘‘Series of Options Contracts intervals that are permitted in the $200 level, the Exchange believes Open for Trading’’ by modifying the Supplementary Material to Section 6 at .07. that continuing to maintain the artificial strike setting regime for the iShares Core The Exchange’s proposal seeks to $200 level (above which intervals S&P 500 ETF (‘‘IVV’’) options. narrow the strike price intervals to $1 increase by $5), would have a negative Specifically, the Exchange proposes to for IVV options above $200, in effect effect on investing, trading and hedging modify the interval setting regime for matching the strike setting regime for opportunities, and volume. IVV options to allow $1 strike price strike intervals in IVV options below The Exchange believes that the intervals above $200. $200 and matching the strike setting investing, trading, and hedging The Exchange believes that the opportunities available with IVV proposed rule change would make IVV 3 See Supplementary Material .01(c) to Chapter options far outweighs any potential options easier for investors and traders IV, Section 6. See also Securities Exchange Act negative impact of allowing IVV options Release No. 80913 (June 13, 2017), 82 FR 27907 to use and more tailored to their (June 19, 2017) (SR–CBOE–2017–048) (Notice of to trade in more finely tailored intervals investment needs. Additionally, the Filing and Immediate Effectiveness of a Proposed above the $200 price point. The interval setting regime the Exchange Rule Change Related to Rule 5.5). proposed strike setting regime would
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permit strikes to be set to more closely Exchange believes the proposed rule Exchange, will benefit investors by reflect values in the underlying S&P 500 change is consistent with the Section giving them increased flexibility to more Index and allow investors and traders to 6(b)(5) 8 requirements that the rules of closely tailor their investment and roll open positions from a lower strike an exchange be designed to prevent hedging decisions. Moreover, the to a higher strike in conjunction with fraudulent and manipulative acts and proposed rule change is consistent with the price movement of the underlying. practices, to promote just and equitable a prior rule change on NASDAQ PHLX Pursuant to Chapter IV, Section 6, principles of trade, to foster cooperation LLC.10 where the next higher available series and coordination with persons engaged With regard to the impact of this would be $5 away above a $200 strike in regulating, clearing, settling, proposal on system capacity, the price, the ability to roll such positions processing information with respect to, is effectively negated. Accordingly, to and facilitating transactions in Exchange believes it and OPRA have the move a position from a $200 strike to a securities, to remove impediments to necessary systems capacity to handle $205 strike pursuant to the current rule, and perfect the mechanism of a free and any potential additional traffic an investor would need for the open market and a national market associated with this proposed rule underlying product to move 2.5%, and system, and, in general, to protect change. The Exchange believes that its would not be able to execute a roll up investors and the public interest. members will not have a capacity issue until such a large movement occurred. Additionally, the Exchange believes the as a result of this proposal. With the proposed rule change, proposed rule change is consistent with In addition, the interval setting regime however, the investor would be in a the Section 6(b)(5) 9 requirement that the Exchange proposes to apply to IVV significantly safer position of being able the rules of an exchange not be designed options is currently applied to options to roll his open options position from a to permit unfair discrimination between on SPY,11 which is an ETF that is $200 to a $201 strike price, which is customers, issuers, brokers, or dealers. identical in all material respects to the only a 0.5% move for the underlying. In particular, the proposed rule IVV ETF. The proposed rule change will allow change will allow investors to more the Exchange to better respond to easily use IVV options. Moreover, the B. Self-Regulatory Organization’s customer demand for IVV strike prices proposed rule change would allow Statement on Burden on Competition more precisely aligned with current S&P investors to better trade and hedge The Exchange does not believe that 500 Index values. The Exchange positions in IVV options where the the proposed rule change will impose believes that the proposed rule change, strike price is greater than $200, and like the other strike price programs ensure that IVV options investors are any burden on competition not currently offered by the Exchange, will not at a disadvantage simply because of necessary or appropriate in furtherance benefit investors by providing investors the strike price. of the purposes of the Act. Rather, the the flexibility to more closely tailor their The Exchange also believes the Exchange believes that the proposed investment and hedging decisions using proposed rule change is consistent with rule change will result in additional IVV options. By allowing series of IVV Section 6(b)(1) of the Act, which investment options and opportunities to options to be listed in $1 intervals provides that the Exchange be organized achieve the investment and trading between strike prices over $200, the and have the capacity to be able to carry objectives of market participants seeking proposal will moderately augment the out the purposes of the Act and the efficient trading and hedging vehicles, potential total number of options series rules and regulations thereunder, and to the benefit of investors, market available on the Exchange. However, the the rules of the Exchange. The rule participants, and the marketplace in Exchange believes it and the Options change proposal allows the Exchange to general. Specifically, the Exchange Price Reporting Authority (‘‘OPRA’’) respond to customer demand to allow believes that IVV options investors and have the necessary systems capacity to IVV options to trade in $1 intervals traders will significantly benefit from handle any potential additional traffic above a $200 strike price. The Exchange the availability of finer strike price associated with this proposed rule does not believe that the proposed rule intervals above a $200 price point. In change. The Exchange also believes that would create additional capacity issues addition, the interval setting regime the Participants will not have a capacity or affect market functionality. Exchange proposes to apply to IVV issue due to the proposed rule change. As noted above, ETF options trade in options is currently applied to options In addition, the Exchange represents wider $5 intervals above a $200 strike on SPY,12 which is an ETF that is that it does not believe that this price, whereas options at or below a identical in all material respects to the expansion will cause fragmentation of $200 strike price trade in $1 intervals. IVV ETF. Thus, applying the same strike liquidity. In addition, the interval This creates a situation where contracts setting regime to SPY and IVV options setting regime the Exchange proposes to on the same option class effectively may will help level the playing field for apply to IVV options is currently not be able to execute certain strategies options on similar, competing ETFs. applied to options on SPY,4 which is an such as, for example, rolling to a higher ETF that is identical in all material strike price, simply because of the C. Self-Regulatory Organization’s respects to the IVV ETF. arbitrary $200 strike price above which Statement on Comments on the options intervals increase by $5. This Proposed Rule Change Received From 2. Statutory Basis proposal remedies the situation by Members, Participants, or Others The Exchange believes that its establishing an exception to the current No written comments were either proposal is consistent with Section 6(b) ETF interval regime for IVV options to solicited or received. of the Act,5 in general, and furthers the allow such options to trade in $1 or objectives of Section 6(b)(5) of the Act,6 greater intervals at all strike prices. in particular.7 Specifically, the The Exchange believes that the 10 See Securities and Exchange Act Release 34– proposed rule change, like other strike 72664 (July 24, 2014), 79 FR 44231 (July 30, 2014) (Notice of Filing of Proposed Rule Change, as 4 See note 4 above [sic]. price programs currently offered by the Modified by Amendment No. 1, Relating to SPY 5 15 U.S.C. 78f(b). and DIA Options) (SR–Phlx–2014–046). 6 15 U.S.C. 78f(b)(5). 8 15 U.S.C. 78f(b)(5). 11 See note 4 above [sic]. 7 15 U.S.C. 78f(b). 9 Id. 12 See note 4 above [sic].
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III. Date of Effectiveness of the Commission takes such action, the 2017–034, and should be submitted on Proposed Rule Change and Timing for Commission shall institute proceedings or before August 23, 2017. Commission Action 20 under Section 19(b)(2)(B) of the Act to For the Commission, by the Division of The Exchange has designated this rule determine whether the proposed rule Trading and Markets, pursuant to delegated filing as non-controversial under change should be approved or authority.21 13 disapproved. Section 19(b)(3)(A) of the Act and Eduardo A. Aleman, Rule 19b–4(f)(6) 14 thereunder. Because IV. Solicitation of Comments Assistant Secretary. the proposed rule change does not: (i) Significantly affect the protection of Interested persons are invited to [FR Doc. 2017–16271 Filed 8–1–17; 8:45 am] investors or the public interest; (ii) submit written data, views, and BILLING CODE 8011–01–P impose any significant burden on arguments concerning the foregoing, competition; and (iii) become operative including whether the proposed rule for 30 days from the date on which it change is consistent with the Act. SECURITIES AND EXCHANGE was filed, or such shorter time as the Comments may be submitted by any of COMMISSION Commission may designate if consistent the following methods: with the protection of investors and the Electronic Comments [Release No. 34–81248; File Nos. SR–DTC– public interest, it has become effective 2017–013; SR–NSCC–2017–012; SR–FICC– • pursuant to Section 19(b)(3)(A) of the Use the Commission’s Internet 2017–016] Act and Rule 19b–4(f)(6) thereunder.15 comment form (http://www.sec.gov/ A proposed rule change filed under rules/sro.shtml); or Self-Regulatory Organizations; The Rule 19b–4(f)(6) 16 normally does not • Send an email to rule-comments@ Depository Trust Company; National become operative prior to 30 days after sec.gov. Please include File Number SR– Securities Clearing Corporation; Fixed the date of the filing. However, pursuant BX–2017–034 on the subject line. Income Clearing Corporation; Notice of 17 to Rule 19b–4(f)(6)(iii), the Paper Comments Filings of Proposed Rule Changes To Commission may designate a shorter Adopt the Clearing Agency Risk • time if such action is consistent with the Send paper comments in triplicate Management Framework protection of investors and the public to Secretary, Securities and Exchange interest. The Exchange has asked the Commission, 100 F Street NE., July 28, 2017. Washington, DC 20549–1090. Commission to waive the 30-day Pursuant to Section 19(b)(1) of the operative delay because this proposal All submissions should refer to File Securities Exchange Act of 1934 permits listing IVV options in a manner Number SR–BX–2017–034. This file (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 permitted by the Chicago Board Options number should be included on the notice is hereby given that on July 14, Exchange, Incorporated,18 and will subject line if email is used. To help the 2017, The Depository Trust Company provide investors with an alternative Commission process and review your (‘‘DTC’’), National Securities Clearing venue for trading IVV options. The comments more efficiently, please use Corporation (‘‘NSCC’’), and Fixed Commission believes that waiver of the only one method. The Commission will operative delay is consistent with the Income Clearing Corporation (‘‘FICC,’’ post all comments on the Commission’s and together with DTC and NSCC, the protection of investors and the public Internet Web site (http://www.sec.gov/ ‘‘Clearing Agencies’’), filed with the interest. Therefore, the Commission rules/sro.shtml). Copies of the Securities and Exchange Commission hereby waives the operative delay and submission, all subsequent (‘‘Commission’’) the proposed rule designates the proposed rule change amendments, all written statements 19 changes as described in Items I, II and operative upon filing. with respect to the proposed rule III below, which Items have been At any time within 60 days of the change that are filed with the filing of the proposed rule change, the Commission, and all written prepared primarily by the Clearing Commission summarily may communications relating to the Agencies. The Commission is temporarily suspend such rule change if proposed rule change between the publishing this notice to solicit it appears to the Commission that such Commission and any person, other than comments on the proposed rule changes action is necessary or appropriate in the those that may be withheld from the from interested persons. public interest, for the protection of public in accordance with the I. Clearing Agencies’ Statement of the investors, or otherwise in furtherance of provisions of 5 U.S.C. 552, will be the purposes of the Act. If the Terms of Substance of the Proposed available for Web site viewing and Rule Changes printing in the Commission’s Public 13 15 U.S.C. 78s(b)(3)(A). Reference Room, 100 F Street NE., The proposed rule changes would 14 17 CFR 240.19b–4(f)(6). 15 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Washington, DC 20549 on official adopt the Clearing Agency Risk 4(f)(6) requires a self-regulatory organization to give business days between the hours of Management Framework (‘‘Framework’’) the Commission written notice of its intent to file 10:00 a.m. and 3:00 p.m. Copies of such of the Clearing Agencies, described the proposed rule change at least five business days filing also will be available for prior to the date of filing of the proposed rule below. The Framework would apply to change, or such shorter time as designated by the inspection and copying at the principal both of FICC’s divisions, the Commission. The Exchange has satisfied this office of the Exchange. All comments Government Securities Division requirement. received will be posted without change; (‘‘GSD’’) and the Mortgage-Backed 16 17 CFR 240.19b–4(f)(6). the Commission does not edit personal 17 Securities Division (‘‘MBSD’’). The 17 CFR 240.19b–4(f)(6)(iii). identifying information from 18 See Securities Exchange Act Release No. 80913 Framework would be maintained by the (June 13, 2017), 82 FR 27907 (June 19, 2017) (SR– submissions. You should submit only Clearing Agencies to support their CBOE–2017–048). information that you wish to make compliance with Rules 17Ad–22(e)(1), 19 For purposes only of waiving the 30-day available publicly. All submissions operative delay, the Commission has also should refer to File Number SR–BX– considered the proposed rule’s impact on 21 17 CFR 200.30–3(a)(12). efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). 15 U.S.C. 78c(f). 20 15 U.S.C. 78s(b)(2)(B). 2 17 CFR 240.19b–4.
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(e)(3), (e)(20), and (e)(21) under the Act, Framework would provide that GCO, in requirements of Rule 17Ad–22(e)(3).8 as described below.3 coordination with all departments The Framework would describe the Although the Clearing Agencies responsible for the processes described roles of personnel and business units in would consider the Framework to be a in the Framework, reviews the this risk management approach, which rule, the proposed rule changes do not Framework at least annually. includes (1) a first line of defense require any changes to the Rules, By- The processes described in the comprised of the various business lines laws and Organization Certificate of Framework, and any policies, and functional units that support the DTC (‘‘DTC Rules’’), the Rulebook of procedures or other documents created products and services offered by the GSD (‘‘GSD Rules’’), the Clearing Rules to support those processes, may be Clearing Agencies (collectively, of MBSD (‘‘MBSD Rules’’), or the Rules owned by other departments within ‘‘Clearing Agency Business/Support & Procedures of NSCC (‘‘NSCC Rules’’), DTCC, on behalf of each Clearing Areas’’); (2) a second line of defense as the Framework would be a Agency. These processes, and any comprised of control functions that standalone document.4 documents created to support those support the Clearing Agencies, processes, would support the Clearing II. Clearing Agencies’ Statement of the including the organization’s legal, Agencies’ compliance with the Purpose of, and Statutory Basis for, the privacy and compliance areas, as well as Proposed Rule Changes requirements of Rules 17Ad–22(e)(1), the DTCC Risk Department, which is (e)(3), (e)(20), and (e)(21), and the specifically dedicated to risk In their filings with the Commission, Clearing Agencies may develop other management concerns (collectively, the Clearing Agencies included processes or adopt other documents that ‘‘Clearing Agency Control Functions’’); statements concerning the purpose of further support these requirements and and (3) a third line of defense, which is and basis for the proposed rule changes are not described in the Framework.7 performed by DTCC Internal Audit. and discussed any comments they The Framework would identify the received on the proposed rule changes. Comprehensive Management of Key roles of each line of defense. The The text of these statements may be Clearing Agency Risks Framework would state that, as the first examined at the places specified in Item The Framework would state that the line of defense, each Clearing Agency IV below. The Clearing Agencies have Boards have delegated to DTCC Business/Support Area would, for prepared summaries, set forth in management, on behalf of the Clearing example, identify Key Clearing Agency sections A, B, and C below, of the most Agencies, the responsibility for Risks applicable to its function, significant aspects of such statements. identifying, assessing, measuring, determine the best way to mitigate such (A) Clearing Agencies’ Statement of the monitoring, mitigating and reporting risks, self-test internal controls, and Purpose of, and Statutory Basis for, the risks through a process of developing create and implement actions plans for Proposed Rule Changes individual risk tolerance statements for risk mitigation. The Framework would identified risks. The Framework would 1. Purpose state that the role of the second line of describe how these risk tolerance defense includes, for example, working The Clearing Agencies are proposing statements set out applicable risk with the Clearing Agency Business/ to adopt the Framework, which would controls and other measures used to Support Areas on efforts to mitigate Key describe the manner in which each of manage risks, and how residual risks Clearing Agency Risks and providing the Clearing Agencies (i) may be identified through this process tools to those groups to enable them to comprehensively manages legal, credit, for either further management or analyze, monitor, and proactively liquidity, operational, general business, ‘‘acceptance’’ (which follows a defined manage those risks. Finally, the investment, custody, and other risks escalation and approval process). The Framework would identify the role of that arise in or are borne by it (‘‘Key Framework would also state that DTCC DTCC Internal Audit as the third line of Clearing Agency Risks’’); (ii) maintains management, on behalf of the Clearing defense as including, for example, a well-founded, clear, transparent and Agencies, is responsible for the day-to- directing its own resources to review enforceable legal basis for each aspect of day management of those residual risks. and test key controls that help mitigate its activities; (iii) identifies, monitors, Finally, the Framework would describe significant Key Clearing Agency Risks, and manages risks related to links it the governance around maintenance of then reporting on the results of that establishes with one or more clearing those risk tolerance statements, which testing. are reviewed and approved by a agencies, financial market utilities, or In connection with a description of management committee and by the Risk trading markets; and (iv) meets the the second and third lines of defense, 5 Committee of the Boards at least requirements of its participants and the Framework would describe how annually, and are also provided to the the markets it serves efficiently and personnel within the DTCC Risk Boards for their review and approval at effectively. The Framework would be Department and DTCC Internal Audit least annually. maintained by the General Counsel’s are provided with sufficient authority, 6 The Framework would describe how Office (‘‘GCO’’) of DTCC. The resources, independence from the Clearing Agencies employ a ‘‘Three management, and access to the Boards. 3 Lines of Defense’’ approach as a sound 17 CFR 240.17Ad–22(e)(1), (e)(3), (e)(20), and The Framework would provide that the (e)(21). risk management framework for DTCC Risk Department and DTCC 4 Capitalized terms not defined herein are defined comprehensively managing Key Internal Audit are functionally in the DTC Rules, GSD Rules, MBSD Rules, or Clearing Agency Risks in order to NSCC Rules, as applicable, available at http:// independent from all other Clearing support their compliance with the dtcc.com/legal/rules-and-procedures. Agency Business/Support Areas. The 5 FICC and NSCC refer to their participants as ‘‘Members,’’ while DTC refers to its participants as (‘‘DTCC’’). DTCC operates on a shared services Framework would also describe how ‘‘Participants.’’ These terms are defined in the model with respect to the Clearing Agencies. Most such personnel have a direct reporting Clearing Agencies’ Rules. In this filing, as well as corporate functions are established and managed on line to, and oversight by, the Risk in the Framework, ‘‘participant’’ or ‘‘participants’’ an enterprise-wide basis pursuant to intercompany Committee of the Boards and the Audit refers to both the Members of FICC and NSCC and agreements under which it is generally DTCC that the Participants of DTC. provides a relevant service to a Clearing Agency. Committee of the Boards, respectively, 6 The parent company of the Clearing Agencies is 7 17 CFR 240.17Ad–22(e)(1), (e)(3), (e)(20), and The Depository Trust & Clearing Corporation (e)(21). 8 17 CFR 240.17Ad–22(e)(3).
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which is supported by the charters of the Clearing Agencies’ Rules establish Management of Risks Related to these committees. the membership onboarding process of Material Interdependencies and The Framework would provide that the Clearing Agencies, which supports External Links the Clearing Agencies maintain a policy the enforceable legal basis for the The Framework would describe some to govern the requirements for Clearing Agencies’ Rules. The of the ways in which the Clearing establishing, managing, and assessing Framework would also state that the Agencies regularly review the material the performance of internal committees Clearing Agencies may adopt and risks they bear from and pose to other and councils, including a set of senior maintain other risk management entities as a result of external links and management committees that provide frameworks, separate from the material interdependencies. The oversight of the Three Lines of Defense Framework, that address, in whole or in Framework would identify some of the approach to management of Key part, the management of other Key Clearing Agencies’ external links that Clearing Agency Risks, as well as other Clearing Agency Risks, including, for create material interdependencies aspects of the Clearing Agencies’ risk between the Clearing Agencies and management. The Framework would example, the management of also describe the process by which the operational, liquidity and market risks. other entities party to such link, which Clearing Agencies maintain risk may include, for example, links with Information and Incentives for their participants, settling banks, management policies, procedures, Participant Management of Risks Clearing Agencies’ Rules, frameworks investment counterparties and liquidity and other documents designed to The Framework would describe how providers, and links with vendors and identify, measure, monitor and manage the Clearing Agencies support their other service providers. With respect to Key Clearing Agency Risks. The compliance with Rule 17Ad–22(e)(3) by these links, the Framework would describe how the Clearing Agencies Framework would describe policies providing their respective participants review and monitor any resulting risks, maintained by the Clearing Agencies with information and incentives to which is driven by the nature of the that (1) govern the steps taken to meet enable them, and, through them, their relationship. their regulatory requirements related to customers, to monitor, manage and proposed rule change and advance For example, risks related to the contain the risks they pose to the Clearing Agencies’ link to their notice filings pursuant to Section respective Clearing Agencies. The 9 respective participants and settling 19(b)(1) of the Act, and the rules Framework would identify some of the thereunder, and Section 806(e)(1) of banks, as applicable, are addressed sources of the information that is made through tools found within the Clearing Title VIII of the Dodd-Frank Wall Street available to participants, including, for Reform and Consumer Protection Act, Agencies’ Rules, as these entities are example, (1) materials on the DTCC Web entitled the Payment, Clearing, and bound by the Rules. site, such as the Clearing Agencies’ Settlement Supervision Act of 2010,10 Additionally, risks arising from links Rules, user guides and training courses, and the rules thereunder (collectively, to vendors are identified, assessed, ‘‘Filing Requirements’’); and (2) and regularly updated disclosures made controlled, and monitored through a establish a set of standards and holistic pursuant to the guidelines published by comprehensive review and vetting approach for creating and managing risk the Committee on Payment and process. The Framework would describe management policies, procedures, Settlement Systems and the Technical how a risk-based approach is employed Clearing Agencies’ Rules, frameworks Committee of the International to assess the need and level of due and other documents, which include Organization of Securities diligence activities associated with the required, periodic reviews as well as the Commissions; 11 and (2) reports evaluation of new vendors before a governance for approval of such provided to Clearing Agency contractual relationship is established documents (‘‘Document Standards’’). participants regarding their margin and and with the re-evaluation of existing The Framework would provide that, liquidity requirements and their vendors. The Framework would state with respect to those documents that transaction volumes and values, as that this process involves the review of address Key Clearing Agency Risks, the applicable. certain information related to a Document Standards require annual proposed vendor relationship, which The Framework would also describe should focus on confidentiality, approval by the Boards. some of the incentives used by the The Framework would describe integrity, availability and recoverability Clearing Agencies to enable their certain documents that are subject to the related to that relationship. The participants to monitor, manage and respective policies governing the Filing Framework would also describe how contain risks they pose to the Clearing Requirements and the Document risk related to existing vendor Agencies, including, for example, (1) Standards, described above. For relationships is reviewed periodically, example, the Framework would daily margin requirements, pursuant to throughout the lifecycle of the describe how the Clearing Agencies the Clearing Agencies’ Rules, which are relationship. The management of vendor maintain the Clearing Agencies’ Rules, calculated in close correlation to the relationships through the process that which support the Clearing Agencies’ risk each participant poses to the would be described in the Framework ability to provide for a well-founded, relevant Clearing Agency; and (2) other would also support the Clearing clear, transparent, and enforceable legal tools within the Clearing Agencies’ Agencies’ maintenance of clear, basis for each aspect of their activities Rules that enable the Clearing Agencies understandable contracts that are in all relevant jurisdictions. to enforce their and their participants’ consistent with relevant laws and Maintenance of the Clearing Agencies’ respective rights and obligations under regulations. Rules is supported by the policy those rules. The Framework would describe the governing the Filing Requirements and Clearing Agencies’ management and the Document Standards, described 11 See Principles for financial market monitoring of systemic risks, and how above. The Framework would state that infrastructures, issued by the Committee on the Clearing Agencies utilize a series of Payment and Settlement Systems and the Technical comprehensive reviews that include Committee of the International Organization of 9 15 U.S.C. 78s(b)(1). Securities Commissions (April 2012), available at input from a cross-functional group to 10 12 U.S.C. 5465(e)(1). http://www.bis.org/publ/cpss101a.pdf. identify, monitor and manage risks
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related to all Clearing Agency external agency. In particular, the Clearing consistent with the requirements of links, in addition to links that create Agencies believe that the Framework is Section 17A(b)(3)(F) of the Act.15 material interdependencies. consistent with Section 17A(b)(3)(F) of Rule 17Ad–22(e)(1) under the Act the Act 12 and the subsections cited requires, in part, that each covered Scope of Services Responsive to Market clearing agency establish, implement, Needs below of Rules 17Ad–22(e)(1), (e)(3), (e)(20), and (e)(21),13 each promulgated maintain and enforce written policies The Framework would describe some under the Act, for the reasons described and procedures reasonably designed to, of the ways in which the Clearing below. provide for a well-founded, clear, Agencies are efficient and effective in Section 17A(b)(3)(F) of the Act transparent, and enforceable legal basis meeting the requirements of their requires, in part, that the rules of a for each aspect of its activities in all participants and the markets they serve. 16 registered clearing agency be designed relevant jurisdictions. The Framework The Framework would describe the to promote the prompt and accurate would describe how the Clearing Clearing Agencies’ structured approach clearance and settlement of securities Agencies maintain the Clearing for the implementation of new transactions, and to assure the Agencies’ Rules, which are the key legal initiatives, which includes conducting a basis for each of the Clearing Agencies’ safeguarding of securities and funds comprehensive risk assessment of new respective activities described therein. which are in the custody or control of initiatives that are in scope of this The Clearing Agencies’ Rules are the clearing agency or for which it is approach. These reviews address, incorporated by reference into responsible.14 As described above, the among other matters, compliance with participants’ membership agreements, Framework would describe some of the applicable laws, regulations and and, therefore, constitute an enforceable ways the Clearing Agencies standards, and, in this way, support the contract governing the rights and comprehensively manage Key Clearing Clearing Agencies’ ability to obligations of the Clearing Agencies and Agency Risks, which include legal, demonstrate a well-founded legal basis those participants. The Framework credit, liquidity, operational, general for the activities to be conducted in would describe how the Clearing connection with new initiatives. business, investment, custody, and Agencies’ Rules are published on the The Framework would also describe other risks that arise in or are borne by DTCC Web site, and how the Clearing the Clearing Agencies’ role in industry- the Clearing Agencies. For example, the Agencies adhere to the Filing wide strategic initiatives through Framework would describe how the Requirements, which provide a clear, participation on industry working Clearing Agencies utilize a Three Lines transparent and enforceable legal groups and through the development of Defense approach to assessing, framework under which the Clearing and publication of concept papers. The measuring, monitoring, mitigating, and Agencies’ Rules are adopted and Framework would describe how the reporting those risks, and would enforced. Through their compliance Clearing Agencies use periodic surveys identify the roles and responsibilities of with the Filing Requirements, as would and employ product-aligned customer each line of defense within that be described in the Framework, the service representatives to ensure clients approach. The Framework would also Clearing Agencies articulate the legal receive the right level of responsiveness describe other risk management basis for proposed changes to their in order to support their needs. The activities, including, for example the activities, as described in the Clearing Framework would describe how the establishment and maintenance of Agencies’ Rules, in a clear and Clearing Agencies have established a certain management committees that understandable way. process for escalating and responding to would provide oversight to the Clearing The Framework would also describe certain customer complaints. The Agencies’ businesses and related risk how the Clearing Agencies review and Framework would also describe the management. assess risk related to their contractual Clearing Agencies’ Core Balanced By describing some of the ways the arrangements with vendors, service Business Scorecard, which is used by Clearing Agencies manage their Key providers and other external parties the Clearing Agencies to review and Clearing Agency Risks, the Framework with which the Clearing Agencies may track the effectiveness of their would serve as a basis for the processes, establish links. The Framework would operations, information technology policies, procedures and other also describe the process by which the service levels, financial performance, documents that the Clearing Agencies Clearing Agencies review new human capital as well as their may develop to facilitate those risk initiatives prior to implementation, participants’ experience. management activities. The activities which include a review of the legal risks that would be described within the that may be posed by those initiatives. Recovery and Orderly Wind-Down Framework, and the policies, For these reasons, the processes The Framework would provide that procedures or other documents that described in the Framework allow the the Clearing Agencies maintain policies would be reasonably and fairly implied, Clearing Agencies to establish, and procedures to govern the thereby collectively allow the Clearing implement, maintain and enforce development of plans for recovery or Agencies to continue the prompt and written policies and procedures orderly wind-down. Such documents accurate clearance and settlement of reasonably designed to provide for a would define the roles and securities and assure the safeguarding of well-founded, clear, transparent, and responsibilities of relevant business securities and funds which are in their enforceable legal basis for each aspect of units in the development and custody or control or for which they are its activities in all relevant jurisdictions. documentation of the plans and would responsible notwithstanding the risks Therefore, the Clearing Agencies believe outline the general content of the plans. that arise in or are borne by the Clearing the Framework is consistent with the 17 2. Statutory Basis Agencies. Therefore, the Clearing requirements of Rule 17Ad–22(e)(1). Agencies believe the Framework is The Clearing Agencies believe that the The Clearing Agencies believe that the Framework is consistent with the proposed rule changes are consistent 12 15 U.S.C. 78q–1(b)(3)(F). with the requirements of the Act and the 13 17 CFR 240.17Ad–22(e)(1), (e)(3), (e)(20), and 15 Id. rules and regulations thereunder (e)(21). 16 17 CFR 240.17Ad–22(e)(1). applicable to a registered clearing 14 15 U.S.C. 78q–1(b)(3)(F). 17 Id.
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requirements of the following risk, or any other losses.21 The Department and DTCC Internal Audit subsections of Rule 17Ad–22(e)(3), cited Framework would describe how the are functionally independent from all below, for the reasons described Clearing Agencies maintain policies and other Clearing Agency Business/Support below.18 procedures that govern the development Areas. The Framework would also Rule 17Ad–22(e)(3)(i) under the Act of plans for the recovery and orderly describe how the senior management requires, in part, that each covered wind-down of the Clearing Agencies, within both groups report directly to clearing agency establish, implement, and would provide that these policies appropriate committees of the Boards, maintain and enforce written policies and procedures would define the roles and how, through this reporting line, and procedures reasonably designed to and responsibilities of relevant business the groups have access to the Boards, as maintain a sound risk management units in the development and necessary. Therefore, through this framework for comprehensively documentation of those plans. description of the DTCC Risk managing legal, credit, liquidity, Therefore, by describing the policies Department’s and DTCC Internal Audit’s operational, general business, and procedures maintained by the roles and functions, in connection with investment, custody, and other risks Clearing Agencies in order to prepare the Three Lines of Defense approach to that arise in or are borne by the covered appropriate plans for the recovery and risk management, the Clearing Agencies clearing agency, which includes risk orderly wind-down of the Clearing believe the Framework is consistent management policies, procedures, and Agencies, the Clearing Agencies believe with the requirements of Rule 17Ad– systems designed to identify, measure, the Framework is consistent with the 22(e)(3)(iii) and (e)(3)(iv).25 monitor, and manage the range of risks requirements of Rule 17Ad– Rule 17Ad–22(e)(20) under the Act that arise in or are borne by the covered 22(e)(3)(ii).22 requires, in part, that each covered clearing agency, that are subject to Rule 17Ad–22(e)(3)(iii) under the Act clearing agency establish, implement, review on a specified periodic basis and requires, in part, that each covered maintain and enforce written policies approved by the board of directors clearing agency establish, implement, and procedures reasonably designed to annually.19 The Framework would maintain and enforce written policies identify, monitor, and manage risks describe how the Clearing Agencies and procedures reasonably designed to related to any link the covered clearing maintain comprehensive policies, maintain a sound risk management agency establishes with one or more procedures and other documents, framework for comprehensively other clearing agencies, financial market including, for example, the Framework managing legal, credit, liquidity, utilities, or trading markets.26 The and certain other risk management operational, general business, Framework would describe how the frameworks, separate and apart from the investment, custody, and other risks Clearing Agencies review both proposed Framework, which are designed to that arise in or are borne by the covered and existing links with other entities, identify, measure, monitor and manage clearing agency, which provides risk including those links that may result in Key Clearing Agency Risks. The management and internal audit material interdependencies. For Framework would state that the personnel with sufficient authority, example, the Framework would Framework is reviewed least annually. resources, independence from describe some of the ways the Clearing The Document Standards, which would management, and access to the board of Agencies manage risks related to their be described in the Framework, set a directors.23 Rule 17Ad–22(e)(3)(iv) links with, as applicable, participants, timeframe for the periodic review of under the Act requires, in part, that each settling banks, investment these documents, and would, with covered clearing agency establish, counterparties and liquidity providers, respect to those documents that address implement, maintain and enforce vendors and service providers, and Key Clearing Agency Risks, require written policies and procedures would also describe how the Clearing annual approval by the Boards. By reasonably designed to maintain a Agencies identify and address risks that describing the process for the sound risk management framework for have the potential of creating systemic establishment, implementation, comprehensively managing legal, credit, impact. With respect to links with maintenance and enforcement of these liquidity, operational, general business, vendors and service providers, the risk management documents, the investment, custody, and other risks Framework would describe how the Clearing Agencies believe the that arise in or are borne by the covered Clearing Agencies, through the Framework is consistent with the clearing agency, which provides risk establishment, implementation, requirements of Rule 17Ad–22(e)(3)(i).20 management and internal audit maintenance and enforcement of written Rule 17Ad–22(e)(3)(ii) under the Act personnel with a direct reporting line to, policies and procedures, apply a requires, in part, that each covered and oversight by, a risk management comprehensive vendor review and clearing agency establish, implement, committee and an independent audit vetting process that includes reviews of maintain and enforce written policies committee of the board of directors, credit, operational, legal and other risks and procedures reasonably designed to respectively.24 that may arise from that relationship. maintain a sound risk management The Framework would describe how Therefore, by describing the various framework for comprehensively the Clearing Agencies use a Three Lines ways the Clearing Agencies identify and managing legal, credit, liquidity, of Defense approach to the management address risks related to links with other operational, general business, of Key Clearing Agency Risks. In entities, the Clearing Agencies believe investment, custody, and other risks connection with this approach, the the Framework is consistent with the that arise in or are borne by the covered Framework would describe the roles of requirements of Rule 17Ad–22(e)(20).27 clearing agency, which includes plans risk management and internal audit Rule 17Ad–22(e)(21) under the Act for the recovery and orderly wind-down personnel as the second and third lines requires, in part, that each covered of the covered clearing agency of defense. The Framework would clearing agency establish, implement, necessitated by credit losses, liquidity describe how both the DTCC Risk maintain and enforce written policies shortfalls, losses from general business and procedures reasonably designed to 21 17 CFR 240.17Ad–22(e)(3)(ii). 18 17 CFR 240.17Ad–22(e)(3). 22 Id. 25 Id. 19 17 CFR 240.17Ad–22(e)(3)(i). 23 17 CFR 240.17Ad–22(e)(3)(iii). 26 17 CFR 240.17Ad–22(e)(20). 20 Id. 24 17 CFR 240.17Ad–22(e)(3)(iv). 27 Id.
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be efficient and effective in meeting the (C) Clearing Agencies’ Statement on communications relating to the requirements of its participants and the Comments on the Proposed Rule proposed rule changes between the markets it serves, and have the covered Changes Received From Members, Commission and any person, other than clearing agency’s management regularly Participants, or Others those that may be withheld from the review the efficiency and effectiveness The Clearing Agencies have not public in accordance with the of its (i) clearing and settlement solicited or received any written provisions of 5 U.S.C. 552, will be arrangements; (ii) operating structure, comments relating to this proposal. The available for Web site viewing and including risk management policies, Clearing Agencies will notify the printing in the Commission’s Public procedures, and systems; (iii) scope of Commission of any written comments Reference Room, 100 F Street NE., products cleared or settled; and (iv) use received by the Clearing Agencies. Washington, DC 20549 on official of technology and communication business days between the hours of procedures.28 The Framework would III. Date of Effectiveness of the 10:00 a.m. and 3:00 p.m. Copies of the describe some of the ways in which the Proposed Rule Changes, and Timing for filing also will be available for Clearing Agencies review the efficiency Commission Action inspection and copying at the principal and effectiveness of their businesses and Within 45 days of the date of office of the Clearing Agencies, and on operations. For example, the Framework publication of this notice in the Federal DTCC’s Web site (http://dtcc.com/legal/ would describe how the Clearing Register or within such longer period sec-rule-filings.aspx). All comments Agencies employ a structured approach up to 90 days (i) as the Commission may received will be posted without change; to the pre-implementation reviews of designate if it finds such longer period the Commission does not edit personal new initiatives, including initiatives to be appropriate and publishes its identifying information from related to their clearing and settlement reasons for so finding or (ii) as to which submissions. You should submit only arrangements, scope of products cleared the clearing agency consents, the information that you wish to make or settled, and use of technology and Commission will: available publicly. All submissions communication procedures. The (A) By order approve or disapprove should refer to File Number SR–DTC– Framework would also describe the such proposed rule changes, or 2017–013, SR–NSCC–2017–012, or SR– Clearing Agencies’ Core Balanced (B) institute proceedings to determine FICC–2017–016, and should be Business Scorecard, which is used to submitted on or before August 23, 2017. review the effectiveness of the Clearing whether the proposed rule changes Agencies’ operations, information should be disapproved. For the Commission, by the Division of Trading and Markets, pursuant to delegated technology services levels, financial IV. Solicitation of Comments authority.30 performance and other aspects of their Interested persons are invited to Eduardo A. Aleman, business, including their respective submit written data, views and participants’ experiences. The Assistant Secretary. arguments concerning the foregoing, Framework would also describe some of [FR Doc. 2017–16268 Filed 8–1–17; 8:45 am] including whether the proposed rule the steps the Clearing Agencies take in BILLING CODE 8011–01–P changes are consistent with the Act. order to be efficient and effective in meeting the requirements of their Comments may be submitted by any of participants and the markets they serve, the following methods: SECURITIES AND EXCHANGE including, for example, through the Electronic Comments COMMISSION establishment, implementation, • Use the Commission’s Internet [Release No. 34–81226; File No. SR–NYSE– maintenance and enforcement of a comment form (http://www.sec.gov/ 2017–08] written policy to address escalation, rules/sro.shtml); or tracking and resolution of certain • Send an email to rule-comments@ Self-Regulatory Organizations; New customer complaints. Therefore, by sec.gov. Please include File Number SR– York Stock Exchange LLC; Notice of describing some of the ways in which DTC–2017–013, SR–NSCC–2017–012, or Filing of Amendment No. 1 and Order the Clearing Agencies review the SR–FICC–2017–016 on the subject line. Granting Accelerated Approval of efficiency and effectiveness of their Proposed Rule Change, as Modified by businesses and operations, the Clearing Paper Comments Amendment No. 1, To Amend Its Agencies believe the Framework is • Send paper comments in triplicate Listing Standards for Closed-End consistent with the requirements of Rule to Secretary, Securities and Exchange Funds 17Ad–22(e)(21).29 Commission, 100 F Street NE., July 27, 2017. (B) Clearing Agencies’ Statement on Washington, DC 20549. Burden on Competition All submissions should refer to File I. Introduction None of the Clearing Agencies believe Number SR–DTC–2017–013, SR–NSCC– On May 24, 2017, New York Stock that the Framework would have any 2017–012, or SR–FICC–2017–016. One Exchange LLC (‘‘NYSE’’ or the impact, or impose any burden, on of these file numbers should be ‘‘Exchange’’) filed with the Securities competition because the proposed rule included on the subject line if email is and Exchange Commission changes reflect some of the existing used. To help the Commission process (‘‘Commission’’), pursuant to Section methods by which the Clearing and review your comments more 19(b)(1) of the Securities Exchange Act Agencies manage Key Clearing Agency efficiently, please use only one method. of 1934 (‘‘Act’’) 1 and Rule 19b–4 Risks, and would not effectuate any The Commission will post all comments thereunder,2 a proposed rule change to changes to the Clearing Agencies’ on the Commission’s Internet Web site amend its listing standards for closed- processes described therein as they (http://www.sec.gov/rules/sro.shtml). end funds. The proposed rule change currently apply to their respective Copies of the submission, all subsequent was published for comment in the participants. amendments, all written statements with respect to the proposed rule 30 17 CFR 200.30–3(a)(12). 28 17 CFR 240.17Ad–22(e)(21). changes that are filed with the 1 15 U.S.C. 78s(b)(1). 29 Id. Commission, and all written 2 17 CFR 240.19b–4.
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Federal Register on June 12, 2017.3 On a Fund that has a market value of officers, or their immediate families and June 29, 2017, NYSE filed Amendment publicly held shares or net assets of other concentrated holdings of 10 No. 1 to the proposal.4 The Commission $20,000,000.8 Alternatively, the percent or more would be excluded in received no comments on the proposed Exchange would generally authorize the calculating the number of publicly held rule change. The Commission is listing of a group of Funds if: (i) Total shares.16 The Exchange explained that publishing this notice to solicit group market value of publicly held these changes to the continued listing comment on Amendment No. 1 to the shares or net assets equals in the standards for Funds are based on the proposed rule change from interested aggregate at least $75,000,000; (ii) the rules of NYSE MKT.17 According to the persons, and is approving the proposed group market value of publicly held Exchange, it would monitor compliance rule change, as modified by Amendment shares or net assets averages at least with the publicly held shares No. 1, on an accelerated basis. $15,000,000 per Fund; and (iii) each requirement on an ongoing basis and Fund in the group has a market value II. Description of the Proposed Rule of publicly held shares or net assets of ask any Fund whose total market value Change, as Modified by Amendment at least $10,000,000.9 With respect to of publicly held shares fell below No. 1 the introduction of requirements $5,000,000 over 60 calendar days to The Exchange has proposed to modify concerning a Fund’s net asset value provide evidence that its net assets had its listing standards applicable to a (‘‘NAV’’),10 the Exchange explained that exceeded $5,000,000 over the required closed-end management investment Funds disclose NAV on at least a period.18 The Exchange explained that it company registered under the quarterly basis, and often more would promptly initiate suspension and Investment Company Act of 1940 (a frequently, and that a Fund’s share price delisting procedures with respect to any ‘‘Fund’’). In its filing, the Exchange typically trades at a premium or Fund that could not demonstrate explained that this proposal would discount to NAV, with share price and compliance with the net asset conform its initial and continued listing NAV generally maintaining a close requirement at such time.19 standards for Funds to the listing relationship.11 According to the standards for Funds utilized by NYSE In addition, current Exchange rules Exchange, this relationship between provide that the Exchange will notify MKT LLC (‘‘NYSE MKT’’).5 share price and NAV makes the market the Fund if the average market Currently, the Exchange will generally price of a Fund less reliant on the price authorize the listing of a Fund that discovery mechanism of a liquid trading capitalization falls below $25,000,000 meets the distribution and publicly held market than is the case with operating and will advise the Fund of the delisting 20 shares requirements contained in companies, and therefore the Exchange standard. The Exchange has proposed Sections 102.01A and 102.01B of the believes that NAV is an appropriate to update this notification requirement, NYSE Listed Company Manual, additional or alternative measure of according to the Exchange, to reflect the respectively, if the Fund’s market value suitability for listing.12 The Exchange reduced market capitalization of publicly held shares is $60,000,000, explained that these revisions to the component of the delisting standard and regardless of whether the listing initial listing standards for Funds are thus provide that the Exchange will concerns an initial public offering or an based on the rules of NYSE MKT.13 notify a Fund if the total market value existing Fund.6 Notwithstanding the Under current continued listing of publicly held shares over a 60 requirement for market value of publicly standards, the Exchange will promptly held shares of $60,000,000, the initiate suspension and delisting 16 See proposed NYSE Listed Company Manual, Exchange will generally authorize the procedures with respect to a Fund if the Section 802.01B; Amendment No. 1, supra note 4, listing of all of the Funds in a group of average market capitalization of the at 7. Similarly, for purposes of the public Funds listed concurrently with a entity over 30 consecutive trading days stockholder requirement, as discussed below, ‘‘public stockholders’’ would exclude holders that common investment adviser or is below $15,000,000 or the Fund ceases are directors, officers, or their immediate families 14 investment advisers who are ‘‘affiliated to maintain its closed-end status. The and holders of other concentrated holdings of 10 persons,’’ as defined in Section 2(a)(3) Exchange has proposed to replace the percent or more. See proposed NYSE Listed of the Investment Company Act of 1940, existing average market capitalization Company Manual, Section 802.01B; Amendment as amended, if: (i) Total group market continued listing standard with a No. 1, supra note 4, at 7. The Exchange represented requirement that Funds not fall below that it relies primarily on the beneficial ownership value of publicly held shares equals in disclosure included in the issuers’ registration the aggregate at least $200,000,000; (ii) $5,000,000 in both total market value of statements and annual meeting proxy statements in the group market value of publicly held publicly held shares and net assets over calculating publicly held shares and public shares averages at least $45,000,000 per any 60 consecutive calendar day stockholders, but also refers to other Commission Fund; and (iii) no one Fund in the group period.15 Shares held by directors, filings where appropriate and its determinations are made in accordance with Rule 13d–3 under the Act. has a market value of publicly held The Exchange stated that this is its practice under 7 8 shares of less than $30,000,000. See proposed NYSE Listed Company Manual, all of its rules where these calculations must be Section 102.04A. Under the proposal, the Exchange made. The Exchange also stated that this is the 9 See id. practice of NYSE MKT and the Exchange believes would generally authorize the listing of 10 The Exchange explained that the NAV of a that its approach is generally consistent with that Fund is the value of all Fund assets less liabilities, of the NASDAQ Stock Market. See Amendment No. 3 See Securities Exchange Act Release No. 80867 divided by the number of shares outstanding. See 1, supra note 4, at 3. (June 6, 2017), 82 FR 26964 (‘‘Notice’’). Notice, supra note 3, at 26964. 17 See Notice, supra note 3, at 26964–65 (citing 4 Amendment No. 1 revised the proposal to insert 11 See id. The Commission notes that most closed- additional rule text to clarify the definition of end funds calculate NAV on a daily basis. NYSE MKT Company Guide, Section 1003(b)(v)). 18 public stockholders for purposes of determining 12 See id. See Notice, supra note 3, at 26965 n. 4. adherence to the continued listing requirements for 13 See id. (citing NYSE MKT Company Guide, 19 See id. According to the Exchange, no listed closed-end funds and to make conforming changes. Section 101(g)). Fund is currently below compliance with the Amendment No. 1 is available at: https:// 14 See NYSE Listed Company Manual, Section Exchange’s continued listing standards. See id. www.sec.gov/comments/sr-nyse-2017-08/ 802.01B. 20 See NYSE Listed Company Manual, Section nyse201708-1832561-154372.pdf. 15 See proposed NYSE Listed Company Manual, 802.01B. Funds are not eligible to utilize the follow- 5 See Notice, supra note 3, at 26964. Section 802.01B. The Exchange also has proposed up procedures in Sections 802.02 and 802.03 of the 6 See NYSE Listed Company Manual, Section to fix a typographical error in Section 802.01B of NYSE Listed Company Manual that can be used by 102.04A. the NYSE Listed Company Manual. See Notice, companies that are below the Exchange’s continued 7 See id. supra note 3, at 26965. listing criteria. See id.
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calendar day period falls below Act 27 also requires that the rules of an those that may be withheld from the $10,000,000.21 exchange not be designed to permit public in accordance with the Further, the Exchange would specify unfair discrimination between provisions of 5 U.S.C. 552, will be that the distribution standards for customers, issuers, brokers, or dealers. available for Web site viewing and common stocks of operating companies The Commission notes that the printing in the Commission’s Public set forth in Section 802.01A of the proposed initial and continued listing Reference Room, 100 F Street NE., NYSE Listed Company Manual do not standards are consistent with those Washington, DC 20549 on official 22 apply to Funds. The Exchange is listing standards currently utilized by business days between the hours of proposing new continued listing 28 NYSE MKT and that the Commission 10:00 a.m. and 3:00 p.m. Copies of such standards that apply only to Funds. received no comments on the filing also will be available for Under the proposal, the Exchange Exchange’s proposed rule change. The inspection and copying at the principal would normally give consideration to Commission believes that the office of the Exchange. All comments the prompt initiation of suspension and adjustment of the threshold for total received will be posted without change; delisting procedures with respect to the market value of publicly held shares common stock of a Fund if: (i) The below which the Exchange will notify a the Commission does not edit personal number of shares publicly held is less Fund of the delisting standard is identifying information from than 200,000; (ii) the total number of consistent with the adjustment to the submissions. You should submit only public stockholders is less than 300; 23 continued listing standards in this information that you wish to make or (iii) the total market value of shares proposed rule change. Based on the available publicly. All submissions publicly held is less than $1,000,000 for foregoing, the Commission believes that should refer to File Number SR–NYSE– more than 90 consecutive calendar the proposed rule change presents no 2017–08, and should be submitted on or days.24 novel regulatory issues and therefore before August 23, 2017. II. Discussion and Commission finds the proposed rule change to be V. Accelerated Approval of Proposed consistent with the Act. Findings Rule Change, as Modified by After careful review, the Commission IV. Solicitation of Comments on Amendment No. 1 finds that the proposed rule change, as Amendment No. 1 modified by Amendment No. 1, is The Commission finds good cause to Interested persons are invited to approve the proposed rule change, as consistent with the requirements of the submit written data, views, and modified by Amendment No. 1, prior to Act and the rules and regulations arguments concerning whether the thirtieth day after the date of thereunder applicable to a national Amendment No. 1 is consistent with the 25 securities exchange. In particular, the Act. Comments may be submitted by publication of the notice of Amendment Commission finds that the proposed any of the following methods: No. 1 in the Federal Register. The rule change is consistent with Section Commission believes that the proposed 6(b)(5) of the Act,26 which requires, Electronic Comments changes to the description of the among other things, that the rules of a • Use the Commission’s Internet Exchange’s method of calculating national securities exchange be comment form (http://www.sec.gov/ publicly held shares and public designed to prevent fraudulent and rules/sro.shtml); or stockholders add clarity to the process. manipulative acts and practices, to • Send an email to rule-comments@ Accordingly, for the reasons noted promote just and equitable principles of sec.gov. Please include File Number SR– above, the Commission finds good cause trade, to foster cooperation and NYSE–2017–08 on the subject line. for approving the proposed rule change, coordination with persons engaged in as modified by Amendment No. 1, on an regulating, clearing, settling, processing Paper Comments accelerated basis, pursuant to Section information with respect to, and • Send paper comments in triplicate 19(b)(2) of the Act.29 facilitating transactions in securities, to to Brent J. Fields, Secretary, Securities remove impediments to and perfect the and Exchange Commission, 100 F Street VI. Conclusion mechanism of a free and open market NE., Washington, DC 20549–1090. and a national market system and, in All submissions should refer to File It is therefore ordered, pursuant to 30 general, to protect investors and the Number SR–NYSE–2017–08. This file Section 19b(2) of the Act, that the public interest. Section 6(b)(5) of the number should be included on the proposed rule change (SR–NYSE–2017– subject line if email is used. To help the 08), as modified by Amendment No. 1 21 See proposed NYSE Listed Company Manual, Commission process and review your thereto, be, and hereby is, approved on Section 802.01B; see also Notice, supra note 3, at an accelerated basis. 26965. comments more efficiently, please use 22 See proposed NYSE Listed Company Manual, only one method. The Commission will For the Commission, by the Division of Section 802.01B. post all comments on the Commission’s Trading and Markets, pursuant to delegated 23 The current distribution standards require 400 Internet Web site (http://www.sec.gov/ authority.31 total stockholders, which calculation does not exclude public stockholders. See NYSE Listed rules/sro.shtml). Copies of the Eduardo A. Aleman, submission, all subsequent Company Manual, Section 802.01A. Assistant Secretary. 24 See proposed NYSE Listed Company Manual, amendments, all written statements Section 802.01B; Amendment No. 1, supra note 4, with respect to the proposed rule [FR Doc. 2017–16207 Filed 8–1–17; 8:45 am] at 7; supra note 16 and accompanying text. In BILLING CODE 8011–01–P Amendment No. 1, the Exchange amended the rule change that are filed with the language to make clear that the definitions of Commission, and all written publicly held shares and public stockholders, as communications relating to the described above, apply to these sections as proposed rule change between the appropriate. 25 In approving this proposed rule change, the Commission and any person, other than Commission has considered the proposed rule’s 29 impact on efficiency, competition, and capital 27 Id. 15 U.S.C. 78s(b)(2). formation. See 15 U.S.C. 78c(f). 28 See supra notes 13 and 17 and accompanying 30 15 U.S.C. 78s(b)(2). 26 15 U.S.C. 78f(b)(5). text. 31 17 CFR 200.30–3(a)(12).
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SECURITIES AND EXCHANGE Commission is publishing this notice to (A) Clearing Agency’s Statement of the COMMISSION solicit comments on the proposed rule Purpose of, and Statutory Basis for, the change from interested persons. Proposed Rule Change [Release No. 34–81249; File No. SR–DTC– 2017–010] I. Clearing Agency’s Statement of the 1. Purpose Terms of Substance of the Proposed Self-Regulatory Organizations; The The OA was first published by DTC Rule Change Depository Trust Company; Notice of in June 1987. It was then updated in June 1988, February 1992, December Filing and Immediate Effectiveness of The proposed rule change consists of 1994, January 1998, May, 2002, January a Proposed Rule Change To Modify the modifications to the DTC Operational 2009, December 2011 and most recently DTC Operational Arrangements Arrangements (Necessary for Securities Necessary for Securities To Become in 2016.7 The OA is designed to to Become and Remain Eligible for DTC maximize the number of issues of and Remain Eligible for DTC Services 5 Services) (‘‘OA’’) proposed in order to securities that may be made eligible for in Order To Clarify and Update clarify and update provisions relating to Provisions Relating to the Processing DTC services, providing for the orderly the processing of eligibility requests and of Eligibility Requests and Servicing of processing of such securities and timely servicing of securities on Deposit at Assets on Deposit at DTC payments to Participants. DTC’s DTC, as more fully described below.6 experience demonstrates that when July 28, 2017. II. Clearing Agency’s Statement of the Participants, Issuers, Underwriters, Pursuant to Section 19(b)(1) of the Purpose of, and Statutory Basis for, the Agents (as such terms are defined in the Securities Exchange Act of 1934 Rules 8 or in the OA 9), and their counsel Proposed Rule Change (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 are aware of DTC’s requirements, those notice is hereby given that on July 17, In its filing with the Commission, the requirements can be readily met in most 2017, The Depository Trust Company clearing agency included statements instances. The purpose of this rule (‘‘DTC’’) filed with the Securities and concerning the purpose of and basis for change is to revise the text of the OA in Exchange Commission (‘‘Commission’’) the proposed rule change and discussed order to update and clarify DTC’s the proposed rule change as described any comments it received on the processes in this regard. Additionally, in Items I, II and III below, which Items proposed rule change. The text of these some ministerial changes, changes to have been prepared by the clearing statements may be examined at the methods of notification, and clarifying agency. DTC filed the proposed rule language have been introduced, to places specified in Item IV below. The change pursuant to Section 19(b)(3)(A) 3 provide a more concise description of clearing agency has prepared of the Act and subparagraphs (f)(2) and OA procedures. In this regard, the (f)(4) of Rule 19b–4 4 thereunder. The summaries, set forth in sections A, B, proposed rule change would revise the proposed rule change was effective and C below, of the most significant text of the OA as set forth in the upon filing with the Commission. The aspects of such statements. respective sections as described below:
OA Section Revision
Important Legal Information ...... The proposed change would (i) update the most recent copyright date of the OA from 2016 to 2017 and (ii) make grammatical corrections and revise text for readability. Section I.A.2. (Securities Eligible for DTC’s The proposed rule change would (i) update a reference to a link for DTC securities eligibility Services). documentation (ii) revise the defined term for Money Market Instruments from ‘‘MMIs’’ to ‘‘MMI’’ for consistency with the Rules and the DTC Settlement Service Guide 10 and (iii) re- vise a cross-reference to a footnote regarding the DTC Custody Service to refer to the sec- tion number the footnote appears in, rather than just the page number the footnote appears on. Section I.A.4. (Standard Time Frames for Pro- The proposed rule change would revise text (i) for consistency with language in DTC’s Fee viding Underwriting Information to DTC). Schedule,11 to describe charges made to underwriters that fail to meet the requirements of this subsection as ‘‘surcharges’’ rather than ‘‘fines,’’ (ii) to move a reference to related stand- ard time frames to earlier in the section for reference purposes and (iii) remove a link to the Underwriting Service Guide in respect to a reference to DTC’s eligibility requirements, since the OA is the primary source for these requirements. Section I.A.6. (Signature) ...... Change word usage in a sentence relating to methods of transmission, recording or storage of signatures, by replacing ‘‘xeroxing’’ with ‘‘photocopying.’’
1 15 U.S.C. 78s(b)(1). 7 See Securities Exchange Act Release Nos. 24818 2016), 81 FR 6913 (February 9, 2016) (SR–DTC– 2 17 CFR 240.19b–4. (August 19, 1987), 52 FR 31833 (August 24, 1987) 2016–002); and 79122 (October 19, 2016), 81 FR 3 15 U.S.C. 78s(b)(3)(A). (SR–DTC–87–10); 25948 (July 27, 1988), 53 FR 73450 (October 25, 2016) (SR–DTC–2016–010). A 4 17 CFR 240.19b–4(f)(2) and (f)(4). 29294 (August 3, 1988) (SR–DTC–88–13); 30625 proposed change to amend the OA that was filed 5 Available at http://www.dtcc.com/∼/media/ (April 30, 1992), 57 FR 18534 (April 30, 1992) (SR– with the Commission on July 7, 2017, SR–DTC– Files/Downloads/legal/issue-eligibility/eligibility/ DTC–92–06); 35649 (April 26, 1995), 60 FR 21576 2017–011 (‘‘ATOP Rule Filing’’), is pending operational-arrangements.pdf. (May 2, 1995) (SR–DTC–94–19); 39894 (April 21, implementation. See Securities Exchange Act 6 Each term not otherwise defined herein has its 1998), 63 FR 23310 (April 28, 1998) (SR–DTC–97– Release No. 81096 (July 7, 2017), 82 FR 32406 (July respective meaning as set forth in the Rules, By- 23); 45994 (May 29, 2002), 68 FR 35037 (June 11, 13, 2017) (SR–DTC–2017–011). The ATOP Rule Laws and Organization Certificate of DTC (the 2003) (SR–DTC–2002–02); 59199 (January 6, 2009), Filing and its pending implementation date are ‘‘Rules’’), available at http://www.dtcc.com/legal/ 74 FR 1266 (January 12, 2009) (SR–DTC–2008–14); discussed more fully below. See infra note 31. rules-and-procedures.aspx and the OA, supra note 65901 (December 6, 2011), 76 FR 77281 (December 8 See supra note 6. 5. 12, 2011) (SR–DTC–2011–10); 77043 (February 3, 9 See supra note 5.
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OA Section Revision
Section I.B.1.b. (Required Riders to LOR) ...... The proposed rule change would (i) revise text for readability, (ii) update a reference to a link for DTC securities eligibility documentation that includes various DTC forms Letters of Rep- resentation (‘‘LOR’’) and riders to the LOR, (iii) delete references to Exhibit C and Exhibit D of the OA that contain forms of the Blanket Letter of Representations (‘‘BLOR’’) and Issuer Letter of Representations (‘‘ILOR’’), respectively, which exhibits would be removed from the OA, as discussed below, and (iv) replace the deleted references to Exhibits C and D with links to the BLOR and ILOR. The proposed rule change would also add text noting that sample offering document language is available in the form of BLOR and ILOR. Section I.B.1.d. (LOR Requirements for Certifi- The proposed rule change would remove a provision stating that DTC may be require an cated Securities). Agent to sign a ‘‘Tender LOR’’ for certificated issues with put features. The Tender LOR is used by DTC to obtain the Agent’s agreement for DTC to use its procedures applicable to the processing of tenders for Securities with put features. However, DTC already maintains authority to use its procedures in this regard pursuant to the OA as set forth in Section V.B.2. (Put Features with Special Processing Requirements). Therefore, it is unnecessary for DTC to separately obtain a signed Tender LOR from Agents in this regard. Section I.B.4.a. (Ownership Thresholds) ...... The proposed rule change would (i) revise the text to update links to documentation ref- erenced by this section and (ii) revise the defined term for Segregation Account 100 service from ‘‘SEG 100’’ to ‘‘Seg 100’’ for consistency with other references to this service in the OA. Section I.B.4.b. (Revisions to Eligible Securities) The proposed rule change would update a cross-reference relating to information on altering the terms of an offer from referencing Section VI(A)(2)(d) to instead reference Section VI(C)(5)(c). Section I.B.5. (Instruction Letters Regarding the The proposed rule change would (i) correct the text of this section to add ‘‘the Securities’’ after Expiration of a Restrictive Period). ‘‘Issuer of’’ and (ii) add links to existing forms and requirements for Issuers and Agents to request the processing of exchanges relating to CUSIPs for securities that were originally restricted pursuant to Rule 144A and/or Regulation S and which have become unrestricted. Section I.C.1. (Retail Certificates of Deposit) ..... The proposed rule change would make a grammatical change to the text of this section to im- prove readability. Section I.C.2. (Unit Securities) ...... The proposed rule change would add clarifying language in this section relating to additional eligibility requirements for unit securities 12 for improved readability, including with respect to (i) CUSIP requirements for immediately separable Units versus Units separable after their initial closing date 13 and (ii) requirements as stated in this section relating to Units for which are separable into their components on a voluntary basis versus on a mandatory basis. Section I.C.3. (New Issue Eligibility Require- The proposed rule change would revise this section to update the link to a list of NIIDS Data ments for Municipal Securities). Elements and related procedures. Section I.C.5. (Non-U.S. Currency Denominated The proposed rule change would revise this section to update a cross-reference to Section Securities). IV.B.3. by changing the referenced title of that section from ‘‘Securities without an Option for U.S. Dollar Payment’’ to ‘‘Securities Denominated in a Non-U.S. Currency without an Option for U.S. Dollar Payment.’’ Section I.D. (Compliance with Regulations) ...... The proposed rule change would make a technical correction to remove unnecessary num- bering within the section. Section I.E. (DTC Fee Schedule) ...... The proposed rule change would add this subsection to include the link to the DTC Fee Schedule 14 for transparency with respect to current exception processing fees, late fees and surcharges referred to in the OA. Section II.A.1 (CUSIP Number Assignment) ...... The proposed rule change would make changes to the text of this section for clarity and im- proved readability with respect to an example provided within. Section II.B.1. (Possession and Inspection) ...... The proposed rule change would (i) add text to this section 15 to insert a cross-reference to a related process concerning confirmation of FAST balances by an Agent and (ii) update the address for delivery of security certificates to the DTC Securities Processing Department. Section II.B.2.a. (FAST) ...... The proposed rule change would add a link as a reference for additional information for Agents interested in becoming FAST Agents. Section II.B.2.c. (DWAC) ...... The proposed rule change would add text to this section to clarify that DTC may require a FAST Agent to use the DWAC process for the separation of a Unit into its components. Section II.B.3. (Transfer Turnaround Times) ...... The proposed rule change delete text in regard to monitoring by DTC of transfer turnaround times for Agents and preventing eligibility of an Agent that fails to comply. It is not practical for DTC to monitor transfer turnaround times since transfer turnaround times are established outside of DTC pursuant to Rule 17Ad–2 under the Act 16 and, pursuant to that rule, Agent reporting on compliance is required to be made to the SEC and the Agent’s ‘‘appropriate regulatory agency,’’ if applicable.17 Section II.B.4.b. (Transfer Agent Required No- The proposed rule change would revise the text of this section (i) to state that Agents should tices). notify DTC by the effective date of the Agent’s assuming or terminating services as Agent for an Issuer, or the Agent’s change of name or address, by the effective date of the change, rather than at least 10 calendar days in advance, because receipt of such notice on the effective date is sufficient for DTC to timely update its records to reflect the applicable change and (ii) to update references to the form Agents use to notify DTC of such changes, including updating the applicable link to the form and inserting the DTC e-mail address that a completed form should be delivered to. Subsections within Section II.B.4.b. numbered and titled, respectively, ‘‘(1) Termination of Transfer Agent Services,’’ ‘‘(2) Assumption of Trans- fer Agent Services’’ and ‘‘(3) Transfer Agent’s Change of Name or Address,’’ would become separate sections and would renumbered to an alphabetical format sequentially numbered with the other Sections of II.B.4.b. The section that would be renumbered Section II.B.4.c., (‘‘Termination of Transfer Agent Services’’), as mentioned above, would be revised for read- ability and clarity.
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OA Section Revision
Section II.B.4.c. (Business Contingency) ...... The proposed rule change would delete this subsection which relates to connectivity testing by transfer agents and paying agents that are Participants, because this subsection is duplica- tive of the Rules and unnecessary for inclusion in the OA.18 Section II.B.5. (Trustee Required Notices) ...... The proposed rule change would clarify and update text from original Section VI.B.4 (Trustee Requirements) and reposition the text to new Section II.B.5. (Trustee Required Notices). Section III.A. (Record Date Requirements) ...... The proposed rule change would (i) revise the text of this section to clarify text relating to the option for Securities to pay distributions in one or more currencies and (ii) delete outmoded language regarding establishment of record dates by securities exchanges, since the estab- lishment of the record date by the Issuer is not dependent on the date of an ex-date estab- lished by a securities exchange. Section III.B. (Notices) ...... The proposed rule change would clarify this section to state that where an Issuer or Agent provides information or notice to DTC for distribution to Participants, the notice should in- clude the terms of the event in addition to other relevant information as stated therein, in- cluding CUSIP numbers, payment information and any relevant instructions. The proposed rule change would also change a cross reference from Exhibit E to Exhibit C to reflect the deletion of certain exhibits, as described herein. Section III.C. (Payment Instructions) ...... The proposed rule change would modify the text of this section to clarify that the prohibition against Agents deducting fees from distribution payments to DTC includes a prohibition against invoicing DTC for such fees. Section III.C.1. (Income Payment Standards) .... The proposed rule change would delete a paragraph from this section in regard to instructing Issuers to fund their Agents by 1 p.m. on a payable date since DTC has no visibility on the transfer of funds between Issuers and Agents and is therefore unable to enforce such a re- quirement. Section III.C.2. (Redemption and Maturity Pay- The proposed rule change would (i) delete a paragraph from this section in regard to instruct- ment Standards). ing Issuers to fund their Agents for redemption and maturity payments by 1 p.m. on a pay- able date since DTC has no visibility on the transfer of funds between Issuers and Agents and is therefore unable to enforce such a requirement, (ii) update a link referring to informa- tion about DTC principal and income processing, and (iii) delete a reference to a defunct email address for informational inquiries and replace it with contact information for DTC’s cli- ent support team. Section III.C.3. (Reorganization Payment Stand- The proposed rule change would add e-mail addresses for DTC’s reorganization department ards). and a phone number to the DTCC customer service hotline to promote accessibility to DTC staff for questions regarding wire instructions and payment arrangements. The text of this section would also be revised to change ‘‘pm’’ to ‘‘p.m.’’ in connection with timeframe ref- erences appearing in two places. Section III.D. (Additional Payment Arrange- The proposed rule change would revise the text of this section (i) to clarify language for im- ments/Policies/Procedures). proved readability and scope and (ii) update references to DTC contact information. Section III.D.1. (Redemption Payments with The proposed rule change would revise this section to correct capitalization of a defined term. Presentation (‘‘PWP’’)). Section III.D.2. (Compensation Claims Policy The proposed rule change would add text for clarity and simplification to state DTC’s policy and Related Procedures). with respect to DTC’s ability to claim Paying Agents and Issuers that fail to pay DTC for a payment event on the scheduled payment date, rather than referring to a separate proce- dure in this regard. In addition, text regarding Agents ability to submit a claim to DTC for er- roneous payments made to DTC would be deleted from this section as it is duplicative of in- formation provided in Section III.D.3. of the OA—‘‘Requests for Return of Funds.’’ 19 In addi- tion, Section III.D.2. would be renamed from ‘‘Compensation Claims Policy and Related Pro- cedures’’ to ‘‘Compensation Claims Policy.’’ Section III.D.3. (Requests for Return of Funds) The proposed rule change would delete references to the ‘‘Return of Funds Procedure’’ and contact information to obtain a copy of such procedure. The procedure is no longer sepa- rately provided because it was duplicative of this Section III.D.3. The proposed rule change would clarify the text of this section in subsection a. with respect to DTC’s practice for the return of funds to Agents with regard to payments for which the Issuer has not paid the Agent and where the Agent has made erroneous payments to DTC. In addition, subsection a., currently titled ‘‘Issuer Default/Bankruptcy Considerations’’ would be changed to ‘‘Issuer Default/Bankruptcy Considerations/Agent Not Funded by Issuer’’ in order to clarify the scope of the subsection. The proposed rule change would revise subsection b. (Processing Errors) to add contact infor- mation for an Agent or Issuer to notify DTC in the event an Agent or Issuer makes an erro- neous payment to DTC, and clarify DTC’s existing practice of returning funds only to the bank account from which the erroneous payment was received. The purpose of this provi- sion would be to ensure that funds are sent back only to the party that sent them to DTC and reduce the possibility of error or fraud in the transmission of the return of funds. The proposed rule change would also revise the text of this subsection for a grammatical change and readability.
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Section IV.A. (Dividend and Income Notification The proposed rule change would (i) revise the title and text of this section, which relates to Procedures). payment notice information required from Agents, to (a) add the word ‘‘Payment’’ to the title so that the section would be named ‘‘Dividend and Income Payment Notification Proce- dures,’’ (b) remove a requirement that information provided to DTC under this section must include any income related to a corporate action, because DTC is able to determine this in- formation from dividend and interest rate information that is required to be provided by an Issuer or Agent pursuant to this section and (c) clarify that payment notices for exchange traded funds (‘‘ETFs’’) are generally not required, unless specifically requested by DTC, be- cause this information is sourced from securities exchanges on which the applicable ETF is listed, (ii) remove the requirement for parties that send an e-mail to DTC’s Announcements Department to telephone DTC if an e-mail receipt is not received by them from DTC within an hour to confirm such notice was received and (iii) change the physical delivery address used for transmission of notices to DTC in the event electronic transmission is not available. Section IV.A.1. (Structured Securities) ...... The proposed rule change would clarify that ‘‘record date’’ and ‘‘payable date’’ are required in- formation that must be provided to DTC in connection with minimal notification of structured security rate information. In addition, the proposed rule change would remove the text ‘‘pref- erably two business days’’ from the description of the required timeframe to for minimum no- tification. Section IV.A.1.a. (Non-Conforming Structured The proposed rule change would revise the text of this section to provide a link to a copy of Securities). the Non-Conforming Structured Securities Attestation Letter. Section IV.A.1.c. (Remittance Reporting to DTC The proposed rule change would delete this section as it is outdated and no longer applicable. for Structured Securities). Section IV.A.2. (American/Global Depositary The proposed rule change would revise this section to update an email address provided to Receipts (‘‘ADR/GDR’’)). contact the DTC Announcements Department. The text of this section would also be revised to clarify that a notice of payment information for an American or Global Depository Receipt must include the record date in addition to other information as provided in the text of this section. The text of this section would also be revised to remove a reference to a preferred timeframe for submission of a notice of payment information. The text would also be revised to move the placement of ‘‘payable date,’’ which appears in a list of notice requirements, from below to above ‘‘payment amount per share.’’ Section IV.A.3. (Unit Investment Trust (‘‘UIT’’) This section describes notice requirements for record date and other information that must be Securities). provided to DTC for distributions and payments on UITs. The proposed rule change would delete this section because it is no longer accurate. Securities Exchanges rather than Agents provide the information required by this Section to DTC. Section IV.B. (Currency Payment Provisions) .... The proposed rule change would update headings of subsections within this section to clarify their scope in relation Securities in Non-U.S. denominated currencies. Section IV.C.1. (Dividend or Interest Rate The proposed rule change would revise this section to provide updated delivery information for Change). notices by Issuers and Agents to DTC with respect to changes in dividend or interest rates, and replace a reference to ‘‘Publication Date’’ with ‘‘payment date’’ to reflect currently used terminology. Section IV.C.2. (Reduction of Payment on This section describes the process by which an Agent may inform DTC that payment to a Par- Treasury or Repurchased Securities (for ticipant of cash dividend and interest payments for a particular distribution on Securities the Cash Dividend or Interest Payment)). Participant is holding should be adjusted. The proposed rule change would revise this sec- tion to reflect an existing requirement for the Agent to provide a confirmation letter signed by the Participant that holds the subject shares whereby the Participant authorizes the adjust- ment in payment and includes an indemnification statement indemnifying DTC with respect to processing the adjustment.20 The proposed rule change would also amend the text to update (i) this section with respect to information the Agent must provide to DTC with regard to the adjustment which DTC needs to process the adjustment promptly and accurately and (ii) contact information for the deliv- ery of such information by the Agent to DTC. In addition, the proposed rule change would remove a provision from this section that states that instructions submitted to DTC in accordance with this section that are submitted outside of required timeframes will subject the responsible Participant to a disincentive fee. The dis- incentive fee is not necessary because it is in the best interest for the applicable responsible parties to submit these instructions timely to allow same-day distribution of applicable prin- cipal and income payments to Participants and beneficial owners, and the disincentive fee is not necessary for this purpose. Section IV.D. (Additional Dividend Policies) ...... The proposed rule change would update the title of this section to reflect that the requirements constitute procedures of DTC. Therefore, the section would be retitled ‘‘Additional Dividend Procedures.’’ Section IV.D.1.a. (Voluntary Dividend Reinvest- The proposed rule change would revise this section to re-order an existing list of Agent re- ment and Securities with an Automatic Divi- quirements and add clarifying terms regarding (i) the timing of the Agent’s acceptance of dend Reinvestment (with an option to elect a dividend reinvestment-related instructions from DTC, (ii) the agreement of the Agent that cash dividend)). shares reinvested through DTC’s Dividend Reinvestment Program (‘‘DRP’’) shall of the same Security as the issue paying the dividend, and (iii) a requirement, consistent with DTC’s eligibility requirements, that reinvestment shares must carry transfer or ownership re- strictions. The proposed rule change would also make changes to the text (i) for enhanced readability on the purpose and function of the DRP and (ii) update email and mailing ad- dress information for the delivery of instructions and security certificates to DTC.
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OA Section Revision
Section IV.D.1.b. (Automatic Dividend Reinvest- The proposed rule change would delete text stating that DTC may not make an issue from an ment). Agent eligible if the Agent has a record of not complying with the provisions of this section as this is not a criterion for determining eligibility of an issue for a reinvestment program. DTC reviews issues for eligibility for inclusion in a reinvestment program by applying the cri- teria set forth in the OA on an issue-by-issue basis. Section IV.D.2. (Stock Distributions to Holders The proposed rule change would revise the text of this section to (i) rename the subsection of Record). from ‘‘Stock Distributions to Holders of Record’’ to become ‘‘Stock/Pay-in-Kind (‘‘PIK’’) Dis- tributions to Holders of Record’’ and (ii) reflect the required information flow of notices for stock distributions to record date holders. The proposed text would also include a statement on the processing of bond-related ‘‘Paid-in-kind distributions’’ and variations. Section IV.D.2.a. (Fractional Entitlements in The proposed rule change would (i) revise the text of this section to reflect that DTC no longer Cash or Additional Roundup Shares). supports distribution of fractional shares; per SEC filing No. SR–DTC–2015–007,21 (ii) revise language stating the timing by which an Issuer or Agent must provide DTC with the informa- tion DTC needs to collect Participant instructions (regarding liquidation or issuance of shares to satisfy Participant cash-in-lieu (‘‘CIL’’)/roundup entitlements) 22 and (iii) update an address for the delivery of physical securities to DTC. Section IV.D.2.b. (Restriction Distribution The proposed rule change would clarify text relating to a requirement to send a notice to DTC Shares Issued). and the information on such notice. Section IV.D.3. (Reduction of Payment on The proposed rule change would revise this section to clarify Participant authorization require- Treasury or Repurchased Securities (for ments with regard to reductions of payment on treasury or repurchased shares for stock div- Stock Dividend Payments)). idend payments, to add that the confirmation letter required pursuant to this section must contain an officer-level authorization for the applicable reduction.23 In addition, the proposed rule change would remove a provision from this section that states that instructions submitted to DTC outside of required timeframes will subject the respon- sible Participants to a disincentive fee. The disincentive fee is not necessary because it is in the best interest for the applicable responsible parties to submit these instructions timely to allow same-day distribution of stock to Participants and beneficial owners, and the disincen- tive fee is not necessary for this purpose. Section V.A. (Redemptions, Advance The proposed rule change would (i) delete a need to call DTC to confirm hardcopy/email no- Refundings and Calls Inclusive of Sinking tice receipt, (ii) clarify the need for the Agent to contact DTC the first time they use the Funds and Mandatory Redemptions). spreadsheet submission process and (iii) conform the usage of the defined term ‘‘PWP’’ (i.e., Payment Without Presentation) with its initial definition in Section III.D.1. Section V.A.2. Partial Redemptions for Auction The proposed rule change would revise this section to (i) delete references to discretionary Rate Securities (‘‘ARS’’) and Requests for processing fees, relating to the release of lottery results, that are not charged, (ii) update ARS Lottery Results. contact information with respect to information on ARS processing and (iii) make grammat- ical changes to text for improved readability. Section V.B.1. (Standards for Put Notifications) This section relates to instructions from Issuers and Agents and information for the processing of optional puts and mandatory tenders.24 The proposed rule change would revise this sec- tion and clarify text for purposes of completeness with regard to processing timeframes and information DTC requires to timely process optional puts and mandatory tenders. The pro- posed rule change would also revise the text to update DTC contact information. Section V.B.2.b. (Collateralized Mortgage Obli- The proposed rule change would revise the text of this section to clarify the scope and indi- gations (‘‘CMOs’’) and Asset-Backed Securi- cate that mortgage backed securities, in addition to CMOs and ABSs are covered by this ties (‘‘ABSs’’)). section. The text of this section would also be revised to update DTC contact information, Web site references and revise wording for improved readability. Section V.B.2.c. (Put ‘‘Extendible’’ Issues) 25 ..... The proposed rule change would clarify the text of this section to reflect the process as it has been established in practice in conjunction with Agents on this type of put. The proposed rule change would also revise the text of this section for enhanced readability and to update DTC contact and mailing information. Section V.B.2.d. (Put Bonds (Repayment Op- The proposed rule change would revise the text to (i) clarify that late notification may result in tions)). late notification fees in accordance with the DTC Fee Schedule and (ii) update DTC contact and mailing information. Section V.B.2.e. (Survivor Options) 26 ...... The proposed rule change would revise the text of this section to add the Web site location of the DTC Reorganizations Service Guide for further information on processing. The proposed rule change would also clarify that DTC does not monitor presentment of supporting docu- mentation to an Agent for processing of survivor options. Section VI.A. (Standards for Voluntary and The proposed rule change would update the text of this section to clarify the notice and timing Mandatory Reorganizations). requirements for Issuers and Agents to allow DTC to timely process voluntary and manda- tory corporate actions and update the title of the section to reflect that it pertains to notices. The proposed rule change would also add a cross reference to the DTC Fee Schedule for applicable fees. Section VI.B.1. (Reduction of Payment on The proposed rule change would shorten the amount of time in advance that Agents must pro- Treasury or Repurchased Securities). vide to DTC (i) information as required by this section 27 and (ii) confirmation letters 28 to DTC, prior to the processing of adjustments to Participant accounts reflecting a reduced payment/distribution amount, in accordance with this section, from five business days to no later than three business days prior to the payment/distribution date of the entitlement. The change would more accurately reflect the amount of time required by DTC to receive the necessary information and confirmation letters in order to timely process such adjustments. The proposed rule change would revise the list of information DTC requires in connection with processing such adjustments in order to specify the information that DTC needs in order to promptly and accurately process an adjustment.29 The proposed rule change would also revise DTC’s contact information to reflect that the information should no longer be send to DTC via fax, but only via email.30
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OA Section Revision
Section VI.B.2. (Mandatory Separation of a Unit The proposed rule change would move the text of former Section VI.A.2.i. to this newly num- After the Closing Date). bered section. Section VI.C. (Processing for Specific Voluntary The proposed rule change would change the numbering of former Section VI.A.2 to VI.C.31 Reorganizations). and rename it from ‘‘Processing for Specific Voluntary Reorganization Features’’ to ‘‘Proc- essing for Specific Voluntary Reorganizations.’’ The proposed rule change would divide the content of the newly numbered section into 5 subsections reflecting, and separating for en- hanced readability, the existing content of former Section VI.A.2.: 1. Unit Investment Trust. 2. Mortgage-Backed Securities with Monthly Early Redemption Features. 3. Rights Offers (Use of DTC’s Automated Subscription Offer Program (‘‘ASOP’’). 4. Standards for Convertible Issues/Warrants/Rights; and 5. Voluntary Tenders/Exchanges/Mergers with Elections (Use of DTC’s Automated Tender Offer Program (‘‘ATOP’’). Each of these subsections would be revised to clarify the text for enhanced readability and to provide enhanced detail on relevant notice and information requirements. The proposed rule change would also update DTC contact information and mailing addresses. Former sub- section h (under form Section VI.A.2.) would be deleted and relevant text moved above in the new Section VI.C. to consolidate text regarding unit investment trusts within the section. The proposed rule change would also add text relating to processing of payment of cash for convertible securities setting forth existing requirements for processing such payments. Section VI.D. (Chargeback of Reorganization The proposed rule change would renumber subsection VI.A.2.j. to become its own subsection Payments). VI.D. Section VI.E. (Proxy Related Procedures) ...... The proposed rule change would renumber former subsection VI.B. to become subsection VI.E. The content of this subsection would be revised to update DTC contact information and addresses and provide enhanced detail on consent and legal notices to be submitted by Issuers, Agents, trustees or other third parties to DTC. Accurate delivery of such notices to DTC facilitates the ability of DTC to process proxy-related requests and to make applicable notice information available to the industry. Section VII.A. (Partial Redemption Exclusions) The proposed rule change would change the name of the ‘‘Call Notification Department’’ to ‘‘Redemption Notification Department’’ to reflect the updated name of the department. Section VII.B. (VRDO Interest Payment Infor- The proposed rule change would (i) delete the text regarding use of vendor/service bureaus mation). that are obsolete and (ii) simplify notice requirements and related details and conform such requirements to existing practice. Section VII.C. (Optional Tender Provisions) ...... The proposed rule change would update the link to information regarding DTC deliver orders and update DTC’s contact information. Section VII.D. (Mandatory Tender Provisions) ... The proposed rule change would change the name of the ‘‘Announcements Department’’ to re- flect the updated name of the department and update DTC’s contact information. Section VII.E. (Use of Credit Facilities) ...... The proposed rule change would update the text of this section to update DTC’s mailing ad- dress. Section VII.F. (Mandatory Tender Retention/Ex- The proposed rule change would update the text of this section to add an email address for clusion Provisions). DTC’s Reorganization Department to submit requests relating to DTC’s mandatory exclusion procedures. Section VIII. (Additional Operational Require- The proposed rule change would delete Section VIII. as it is obsolete and the remaining provi- ments for Cross-Currency and Other War- sions of the OA shall apply to the securities covered by this Section. rants). Exhibit B. (Underwriting Standard Time Frames) This exhibit contains the timeframes, referred to in Section I.A.4. of the OA, for information and/or materials needed by DTC to process an underwriting transaction and notify Partici- pants in a timely fashion. The proposed rule change would update Exhibit B to: (i) Revise text to indicate that that mate- rials and information for underwriting transactions are submitted to DTC via UW SOURCE, consistent with current practice as set forth in Section I.A.1., (ii) consolidate, for consistency, time frames for the submission of offering documentation and certain information submitted via UW SOURCE,32 (iii) reduce the number of days in advance of a closing date for an un- derwriting transaction that a BLOR or ILOR, as applicable, of a U.S. Issuer must be sub- mitted,33 (iv) clarify that an Underwriter’s failure to timely submit final offering documents would result in a surcharge in accordance with the Fee Schedule and (v) conform and clarify text within the exhibit for consistency and enhanced readability. Exhibit C (BLOR) ...... The proposed rule change would remove this exhibit from the OA and move the document to the DTCC Web site. The link would be provided under Section I.B.1.b. of the OA. Exhibit D (ILOR) ...... The proposed rule change would remove this exhibit from the OA and move the document to the DTCC Web site. The link would be provided under Section I.B.1.b. of the OA. Exhibit E (Payments Time Frame chart) ...... The proposed rule change would remove Exhibit E which contains a chart outlining payment and notification timeframes. The timeframes in the chart are outdated and redundant of in- formation provided in the body of the OA. Exhibit F (Non-Conforming Structured Securities The proposed rule change would remove this exhibit from the OA and move the document to Attestation letter). the DTCC Web site. The link to this document would be provided under Section IV.A.1.a. of the OA.34 Throughout OA ...... The proposed rule change would revise phone numbers, e-mail addresses, Web site locations of documents, mailing addresses throughout the OA generally to the extent not mentioned above. The proposed rule change would also generally revise text to, update and clarify processing timeframes, improve readability, correct grammar and update cross-references to the extent not already mentioned above. The proposed rule change would conform usage of the defined term ‘‘Closing Date,’’ as defined in Section I.A.5., throughout the OA.
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Effective Date of Proposed Rule Change 2. Statutory Basis would allow each of these parties The proposed rule change would be Section 17A(b)(3)(F) of the Act 35 greater transparency on processing of effective immediately. requires that the rules of the clearing transactions in their Securities and, agency be designed, inter alia, to therefore, would promote the prompt 10 Available at http://www.dtcc.com/∼/media/ promote the prompt and accurate and accurate clearance and settlement of Files/Downloads/legal/service-guides/ clearance and settlement of securities securities transactions. Settlement.pdf. transactions. DTC believes that the The proposed rule changes are also 11 Available at http://www.dtcc.com/∼/media/ proposed rule change is consistent with designed to be consistent with Rule Files/Downloads/legal/fee-guides/dtcfeeguide.pdf. 17Ad–22(e)(23) of the Act,36 which was 12 Unit securities or ‘‘Units’’ are securities this provision because it would update 37 comprised of two or more separate components. A the OA to clarify text, provide recently adopted by the Commission. Unit may be comprised of debt Securities, equity additional detail on existing processes, Rule 17Ad–22(e)(23) requires DTC, inter Securities and/or warrants. Units may separate into alia, to establish, implement, maintain their component parts on or after the closing date update DTC’s contact information and of their issuance. See Section I.C.2. of the OA, supra therefore provide Participants, Issuers and enforce written policies and note 5. and Agents with transparency with procedures reasonably designed to (i) 13 For immediately separable Units, DTC requires respect to DTC’s eligibility and asset publicly disclose all relevant rules and CUSIPs only for each the components of the Unit, servicing processes. By providing such material procedures, including key but not for the Unit itself. For Units that are not aspects of its default rules and immediately separable, DTC requires a CUSIP for transparency, the proposed rule change the Unit itself and each of the individual procedures, and (ii) provide sufficient components of the Unit. See Section I.C.2. of the 28 The confirmation letter acts as the Participant’s information to enable participants to OA, supra note 5. instruction to DTC pursuant to Rule 6 (Services) in identify and evaluate the risks, fees, and 14 See supra note 11. with respect to the processing of the adjustments other material costs they incur by 15 This section describes conditions that must be processed pursuant to this section of the OA. See met for DTC to support distribution of securities Rule 6, supra note 6. participating in the covered clearing issued on a closing date. See Section II.B.1 of the 29 Pursuant to this section, information currently agency. The proposed rule changes, as OA, supra note 5. required includes (i) Security description and described above, would update DTC’s 16 17 CFR 240.17Ad–2. CUSIP number(s), (ii) total number of treasury or OA with respect to rules, material 17 See 17 CFR 240.17Ad–2. repurchased shares, and (iii) Participant(s) account procedures and certain fee provisions 18 See Rule 2, supra note 6 at 22. name(s) and number(s) holding such share positions. For the reason discussed above, the relating to DTC’s securities eligibility 19 See OA, supra note 5. proposed rule change would delete (ii) above and 20 The confirmation letter acts as the Participant’s and asset servicing processes. As such, add to the list of required information (a) total DTC believes that the proposed changes instruction to DTC pursuant to Rule 6 (Services) in number of shares/principal value and (b) number of this regard. See Rule 6, supra note 6. Pursuant to shares/principal value per Participant. The would promote disclosure of relevant Rule 6 the Participant providing an instruction to proposed rule change would also modify (iii) above rules and material procedures and DTC indemnifies DTC against any loss, liability or to add ‘‘/principal’’ without a space after ‘‘share.’’ expense as a result of (a) any act done in reliance provide sufficient information to enable 30 The purpose of this change is to enhance upon the authenticity of the instruction, (b) the participants and other users of DTC’s efficiency and security of the processing of inaccuracy of the information contained therein or information in this regard by having it transmitted services to evaluate fees and other (c) effecting transactions in reliance upon such only to a secure DTC email account rather than by material costs of utilizing DTC’s information or instruction, so long as the fax which requires additional physical processing transaction is effected in accordance with such services, in accordance with the to retrieve and maintain a record of the information. information and instructions. Id. requirements of Rule 17Ad–22(e)(23), The proposed rule change would also eliminate the 21 Securities Exchange Act Release No. 75487 requirement for a sender to confirm DTC’s receipt promulgated under the Act, cited above. (July 20, 2015), 80 FR 44178 (July 24, 2015) (SR– of the information. DTC–2015–007). (B) Clearing Agency’s Statement on 31 On July 7, 2017, DTC submitted the ATOP Rule 22 The revised language would require such Filing to the Commission pursuant to subparagraph Burden on Competition information be provided to DTC at least five (f)(6) of Rule 19b–4 under the Act, 17 CFR 240.19b– DTC does not believe that the business days prior to the processing of a stock 4(f)(6), to amend former Section VI.A.2. in the distribution with a fractional entitlement, rather subsection titled ‘‘Consents’’ thereunder, in order to proposed rule change would have any than ‘‘approximately one to two weeks,’’ as require Agents to use DTC’s Automated Tender impact on competition because the currently stated, because (a) the timeframe as Offer Program to process consent solicitations for proposed changes merely relate to currently stated may create uncertainty for book-entry securities. See Securities Exchange Act responsible parties as to their obligations under this Release No. 81096 (July 7, 2017), 82 FR 32406 (July updates and clarifications of the OA provision and (b) in DTC’s experience, five business 13, 2017) (SR–DTC–2017–011). By its terms, the which would not significantly affect the days is sufficient time to allow for timely ATOP Rule Filing would be implemented 30 days rights and obligations of users of DTC’s processing in this regard. after the date of its filing date, or such shorter time services, and would not 23 Pursuant to Rule 6, DTC acts for a Participant, as the Commission may designate (‘‘ATOP Rule subject to the Rules, on duly authorized Filing Implementation Date’’). See Id. Pursuant to disproportionally impact any users. instructions from the Participant. See Rule 6, supra the proposed rule change, as of the ATOP Rule (C) Clearing Agency’s Statement on note 6. Filing Implementation Date, the changes proposed 24 An optional put is a provision under which the under the ATOP Rule Filing would be incorporated Comments on the Proposed Rule holder of securities may elect to have the securities into the corresponding subsection titled ‘‘Consents’’ Change Received From Members, repaid at the stated put price after giving notice to under the renumbered Section VI.C. described Participants, or Others the tender agent within the required notification herein. period. Persons not giving notice retain the 32 The number of days in advance of the closing DTC has not solicited and does not securities. A mandatory tender is a provision under date of an underwriting transaction that DTC must intend to solicit comments regarding the which all holders of the securities are ‘‘cashed out’’ receive applicable offering documentation, as well proposed rule change. DTC has not at the stated put price on the payable date. Holders as certain identifying information with respect to may have the right to retain their securities. underwriters and securities relating to the received any unsolicited written 25 An extendible put is relates to a Security transaction would be reduced to more accurately comments from interested parties. To subject to a ‘‘put’’ provision that may be exchanged reflect the amount of lead time necessary for DTC for a new security, in accordance with the terms to timely process an underwriting transaction. 36 17 CFR 240.17Ad–22(e)(23). and conditions of such put, with a new maturity 33 The related timeframe for non-U.S. Issuers to 37 The Commission adopted amendments to Rule date. submit a BLOR or ILOR, as applicable, prior to a 17ad–22, including the addition of new subsection 26 Survivor options relate to certain securities, closing date of a transaction would not change due 17ad–22(e), on September 28, 2016. See Securities which by their terms, may contain early redemption to the amount of time necessary to complete Exchange Act Release No. 78961 (September 28, provisions in certain eventualities, such as the existing physical processing requirements for 2016), 81 FR 70786 (October 13, 2016) (S7–03–14). death of a beneficial owner. BLORS and ILORS of non-U.S. Issuers. DTC is a ‘‘covered clearing agency’’ as defined by 27 The list of information would also be revised, 34 See Section IV.A.1.a. of the OA, supra note 5. new Rule 17ad–22(a)(5) and must comply with as discussed below. 35 15 U.S.C. 78q–1(b)(3)(F). subsection (e) of Rule 17Ad–22. Id.
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the extent DTC receives written printing in the Commission’s Public risk disclosure document. The amended comments on the proposed rule change, Reference Room, 100 F Street NE., rule also requires broker-dealers to DTC will forward such comments to the Washington, DC 20549 on official maintain a copy of the customer’s Commission. business days between the hours of written acknowledgement for at least 10:00 a.m. and 3:00 p.m. Copies of the three years following the date on which III. Date of Effectiveness of the filing also will be available for the risk disclosure document was Proposed Rule Change and Timing for inspection and copying at the principal provided to the customer, the first two Commission Action office of DTC and on DTCC’s Web site years in an accessible place. Rule 15g– The foregoing rule change has become (http://dtcc.com/legal/sec-rule- 2 also requires a broker-dealer, upon effective pursuant to Section filings.aspx). All comments received request of a customer, to furnish the 19(b)(3)(A) 38 of the Act and paragraph will be posted without change; the customer with a copy of certain (f) of Rule 19b–4 39 thereunder. At any Commission does not edit personal information set forth on the time within 60 days of the filing of the identifying information from Commission’s Web site. proposed rule change, the Commission submissions. You should submit only The risk disclosure documents are for summarily may temporarily suspend information that you wish to make the benefit of the customers, to assure such rule change if it appears to the available publicly. All submissions that they are aware of the risks of Commission that such action is should refer to File Number SR–DTC– trading in ‘‘penny stocks’’ before they necessary or appropriate in the public 2017–010 and should be submitted on enter into a transaction. The risk interest, for the protection of investors, or before August 23, 2017. disclosure documents are maintained by the broker-dealers and may be reviewed or otherwise in furtherance of the For the Commission, by the Division of purposes of the Act. Trading and Markets, pursuant to delegated during the course of an examination by 40 the Commission. IV. Solicitation of Comments authority. Eduardo A. Aleman, There are approximately 198 broker- Interested persons are invited to dealers that could potentially be subject Assistant Secretary. submit written data, views and to current Rule 15g–2. The Commission arguments concerning the foregoing, [FR Doc. 2017–16269 Filed 8–1–17; 8:45 am] estimates that approximately 5% of including whether the proposed rule BILLING CODE 8011–01–P registered broker-dealers are engaged in change is consistent with the Act. penny stock transactions, and thereby subject to the Rule (5% × approximately Comments may be submitted by any of SECURITIES AND EXCHANGE 3,969 registered broker-dealers = 198 the following methods: COMMISSION broker-dealers). The Commission Electronic Comments [SEC File No. 270–381, OMB Control No. estimates that each one of these firms • Use the Commission’s Internet 3235–0434] processes an average of three new comment form (http://www.sec.gov/ customers for penny stocks per week. rules/sro.shtml); or Proposed Collection; Comment Thus, each respondent processes • Send an email to rule-comments@ Request approximately 156 penny stock sec.gov. Please include File Number SR– Upon Written Request, Copies Available disclosure documents per year. If DTC–2017–010 on the subject line. From: U.S. Securities and Exchange communications in tangible form alone Paper Comments Commission, Office of FOIA Services, are used to satisfy the requirements of 100 F Street NE., Washington, DC Rule 15g–2, then the copying and • Send paper comments in triplicate 20549–2736. mailing of the penny stock disclosure to Secretary, Securities and Exchange document takes no more than two Commission, 100 F Street NE., Extension: Rule 15g–2. minutes. Thus, the total associated Washington, DC 20549–1090. Notice is hereby given that pursuant burden is approximately 2 minutes per All submissions should refer to File to the Paperwork Reduction Act of 1995 response, or an aggregate total of 312 Number SR–DTC–2017–010. This file (44 U.S.C. 3501 et seq.) (‘‘PRA’’), the minutes per respondent. Since there are number should be included on the Securities and Exchange Commission 198 respondents, the current annual subject line if email is used. To help the (‘‘Commission’’) is soliciting comments burden is 61,776 minutes (312 minutes Commission process and review your on the collection of information per each of the 198 respondents) or comments more efficiently, please use provided for in Rule 15g–2 (17 CFR 1,030 hours for this third party only one method. The Commission will 240.15g–2) under the Securities disclosure burden. In addition, broker- post all comments on the Commission’s Exchange Act of 1934 (15 U.S.C. 78a et dealers incur a recordkeeping burden of Internet Web site (http://www.sec.gov/ seq.) (‘‘Exchange Act’’). The approximately two minutes per rules/sro.shtml). Copies of the Commission plans to submit this response when filing the completed submission, all subsequent existing collection of information to the penny stock disclosure documents as amendments, all written statements Office of Management and Budget required pursuant to the Rule with respect to the proposed rule (‘‘OMB’’) for extension and approval. 15(g)(2)(c), which requires a broker- change that are filed with the Rule 15g–2 (The ‘‘Penny Stock dealer to preserve a copy of the written Commission, and all written Disclosure Rule’’) requires broker- acknowledgement pursuant to Rule communications relating to the dealers to provide their customers with 17a–4(b) of the Exchange Act. Since proposed rule change between the a risk disclosure document, as set forth there are approximately 156 responses Commission and any person, other than in Schedule 15G, prior to their first non- for each respondent, the respondents those that may be withheld from the exempt transaction in a ‘‘penny stock.’’ incur an aggregate recordkeeping public in accordance with the As amended, the rule requires broker- burden of 61,776 minutes (198 provisions of 5 U.S.C. 552, will be dealers to obtain written respondents × 156 responses for each × available for Web site viewing and acknowledgement from the customer 2 minutes per response) or 1,030 hours, that he or she has received the required under Rule 15g–2. Accordingly, the 38 15 U.S.C. 78s(b)(3)(A). current aggregate annual hour burden 39 17 CFR 240.19b–4(f). 40 17 CFR 200.30–3(a)(12). associated with Rule 15g–2 (assuming
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that all respondents provide tangible We have no way of knowing how DEPARTMENT OF STATE copies of the required documents) is many broker-dealers and customers will [Public Notice: 10070] approximately 2,060 hours (1,030 third choose to communicate electronically. party disclosure hours + 1,030 Assuming that 50 percent of Notice of Information Collection Under recordkeeping hours). respondents continue to provide OMB Emergency Review: Request for The burden hours associated with documents and obtain signatures in Approval To Travel to a Restricted Rule 15g–2 may be slightly reduced tangible form and 50 percent choose to Country or Area when the penny stock disclosure communicate electronically to satisfy document required under the rule is the requirements of Rule 15g–2, the total ACTION: Notice of request for emergency provided through electronic means such aggregate burden hours would be 2,060 OMB approval and public comment. as email from the broker-dealer (e.g., the broker-dealer respondent may take only ((aggregate burden hours for sending SUMMARY: The Department of State has one minute, instead of the two minutes disclosure documents and obtaining submitted the information collection estimated above, to provide the penny signed customer acknowledgements in request described below to the Office of × stock disclosure document by email to tangible form 0.50 of the respondents Management and Budget (OMB) for its customer). In this regard, if each of = 1,030 hours) + (aggregate burden review and approval in accordance with the customer respondents estimated hours for electronically signed and the emergency review procedures of the above communicates with his or her transmitted documents × 0.50 of the Paperwork Reduction Act of 1995. The broker-dealer electronically, the total respondents = 773 hours) + (257 burden purpose of this notice is to allow 21 ongoing respondent burden is hours for those customers making days for public comment from all approximately 1 minute per response, or requests for a copy of the information on interested individuals and an aggregate total of 156 minutes (156 the Commission’s Web site)). organizations. Emergency review and × customers 1 minutes per respondent). Written comments are invited on: (a) approval of this collection has been Assuming 198 respondents, the annual Whether the proposed collection of requested from OMB by September 1, third party disclosure burden, if information is necessary for the proper 2017. electronic communications were used DATES: All public comments must be by all customers, is 30,888 minutes (156 performance of the functions of the received by August 23, 2017. minutes per each of the 198 agency, including whether the respondents) or 515 hours. If all information will have practical utility; ADDRESSES: Direct any comments on respondents were to use electronic (b) the accuracy of the agency’s estimate this emergency request to both the means, the recordkeeping burden would of the burden of the collection of Department of State Desk Officer in the be 61,776 minutes or 1,030 hours (the information; (c) ways to enhance the Office of Information and Regulatory same as above). Thus, if all broker- quality, utility, and clarity of the Affairs at the Office of Management and dealer respondents obtain and send the information collected; and (d) ways to Budget (OMB) and to Bureau of documents required under the rules minimize the burden of the collection of Consular Affairs, Passport Services electronically, the aggregate annual hour information on respondents, including Directorate. burden associated with Rule 15g–2 is through the use of automated collection You may submit comments to OMB 1,545 (515 hours + 1,030 hours). techniques or other forms of information by the following methods: • Email: oira_submission@ In addition, if the penny stock technology. Consideration will be given omb.eop.gov. You must include customer requests a paper copy of the to comments and suggestions submitted information on the Commission’s Web Emergency Submission Comment on in writing within 60 days of this ‘‘Request for Approval to Travel to a site regarding microcap securities, publication. including penny stocks, from his or her Restricted Country or Area’’ in the broker-dealer, the printing and mailing An agency may not conduct or subject line of your message. • of the document containing this sponsor, and a person is not required to Fax: 202–395–5806. Attention: Desk information takes no more than two respond to, a collection of information Officer for Department of State. minutes per customer. Because many under the PRA unless it displays a You may submit comments to Bureau investors have access to the currently valid OMB control number. of Consular Affairs, Passport Services Commission’s Web site via computers Directorate by the following methods: Please direct your written comments • Web: Persons with access to the located in their homes, or in easily to: Pamela Dyson, Director/Chief accessible public places such as Internet may comment on this notice by Information Officer, Securities and going to www.Regulations.gov. You can libraries, then, at most, a quarter of Exchange Commission, c/o Remi Pavlik- customers who are required to receive search for the document by entering Simon, 100 F Street NE., Washington, the Rule 15g–2 disclosure document ‘‘Docket Number: DOS–2017–0033’’ in DC 20549, or send an email to: PRA_ request that their broker-dealer provide the Search field. Then click the them with the additional microcap and [email protected]. ‘‘Comment Now’’ button and complete penny stock information posted on the Dated: July 27, 2017. the comment form. • _ Commission’s Web site. Thus, each Eduardo A. Aleman, Email: PRA BurdenComments@ state.gov. You must include Emergency broker-dealer respondent processes Assistant Secretary. approximately 39 requests for paper Submission Comment on ‘‘Request for [FR Doc. 2017–16214 Filed 8–1–17; 8:45 am] copies of this information per year or an Approval to Travel to a Restricted aggregate total of 78 minutes per BILLING CODE 8011–01–P Country or Area’’ in the subject line of respondent (2 minutes per customer × your message. 39 requests per respondent). Since there FOR FURTHER INFORMATION CONTACT: are 198 respondents, the estimated Direct requests for additional annual burden is 15,444 minutes (78 information regarding the collection minutes per each of the 198 listed in this notice, including requests respondents) or 257 hours. This is a for copies of the proposed collection third party disclosure type of burden. instrument and supporting documents,
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to PPT Forms Officer, U.S. Department Executive Order 11295 (August 5, 1966), to use a U.S. passport to travel to, in, or of State, CA/PPT/S/L/LA 44132 Mercure and 22 CFR 51.63, to invalidate all U.S. through a restricted country or area. Cir, P.O. Box 1227, Sterling, VA 20166– passports for travel to a country or area The estimated number of recipients 1227, by phone at (202) 485–6373, or by if he determines that any of three represents the Department of State’s conditions exist: The country is at war email at [email protected]. estimate of the number of persons who with the United States; armed hostilities SUPPLEMENTARY INFORMATION: will request special validations to use • are in progress in the country or area; Title of Information Collection: their U.S. passport to travel to the Request for Approval to Travel to a or there is imminent danger to the public health or physical safety of U.S. Democratic People’s Republic of Korea Restricted Country or Area. (DPRK), following implementation of a • OMB Control Number: 1405–XXXX. travelers in the country or area. The passport restriction that will become • Type of Request: Emergency regulations of the Department of State effective thirty days after publication of Review. provide that an individual’s passport • Originating Office: Bureau of may be considered for validation for the Secretary of State’s determination Consular Affairs, Passport Services travel to, in, or through a country or area that there is imminent danger to the Directorate, Office of Legal Affairs and despite such restriction if the public health or physical safety of U.S. Law Enforcement Liaison (CA/PPT/S/L). individual’s travel is determined to fall travelers in the DPRK. At this time, • Form Number: None. within one of several categories there are no other countries or areas that • Respondents: Individuals applying established by the regulations. 22 CFR are the subject of passport restrictions for a U.S. passport containing a special 51.64. Without the requisite validation, pursuant to 22 CFR 51.63. In its next validation in accordance with 22 CFR use of a U.S. passport for travel to, in, request to continue collecting 51.64 to use a U.S. passport to travel to, or through a restricted country or area information from individuals applying in, or through a country or area as to may justify revocation of the passport for special validations to travel in, to, or which U.S. passports have been for misuse under 22 CFR 51.62(a)(2) and through a restricted country or area, the declared invalid for such travel subject the traveler to felony Department of State will update the pursuant to 22 U.S.C. 211a and prosecution under 18 U.S.C. 1544 for estimated number of recipients based on misuse of a passport or other applicable Executive Order 11295 (August 5, 1966) its experience. and in accordance with 22 CFR 51.63(a). laws. The categories of persons specified in • Estimated Number of Respondents: Methodology 22 CFR 51.64(b) as being eligible for 100 respondents. consideration for passport validation are The Department of State will post • Estimated Number of Responses: as follows: instructions for individuals seeking to 200 responses. (a) An applicant who is a professional apply for a special validation to use a • Average Time per Response: 45 reporter and journalist whose trip is for U.S. passport to travel to, in, or through minutes. the purpose of collecting and making • Total Estimated Burden Time: 149 a restricted country or area on travel available to the public information information Web site maintained by the hours. about the restricted country or area; • Frequency: Twice per respondent’s Department (travel.state.gov). (b) An applicant who is a Applicants at U.S. embassies and application. representative of the American Red • Obligation To Respond: Required to consulates abroad and at domestic Cross or the International Committee of passport agencies and centers will be Obtain a Benefit. the Red Cross on official mission to the directed to this Web site for additional We are soliciting public comments to restricted country or area; permit the Department to: (c) An applicant whose trip to the information. The Web site will direct • Evaluate whether the proposed restricted country or area is justified by applicants to submit the requested information collection is necessary for compelling humanitarian information via email to the Passport the proper functions of the Department. considerations; or Services Directorate • Evaluate the accuracy of our (d) An applicant whose trip to the ([email protected]) or by estimate of the time and cost burden of restricted country or area is otherwise in mail to Special Validations, U.S. this proposed collection, including the the national interest. Department of State, CA/PPT/L/LA, validity of the methodology and The proposed information collection 44132 Mercure Circle, P.O. Box 1227, assumptions used. solicits data necessary for the Passport Sterling, VA 20166–1227. • Enhance the quality, utility, and Services Directorate to determine Information collected in this manner clarity of the information to be whether an applicant is eligible to will be used to facilitate the granting of collected. receive a special validation in his or her special validations to U.S. nationals • Minimize the reporting burden on U.S. passport book permitting the who are eligible. The primary purpose those who are to respond, including the applicant to make one round-trip to a use of automated collection techniques restricted country or area. The of soliciting the information is to or other forms of information information requested consists of the establish whether an applicant is within technology. applicant’s name, a copy of the front one of the categories specified in the Please note that comments submitted in and back of the applicant’s valid regulations of the Department of State response to this Notice are public government-issued photo identification codified at 22 CFR 51.64(b) and records. Before including any detailed card with the applicant’s date of birth, therefore eligible to be issued a U.S. personal information, you should be current contact information, including passport containing a special validation aware that your comments as submitted, telephone number and mailing address, enabling him or her to make one round- including your personal information, and a statement explaining the reason trip to a restricted country or area, and will be available for public review. that the applicant thinks his or her trip to facilitate the application for a is in the national interest, supported by passport of such applicants. Abstract of Proposed Collection documentary evidence. Failure to The Secretary of State may exercise provide the requested information will authority, under 22 U.S.C. 211a, result in denial of a special validation
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Dated: July 28, 2017. • Estimated Number of Responses: determine that certain objects to be Brenda S. Sprague, 13,345,785. included in the exhibition ‘‘Casanova: Deputy Assistant Secretary for Passport • Average Time per Response: 75 The Seduction of Europe,’’ imported Services, Bureau of Consular Affairs, Minutes. from abroad for temporary exhibition Department of State. • Total Estimated Burden Time: within the United States, are of cultural [FR Doc. 2017–16286 Filed 8–1–17; 8:45 am] 16,682,231 hours. significance. The objects are imported • BILLING CODE 4710–06–P Frequency: Once per respondent. pursuant to loan agreements with the • Obligation to Respond: Required to foreign owners or custodians. I also Obtain or Retain a Benefit. determine that the exhibition or display DEPARTMENT OF STATE We are soliciting public comments to of the exhibit objects at the Kimbell Art permit the Department to: Museum, in Fort Worth, Texas, from on [Public Notice 10075] • Evaluate whether the proposed or about August 27, 2017, until, on or information collection is necessary for about December 31, 2017; the Fine Arts 30-Day Notice of Proposed Information the proper functions of the Department. Collection: Online Application for • Evaluate the accuracy of our Museums of San Francisco, Legion of Nonimmigrant Visa; Correction estimate of the time and cost burden for Honor, in San Francisco, California, this proposed collection, including the from, on or about February 10, 2018, ACTION: Notice of request for public validity of the methodology and until on or about May 20, 2018, the comment and submission to OMB of assumptions used. Museum of Fine Arts, Boston, in Boston, proposed collection of information. • Enhance the quality, utility, and Massachusetts, from, on or about July 1, clarity of the information to be 2018, until on or about October 8, 2018, SUMMARY: The Department of State has and at possible additional exhibitions or submitted the information collection collected. • Minimize the reporting burden on venues yet to be determined, is in the described below to the Office of national interest. Management and Budget (OMB) for those who are to respond, including the FOR FURTHER INFORMATION CONTACT: For approval. In accordance with the use of automated collection techniques further information, including a list of Paperwork Reduction Act of 1995 we or other forms of information the imported objects, contact Julie are requesting comments on this technology. Simpson in the Office of the Legal collection from all interested Please note that comments submitted Adviser, U.S. Department of State individuals and organizations. The in response to this Notice are public (telephone: 202–632–6467) or email: purpose of this Notice is to correct the record. Before including any detailed [email protected]. The mailing contact information contained in the personal information, you should be address is U.S. Department of State, original 30-day notice (82 FR 33199) aware that your comments as submitted, L/PD, SA–5, Suite 5H03, Washington, and allow 30 days for public comment. including your personal information, will be available for public review. DC 20522–0505. DATES: The Department will accept SUPPLEMENTARY INFORMATION: comments from the public up to Abstract of Proposed Collection The September 1, 2017. foregoing determinations were made The Online Application for pursuant to the authority vested in me ADDRESSES: Direct comments to the Nonimmigrant Visa (DS–160) is used to by the Act of October 19, 1965 (79 Stat. Department of State Desk Officer in the collect biographical information from 985; 22 U.S.C. 2459), E.O. 12047 of Office of Information and Regulatory individuals seeking a nonimmigrant March 27, 1978, the Foreign Affairs Affairs at the Office of Management and visa. The consular officer uses the Reform and Restructuring Act of 1998 Budget (OMB). You may submit information collected to determine the (112 Stat. 2681, et seq.; 22 U.S.C. 6501 comments by the following methods: applicant’s eligibility for a visa. note, et seq.), Delegation of Authority • Email: oira_submission@ Methodology No. 234 of October 1, 1999, Delegation omb.eop.gov. You must include the DS of Authority No. 236–3 of August 28, The DS–160 will be submitted form number, information collection 2000 (and, as appropriate, Delegation of electronically to the Department via the title, and the OMB control number in Authority No. 257–1 of December 11, internet. The applicant will be the subject line of your message. 2015). I have ordered that Public Notice • instructed to print a confirmation page Fax: 202–395–5806. Attention: Desk of these Determinations be published in containing a bar coded record locator, Officer for Department of State. the Federal Register. FOR FURTHER INFORMATION CONTACT: which will be scanned at the time of Requests for additional information processing. Alyson Grunder, regarding the collection listed in this Meredith McEvoy, Deputy Assistant Secretary for Policy, Bureau notice, including requests for copies of of Educational and Cultural Affairs, Acting Deputy Assistant Secretary, Bureau Department of State. the proposed collection instrument and of Consular Affairs, Department of State. [FR Doc. 2017–16258 Filed 8–1–17; 8:45 am] supporting documents may be sent to [FR Doc. 2017–16226 Filed 8–1–17; 8:45 am] [email protected]. BILLING CODE 4710–05–P BILLING CODE 4710–06–P SUPPLEMENTARY INFORMATION: • Title of Information Collection: DEPARTMENT OF STATE Application for Nonimmigrant Visa. DEPARTMENT OF STATE • OMB Control Number: 1405–0182. • Type of Request: Revision of a [Public Notice: 10072] [Public Notice: 10074] Currently Approved Collection. • Notice of Determinations; Culturally United States Passports Invalid for Originating Office: CA/VO/L/R. Significant Objects Imported for • Form Number: DS–160. Travel to, in, or Through the • Exhibition Determinations: ‘‘Casanova: Democratic People’s Republic of Korea Respondents: All Nonimmigrant The Seduction of Europe’’ Exhibition Visa Applicants. ACTION: Notice of passport travel • Estimated Number of Respondents: SUMMARY: Notice is hereby given of the restriction. 13,345,785. following determinations: I hereby
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SUMMARY: The Department of State is be determined, is in the national 2778(g)(4), prohibits the issuance of declaring all U.S. passports invalid for interest. export licenses or other approvals for travel to the Democratic People’s FOR FURTHER INFORMATION CONTACT: For the export of defense articles or defense Republic of Korea (North Korea) unless further information, including a list of services where the applicant, or any the travel meets certain criteria. the imported objects, contact Julie party to the export, has been convicted DATES: The travel restriction is in effect Simpson in the Office of the Legal of violating the AECA and certain other on September 1, 2017. Adviser, U.S. Department of State U.S. criminal statutes enumerated at FOR FURTHER INFORMATION CONTACT: (telephone: 202–632–6467) or email: section 38(g)(1) of the AECA. In Anita Mody, Bureau of Consular Affairs, [email protected]. The mailing addition, section 127.7(b) of the ITAR Passport Services, Office of Legal address is U.S. Department of State, provides for the statutory debarment of Affairs, 202–485–6500. L/PD, SA–5, Suite 5H03, Washington, any person who has been convicted of DC 20522–0505. violating or conspiring to violate the SUPPLEMENTARY INFORMATION: The AECA. Persons subject to statutory Department of State has determined that SUPPLEMENTARY INFORMATION: The foregoing determinations were made debarment are prohibited from the serious risk to United States participating directly or indirectly in the nationals of arrest and long-term pursuant to the authority vested in me by the Act of October 19, 1965 (79 Stat. export of defense articles, including detention represents imminent danger technical data, or in the furnishing of to the physical safety of United States 985; 22 U.S.C. 2459), E.O. 12047 of March 27, 1978, the Foreign Affairs defense services for which a license or nationals traveling to and within the other approval is required. Democratic People’s Republic of Korea Reform and Restructuring Act of 1998 (DPRK), within the meaning of 22 CFR (112 Stat. 2681, et seq.; 22 U.S.C. 6501 In June 2012, Pratt & Whitney Canada 51.63(a)(3). Therefore, pursuant to the note, et seq.), Delegation of Authority Corporation pleaded guilty to violating authority of 22 U.S.C. 211a and No. 234 of October 1, 1999, Delegation the AECA (U.S. District Court, District Executive Order 11295 (31 FR 10603), of Authority No. 236–3 of August 28, of Connecticut, 12–CR–146–WWE). and in accordance with 22 CFR 2000 (and, as appropriate, Delegation of Based on this plea, Pratt & Whitney 51.63(a)(3), all United States passports Authority No. 257–1 of December 11, Canada Corporation was ineligible in are declared invalid for travel to, in, or 2015). I have ordered that Public Notice accordance with section 120.1 of the through the DPRK unless specially of these Determinations be published in ITAR and was statutorily debarred, with validated for such travel, as specified at the Federal Register. certain exceptions, pursuant to section 22 CFR 51.64. The restriction on travel 127.7(b) of the ITAR. Notice of Alyson Grunder, debarment of Pratt & Whitney Canada to the DPRK shall be effective 30 days Deputy Assistant Secretary for Policy, Bureau after publication of this Notice, and Corporation, 1000 boul. Marie-Victorin, of Educational and Cultural Affairs, Longueuil, Quebec, Canada J4G 1A1 shall remain in effect for one year unless Department of State. (and all other Pratt & Whitney Canada extended or sooner revoked by the [FR Doc. 2017–16238 Filed 8–1–17; 8:45 am] Secretary of State. Corporation locations) was published in BILLING CODE 4710–05–P the Federal Register (77 FR 40140, July Dated: July 21, 2017. 6, 2012). Rex W. Tillerson, DEPARTMENT OF STATE In accordance with section 127.7 of Secretary of State, Department of State. the ITAR, the statutory debarment may [FR Doc. 2017–16287 Filed 8–1–17; 8:45 am] [Public Notice: 10067] be rescinded after consultation with BILLING CODE 4710–06–P other appropriate U.S. agencies, after a Bureau of Political-Military Affairs; thorough review of the circumstances Rescission of Statutory Debarment surrounding the conviction, and a and Reinstatement of Pratt & Whitney DEPARTMENT OF STATE finding that appropriate steps have been Canada Corporation Under the Arms taken to mitigate any law enforcement [Public Notice 10073] Export Control Act and the concerns. The Department of State has International Traffic in Arms consulted with other appropriate U.S. Notice of Determinations; Culturally Regulations Significant Objects Imported for agencies and has determined that Pratt Exhibition Determinations: ‘‘After ACTION: Notice. & Whitney Canada Corporation has Darkness: Southeast Asian Art in the taken appropriate steps to address the Wake of History’’ Exhibition SUMMARY: Notice is hereby given that causes of the violations and to mitigate the Department of State has rescinded any law enforcement concerns. SUMMARY: Notice is hereby given of the the statutory debarment of, and Therefore, in accordance with section following determinations: I hereby reinstated Pratt & Whitney Canada 38(g)(4) of the AECA and sections determine that certain objects to be Corporation, pursuant to the 127.7(b) and 127.11(b) of the ITAR, Pratt included in the exhibition ‘‘After Department’s authorities under the & Whitney Canada Corporation is Darkness: Southeast Asian Art in the Arms Export Control Act and the eligible to be involved in ITAR- Wake of History,’’ imported from abroad International Traffic in Arms regulated activities and the statutory for temporary exhibition within the Regulations. debarment is rescinded, effective July United States, are of cultural 12, 2017. Pratt & Whitney Canada DATES: Rescission and reinstatement as significance. The objects are imported Corporation may participate directly or of July 12, 2017. pursuant to loan agreements with the indirectly in any activities that are FOR FURTHER INFORMATION CONTACT: foreign owners or custodians. I also subject to the ITAR. determine that the exhibition or display Arthur Shulman, Acting Director, Office of the exhibit objects at the Asia Society, of Defense Trade Controls Compliance, Tina S. Kaidanow, in New York, New York, from on or Bureau of Political-Military Affairs, Acting Assistant Secretary, Bureau of about September 8, 2017, until on or Department of State (202) 632–3384. Political-Military Affairs. about January 21, 2018, and at possible SUPPLEMENTARY INFORMATION: Section [FR Doc. 2017–15969 Filed 8–1–17; 8:45 am] additional exhibitions or venues yet to 38(g)(4) of the AECA, 22 U.S.C. BILLING CODE 4710–25–P
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OFFICE OF THE UNITED STATES system. You can find the 2017 NTE 10. Trade restrictions implemented TRADE REPRESENTATIVE Report on USTR’s Web site at http:// through unwarranted standards, www.ustr.gov under the tab ‘‘Reports’’. conformity assessment procedures, or [Docket Number USTR–2017–0013] To ensure compliance with the NTE’s technical regulations (Technical Barriers Request for Comments To Compile the statutory mandate and the Trump to Trade) that may have as their National Trade Estimate Report on Administration’s commitment to focus objective protecting national security Foreign Trade Barriers on the most significant foreign trade requirements, preventing deceptive barriers, USTR will be guided by the practices, or protecting human health or AGENCY: Office of the United States existence of active private sector interest safety, animal or plant life or health, or Trade Representative. in deciding which restrictions to the environment, but that can be ACTION: Notice. include in the NTE. formulated or implemented in ways that create significant barriers to trade SUMMARY: Section 181 of the Trade Act 2. Topics on Which the TPSC Seeks (including unnecessary or of 1974, as amended, requires the Office Information discriminatory technical regulations or of the United States Trade To assist USTR in preparing the NTE, standards for telecommunications Representative (USTR) annually to commenters should submit information products). publish the National Trade Estimate related to one or more of the following 11. Other barriers (e.g., barriers that Report on Foreign Trade Barriers (NTE). categories of foreign trade barriers: encompass more than one category, The Trade Policy Staff Committee 1. Import policies (e.g., tariffs and such as bribery and corruption, or that (TPSC) is asking interested persons to other import charges, quantitative affect a single sector). submit written comments to assist the restrictions, import licensing, and In addition, Section 1377 (19 U.S.C. TPSC in identifying significant barriers customs barriers). 3106) requires USTR annually to review to U.S. exports of goods, services, and 2. Government procurement the operation and effectiveness of all U.S. foreign direct investment for restrictions (e.g., ‘‘buy national policies’’ U.S. trade agreements regarding inclusion in the NTE. and closed bidding). telecommunications products and Section 1377 of the Omnibus Trade 3. Export subsidies (e.g., export services that are in force with respect to and Competitiveness Act of 1988 financing on preferential terms, the United States. The purpose of the (Section 1377) requires USTR annually subsidies provided to equipment review is to determine whether any act, to review the operation and manufacturers contingent on export and policy, or practice of a country that has effectiveness of all U.S. trade agricultural export subsidies that entered into a trade agreement or other agreements regarding displace U.S. exports in third country telecommunications trade agreement telecommunications products and markets). with the United States is inconsistent services that are in force with respect to 4. Lack of intellectual property with the terms of such agreement or the United States. USTR will consider protection (e.g., inadequate patent, otherwise denies U.S. firms, within the written comments in response to this copyright, and trademark regimes). context of the terms of such agreements, notice regarding the trade barriers 5. Services barriers (e.g., limits on the mutually advantageous market pertinent to the conduct of the review range of financial services offered by opportunities for telecommunications called for in Section 1377. foreign financial institutions, regulation products and services. DATES: We must receive all written of international data flows, restrictions We invite commenters to identify comments no later than 11:59 p.m., on the use of data processing, quotas on those barriers covered in submissions October 25, 2017. imports of foreign films, unnecessary or that may operate as ‘‘localization discriminatory technical regulations or barriers to trade.’’ Localization barriers ADDRESSES: We strongly prefer standards for telecommunications are measures designed to protect, favor, electronic submissions made through services, and barriers to the provision of or stimulate domestic industries, the Federal eRulemaking Portal: http:// services by professionals). services providers, and/or intellectual www.regulations.gov. Follow the 6. Investment barriers (e.g., property at the expense of goods, instructions for submitting comments in limitations on foreign equity services, or intellectual property from section 4 below. The docket number is participation and on access to foreign other countries, including the provision USTR–2017–0013. For alternatives to government-funded R&D consortia, local of subsidies linked to local production. on-line submissions, please contact content, technology transfer and export For more information on localization Yvonne Jamison, Trade Policy Staff performance requirements, and barriers, please go to http:// Committee, at (202) 395–3475. restrictions on repatriation of earnings, www.ustr.gov/trade-topics/localization- FOR FURTHER INFORMATION CONTACT: capital, fees, and royalties). barriers. Direct questions to Yvonne Jamison at 7. Government-tolerated Commenters should place particular (202) 395–3475. anticompetitive conduct of state-owned emphasis on any practices that may SUPPLEMENTARY INFORMATION: or private firms that restrict the sale or violate U.S. trade agreements. The TPSC purchase of U.S. goods or services in the also is interested in receiving new or 1. Background foreign country’s markets. updated information pertinent to the The NTE sets out an inventory of the 8. Trade restrictions affecting barriers covered in the 2017 NTE as well most important foreign barriers affecting electronic commerce (e.g., tariff and as information on new barriers. If USTR U.S. exports of goods and services, U.S. non-tariff measures, burdensome and does not include in the NTE information foreign direct investment, and discriminatory regulations and that it receives pursuant to this notice, protection of intellectual property standards, and discriminatory taxation). it will maintain the information for rights. The inventory facilitates U.S. 9. Trade restrictions implemented potential use in future discussions or negotiations aimed at reducing or through unwarranted sanitary and negotiations with trading partners. eliminating these barriers. The report phytosanitary measures, including also provides a valuable tool in unwarranted measures justified for 3. Estimate of Increase in Exports enforcing U.S. trade laws and purposes of protecting food safety, and Each comment should include an strengthening the rules-based trading animal and plant life or health. estimate of the potential increase in U.S.
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exports that would result from removing confidential information must be clearly FOR FURTHER INFORMATION CONTACT: any foreign trade barrier the comment marked ‘‘BUSINESS CONFIDENTIAL’’ Ronald Baumgarten, Office of identifies, as well as a description of the on the top of that page. Filers of Agricultural Affairs, (202) 395–9583 or methodology the commenter used to submissions containing business [email protected]. derive the estimate. Commenters should confidential information also must SUPPLEMENTARY INFORMATION: Pursuant express estimates within the following submit a public version of their to Additional U.S. Note 5 to Chapter 17 value ranges: Less than $5 million; $5 to comments that we will place in the of the Harmonized Tariff Schedule of $25 million; $25 million to $50 million; docket for public inspection. The file the United States (HTS), the United $50 million to $100 million; $100 name of the public version should begin States maintains WTO TRQs for imports million to $500 million; or over $500 with the character ‘‘P’’. The ‘‘BC’’ and of raw cane and refined sugar. million. These estimates will help USTR ‘‘P’’ should be followed by the name of Section 404(d)(3) of the Uruguay conduct comparative analyses of a the person or entity submitting the Round Agreements Act (19 U.S.C. barrier’s effect over a range of comments. Filers submitting comments 3601(d)(3)) authorizes the President to industries. containing no business confidential allocate the in-quota quantity of a TRQ information should name their file using 4. Requirements for Submissions for any agricultural product among the name of the person or entity supplying countries or customs areas. In order to be assured of submitting the comments. The President delegated this authority consideration, we must receive your Please do not attach separate cover to the United States Trade written comments in English by 11:59 letters to electronic submissions; rather, Representative under Presidential p.m. on October 25, 2017. USTR include any information that might Proclamation 6763 (60 FR 1007, January strongly encourages commenters to appear in a cover letter in the comments 4, 1995). make on-line submissions, using the themselves. Similarly, to the extent On May 6, 2016 (81 FR 27390), the www.regulations.gov Web site. On the possible, please include any exhibits, Secretary of Agriculture established the first page of the submission, please annexes, or other attachments in the FY2017 WTO TRQ for imported raw identify it as ‘‘Comments Regarding same file as the submission itself, not as cane sugar at the minimum to which the Foreign Trade Barriers to U.S. Exports separate files. United States is committed pursuant to for 2018 Reporting.’’ Commenters As noted, USTR strongly urges the WTO Uruguay Round Agreements providing information on foreign trade submitters to file comments through (1,117,195 metric tons raw value barriers in more than one country www.regulations.gov. You must make (MTRV) conversion factor: 1 metric ton should, whenever possible, provide a any alternative arrangements with = 1.10231125 short tons.). On May 27, separate submission for each country. Yvonne Jamison in advance of 2016 (81 FR 33729), USTR provided To submit comments via transmitting a comment. You can notice of country-by-country allocations www.regulations.gov, enter docket contact Ms. Jamison at (202) 395–3475. of the FY2017 in-quota quantity of the number USTR–2017–0013 on the home General information concerning USTR WTO TRQ for imported raw cane sugar. page and click ‘‘search.’’ The site will is available at www.ustr.gov. Based on consultation with quota provide a search-results page listing all We will post comments in the docket documents associated with this docket. holders, USTR is reallocating 86,495 for public inspection, except business MTRV of the original TRQ quantity from Find a reference to this notice and click confidential information. You can view on the link entitled ‘‘Comment Now!’’ those countries that are unable to fill comments on the www.regulations.gov their FY2017 allocated raw cane sugar For further information on using the Web site by entering the relevant docket www.regulations.gov Web site, please quantities. USTR is allocating the number in the search field on the home 86,495 MTRV to the following countries consult the resources provided on the page. Web site by clicking on ‘‘How to Use in the amounts specified below: Regulations.gov’’ on the bottom of the Edward Gresser, Chair, Trade Policy Staff Committee, Office FY 2017 raw home page. We will not accept hand- cane sugar delivered submissions. of the United States Trade Representative. Country unused The www.regulations.gov Web site [FR Doc. 2017–16195 Filed 8–1–17; 8:45 am] reallocation allows users to submit comments by BILLING CODE 3290–F7–P (MTRV) filling in a ‘‘Type Comment’’ field or by Argentina ...... 4,756 attaching a document using an ‘‘Upload OFFICE OF THE UNITED STATES Australia ...... 9,180 File’’ field. USTR prefers that you Belize ...... 1,217 submit comments in an attached TRADE REPRESENTATIVE Brazil ...... 16,038 document. If you attach a document, Colombia ...... 2,655 Reallocation of Unused Fiscal Year please identify the name of the country Costa Rica ...... 1,659 2017 Tariff-Rate Quota Volume for Raw to which the submission pertains in the Ecuador ...... 1,217 Cane Sugar ‘‘Type Comment’’ field. For example— El Salvador ...... 2,876 Fiji ...... 995 ‘‘See attached comments with respect to AGENCY: Office of the United States Guatemala ...... 5,309 (name of country).’’ USTR prefers Trade Representative. Guyana ...... 1,327 submissions in Microsoft Word (.doc) or ACTION: Notice. Honduras ...... 1,106 Adobe Acrobat (.pdf). If you use an India ...... 885 application other than those two, please SUMMARY: The Office of the United Jamaica ...... 1,217 indicate the name of the application in States Trade Representative (USTR) is Malawi ...... 1,106 the ‘‘Type Comment’’ field. providing notice of country-by-country Mauritius ...... 1,327 For any comments submitted reallocations of the fiscal year (FY) 2017 Mozambique ...... 1,438 in-quota quantity of the World Trade Nicaragua ...... 2,323 electronically containing business Panama ...... 3,208 confidential information, the file name Organization (WTO) tariff-rate quota Peru ...... 4,535 of the business confidential version (TRQ) for imported raw cane sugar. Philippines ...... 14,932 should begin with the characters ‘‘BC’’. DATES: This notice is applicable on South Africa ...... 2,544 Any page containing business August 2, 2017. Swaziland ...... 1,770
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FY 2017 raw On July 25, 2017 (82 FR 34472), the OFFICE OF THE UNITED STATES cane sugar Secretary of Agriculture announced an TRADE REPRESENTATIVE Country unused additional in-quota quantity of the TRQ reallocation [Docket Number USTR–2017–0011] (MTRV) for raw cane sugar for the remainder of FY2017 (ending September 30, 2017) in Request for Comments and Notice of Thailand ...... 1,548 the amount of 244,690 metric tons raw Public Hearing Concerning China’s Zimbabwe ...... 1,327 value (MTRV). The conversion factor is Compliance With WTO Commitments 1 metric ton equals1.10231125 short USTR based these allocations on the tons. This quantity is in addition to the AGENCY: Office of the United States countries’ historical shipments to the minimum amount to which the United Trade Representative. United States. The allocations of the raw States is committed under the World ACTION: Request for comments and cane sugar WTO TRQ to countries that Trade Organization (WTO) Uruguay notice of public hearing. are net importers of sugar are Round Agreements (1,117,195 MTRV). conditioned on receipt of the The Department of Agriculture also has SUMMARY: The interagency Trade Policy appropriate verifications of origin. determined that all sugar entering the Staff Committee (TPSC) is seeking Certificates for quota eligibility must United States under the FY2017 raw comments and will convene a public accompany imports from any country sugar TRQ will be permitted to enter hearing to assist the Office of the United for which an allocation has been U.S. Customs territory through October States Trade Representative (USTR) to provided. 31, 2017, a month later than the typical prepare its annual report to Congress on entry date deadline. USTR is allocating China’s compliance with the Sharon E. Bomer Lauritsen, this total quantity of 244,690 MTRV to commitments made in connection with Assistant U.S. Trade Representative, the following countries in the amounts its accession to the World Trade Agricultural Affairs and Commodity Policy. specified below: Organization (WTO). [FR Doc. 2017–16289 Filed 7–31–17; 11:15 am] DATES: September 20, 2017: Deadline for BILLING CODE 3290–F7–P FY2017 raw filing requests to appear and a summary Country cane sugar of expected testimony at the October 4, increase 2017 public hearing, and for filing pre- OFFICE OF THE UNITED STATES (MTRV) hearing briefs, statements, or comments TRADE REPRESENTATIVE Argentina ...... 15,575 concerning China’s compliance with Fiscal Year 2017 Allocation of Australia ...... 30,064 WTO commitments. Additional Tariff-Rate Quota Volume Belize ...... 3,984 October 4, 2017: The TPSC will for Raw Cane Sugar Brazil ...... 13,962 convene a public hearing in Colombia ...... 8,693 Washington, DC concerning China’s AGENCY: Office of the United States Costa Rica ...... 5,433 compliance with WTO commitments. Ecuador ...... 3,984 Trade Representative. ADDRESSES: USTR strongly prefers El Salvador ...... 9,417 ACTION: Notice. Fiji ...... 3,260 electronic submissions made through Guatemala ...... 17,386 the Federal eRulemaking Portal: http:// SUMMARY: The Office of the United www.regulations.gov. Follow the States Trade Representative (USTR) is Guyana ...... 4,347 Honduras ...... 3,622 instructions for submitting comments in providing notice of country-by-country India ...... 2,898 section 3 below. The docket number is allocations of additional Fiscal Year Jamaica ...... 3,984 USTR–2017–0011. For alternatives to (FY) 2017 in-quota quantity of the tariff- Malawi ...... 3,622 on-line submissions, please contact rate quota (TRQ) for imported raw cane Mauritius ...... 4,347 Yvonne Jamison, Trade Policy Staff sugar as announced by Secretary of Mozambique ...... 4,709 Committee, at (202) 395–3475. Agriculture on July 25, 2017. Nicaragua ...... 7,606 FOR FURTHER INFORMATION CONTACT: Panama ...... 10,504 For DATES: This notice is applicable on procedural questions concerning written August 2, 2017. Peru ...... 14,851 Philippines ...... 48,898 comments or participation in the public FOR FURTHER INFORMATION CONTACT: South Africa ...... 8,331 hearing, contact Yvonne Jamison at Ronald Baumgarten, Office of Swaziland ...... 5,795 (202) 395–3475. Direct all other Agricultural Affairs, (202) 395–9583 or Thailand ...... 5,071 questions to Terrence J. McCartin, [email protected]. Zimbabwe ...... 4,347 Acting Assistant United States Trade SUPPLEMENTARY INFORMATION: Pursuant Representative for China Affairs, at to Additional U.S. Note 5 to Chapter 17 USTR based these allocations on the (202) 395–3900, or Philip D. Chen, Chief of the Harmonized Tariff Schedule of countries’ historical shipments to the Counsel for China Enforcement, at (202) the United States (HTS), the United United States. The allocations of the raw 395–3150. States maintains TRQs for imports of cane sugar TRQ to countries that are net SUPPLEMENTARY INFORMATION: raw cane and refined sugar. importers of sugar are conditioned on 1. Background Section 404(d)(3) of the Uruguay receipt of the appropriate verifications Round Agreements Act (19 U.S.C. of origin, and certificates for quota China became a Member of the WTO 3601(d)(3)) authorizes the President to eligibility must accompany imports on December 11, 2001. In accordance allocate the in-quota quantity of a TRQ from any country for which an with section 421 of the U.S.-China for any agricultural product among allocation has been provided. Relations Act of 2000 (Pub. L. 106–286), supplying countries or customs areas. by December 11th of each year USTR The President delegated this authority Sharon E. Bomer Lauritsen, has to submit a report to Congress on to the United States Trade Assistant U.S. Trade Representative, China’s compliance with commitments Representative under Presidential Agricultural Affairs and Commodity Policy. made in connection with its accession Proclamation 6763 (60 FR 1007, January [FR Doc. 2017–16288 Filed 7–31–17; 11:15 am] to the WTO, including both multilateral 4, 1995). BILLING CODE 3290–F7–P commitments and any bilateral
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commitments made to the United States. oral testimony at the hearing and pre- For any comments submitted In accordance with section 421, and to hearing briefs, statements, or comments electronically containing business assist in preparing this year’s report, the by Wednesday, September 20, 2017. confidential information, the file name TPSC is soliciting public comments. You must make the intent to testify of the business confidential version You can view last year’s report on notification in the ‘‘Type Comment’’ should begin with the characters ‘‘BC’’. USTR’s Web site: https://ustr.gov/sites/ field under docket number USTR–2017– Any page containing business default/files/2015-Report-to-Congress- 0011 on the www.regulations.gov Web confidential information must be clearly China-WTO-Compliance.pdf. site and you should include the name, marked ‘‘BUSINESS CONFIDENTIAL’’ The terms of China’s accession to the address, telephone number and email on the top of that page. Filers of WTO are contained in the Protocol on address, if available, of the person submissions containing business the Accession of the People’s Republic presenting the testimony. You should confidential information also must of China (including its annexes) attach a summary of the testimony by submit a public version of their (Protocol), the Report of the Working using the ‘‘Upload File’’ field. The name comments that we will place in the Party on the Accession of China of the file also should include who will docket for public inspection. The file (Working Party Report), and the WTO be presenting the testimony. Remarks at name of the public version should begin agreements. You can find the Protocol the hearing should be limited to no with the character ‘‘P’’. The ‘‘BC’’ and and Working Party Report on the WTO more than five minutes to allow for ‘‘P’’ should be followed by the name of Web site: http://docsonline.wto.org possible questions from the TPSC. the person or entity submitting the (document symbols: WT/L/432, WT/ You should submit all documents in comments. Filers submitting comments MIN(01)/3, WT/MIN(01)/3/Add.1, WT/ accordance with the instructions in containing no business confidential MIN(01)/3/Add.2). section 3 below. information should name their file using We will make a transcript of the 2. Public Comments and Hearing the name of the person or entity hearing available on submitting the comments. USTR invites written comments and/ www.regulations.gov within Please do not attach separate cover or oral testimony on China’s compliance approximately two weeks of the date of letters to electronic submissions; rather, with commitments made in connection the hearing. include any information that might with its accession to the WTO, 3. Requirements for Submissions appear in a cover letter in the comments including, but not limited to, themselves. Similarly, to the extent commitments in the following areas: In order to be assured of consideration, we must receive your possible, please include any exhibits, a. Trading rights. annexes, or other attachments in the b. Import regulation (e.g., tariffs, tariff- written comments and notifications of intent to testify in English by same file as the submission itself, not as rate quotas, quotas, import licenses); separate files. c. Export regulation. Wednesday, September 20, 2017. USTR strongly encourages commenters to As noted, USTR strongly urges d. Internal policies affecting trade submitters to file comments through (e.g., subsidies, standards and technical make on-line submissions, using the www.regulations.gov Web site. On the www.regulations.gov. You must make regulations, sanitary and phytosanitary any alternative arrangements with measures, government procurement, first page of the submission, please identify it as ‘‘China’s WTO Yvonne Jamison in advance of trade-related investment measures, taxes transmitting a comment. You can and charges levied on imports and Compliance.’’ To submit comments via contact Ms. Jamison at (202) 395–3475. exports). General information concerning USTR e. Intellectual property rights www.regulations.gov, enter docket is available at www.ustr.gov. (including intellectual property rights number USTR–2017–0011 on the home We will post comments in the docket enforcement). page and click ‘‘search.’’ The site will for public inspection, except business f. Services. provide a search-results page listing all g. Rule of law issues (e.g., documents associated with this docket. confidential information. You can view transparency, judicial review, uniform Find a reference to this notice and click comments on the www.regulations.gov administration of laws and regulations) on the link entitled ‘‘Comment Now!’’ Web site by entering the relevant docket and status of legal reform. For further information on using the number in the search field on the home h. Other WTO commitments. www.regulations.gov Web site, please page. In addition, given the United States’ consult the resources provided on the Edward Gresser, view that China should be held Web site by clicking on ‘‘How to Use Chair, Trade Policy Staff Committee, Office accountable as a full participant in, and Regulations.gov’’ on the bottom of the of the United States Trade Representative. beneficiary of, the international trading home page. We will not accept hand- [FR Doc. 2017–16204 Filed 8–1–17; 8:45 am] system, USTR requests that commenters delivered submissions. BILLING CODE 3290–F7–P specifically identify unresolved The www.regulations.gov Web site compliance issues that warrant review allows users to submit comments by and evaluation by USTR’s China filling in a ‘‘Type Comment’’ field or by Enforcement Task Force. attaching a document using an ‘‘Upload DEPARTMENT OF TRANSPORTATION We must receive written comments no File’’ field. USTR prefers that you later than Wednesday, September 20, submit comments in an attached Federal Motor Carrier Safety 2017. document. If you attach a document, it Administration The TPSC will convene a public is sufficient to type ‘‘See attached’’ in hearing on Wednesday, October 4, 2017. the ‘‘Type Comment’’ field. USTR [Docket No. FMCSA–2017–0180] If necessary, the hearing will continue prefers submissions in Microsoft Word Qualification of Drivers; Exemption on the next business day. The hearing (.doc) or Adobe Acrobat (.pdf). If you Applications; Epilepsy and Seizure will be held at 1724 F Street NW., use an application other than those two, Disorders Washington, DC 20508 and will be open please indicate the name of the to the public and to the press. We must application in the ‘‘Type Comment’’ AGENCY: Federal Motor Carrier Safety receive your written requests to present field. Administration (FMCSA), DOT.
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ACTION: Notice of applications for from the public to better inform its Epilepsy: § 391.41(b)(8), paragraphs 3, 4, exemption; request for comments. rulemaking process. DOT posts these and 5.] comments, without edit, including any The advisory criteria states the SUMMARY: FMCSA announces receipt of personal information the commenter following: applications from four individuals for provides, to http://www.regulations.gov, If an individual has had a sudden an exemption from the prohibition in as described in the system of records episode of a non-epileptic seizure or the Federal Motor Carrier Safety notice (DOT/ALL–14 FDMS), which can loss of consciousness of unknown cause Regulations (FMCSRs) against persons be reviewed at http://www.dot.gov/ that did not require anti-seizure with a clinical diagnosis of epilepsy or privacy. medication, the decision whether that any other condition that is likely to person’s condition is likely to cause the FOR FURTHER INFORMATION CONTACT: cause a loss of consciousness or any loss Ms. loss of consciousness or loss of ability of ability to control a commercial motor Christine A. Hydock, Chief, Medical to control a CMV should be made on an vehicle (CMV) to drive in interstate Programs Division, (202) 366–4001, individual basis by the Medical commerce. If granted, the exemptions [email protected], FMCSA, Examiner in consultation with the would enable these individuals who Department of Transportation, 1200 treating physician. Before certification is have had one or more seizures and are New Jersey Avenue SE., Room W64– considered, it is suggested that a six- taking anti-seizure medication to 224, Washington, DC 20590–0001. month waiting period elapse from the operate CMVs in interstate commerce. Office hours are 8:30 a.m. to 5 p.m., e.t., time of the episode. Following the DATES: Comments must be received on Monday through Friday, except Federal waiting period, it is suggested that the or before September 1, 2017. holidays. If you have questions individual have a complete neurological regarding viewing or submitting ADDRESSES: You may submit comments examination. If the results of the bearing the Federal Docket Management material to the docket, contact Docket examination are negative and anti- System (FDMS) Docket No. FMCSA– Services, telephone (202) 366–9826. seizure medication is not required, then 2017–0180 using any of the following SUPPLEMENTARY INFORMATION: the driver may be qualified. methods: I. Background In those individual cases where a • Federal eRulemaking Portal: Go to driver had a seizure or an episode of http://www.regulations.gov. Follow the Under 49 U.S.C. 31136(e) and 31315, loss of consciousness that resulted from online instructions for submitting FMCSA may grant an exemption from a known medical condition (e.g., drug comments. the FMCSRs for a two-year period if it reaction, high temperature, acute • Mail: Docket Management Facility; finds ‘‘such exemption would likely infectious disease, dehydration, or acute U.S. Department of Transportation, 1200 achieve a level of safety that is metabolic disturbance), certification New Jersey Avenue SE., West Building equivalent to or greater than the level should be deferred until the driver has Ground Floor, Room W12–140, that would be achieved absent such recovered fully from that condition, has Washington, DC 20590–0001. exemption.’’ The statute also allows the no existing residual complications, and • Hand Delivery: West Building Agency to renew exemptions at the end is not taking anti-seizure medication. Ground Floor, Room W12–140, 1200 of the two-year period. Drivers who have a history of New Jersey Avenue SE., Washington, The four individuals listed in this epilepsy/seizures, off anti-seizure DC, between 9 a.m. and 5 p.m., e.t., notice have requested an exemption medication and seizure-free for 10 years, Monday through Friday, except Federal from the epilepsy prohibition in 49 CFR may be qualified to operate a CMV in holidays. 391.41(b)(8). Accordingly, the Agency interstate commerce. Interstate drivers • Fax: 1–202–493–2251. will evaluate the qualifications of each with a history of a single unprovoked Instructions: Each submission must applicant to determine whether granting seizure may be qualified to drive a CMV include the Agency name and the the exemption will achieve the required in interstate commerce if seizure-free docket number(s) for this notice. Note level of safety mandated by statute. and off anti-seizure medication for a that all comments received will be The physical qualification standard five-year period or more. posted without change to http:// for drivers regarding epilepsy found in As a result of Medical Examiners www.regulations.gov, including any 49 CFR 391.41(b)(8) states that a person misinterpreting advisory criteria as personal information provided. Please is physically qualified to drive a CMV regulation, numerous drivers have been see the Privacy Act heading below for if that person: prohibited from operating a CMV in further information. Has no established medical history or interstate commerce based on the fact Docket: For access to the docket to clinical diagnosis of epilepsy or any other that they have had one or more seizures read background documents or condition which is likely to cause the loss of and are taking anti-seizure medication, comments, go to http:// consciousness or any loss of ability to control rather than an individual analysis of www.regulations.gov at any time or a CMV. their circumstances by a qualified Room W12–140 on the ground level of In addition to the regulations, FMCSA Medical Examiner based on the physical the West Building, 1200 New Jersey has published advisory criteria 1 to qualification standards and medical best Avenue SE., Washington, DC, between 9 assist Medical Examiners in practices. a.m. and 5 p.m., e.t., Monday through determining whether drivers with On January 15, 2013, FMCSA Friday, except Federal holidays. The certain medical conditions are qualified announced in a Notice of Final FDMS is available 24 hours each day, to operate a CMV in interstate Disposition titled, Qualification of 365 days each year. If you want commerce. [49 CFR part 391, Drivers; Exemption Applications; acknowledgment that we received your APPENDIX A TO PART 391—MEDICAL Epilepsy and Seizure Disorders, (78 FR comments, please include a self- ADVISORY CRITERIA, section H. 3069), its decision to grant requests from addressed, stamped envelope or 22 individuals for exemptions from the postcard or print the acknowledgement 1 See http://www.ecfr.gov/cgi-bin/text-idx?SID= regulatory requirement that interstate page that appears after submitting e47b48a9ea42dd67d999246e23d97970&mc= CMV drivers have ‘‘no established true&node=pt49.5.391&rgn=div5#ap49.5.391_171.a comments online. and https://www.gpo.gov/fdsys/pkg/CFR-2015- medical history or clinical diagnosis of Privacy Act: In accordance with 5 title49-vol5/pdf/CFR-2015-title49-vol5-part391- epilepsy or any other condition which U.S.C. 553(c), DOT solicits comments appA.pdf. is likely to cause loss of consciousness
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or any loss of ability to control a CMV.’’ are questions regarding your the public, as well as opportunities for Since the January 15, 2013 notice, the submission. public input to the NEMSAC and Agency has published additional To submit your comment online, go to FICEMS. The purpose of NEMSAC, a notices granting requests from http://www.regulations.gov and in the nationally recognized council of individuals for exemptions from the search box insert the docket number emergency medical services regulatory requirement regarding FMCSA–2017–0180 and click the search representatives and consumers, is to epilepsy found in 49 CFR 391.41(b)(8). button. When the new screen appears, advise and consult with DOT and the To be considered for an exemption click on the blue ‘‘Comment Now!’’ FICEMS on matters relating to button on the right hand side of the from the epilepsy prohibition in 49 CFR emergency medical services (EMS). The page. On the new page, enter 391.41(b)(8), applicants must meet the purpose of FICEMS is to ensure criteria in the 2007 recommendations of information required including the specific section of this document to coordination among Federal agencies the Agency’s Medical Expert Panel supporting EMS and 9–1–1 systems. (MEP) (78 FR 3069). which each comment applies, and provide a reason for each suggestion or DATES: The NEMSAC meeting will be II. Qualifications of Applicants recommendation. If you submit your held on August 14, 2017 from 8:30 a.m. Shane A. Brackett comments by mail or hand delivery, to 4:00 p.m. EDT, and on August 15, submit them in an unbound format, no 2017 from 8:30 a.m. to 12:00 Noon EDT. Mr. Brackett, 43, has a diagnosis of 1 larger than 8 ⁄2 by 11 inches, suitable for A public comment period will take seizure disorder and been seizure-free copying and electronic filing. If you since 1999. He is compliant with taking place on August 14, 2017 between 11:15 submit comments by mail and would a.m. and 11:45 a.m. EDT and August 15, his anti-seizure medication. His like to know that they reached the 2017 between 10:45 a.m. and 11:15 a.m. physician states that he is supportive of facility, please enclose a stamped, self- EDT. Some NEMSAC subcommittees Mr. Brackett receiving an exemption addressed postcard or envelope. will meet in the same location on Peter Connors We will consider all comments and materials received during the comment Monday, August 14, 2017 from 4 p.m. Mr. Connors, 25, has a diagnosis of period. FMCSA may issue a final to 5 p.m. EDT. Written comments for the seizure disorder and been seizure-free determination at any time after the close NEMSAC from the public must be since 2009. He is compliant with taking of the comment period. received no later than August 7, 2017. his anti-seizure medication. His V. Viewing Comments and Documents The FICEMS meeting will be held on physician states that he is supportive of August 15, 2017 from 1:00 p.m. to 3:00 Mr. Connors receiving an exemption. To view comments, as well as any p.m. EDT. A public comment period Brian D. Krise documents mentioned in this preamble, will take place on August 15, 2017 go to http://www.regulations.gov and in between approximately 2:40 and 2:55 Mr. Krise, 43, has a diagnosis of the search box insert the docket number p.m. EDT. Written comments for seizure disorder and been seizure-free FMCSA–2017–0180 and click ‘‘Search.’’ FICEMS from the public must be since approximately 2002. He is Next, click ‘‘Open Docket Folder’’ and compliant with taking his anti-seizure you will find all documents and received no later than August 1, 2017. medication. His physician states that he comments related to this notice. ADDRESSES: The meetings will be held at is supportive of Mr. Krise receiving an Issued on: July 20, 2017. the Capital Hilton, 1001 16th Street exemption. Larry W. Minor, NW., Washington, DC 20036. Attendees Daniel Maben Associate Administrator for Policy. should plan to arrive 10–15 minutes early. Mr. Maben, 49, has a history of head [FR Doc. 2017–16244 Filed 8–1–17; 8:45 am] trauma in 1998 and two subsequent BILLING CODE 4910–EX–P FOR FURTHER INFORMATION CONTACT: seizures. He has been seizure-free since Gamunu Wijetunge, U.S. Department of 2002. He is compliant with taking anti- DEPARTMENT OF TRANSPORTATION Transportation, Office of Emergency seizure medication. His physician states Medical Services, 1200 New Jersey that he is supportive of Mr. Maben National Highway Traffic Safety Avenue SE., NTI–140, Washington, DC receiving an exemption. Administration 20590, [email protected] or III. Request for Comments [Docket No. NHTSA–2017–0066] 202–493–2793. In accordance with 49 U.S.C. 31136(e) SUPPLEMENTARY INFORMATION: Notice of and 31315, FMCSA requests public Federal Advisory Committee National the NEMSAC meeting is given under the comment from all interested persons on Emergency Medical Services Advisory Federal Advisory Committee Act, Public Council (NEMSAC) and Federal the exemption petitions described in Law 92–463, as amended (5 U.S.C. Interagency Committee on Emergency this notice. We will consider all App.). The NEMSAC is authorized comments received before the close of Medical Services (FICEMS); Notice of Meeting under Section 31108 of the Moving business on the closing date indicated Ahead with Progress in the 21st Century in the DATES section of the notice. AGENCY: National Highway Traffic Act of 2012. The FICEMS is authorized V. Submitting Comments Safety Administration (NHTSA), U.S. under Section 10202 of the Safe, Department of Transportation (DOT). Accountable, Flexible, Efficient You may submit your comments and ACTION: Notice of meeting. Transportation Equity Act: A Legacy for material online or by fax, mail, or hand Users (SAFETEA–LU). delivery, but please use only one of SUMMARY: The NHTSA announces these means. FMCSA recommends that meetings of NEMSAC and FICEMS to be Tentative Agenda of the National EMS you include your name and a mailing held consecutively in the Metropolitan Advisory Council Meeting address, an email address, or a phone Washington, DC area. This notice number in the body of your document announces the date, time, and location The tentative NEMSAC agenda so that FMCSA can contact you if there of the meetings, which will be open to includes the following:
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Monday, August 14, 2017 (8:30 a.m. to Tentative Agenda of the Federal A final agenda as well as meeting 11:45 a.m. EDT) Interagency Committee on EMS Meeting materials will be available to the public online through www.EMS.gov on or Tuesday, August 15, 2017 (1:00 p.m. to (1) Opening Remarks/Approval of before August 7, 2017. December 1–2, 2016 Meeting 3:00 p.m. EST) Authority: 44 U.S.C. 35069(c)(2)(A). Minutes (1) Welcome, Introductions and (2) Federal Liaison Update—Reports Opening Remarks from Dave Fluty, Issued in Washington, DC, on July 27, and Updates from the Departments Chair 2017. of Transportation, Homeland (2) Review and Approval of Executive Jeffrey Michael, Security, and Health & Human Summary of December 2, 2016 Associate Administrator, Research and Services Meeting Program Development. (3) Disclosure of Conflicts of Interests by (3) Update from the NEMSAC (Vince [FR Doc. 2017–16186 Filed 8–1–17; 8:45 am] Members Robbins, NEMSAC Chair) BILLING CODE 4910–59–P (4) EMS Agenda 2050 (4) NEMSAC Committee Updates and (5) Anthrax Vaccination for First Discussion on Pending Advisories Responders a. Innovative Practices of EMS (6) Opioid Overdose Epidemic Update DEPARTMENT OF THE TREASURY Workforce (7) NEMSIS Update b. Patient Care, Quality Improvement (8) NIH Research Update Internal Revenue Service and General Safety (9) Technical Working Group (TWG) Open Meeting of the Taxpayer c. Provider and Community Education Committee Reports a. Evidence-based Practice and Advocacy Panel Joint Committee (5) Public Comment Period (11:15 a.m. Quality AGENCY: to 11:45 a.m. EDT) b. EMS Data Standardization and Internal Revenue Service (IRS), (6) Recess for Lunch—11:45 a.m. to 1:15 Exchange Treasury. p.m. EDT c. EMS Systems Integration ACTION: Notice of meeting. (7) Reconvene for 3 Special d. Safety, Education, and Workforce SUMMARY: Presentations—1:15 p.m. to 2:45 (10) Other Emerging Issues in EMS from An open meeting of the p.m. EDT (∼1/2 hour each) Federal Agencies and Agency Taxpayer Advocacy Panel Joint Committee will be conducted. The a. Doug Kupas, M.D.—‘‘Lights & Siren Updates (11) Public Comment Period Taxpayer Advocacy Panel is soliciting Use by EMS: Above All Do No public comments, ideas, and Harm’’ (approximately 2:40 p.m. EST) (12) Adjourn suggestions on improving customer b. Daniel Patterson, Ph.D.—‘‘Fatigue service at the Internal Revenue Service. in EMS Guidelines’’ Registration Information: These meetings will be open to the public; DATES: The meeting will be held August c. FDA (TBD)—Pharmaceutical/ however, pre-registration is requested. 22, 2017, and August 23, 2017. Medication Shortages Individuals wishing to attend must FOR FURTHER INFORMATION CONTACT: (8) Discussion on NEMSAC 2015–2017 register online no later than August 7, Gretchen Swayzer at 1–888–912–1227 Report—Review of two year’s work 2017. For NEMSAC please register at: or 469–801–0769. As needed, NEMSAC Committees will http://www.cvent.com/d/v5qrzn/4W. SUPPLEMENTARY INFORMATION: Notice is meet in Breakout Sessions from 4 For assistance with NEMSAC hereby given pursuant to Section p.m.–5 p.m.—(on-site and open to registration, please contact Susan 10(a)(2) of the Federal Advisory the public) McHenry at [email protected] or Committee Act, 5 U.S.C. App. (1988) 202–366–6540. For FICEMS please Tuesday, August 15, 2017 (8:30 a.m. to that an open meeting of the Taxpayer register at: http://www.cvent.com/d/ 12:00 Noon, EDT) Advocacy Panel Joint Committee will be p5qr2s/4W. For assistance with FICEMS held Tuesday, August 22, 2017 and (1) Reconvene and Introductions (8:30 registration, please contact Gamunu Wednesday, August 23, 2017, from 8:00 a.m.–8:45 a.m. EDT) Wijetunge at Gamunu.Wijetunge@ a.m. to 5:00 p.m. Eastern Standard (2) Special Comments from Designated dot.gov or 202–493–2793. There will not Time. The public is invited to make oral Federal Official (DFO), Chair and be a teleconference option for these comments or submit written statements Vice Chair on last meeting of meetings. for consideration. Notification of intent current 2015–2017 NEMSAC Public Comment: Members of the to participate must be made with Membership and Update on public are encouraged to comment Gretchen Swayzer. For more Application Process for 2017–2019 directly to the NEMSAC and FICEMS information please contact Gretchen and estimated timeline for during designated public comment Swayzer at 1–888–912–1227 or 469– Appointments. (8:45 a.m. to 9:30 periods. In order to allow as many 801–0769, TAP Office, 4050 Alpha Rd, a.m. EDT) people as possible to speak, speakers are Farmers Branch, TX 75244, or contact requested to limit their remarks to 5 (3) NEMSAC Committee Reports/ us at the Web site: http:// minutes. Written comments from Updates/Discussion (9:30 a.m.– www.improveirs.org. members of the public will be 10:30 a.m. EDT) The agenda will include various distributed to NEMSAC or FICEMS committee issues for submission to the (4) Public Comment Period (10:45 a.m. members at the meeting and should to 11:15 a.m. EDT) IRS and other TAP related topics. Public reach the NHTSA Office of EMS no later input is welcomed. (5) NEMSAC Action on Committee than August 7, 2017. Written comments Advisories and NEMSAC 2015– may be submitted by either one of the Dated: July 21, 2017. 2017 Report following methods: (1) You may submit Antoinette Ross, (6) NEMSAC Next Steps and Wrap Up, comments by email: [email protected] or Acting Director, Taxpayer Advocacy Panel. and Adjourn (11:45 a.m.–12 Noon [email protected] or (2) you may submit [FR Doc. 2017–16014 Filed 8–1–17; 8:45 am] EDT) comments by fax: (202) 366–7149. BILLING CODE 4830–01–P
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DEPARTMENT OF THE TREASURY international boycott (within the Lebanon meaning of section 999(b)(3) of the Libya Office of the Secretary Internal Revenue Code of 1986). Qatar On the basis of the best information Saudi Arabia List of Countries Requiring currently available to the Department of Cooperation With an International Syria the Treasury, the following countries United Arab Emirates Boycott require or may require participation in, Yemen In accordance with section 999(a)(3) or cooperation with, an international of the Internal Revenue Code of 1986, boycott (within the meaning of section Dated: July 26, 2017. the Department of the Treasury is 999(b)(3) of the Internal Revenue Code Danielle Rolfes, publishing a current list of countries of 1986). International Tax Counsel, (Tax Policy). which require or may require Iraq [FR Doc. 2017–16290 Filed 8–1–17; 8:45 am] participation in, or cooperation with, an Kuwait BILLING CODE 4810–25–P
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Reader Aids Federal Register Vol. 82, No. 147 Wednesday, August 2, 2017
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING AUGUST
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. Proposed Rules: Presidential Documents 1 CFR 52 ...... 35734, 35738, 35922 Executive orders and proclamations 741–6000 Proposed Rules: 192...... 35924 The United States Government Manual 741–6000 Ch. IV ...... 35689, 35697 Other Services Ch. VI ...... 35689, 35697 47 CFR Electronic and on-line services (voice) 741–6020 3 CFR Privacy Act Compilation 741–6050 76...... 35658 Proclamations: Public Laws Update Service (numbers, dates, etc.) 741–6043 9629...... 35881 48 CFR 5 CFR ELECTRONIC RESEARCH Proposed Rules: 9401...... 35883 252...... 35741 World Wide Web 12 CFR Full text of the daily Federal Register, CFR and other publications 49 CFR is located at: www.fdsys.gov. Proposed Rules: 741...... 35705 1002...... 35906 Federal Register information and research tools, including Public Inspection List, indexes, and Code of Federal Regulations are 14 CFR 50 CFR located at: www.ofr.gov. 25...... 35623 39 ...... 35628, 35630, 35634, 622...... 35658 E-mail 35636, 35638, 35641, 35644, 648...... 35660, 35686 FEDREGTOC (Daily Federal Register Table of Contents Electronic 35647, 35888 660...... 35687 Mailing List) is an open e-mail service that provides subscribers 71...... 35649 679...... 35910 with a digital form of the Federal Register Table of Contents. The 97...... 35890, 35896 digital form of the Federal Register Table of Contents includes Proposed Rules: HTML and PDF links to the full text of each document. 39...... 35911, 35917 To join or leave, go to https://public.govdelivery.com/accounts/ 71 ...... 35714, 35716, 35918 USGPOOFR/subscriber/new, enter your email address, then 91...... 35920 follow the instructions to join, leave, or manage your 28 CFR subscription. 16...... 35651 PENS (Public Law Electronic Notification Service) is an e-mail service that notifies subscribers of recently enacted laws. 32 CFR To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 706...... 35898 and select Join or leave the list (or change settings); then follow the instructions. 33 CFR FEDREGTOC and PENS are mailing lists only. We cannot 100...... 35654 respond to specific inquiries. 117...... 35655 165...... 35655, 35900 Reference questions. Send questions and comments about the Federal Register system to: [email protected] Proposed Rules: 100...... 35717 The Federal Register staff cannot interpret specific documents or regulations. 38 CFR CFR Checklist. Effective January 1, 2009, the CFR Checklist no 36...... 35902 longer appears in the Federal Register. This information can be 60...... 35905 found online at http://bookstore.gpo.gov/. Proposed Rules: 4...... 35719 FEDERAL REGISTER PAGES AND DATE, AUGUST 61...... 35922 35623–35882...... 1 40 CFR 35883–36076...... 2 62...... 35906
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in today’s List of Public enacted public laws. To Laws. subscribe, go to http:// LIST OF PUBLIC LAWS Public Laws Electronic listserv.gsa.gov/archives/ Last List June 30, 2017 Notification Service publaws-l.html (PENS) Note: No public bills which Note: This service is strictly have become law were for E-mail notification of new received by the Office of the PENS is a free electronic mail laws. The text of laws is not Federal Register for inclusion notification service of newly available through this service. PENS cannot respond to specific inquiries sent to this address.
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