Vol. 82 Tuesday, No. 33 February 21, 2017

Pages 11131–11298

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 82, No. 33

Tuesday, February 21, 2017

Agricultural Marketing Service Importers of Controlled Substances; Applications: NOTICES Hospira, 11241 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Education Department Assessment Exemption for Organic Commodities, 11171– NOTICES 11172 Applications for New Awards: National Professional Development Program, 11202– Agriculture Department 11211 See Agricultural Marketing Service Ronald E. McNair Postbaccalaureate Achievement See Food and Nutrition Service Program, 11196–11202 See Forest Service See Procurement and Property Management Office, Energy Department Agriculture Department See Federal Energy Regulatory Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals, 11172–11173 National Coal Council, 11211–11212

Army Department Engineers Corps NOTICES NOTICES Requests for Nominations: Environmental Assessments; Availability, etc.: Advisory Committee on Arlington National Cemetery, Pier 70 Central Basin Continuing Authorities Program 11191–11192 Section 107 Navigation Improvement Project at Port of San Francisco, San Francisco, CA; Withdrawal, Bureau of Consumer Financial Protection 11195 NOTICES Requests for Information: Environmental Protection Agency Use of Alternative Data and Modeling Techniques in NOTICES Credit Process, 11183–11191 Statutory Requirements for Substantiation of Confidential Business Information Claims under Toxic Substances Centers for Medicare & Medicaid Services Control Act; Delay of Effective Date, 11218 NOTICES Washington State Department of Ecology Prohibition of Agency Information Collection Activities; Proposals, Discharges of Vessel Sewage, 11218–11221 Submissions, and Approvals, 11222–11224 Federal Aviation Administration Coast Guard RULES RULES Airworthiness Directives: Drawbridge Operations: Airbus Airplanes, 11134–11137 Atlantic Intracoastal Waterway, Wrightsville Beach, NC, Bombardier, Inc. Airplanes, 11144–11146 11148 Gulfstream Aerospace Corporation Airplanes, 11146– Sturgeon Bay, Sturgeon Bay, WI, 11148–11151 11148 The Boeing Company Airplanes, 11132–11134, 11137– Commerce Department 11144 See Industry and Security Bureau PROPOSED RULES See International Trade Administration Airworthiness Directives: See National Oceanic and Atmospheric Administration Airbus Airplanes, 11162–11164

Defense Department Federal Communications Commission See Army Department RULES See Engineers Corps Incentive Auction Task Force and Media Bureau Finalize See Navy Department Catalog of Reimbursement Expenses, 11156 NOTICES Agency Information Collection Activities; Proposals, Federal Election Commission Submissions, and Approvals, 11192 NOTICES Meetings: Meetings; Sunshine Act, 11221 Reserve Forces Policy Board; Federal Advisory Committee, 11192–11193 Federal Energy Regulatory Commission Privacy Act; Systems of Records, 11193–11195 NOTICES Applications: Drug Enforcement Administration Alpine Pacific Utilities Hydro, LLC, 11217 NOTICES Moon Lake Electric Association, Inc., 11213–11214 Decisions and Orders: Pacific Gas and Electric Co., 11212–11213 Frank D. Li, M.D., 11238–11241 Combined Filings, 11214–11217

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Preliminary Permit Applications: Nurse Faculty Loan Program, Revised Program Specific Merchant Hydro Developers, LLC, 11214–11215, 11217– Data Form, 11229–11230 11218 Nurse Faculty Loan Program, Annual Performance Report Financial Data Form, 11228–11229 Federal Reserve System Questionnaire and Data Collection Testing, Evaluation, NOTICES and Research, 11230–11231 Formations of, Acquisitions by, and Mergers of Bank Holding Companies, 11221 Homeland Security Department Proposals to Engage in or to Acquire Companies Engaged in See Coast Guard Permissible Nonbanking Activities, 11221–11222 See U.S. Customs and Border Protection

Food and Drug Administration Industry and Security Bureau NOTICES NOTICES Guidance: Meetings: Q11 Development and Manufacture of Drug Substances— Emerging Technology and Research Advisory Committee, Questions and Answers (Selection and Justification 11177 of Starting Materials); International Council for Materials Processing Equipment Technical Advisory Harmonisation, 11225–11226 Committee, 11176–11177 Meetings: Materials Technical Advisory Committee, 11177–11178 Tobacco Products Scientific Advisory Committee, 11226– Transportation and Related Equipment Technical 11227 Advisory Committee, 11176 Pediatric Postmarketing Pharmacovigilance and Drug International Trade Administration Utilization Reviews, 11227–11228 NOTICES Antidumping and Countervailing Duty Investigations, Food and Nutrition Service Orders, and Reviews: RULES Seamless Refined Copper Pipe and Tube from Mexico: Supplemental Nutrition Assistance Program: Antidumping Duty Administrative Review, Final Eligibility, Certification, and Employment and Training Results and Final Determination of No Shipments; Provisions of the Food, Conservation and Energy Act 2014–2015, 11178–11179 of 2008; Delay of Effective Dates and Extension of Comment Period, 11131–11132 Justice Department NOTICES See Drug Enforcement Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Proposed Consent Decrees under CERCLA, 11241 Special Supplemental Nutrition Program for Women, Infants, and Children Program Regulations— Labor Department Reporting and Record-Keeping Burden, 11173–11174 NOTICES Agency Information Collection Activities; Proposals, Forest Service Submissions, and Approvals: NOTICES Complaint Involving Employment Discrimination by Meetings: Federal Contractor or Subcontractor, 11245–11246 Butte County Resource Advisory Committee, 11174 Default Investment Alternatives under Participant Lake Tahoe Basin Federal Advisory Committee, 11174– Directed Individual Account Plans, 11242–11243 11175 Occupational Requirements Survey, 11244–11245 Land Between the Lakes Advisory Board, 11175 Performance Partnership Pilots for Disconnected Youth Siskiyou, OR, Resource Advisory Committee, 11175– Program National Evaluation, 11242 11176 Pre-Implementation Planning Checklist Report for State Unemployment Insurance Information Technology Health and Human Services Department Modernization Projects, 11243–11244 See Centers for Medicare & Medicaid Services See Food and Drug Administration National Credit Union Administration See Health Resources and Services Administration NOTICES See National Institutes of Health Meetings; Sunshine Act, 11246 PROPOSED RULES World Trade Center Health Program: National Institutes of Health Petition 014—Autoimmune Disease; Finding of NOTICES Insufficient Evidence, 11164–11166 Government-Owned Inventions; Availability for Licensing, NOTICES 11235 Meetings: Meetings: Physician-Focused Payment Model Technical Advisory Center for Scientific Review, 11234–11235 Committee, 11232–11233 Eunice Kennedy Shriver National Institute of Child Health and Human Development, 11235–11236 Health Resources and Services Administration National Cancer Institute, 11236 NOTICES National Human Genome Research Institute, 11237 Agency Information Collection Activities; Proposals, National Institute of Allergy and Infectious Diseases, Submissions, and Approvals: 11237 National Health Service Corps and NURSE Corps Interest National Institute of Diabetes and Digestive and Kidney Capture Form, 11231–11232 Diseases, 11233

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National Institute of Neurological Disorders and Stroke, Procurement and Property Management Office, 11233–11234 Agriculture Department PROPOSED RULES National Oceanic and Atmospheric Administration Designation of Product Categories for Federal Procurement, RULES 11159 Fisheries of the Exclusive Economic Zone off Alaska: Pacific Cod by Vessels Using Pot Gear in Western Securities and Exchange Commission Regulatory Area of Gulf of Alaska, 11158 NOTICES Snapper-Grouper Fishery of South Atlantic: Applications: Regulatory Amendment 16, 11156–11157 Brinker Capital Destinations Trust, et al., 11251–11252, PROPOSED RULES 11277–11278 Fisheries of the Caribbean, Gulf of Mexico, and South Self-Regulatory Organizations; Proposed Rule Changes: Atlantic: Bats BZX Exchange, Inc., 11278–11289 Coastal Migratory Pelagic Resources in Gulf of Mexico Bats EDGX Exchange, Inc., 11275–11277 and Atlantic Region; Framework Amendment 4, Chicago Board Options Exchange, Inc., 11248–11251, 11166–11170 11290–11293 NOTICES Chicago Stock Exchange, Inc., 11252–11272 Meetings: MIAX PEARL, LLC, 11272–11274 National Sea Grant Advisory Board, 11182 New England Fishery Management Council, 11182–11183 Social Security Administration Permits: NOTICES Endangered Species; File No. 20315, 11181–11182 Agency Information Collection Activities; Proposals, Marine Mammals and Endangered Species; File Nos. Submissions, and Approvals, 11293–11297 15682, 16094, 17845, 19627, 20197, 20452, 20341, and 20658, 11180–11181 Transportation Department Marine Mammals; File No. 20465, 11179–11180 See Federal Aviation Administration Navy Department U.S. Customs and Border Protection NOTICES NOTICES Exclusive Licenses; Approvals: Agency Information Collection Activities; Proposals, JFD, Ltd., 11196 Submissions, and Approvals: PhareTech, 11196 Electronic Visa Update System, 11237–11238 Nuclear Regulatory Commission Veterans Affairs Department PROPOSED RULES RULES Petitions for Rulemaking; Denials: Fertility Counseling and Treatment for Certain Veterans and Uninterruptible Monitoring of Coolant and Fuel in Spouses; Correction, 11152–11153 Reactors and Spent Fuel Pools, 11159–11162 Loan Guaranty, 11153–11154 Recognition of Tribal Organizations for Representation of Personnel Management Office VA Claimants, 11151–11152 RULES VA Veteran-Owned Small Business Verification Guidelines, Federal Employees Health Benefits: 11154–11155 Employees of Certain Indian Tribal Employers, 11131

Postal Regulatory Commission NOTICES Reader Aids New Postal Products, 11246–11247 Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, and notice Postal Service of recently enacted public laws. NOTICES To subscribe to the Federal Register Table of Contents Product Changes: electronic mailing list, go to https://public.govdelivery.com/ Priority Mail Express Negotiated Service Agreement, accounts/USGPOOFR/subscriber/new, enter your e-mail 11248 address, then follow the instructions to join, leave, or Priority Mail Negotiated Service Agreement, 11247–11248 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 890...... 11131 7 CFR 271...... 11131 272...... 11131 273...... 11131 274...... 11131 275...... 11131 276...... 11131 277...... 11131 278...... 11131 279...... 11131 280...... 11131 281...... 11131 282...... 11131 283...... 11131 285...... 11131 Proposed Rules: 3201...... 11159 10 CFR Proposed Rules: 50...... 11159 14 CFR 39 (6 documents) ...... 11132, 11134, 11137, 11140, 11144, 11146 Proposed Rules: 39...... 11162 33 CFR 117 (2 documents) ...... 11148 38 CFR 14...... 11151 17...... 11152 36...... 11153 74...... 11154 42 CFR Proposed Rules: 88...... 11164 47 CFR 73...... 11156 50 CFR 622...... 11156 679...... 11158 Proposed Rules: 622...... 11166

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Rules and Regulations Federal Register Vol. 82, No. 33

Tuesday, February 21, 2017

This section of the FEDERAL REGISTER Federal Employees Health Benefits 2017 (82 FR 2010) is delayed to May 8, contains regulatory documents having general (FEHB) for Employees of Certain Indian 2017. The effective date for the applicability and legal effect, most of which Tribal Employers, falls within the scope amendments to 7 CFR 273.11(e) and are keyed to and codified in the Code of of the January 20, 2017, memorandum. 273.11(f), which were issued as an Federal Regulations, which is published under As a result, the purpose of this rule is interim final rule, is delayed to June 5, 50 titles pursuant to 44 U.S.C. 1510. to perform the required action of 2017. The effective date for the The Code of Federal Regulations is sold by postponing the effective date of this rule amendments to 7 CFR 273.2(c)(1)(v) is the Superintendent of Documents. Prices of to March 21, 2017. delayed to March 9, 2018. new books are listed in the first FEDERAL U.S. Office of Personnel Management. Comment date: FNS will consider REGISTER issue of each week. comments from the public on the Kathleen McGettigan, amendments to 7 CFR 273.11(e) and Acting Director. 273.11(f). Comments must be received at OFFICE OF PERSONNEL [FR Doc. 2017–03305 Filed 2–17–17; 8:45 am] one of the addresses provided below. MANAGEMENT BILLING CODE 6325–39–P The comment date has been extended from March 7, 2017, to April 6, 2017. 5 CFR Part 890 ADDRESSES: FNS invites interested DEPARTMENT OF AGRICULTURE Access to Federal Employees Health persons to submit comments on the interim rule provisions at 7 CFR Benefits (FEHB) for Employees of Food and Nutrition Service Certain Indian Tribal Employers 273.11(e) and 273.11(f). Comments may be submitted by one of the following 7 CFR Parts 271, 272, 273, 274, 275, AGENCY: U.S. Office of Personnel methods: Management. 276, 277, 278, 279, 280, 281, 282, 283, • Federal e-Rulemaking Portal: Go to and 285 ACTION: Final rule; delay of the effective http://www.regulations.gov. Preferred date. [FNS 2011–0008] method; follow the online instructions for submitting comments on docket FNS RIN 0584–AD87 SUMMARY: This rule delays the effective 2011–0008. date of the final rule titled, Access to • Fax: Submit comments by facsimile Federal Employees Health Benefits Supplemental Nutrition Assistance Program (SNAP): Eligibility, transmission to: Sasha Gersten-Paal, (FEHB) for Employees of Certain Indian Certification Policy Branch, Fax number Tribal Employers, published in the Certification, and Employment and Training Provisions of the Food, 703–305–2486. Federal Register on December 28, 2016, • Mail: Comments should be to a date 60 days from January 20, 2017. Conservation and Energy Act of 2008; Extension of Effective Dates and addressed to Sasha Gersten-Paal, DATES: The effective date for the rule Comment Period Certification Policy Branch, 3101 Park amending 5 CFR part 890 published at Center Drive, Alexandria, VA 22302. 81 FR 95397, December 28, 2016, is AGENCY: Food and Nutrition Service, • Hand Delivery or Courier: Deliver delayed until March 21, 2017. USDA. comments to Sasha Gersten-Paal, FOR FURTHER INFORMATION CONTACT: ACTION: Final rule and interim final rule; Certification Policy Branch, 3101 Park Padma Shah, Policy Analysis Group by delay of effective dates and extension of Center Drive, Alexandria, VA 22302, telephone (202) 606–0004. comment period. Monday–Friday, 8:30 a.m.–5:00 p.m. SUPPLEMENTARY INFORMATION: On All comments submitted in response December 28, 2016, OPM published a SUMMARY: Consistent with the to the interim rule provision will be rule, titled Access to Federal Employees memorandum of January 20, 2017, to included in the record and will be made Health Benefits (FEHB) for Employees of the heads of executive departments and available to the public. Please be Certain Indian Tribal Employers (81 FR agencies from the Assistant to the advised that the substance of the 95397), with an effective date of President and Chief of Staff entitled comments and the identity of the February 27, 2017. On January 20, 2017, ‘‘Regulatory Freeze Pending Review’’, individuals or entities submitting the the White House distributed a the Department of Agriculture’s Food comments will be subject to public Memorandum for the Heads of and Nutrition Service (FNS) is disclosure. FNS will make the Executive Departments and Agencies, extending the effective dates and comments publicly available on the titled Regulatory Freeze Pending Review comment period for this rule, which Internet via http://www.regulations.gov. (82 FR 8346, Jan. 24, 2017), from Reince was published January 6, 2017 and FOR FURTHER INFORMATION CONTACT: Priebus, Assistant to the President and implements provisions of the Food, Sasha Gersten-Paal, Branch Chief, Chief of Staff. Pursuant to the Conservation and Energy Act of 2008 Certification Policy Branch, Program memorandum, an agency was required (FCEA) affecting the eligibility, benefits, Development Division, Food and to temporarily postpone, to a date 60 certification, and employment and Nutrition Service (FNS), 3101 Park days from the date of the memorandum, training (E&T) requirements for Center Drive, Room 810, Alexandria, the effective date of any rule, not applicant or participant households in Virginia, 22302, (703) 305–2507, excluded from the scope of the the Supplemental Nutrition Assistance [email protected]. memorandum or otherwise excepted, Program (SNAP). SUPPLEMENTARY INFORMATION: Consistent that had been published in the Federal DATES: with the memorandum of January 20, Register but had not yet taken effect. Effective dates: The effective date for 2017, to the heads of executive The rule referenced above, Access to the final rule published on January 6, departments and agencies from the

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Assistant to the President and Chief of believes that affected parties need to be Examining the AD Docket Staff entitle ‘‘regulatory Freeze Pending informed as soon as possible of the You may examine the AD docket on Review’’, FNS is delaying the effective extensions and their length. the Internet at http:// dates by 60 days and extending the Dated: February 8, 2017. www.regulations.gov by searching for comment period by 30 days for this rule Jessica Shahin, and locating Docket No. FAA–2016– as noted under the DATES section to 6426; or in person at the Docket ensure that the public has sufficient Acting Administrator, Food and Nutrition Service. Management Facility between 9 a.m. time to review and comment on the [FR Doc. 2017–03337 Filed 2–17–17; 8:45 am] and 5 p.m., Monday through Friday, rule. except Federal holidays. The AD docket The January 6, 2017 rule amends the BILLING CODE 3410–30–P contains this AD, the regulatory SNAP regulations to: Exclude military evaluation, any comments received, and combat pay from the income of SNAP other information. The address for the households; raise the minimum DEPARTMENT OF TRANSPORTATION standard deduction and the minimum Docket Office (phone: 800–647–5527) is Docket Management Facility, U.S. benefit for small households; eliminate Federal Aviation Administration the cap on the deduction for dependent Department of Transportation, Docket Operations, M–30, West Building care expenses; index resource limits to 14 CFR Part 39 inflation; exclude retirement and Ground Floor, Room W12–140, 1200 education accounts from countable [Docket No. FAA–2016–6426; Directorate New Jersey Avenue SE., Washington, resources; clarify reporting requirements Identifier 2016–NM–023–AD; Amendment DC 20590. under simplified reporting; permit 39–18791; AD 2017–02–12] FOR FURTHER INFORMATION CONTACT: States to provide transitional benefits to Payman Soltani, Aerospace Engineer, RIN 2120–AA64 households leaving State-funded cash Airframe Branch, ANM–120L, FAA, Los Angeles Aircraft Certification Office assistance programs; allow States to Airworthiness Directives; The Boeing (ACO), 3960 Paramount Boulevard, establish telephonic and gestured Company Airplanes signature systems; permit States to use Lakewood, CA 90712–4137; phone: E&T funds to provide job retention AGENCY: Federal Aviation 562–627–5313; fax: 562–627–5210; services; and update requirements Administration (FAA), DOT. email: [email protected]. regarding the E&T funding cycle. These ACTION: Final rule. SUPPLEMENTARY INFORMATION: provisions are intended to more accurately reflect needs, reduce barriers SUMMARY: We are adopting a new Discussion to participation, and improve efficiency airworthiness directive (AD) for all The We issued a notice of proposed in the administration of the program. Boeing Company Model 737–300, –400, rulemaking (NPRM) to amend 14 CFR This rule also replaces outdated and –500 series airplanes. This AD was part 39 by adding an AD that would language in SNAP certification prompted by reports of intergranular apply to all The Boeing Company Model regulations with the new program name cracks on the front spar chord lugs of 737–300, –400, and –500 series and updates procedures for accessing the outboard horizontal stabilizer. This airplanes. The NPRM published in the SNAP benefits in drug and alcohol AD requires repetitive inspections of the Federal Register on May 10, 2016 (81 treatment centers and group living front spar chord lugs and lug bores of FR 28774) (‘‘the NPRM’’). The NPRM arrangements with use of electronic the horizontal stabilizer, and repair if was prompted by reports of benefit transfer (EBT) cards. This rule necessary. We are issuing this AD to intergranular cracks on the front spar provides States with regulatory options address the unsafe condition on these chord lugs of the outboard horizontal for conducting telephone interviews in products. stabilizer. The NPRM proposed to lieu of face-to-face interviews and for require repetitive inspections of the DATES: This AD is effective March 28, averaging student work hours. 2017. front spar chord lugs and lug bores of Finally, the Department issued a the horizontal stabilizer, and repair if portion of the rule as an interim final The Director of the Federal Register approved the incorporation by reference necessary. We are issuing this AD to rule (with a request for additional detect and correct cracking of the front comment) that will require that drug of a certain publication listed in this AD as of March 28, 2017. spar chord lugs of the horizontal and alcohol treatment and group living stabilizer. Such cracking could cause arrangements (GLA) centers to: Submit ADDRESSES: For service information stabilizer instability, adversely affect completed change report forms to the identified in this final rule, contact controllability of the airplane, and State agency when a resident leaves the Boeing Commercial Airplanes, adversely affect the structural integrity center; notify the State agency within 5 Attention: Data & Services Management, of the airplane. days when the center is not able to P.O. Box 3707, MC 2H–65, Seattle, WA provide the resident with their EBT card 98124–2207; telephone: 206–544–5000, Comments at departure; and return EBT cards to extension 1; fax: 206–766–5680; We gave the public the opportunity to residents with pro-rated benefits based Internet: https:// participate in developing this AD. The up on the date of their departure. www.myboeingfleet.com. You may view following presents the comments To the extent that 5 U.S.C. 553(b)(A) this referenced service information at received on the NPRM and the FAA’s applies to this action, it is exempt from the FAA, Transport Airplane response to each comment. notice and comment rulemaking for Directorate, 1601 Lind Avenue SW., good cause and for reasons cited above, Renton, WA. For information on the Support for the NPRM FNS finds that notice and solicitation of availability of this material at the FAA, Boeing had no objection to the NPRM. comment regarding the brief extension call 425–227–1221. It is also available of the effective dates and comment on the Internet at http:// Effect of Winglets on Accomplishment period are impracticable, unnecessary, www.regulations.gov by searching for of the Proposed Actions or contrary to the public interest and locating Docket No. FAA–2016– Aviation Partners Boeing stated that pursuant to 5 U.S.C. 553(b)(B). FNS 6426. accomplishing Supplemental Type

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Certificate (STC) ST01219SE does not horizontal stabilizers. However, we do • Are consistent with the intent that affect the ability to accomplish the not agree to add a grace period of 27 was proposed in the NPRM for actions specified in the proposed AD. months to paragraph (i) of this AD or to correcting the unsafe condition; and We concur with the commenter. We incorporate ANA’s proposed language. • Do not add any additional burden have redesignated paragraph (c) of the We have revised paragraph (i) of this AD upon the public than was already proposed AD as paragraph (c)(1) and to clarify the provisions to address proposed in the NPRM. added paragraph (c)(2) to this AD to ANA’s concern and to align more state that installation of STC ST01219SE closely with the language used in We also determined that these does not affect the ability to accomplish similar ADs. changes will not increase the economic the actions required by this AD. The compliance time in paragraph (g) burden on any operator or increase the Therefore, for airplanes on which STC of this AD applies to all horizontal scope of this AD. ST01219SE is installed, a ‘‘change in stabilizers, including those installed Related Service Information Under product’’ alternative method of after the effective date of this AD. 1 CFR Part 51 compliance (AMOC) approval request is Because the unsafe condition is related not necessary to comply with the to corrosion, the compliance times in We reviewed Boeing Alert Service requirements of 14 CFR 39.17. this AD are measured in months. Bulletin 737–55A1092, dated August 7, Therefore, time accumulated on a Request To Revise Compliance Time 2015. The service information describes horizontal stabilizer on and off an procedures for inspections for corrosion All Nippon Airways (ANA) requested airplane applies to the initial and cracking of the front spar chord lugs that we revise paragraph (i) of the compliance time and the repetitive of the horizontal stabilizer, and proposed AD to provide a grace period inspection interval. A horizontal inspections for corrosion of the lug of 27 months after the effective date of stabilizer that is off the airplane when bores. This service information is the AD in which to accomplish the the next inspection is due is not reasonably available because the initial inspection on horizontal required to be inspected until it is ready interested parties have access to it stabilizers, including replacement to be installed on the airplane. through their normal course of business horizontal stabilizers. ANA stated that Conclusion or by the means identified in the these revisions would reduce the ADDRESSES section. burden on operators. ANA proposed We reviewed the relevant data, new, complex language for paragraph (i) considered the comments received, and Costs of Compliance of the proposed AD that would determined that air safety and the incorporate their proposal. public interest require adopting this AD We estimate that this AD affects 346 We partially agree. We agree that the with the changes described previously airplanes of U.S. registry. 27-month after the effective date of this and minor editorial changes. We have We estimate the following costs to AD grace period applies to replacement determined that these minor changes: comply with this AD:

ESTIMATED COSTS

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

Inspections ...... 14 work-hours × $85 per hour = $1,190 per inspec- $0 $1,190 per inspection $411,740 per inspection tion cycle. cycle. cycle

We have received no definitive data that is likely to exist or develop on under the criteria of the Regulatory that would enable us to provide cost products identified in this rulemaking Flexibility Act. estimates for the on-condition actions action. List of Subjects in 14 CFR Part 39 specified in this AD. Regulatory Findings Authority for This Rulemaking Air transportation, Aircraft, Aviation This AD will not have federalism safety, Incorporation by reference, Title 49 of the United States Code implications under Executive Order Safety. specifies the FAA’s authority to issue 13132. This AD will not have a rules on aviation safety. Subtitle I, substantial direct effect on the States, on Adoption of the Amendment section 106, describes the authority of the relationship between the national Accordingly, under the authority the FAA Administrator. Subtitle VII: government and the States, or on the delegated to me by the Administrator, Aviation Programs, describes in more distribution of power and the FAA amends 14 CFR part 39 as detail the scope of the Agency’s responsibilities among the various follows: authority. levels of government. We are issuing this rulemaking under For the reasons discussed above, I PART 39—AIRWORTHINESS the authority described in Subtitle VII, certify that this AD: DIRECTIVES Part A, Subpart III, Section 44701: (1) Is not a ‘‘significant regulatory ‘‘General requirements.’’ Under that action’’ under Executive Order 12866, ■ 1. The authority citation for part 39 section, Congress charges the FAA with (2) Is not a ‘‘significant rule’’ under continues to read as follows: promoting safe flight of civil aircraft in DOT Regulatory Policies and Procedures air commerce by prescribing regulations (44 FR 11034, February 26, 1979), Authority: 49 U.S.C. 106(g), 40113, 44701. for practices, methods, and procedures (3) Will not affect intrastate aviation § 39.13 [Amended] the Administrator finds necessary for in Alaska, and safety in air commerce. This regulation (4) Will not have a significant ■ 2. The FAA amends § 39.13 by adding is within the scope of that authority economic impact, positive or negative, the following new airworthiness because it addresses an unsafe condition on a substantial number of small entities directive (AD):

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2017–02–12 The Boeing Company: Compliance): Before further flight, repair Airframe Branch, ANM–120L, FAA, Los Amendment 39–18791; Docket No. using a method approved in accordance with Angeles ACO, 3960 Paramount Boulevard, FAA–2016–6426; Directorate Identifier the procedures specified in paragraph (j) of Lakewood, CA 90712–4137; phone: 562–627– 2016–NM–023–AD. this AD. 5313; fax: 562–627–5210; email: [email protected]. (a) Effective Date (i) Parts Installation Limitation This AD is effective March 28, 2017. As of the effective date of this AD: A (l) Material Incorporated by Reference horizontal stabilizer may be installed on any (1) The Director of the Federal Register (b) Affected ADs airplane, provided all applicable actions approved the incorporation by reference None. required by the introductory text of (IBR) of the service information listed in this paragraph (g) and paragraphs (g)(1) and (g)(2) (c) Applicability paragraph under 5 U.S.C. 552(a) and 1 CFR of this AD are done within the compliance part 51. (1) This AD applies to all The Boeing times specified in the introductory text of (2) You must use this service information Company Model 737–300, –400, and –500 paragraph (g) of this AD, and in accordance as applicable to do the actions required by series airplanes, certificated in any category. with the Accomplishment Instructions of this AD, unless the AD specifies otherwise. (2) Installation of Supplemental Type Boeing Alert Service Bulletin 737–55A1092, (i) Boeing Alert Service Bulletin 737– Certificate (STC) ST01219SE (http:// dated August 7, 2015, except as required by _ _ _ 55A1092, dated August 7, 2015. rgl.faa.gov/Regulatory and Guidance paragraph (h) of this AD. (ii) Reserved. Library/rgstc.nsf/0/ (3) For Boeing service information ebd1cec7b301293e86257cb30045557a/$FILE/ (j) Alternative Methods of Compliance (AMOCs) identified in this AD, contact Boeing ST01219SE.pdf) does not affect the ability to Commercial Airplanes, Attention: Data & accomplish the actions required by this AD. (1) The Manager, Los Angeles Aircraft Services Management, P.O. Box 3707, MC Therefore, for airplanes on which STC Certification Office (ACO), FAA, has the 2H–65, Seattle, WA 98124–2207; telephone: ST01219SE is installed, a ‘‘change in authority to approve AMOCs for this AD, if 206–544–5000, extension 1; fax: 206–766– product’’ alternative method of compliance requested using the procedures found in 14 5680; Internet: https:// (AMOC) approval request is not necessary to CFR 39.19. In accordance with 14 CFR 39.19, www.myboeingfleet.com. comply with the requirements of 14 CFR send your request to your principal inspector (4) You may view this service information 39.17. or local Flight Standards District Office, as at FAA, Transport Airplane Directorate, 1601 appropriate. If sending information directly (d) Subject Lind Avenue SW., Renton, WA. For to the manager of the ACO, send it to the information on the availability of this Air Transport Association (ATA) of attention of the person identified in material at the FAA, call 425–227–1221. America Code 55, Stabilizers. paragraph (k) of this AD. Information may be (5) You may view this service information emailed to: 9-ANM-LAACO-ACO-AMOC- (e) Unsafe Condition that is incorporated by reference at the [email protected]. National Archives and Records This AD was prompted by reports of (2) Before using any approved AMOC, Administration (NARA). For information on intergranular cracks on the front spar chord notify your appropriate principal inspector, the availability of this material at NARA, call lugs of the outboard horizontal stabilizer. We or lacking a principal inspector, the manager are issuing this AD to detect and correct of the local flight standards district office/ 202–741–6030, or go to: http:// cracking of the front spar chord lugs of the certificate holding district office. www.archives.gov/federal-register/cfr/ibr- horizontal stabilizer. Such cracking could (3) An AMOC that provides an acceptable locations.html. cause stabilizer instability, adversely affect level of safety may be used for any repair, Issued in Renton, Washington, on January controllability of the airplane, and adversely modification, or alteration required by this 17, 2017. affect the structural integrity of the airplane. AD if it is approved by the Boeing Michael Kaszycki, Commercial Airplanes Organization (f) Compliance Acting Manager, Transport Airplane Designation Authorization (ODA) that has Directorate, Aircraft Certification Service. Comply with this AD within the been authorized by the Manager, Los Angeles compliance times specified, unless already ACO, to make those findings. To be [FR Doc. 2017–01825 Filed 2–17–17; 8:45 am] done. approved, the repair method, modification BILLING CODE 4910–13–P (g) Repetitive Inspections and Repairs deviation, or alteration deviation must meet the certification basis of the airplane, and the Within 27 months after the effective date approval must specifically refer to this AD. DEPARTMENT OF TRANSPORTATION of this AD: Do the actions required by (4) Except as required by paragraph (h) of paragraphs (g)(1) and (g)(2) of this AD, and this AD: For service information that Federal Aviation Administration do all applicable repairs, in accordance with contains steps that are labeled as RC, the the Accomplishment Instructions of Boeing provisions of paragraphs (j)(4)(i) and (j)(4)(ii) 14 CFR Part 39 Alert Service Bulletin 737–55A1092, dated of this AD apply. August 7, 2015, except as required by (i) The steps labeled as RC, including [Docket No. FAA–2016–9066; Directorate paragraph (h) of this AD. Do all applicable substeps under an RC step and any figures Identifier 2014–NM–113–AD; Amendment repairs before further flight. Repeat the identified in an RC step, must be done to 39–18800; AD 2017–04–05] inspections specified in paragraphs (g)(1) and comply with the AD. If a step or substep is (g)(2) of this AD thereafter at the applicable labeled ‘‘RC Exempt,’’ then the RC RIN 2120–AA64 intervals specified in paragraph 1.E., requirement is removed from that step or ‘‘Compliance,’’ of Boeing Alert Service substep. An AMOC is required for any Airworthiness Directives; Airbus Bulletin 737–55A1092, dated August 7, 2015. deviations to RC steps, including substeps Airplanes (1) Do a detailed inspection for corrosion and identified figures. and an ultrasonic inspection for cracking of (ii) Steps not labeled as RC may be AGENCY: Federal Aviation the front spar chord lugs of the left and right deviated from using accepted methods in Administration (FAA), Department of horizontal stabilizers. accordance with the operator’s maintenance Transportation (DOT). (2) Do a detailed inspection for corrosion or inspection program without obtaining ACTION: Final rule. of the lug bores of the front spar chord of the approval of an AMOC, provided the RC steps, left and right horizontal stabilizers. including substeps and identified figures, can SUMMARY: We are superseding still be done as specified, and the airplane (h) Service Information Exception Airworthiness Directive (AD) 2011–10– can be put back in an airworthy condition. Where Boeing Alert Service Bulletin 737– 17 for all Airbus Model A300 and A310 55A1092, dated August 7, 2015, specifies to (k) Related Information series airplanes, and Model A300 B4– contact Boeing for appropriate action, and For more information about this AD, 600, B4–600R, and F4–600R series specifies that action as ‘‘RC’’ (Required for contact Payman Soltani, Aerospace Engineer, airplanes, and Model C4–605R Variant F

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airplanes (collectively called A300–600 FOR FURTHER INFORMATION CONTACT: Dan requires implementation of new or more series airplanes). AD 2011–10–17 Rodina, Aerospace Engineer, restrictive maintenance instructions and/or required revising the maintenance International Branch, ANM–116, airworthiness limitations as specified in program by incorporating certain Transport Airplane Directorate, FAA, Airbus A300 ALS Part 2 Revision 02. The requirements for A310 and A300–600 airworthiness limitation items (ALIs). 1601 Lind Avenue SW., Renton, WA aeroplanes remain unchanged and are This AD requires revising the 98057–3356; telephone 425–227–2125; covered by EASA AD 2014–0124R1 [FAA AD maintenance or inspection program, as fax 425–227–1149. 2013–13–13, Amendment 39–17501 (79 FR applicable, to incorporate new or SUPPLEMENTARY INFORMATION: 48957, August 19, 2014), contains the revised structural inspection corresponding requirements for the Model requirements. This AD also removes Discussion A300–600 and A310 series airplanes]. Model A310 and A300–600 series We issued a notice of proposed The unsafe condition is fatigue airplanes from the applicability. This rulemaking (NPRM) to amend 14 CFR cracking, damage, or corrosion in AD was prompted by a revision of part 39 to supersede AD 2011–10–17, certain structure (principal structural certain ALI documents, which specify Amendment 39–16698 (76 FR 27875, elements), which could result in more restrictive instructions and/or May 13, 2011) (‘‘AD 2011–10–17’’). AD reduced structural integrity of the airworthiness limitations. We are 2011–10–17 applied to all Airbus Model airplane. You may examine the MCAI in issuing this AD to address the unsafe A300 and A310 series airplanes, and the AD docket on the Internet at http:// condition on these products. Model A300 B4–600, B4–600R, and F4– www.regulations.gov by searching for 600R series airplanes, and Model A300 DATES: This AD is effective March 28, and locating Docket No. FAA–2016– C4–605R Variant F airplanes 2017. 9066. (collectively called Model A300–600 The Director of the Federal Register series airplanes). The NPRM published Comments approved the incorporation by reference in the Federal Register on September We gave the public the opportunity to of a certain publication listed in this AD 12, 2016 (81 FR 62679). The NPRM was as of March 28, 2017. participate in developing this AD. The prompted by a revision of certain ALI following presents the comment The Director of the Federal Register documents, which specify more received on the NPRM and the FAA’s approved the incorporation by reference restrictive instructions and/or response to the comment. of a certain other publication listed in airworthiness limitations. The NPRM this AD as of June 17, 2011 (76 FR proposed to require revising the Request To Revise MCAI Reference 27875, May 13, 2011). maintenance or inspection program, as Airbus requested that we reference ADDRESSES: For service information applicable, to incorporate new or the correct MCAI in paragraph (k) of the identified in this final rule, contact revised structural inspection proposed AD, which is EASA Airbus SAS, Airworthiness Office— requirements. The NPRM also proposed Airworthiness Directive 2015–0115, EAW, 1 Rond Point Maurice Bellonte, to remove Model A310 and A300–600 dated June 23, 2015. 31707 Blagnac Cedex, France; telephone series airplanes from the applicability. We agree with the commenter’s +33 5 61 93 36 96; fax +33 5 61 93 44 We are issuing this AD to detect and request. We have confirmed that EASA 51; email account.airworth-eas@ correct fatigue cracking, damage, and Airworthiness Directive 2015–0115, airbus.com; Internet http:// corrosion in certain structure; such dated June 23, 2015, is the MCAI that www.airbus.com. You may view this fatigue cracking, damage, and corrosion should be referenced in this AD. We referenced service information at the could result in reduced structural have revised this AD accordingly. FAA, Transport Airplane Directorate, integrity of the airplane. 1601 Lind Avenue SW., Renton, WA. The European Aviation Safety Agency Conclusion For information on the availability of (EASA), which is the Technical Agent We reviewed the available data, this material at the FAA, call 425–227– for the Member States of the European including the comment received, and 1221. It is also available on the Internet Union, has issued Airworthiness determined that air safety and the at http://www.regulations.gov by Directive 2015–0115, dated June 23, public interest require adopting this AD searching for and locating Docket No. 2015 (referred to after this as the with the change described previously FAA–2016–9066. Mandatory Continuing Airworthiness and minor editorial changes. We have Information, or ‘‘the MCAI’’) to correct Examining the AD Docket determined that these changes: an unsafe condition. The MCAI states: • Are consistent with the intent that You may examine the AD docket on The airworthiness limitations applicable to was proposed in the NPRM for the Internet at http:// the Damage Tolerant Airworthiness correcting the unsafe condition; and www.regulations.gov by searching for Limitation Items (DT ALIs) are currently • Do not add any additional burden and locating Docket No. FAA–2016– listed in the Airbus Airworthiness upon the public than was already Limitations Sections [ALS] Part 2. 9066; or in person at the Docket Airbus recently revised the A300 ALS Part proposed in the NPRM. Management Facility between 9 a.m. 2 and this Revision 02 was approved by Related Service Information Under 1 and 5 p.m., Monday through Friday, EASA. Airbus A300 ALS Part 2 Revision 02 CFR Part 51 except Federal holidays. The AD docket introduces more restrictive maintenance contains this AD, the regulatory requirements and airworthiness limitations, Airbus has issued Airbus A300 evaluation, any comments received, and which have been identified as mandatory Airworthiness Limitations Section, Part other information. The address for the actions for continued airworthiness. 2—Damage-Tolerant Airworthiness Docket Office (telephone 800–647–5527) EASA issued AD 2014–0124 to require Limitation Items (DT ALIs), Revision 02, is Docket Management Facility, U.S. compliance with the maintenance dated October 3, 2014. This service requirements and associated airworthiness information describes airworthiness Department of Transportation, Docket limitations defined in Airbus A300 ALS Part Operations, M–30, West Building 2 Revision 01. limitations applicable to the DT ALIs. Ground Floor, Room W12–140, 1200 For the reasons described above, this This service information is reasonably New Jersey Avenue SE., Washington, [EASA] AD retains the requirements of EASA available because the interested parties DC 20590. AD 2014–0124 for A300 aeroplanes and have access to it through their normal

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course of business or by the means under the criteria of the Regulatory structural inspections and inspection identified in the ADDRESSES section. Flexibility Act. intervals defined in the Airbus A300 ALI Document AI/SE–M2/95A.1308/07, Issue 4, Costs of Compliance List of Subjects in 14 CFR Part 39 dated June 2008. Thereafter, except as We estimate that this AD affects 11 Air transportation, Aircraft, Aviation required by paragraph (h) of this AD and except as provided by paragraph (j)(1) of this airplanes of U.S. registry. safety, Incorporation by reference, Safety. AD, no alternative structural inspections or The actions required by AD 2011–10– inspection intervals may be approved. The 17 and retained in this AD take about Adoption of the Amendment initial ALI tasks must be done at the times 1 work-hour per product, at an average specified in Airbus A300 ALI Document AI/ labor rate of $85 per work-hour. Based Accordingly, under the authority SE–M2/95A.1308/07, Issue 4, dated June on these figures, the estimated cost of delegated to me by the Administrator, 2008. the actions that were required by AD the FAA amends 14 CFR part 39 as follows: (h) New Requirement of This AD: 2011–10–17 is $85 per product. Maintenance or Inspection Program We also estimate that it would take PART 39—AIRWORTHINESS Revision about 1 work-hour per product to DIRECTIVES Within 3 months the effective date of this comply with the basic requirements of AD: Revise the maintenance program or this AD. The average labor rate is $85 ■ 1. The authority citation for part 39 inspection program, as applicable, to per work-hour. Based on these figures, continues to read as follows: incorporate the structural inspections and inspection intervals defined in Airbus A300 we estimate the cost of this AD on U.S. Authority: 49 U.S.C. 106(g), 40113, 44701. operators to be $935, or $85 per product. Airworthiness Limitations Section (ALS), § 39.13 [Amended] Part 2—Damage-Tolerant Airworthiness Authority for This Rulemaking Limitation Items, Revision 02, dated October ■ 2. The FAA amends § 39.13 by 3, 2014. The initial compliance times for the Title 49 of the United States Code removing Airworthiness Directive (AD) ALI tasks identified in Airbus A300 ALS, specifies the FAA’s authority to issue 2011–10–17, Amendment 39–16698 (76 Part 2—Damage-Tolerant Airworthiness rules on aviation safety. Subtitle I, FR 27875, May 13, 2011), and adding Limitation Items, Revision 02, dated October section 106, describes the authority of the following new AD: 3, 2014, are at the applicable times specified the FAA Administrator. ‘‘Subtitle VII: in Airbus A300 ALS, Part 2—Damage- Aviation Programs,’’ describes in more 2017–04–05 Airbus: Amendment 39–18800; Tolerant Airworthiness Limitation Items, Docket No. FAA–2016–9066; Directorate Revision 02, dated October 3, 2014, or within detail the scope of the Agency’s Identifier 2014–NM–113–AD. authority. 3 months after the effective date of this AD, We are issuing this rulemaking under (a) Effective Date whichever occurs later. Accomplishing the applicable initial ALI tasks constitutes This AD is effective March 28, 2017. the authority described in ‘‘Subtitle VII, terminating action for the requirements of Part A, Subpart III, Section 44701: (b) Affected ADs paragraphs (g) of this AD for that airplane General requirements.’’ Under that This AD replaces AD 2011–10–17, only. section, Congress charges the FAA with Amendment 39–16698 (76 FR 27875, May 13, (i) No Alternative Actions or Intervals promoting safe flight of civil aircraft in 2011) (‘‘AD 2011–10–17’’). air commerce by prescribing regulations After the maintenance or inspection for practices, methods, and procedures (c) Applicability program has been revised as required by the Administrator finds necessary for This AD applies to all Airbus Model A300 paragraph (h) of this AD, no alternative B2–1A, B2–1C, B4–2C, B2K–3C, B4–103, B2– actions (e.g., inspections) or intervals may be safety in air commerce. This regulation used unless the actions or intervals are is within the scope of that authority 203, and B4–203 airplanes, certificated in any category. approved as an alternative method of because it addresses an unsafe condition compliance (AMOC) in accordance with the that is likely to exist or develop on (d) Subject procedures specified in paragraph (j)(1) of products identified in this rulemaking Air Transport Association (ATA) of this AD. action. America Codes 52, Doors; 53, Fuselage; 54, (j) Other FAA AD Provisions Nacelles/pylons; 55, Stabilizers; and 57, Regulatory Findings Wings. The following provisions also apply to this AD: We determined that this AD will not (e) Reason (1) Alternative Methods of Compliance have federalism implications under This AD was prompted by a revision of (AMOCs): The Manager, International Executive Order 13132. This AD will certain airworthiness limitations item (ALI) Branch, ANM–116, Transport Airplane not have a substantial direct effect on documents, which specify more restrictive Directorate, FAA, has the authority to the States, on the relationship between instructions and/or airworthiness limitations. approve AMOCs for this AD, if requested the national government and the States, We are issuing this AD to detect and correct using the procedures found in 14 CFR 39.19. or on the distribution of power and fatigue cracking, damage, and corrosion in In accordance with 14 CFR 39.19, send your responsibilities among the various certain structure; such fatigue cracking, request to your principal inspector or local levels of government. damage, and corrosion could result in Flight Standards District Office, as reduced structural integrity of the airplane. appropriate. If sending information directly For the reasons discussed above, I to the International Branch, send it to ATTN: certify that this AD: (f) Compliance Dan Rodina, Aerospace Engineer, 1. Is not a ‘‘significant regulatory Comply with this AD within the International Branch, ANM–116, Transport action’’ under Executive Order 12866; compliance times specified, unless already Airplane Directorate, FAA, 1601 Lind 2. Is not a ‘‘significant rule’’ under the done. Avenue SW., Renton, WA 98057–3356; DOT Regulatory Policies and Procedures telephone 425–227–2125; fax 425–227–1149. (g) Retained Revision of the Maintenance Information may be emailed to: 9-ANM-116- (44 FR 11034, February 26, 1979); Program, With Changes 3. Will not affect intrastate aviation in [email protected]. This paragraph restates the requirements of (i) Before using any approved AMOC, Alaska; and paragraph (s) of AD 2011–10–17, with notify your appropriate principal inspector, 4. Will not have a significant changes. Within 3 months after June 17, 2011 or lacking a principal inspector, the manager economic impact, positive or negative, (the effective date of AD 2011–10–17): Revise of the local flight standards district office/ on a substantial number of small entities the maintenance program to incorporate the certificate holding district office. The AMOC

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approval letter must specifically reference Issued in Renton, Washington, on January www.regulations.gov by searching for this AD. 24, 2017. and locating Docket No. FAA–2016– (ii) AMOCs approved previously for AD Dionne Palermo, 9111; or in person at the Docket 2011–10–17 are approved as AMOCs for the Acting Manager, Management Facility between 9 a.m. corresponding provisions of this AD. Transport Airplane Directorate, Aircraft and 5 p.m., Monday through Friday, (2) Contacting the Manufacturer: As of the Certification Service. except Federal holidays. The AD docket effective date of this AD, for any requirement [FR Doc. 2017–03021 Filed 2–17–17; 8:45 am] contains this AD, the regulatory in this AD to obtain corrective actions from BILLING CODE 4910–13–P evaluation, any comments received, and a manufacturer, the action must be other information. The address for the accomplished using a method approved by Docket Office (phone: 800–647–5527) is the Manager, International Branch, ANM– DEPARTMENT OF TRANSPORTATION Docket Management Facility, U.S. 116, Transport Airplane Directorate, FAA; or Department of Transportation, Docket the European Aviation Safety Agency Federal Aviation Administration Operations, M–30, West Building (EASA); or Airbus’s EASA Design Ground Floor, Room W12–140, 1200 Organization Approval (DOA). If approved by 14 CFR Part 39 New Jersey Avenue SE., Washington, the DOA, the approval must include the DC 20590. DOA-authorized signature. [Docket No. FAA–2016–9111; Directorate Identifier 2016–NM–132–AD; Amendment FOR FURTHER INFORMATION CONTACT: (k) Related Information 39–18802; AD 2017–04–07] Myra Kuck, Aerospace Engineer, Cabin Safety/Mechanical & Environmental Refer to Mandatory Continuing RIN 2120–AA64 Airworthiness Information (MCAI) EASA Systems Branch, ANM–150L, FAA, Los Airworthiness Directive 2015–0115, dated Airworthiness Directives; The Boeing Angeles Aircraft Certification Office June 23, 2015, for related information. This Company Airplanes (ACO), 3960 Paramount Boulevard, MCAI may be found in the AD docket on the Lakewood, CA 90712–4137; phone: Internet at http://www.regulations.gov by AGENCY: Federal Aviation 562–627–5316; fax: 562–627–5210; searching for and locating Docket No. FAA– Administration (FAA), DOT. email: [email protected]. 2016–9066. ACTION: Final rule. SUPPLEMENTARY INFORMATION: (l) Material Incorporated by Reference Discussion SUMMARY: We are adopting a new (1) The Director of the Federal Register airworthiness directive (AD) for certain We issued a notice of proposed approved the incorporation by reference The Boeing Company Model 757 rulemaking (NPRM) to amend 14 CFR (IBR) of the service information listed in this airplanes. This AD was prompted by part 39 by adding an AD that would paragraph under 5 U.S.C. 552(a) and 1 CFR reports of single and multiple apply to certain The Boeing Company part 51. uncommanded spoiler panel extensions Model 757 airplanes. The NPRM (2) You must use this service information during flight when there was a published in the Federal Register on as applicable to do the actions required by hydraulic system failure. This AD September 22, 2016 (81 FR 65307) (‘‘the this AD, unless this AD specifies otherwise. requires replacing certain spoiler power NPRM’’). The NPRM was prompted by (3) The following service information was control units (PCUs) with new or reports of single and multiple approved for IBR on March 28, 2017. changed PCUs. We are issuing this AD uncommanded spoiler panel extensions (i) Airbus A300 Airworthiness Limitations to address the unsafe condition on these during flight. The condition known as Section, Part 2—Damage-Tolerant ‘‘spoiler panel float’’ occurred when Airworthiness Limitation Items, Revision 02, products. there was a hydraulic system pressure dated October 3, 2014. DATES: This AD is effective March 28, loss. When the flaps were extended (ii) Reserved. 2017. (4) The following service information was The Director of the Federal Register beyond 20 degrees the spoiler panel approved for IBR on June 17, 2011 (76 FR approved the incorporation by reference float became severe enough to adversely 27875, May 13, 2011). of a certain publication listed in this AD impact airplane control. The NPRM (i) Airbus A300 Airworthiness Limitations as of March 28, 2017. proposed to require replacing certain spoiler PCUs with new or changed Inspections Document AI/SE–M2/95A.1308/ ADDRESSES: For service information PCUs. We are issuing this AD to prevent 07, Issue 4, dated June 2008. identified in this final rule, contact an uncommanded extension of multiple (ii) Reserved. Boeing Commercial Airplanes, spoiler panels on one wing, in the event (5) For service information identified in Attention: Contractual & Data Services of a hydraulic system failure, which this AD, contact Airbus SAS, Airworthiness (C&DS), 2600 Westminster Blvd., MC could result in the loss of control of the Office– EAW, 1 Rond Point Maurice Bellonte, 110–SK57, Seal Beach, CA 90740–5600; 31707 Blagnac Cedex, France; telephone +33 airplane. telephone 562–797–1717; Internet 5 61 93 36 96; fax +33 5 61 93 44 51; email https://www.myboeingfleet.com. You Comments [email protected]; Internet http://www.airbus.com. may view this referenced service We gave the public the opportunity to (6) You may view this service information information at the FAA, Transport participate in developing this AD. The at the FAA, Transport Airplane Directorate, Airplane Directorate, 1601 Lind Avenue following presents the comments 1601 Lind Avenue SW., Renton, WA. For SW., Renton, WA. For information on received on the NPRM and the FAA’s information on the availability of this the availability of this material at the response to each comment. material at the FAA, call 425–227–1221. FAA, call 425–227–1221. It is also (7) You may view this service information available on the Internet at http:// Support for the NPRM that is incorporated by reference at the www.regulations.gov by searching for United Airlines expressed support for National Archives and Records and locating Docket No. FAA–2016– the NPRM. Administration (NARA). For information on 9111. Request To Revise Applicability the availability of this material at NARA, call Examining the AD Docket 202–741–6030, or go to: http:// MOOG Commercial Aircraft Group www.archives.gov/federal-register/cfr/ibr- You may examine the AD docket on (MOOG) requested that we revise the locations.html. the Internet at http:// applicability to include Boeing Model

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757–200SF airplanes. MOOG stated that paragraph. We have not revised this AD Request for Clarification of Parts these airplanes are operated by some in this regard. Installation cargo operators. Request To Add Detail to the We do not agree with MOOG’s FedEx Express (FedEx) requested that SUMMARY Section request. The designation ‘‘Model 757– we clarify whether a pre-service-bulletin part may be installed in positions 2, 4, 200SF’’ is used for marketing purposes, MOOG requested that to add clarity, but is not included on the Model 757 9, 10, and 11 after the effective date of we revise the SUMMARY section by the AD, but before the 51-month type certificate data sheet. Therefore, we adding most of the details found in have not included this reference in the compliance date, provided the pre- Boeing’s request (See ‘‘Request to service-bulletin part is removed and applicability of this AD. We have not Clarify Spoiler Panel Float’’ of this final revised this AD in this regard. replaced with a post-service bulletin rule.). part before the 51-month compliance Request To Revise Compliance Time We agree that the additional details in time. The Air Line Pilots Association, Boeing’s comment provide a better We agree that it is necessary to International (ALPA) requested that we understanding of the unsafe condition. provide clarification. An operator may revise the compliance time from 51 We have added that information to the install a pre-service-bulletin part before months to 36 months. Discussion section, as discussed in our the 51-month compliance time specified We do not agree with ALPA’s request. response to Boeing’s comment. We have in this AD. As stated in paragraph (g) of ALPA did not submit any supporting not added this information to the this AD, the spoiler PCUs must be data to justify its request. We have SUMMARY section of this final rule since replaced at the specified positions with determined that the compliance time of it is not the appropriate location for a new or changed PCU within 51 51 months is appropriate based upon such details. months after the effective date of this AD. However, after an operator failure probabilities, risk assessments, Request To Clarify Spoiler Panel Float replacement rates, and part availability. complies with paragraph (g) of this AD, We have not revised this AD in this Boeing requested that we revise the only new or changed PCUs may be regard. Discussion section of the NPRM to installed (even if compliance is clarify that ‘‘spoiler panel float’’ accomplished before the 51-month Request To Revise Unsafe Condition occurred when there was a hydraulic compliance time) at the locations Statement and Paragraph (e) of the system pressure loss, and that when the identified in paragraph (g) of this AD. Proposed AD flaps were extended beyond 20 degrees, No change to this AD is needed in this Boeing requested that we revise the the spoiler panel float became severe regard. NPRM to clarify the unsafe condition. enough to adversely impact airplane Effect of Winglets on Accomplishment The NPRM stated that the AD would control. Boeing explained that spoiler of the Proposed Actions prevent an ‘‘uncommanded extension of float will occur at all flap detents in the spoiler panels.’’ Boeing stated that an presence of a failed hydraulic system Aviation Partners Boeing (APB) stated ‘‘uncommanded extension of multiple and a compromised spoiler actuator. that the installation of winglets per spoiler panels on one wing’’ more Boeing explained that the magnitude of Supplemental Type Certificate (STC) accurately describes the unsafe the spoiler float angle at the flap detents ST01518SE does not affect the condition. Boeing explained that there of 20 degrees and below is relatively accomplishment of the manufacturer’s is sufficient lateral control authority modest and results in a rolling moment service instructions. available to overcome an uncommanded that is well within the airplane’s We agree with APB that STC extension of a single spoiler panel on capabilities to offset. Boeing stated that ST01518SE does not affect the one wing, or coincident uncommanded when a flap detent greater than 20 accomplishment of the manufacturer’s extension of a spoiler panel on each degrees is selected, the magnitude of the service instructions. Therefore, the wing. spoiler float angle increases installation of STC ST01518SE does not We agree with Boeing’s request and dramatically, and the float angle affect the ability to accomplish the rationale. We have revised the becomes large enough to reduce the actions required by this AD. We have Discussion section of this final rule and margin of airplane control authority. not changed this AD in this regard. paragraph (e) of this AD accordingly. We agree with Boeing’s request Conclusion MOOG requested that we revise because it provides additional details paragraph (e) of the proposed AD to that clarify the unsafe condition. We We reviewed the relevant data, emphasize the need to accomplish the have revised this final rule accordingly. considered the comments received, and service information in order to prevent determined that air safety and the the unsafe condition. Request for Warranty Coverage public interest require adopting this AD We find that clarification is necessary. with the changes described previously As stated in paragraph (g) of this AD, Thomson Airways stated that MOOG should be providing full industry and minor editorial changes. We have the spoiler PCUs must be replaced in determined that these minor changes: accordance with the specified service support and warranty to correct its • Are consistent with the intent that information to address the unsafe design fault. Thomson Airways stated was proposed in the NPRM for condition. Service information that is that this spoiler PCU upgrade is correcting the unsafe condition; and incorporated by reference in an AD increasing the ownership costs on an • becomes part of the AD, and the already aging fleet through poor design Do not add any additional burden applicable requirements must be on behalf of MOOG. upon the public than was already accomplished as stated in the AD. The FAA does not control warranty proposed in the NPRM. Paragraph (e) of this AD is intended to coverage. Manufacturers are responsible We also determined that these specify the unsafe condition; details to determine appropriate industry changes will not increase the economic about accomplishing the service warranty coverage. Therefore, we have burden on any operator or increase the information are not included in this not revised this AD in this regard. scope of this AD.

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Related Service Information Under 1 PCUs with new or changed PCUs. This Costs of Compliance CFR Part 51 service information is reasonably available because the interested parties We estimate that this AD affects 573 We reviewed Boeing Alert Service airplanes of U.S. registry. Bulletin 757–27A0154, dated July 22, have access to it through their normal 2016. The service information describes course of business or by the means We estimate the following costs to procedures for replacing certain spoiler identified in the ADDRESSES section. comply with this AD:

ESTIMATED COSTS

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

Replacement of six PCUs ...... 8 work-hours × $85 per hour = $680 ...... $32,652 $33,332 $19,099,236

Authority for This Rulemaking Adoption of the Amendment control unit (PCU) with a new or changed PCU at spoiler positions 2, 3, and 4 on the Title 49 of the United States Code Accordingly, under the authority left wing, and spoiler positions 9, 10, and 11 specifies the FAA’s authority to issue delegated to me by the Administrator, on the right wing, in accordance with the rules on aviation safety. Subtitle I, the FAA amends 14 CFR part 39 as Accomplishment Instructions of Boeing Alert section 106, describes the authority of follows: Service Bulletin 757–27A0154, dated July 22, the FAA Administrator. Subtitle VII: 2016. Aviation Programs, describes in more PART 39—AIRWORTHINESS DIRECTIVES (h) Alternative Methods of Compliance detail the scope of the Agency’s (AMOCs) authority. ■ (1) The Manager, Los Angeles Aircraft We are issuing this rulemaking under 1. The authority citation for part 39 continues to read as follows: Certification Office (ACO), FAA, has the the authority described in Subtitle VII, authority to approve AMOCs for this AD, if Part A, Subpart III, Section 44701: Authority: 49 U.S.C. 106(g), 40113, 44701. requested using the procedures found in 14 ‘‘General requirements.’’ Under that CFR 39.19. In accordance with 14 CFR 39.19, § 39.13 [Amended] section, Congress charges the FAA with send your request to your principal inspector promoting safe flight of civil aircraft in ■ 2. The FAA amends § 39.13 by adding or local Flight Standards District Office, as air commerce by prescribing regulations the following new airworthiness appropriate. If sending information directly for practices, methods, and procedures directive (AD): to the manager of the ACO, send it to the the Administrator finds necessary for attention of the person identified in 2017–04–07 The Boeing Company: paragraph (i) of this AD. Information may be safety in air commerce. This regulation Amendment 39–18802; Docket No. emailed to: 9-ANM-LAACO-AMOC- is within the scope of that authority FAA–2016–9111; Directorate Identifier [email protected]. because it addresses an unsafe condition 2016–NM–132–AD. (2) Before using any approved AMOC, that is likely to exist or develop on (a) Effective Date notify your appropriate principal inspector, products identified in this rulemaking or lacking a principal inspector, the manager This AD is effective March 28, 2017. action. of the local flight standards district office/ (b) Affected ADs certificate holding district office. Regulatory Findings (3) An AMOC that provides an acceptable None. This AD will not have federalism level of safety may be used for any repair, implications under Executive Order (c) Applicability modification, or alteration required by this AD if it is approved by the Boeing 13132. This AD will not have a This AD applies to The Boeing Company Model 757–200, –200PF, –200CB, and –300 Commercial Airplanes Organization substantial direct effect on the States, on Designation Authorization (ODA) that has the relationship between the national series airplanes, certificated in any category, as identified in Boeing Alert Service Bulletin been authorized by the Manager, Los Angeles government and the States, or on the 757–27A0154, dated July 22, 2016. ACO, to make those findings. To be distribution of power and approved, the repair method, modification responsibilities among the various (d) Subject deviation, or alteration deviation must meet levels of government. Air Transport Association (ATA) of the certification basis of the airplane, and the For the reasons discussed above, I America Code 27; Flight controls. approval must specifically refer to this AD. certify that this AD: (4) For service information that contains (e) Unsafe Condition steps that are labeled as Required for (1) Is not a ‘‘significant regulatory This AD was prompted by reports of single Compliance (RC), the provisions of action’’ under Executive Order 12866, paragraphs (h)(4)(i) and (h)(4)(ii) of this AD (2) Is not a ‘‘significant rule’’ under and multiple uncommanded spoiler panel extensions during flight when there was a apply. DOT Regulatory Policies and Procedures hydraulic system failure. We are issuing this (i) The steps labeled as RC, including (44 FR 11034, February 26, 1979), AD to prevent an uncommanded extension of substeps under an RC step and any figures (3) Will not affect intrastate aviation multiple spoiler panels on one wing, in the identified in an RC step, must be done to in Alaska, and event of a hydraulic system failure, which comply with the AD. If a step or substep is (4) Will not have a significant could result in the loss of control of the labeled ‘‘RC Exempt,’’ then the RC economic impact, positive or negative, airplane. requirement is removed from that step or substep. An AMOC is required for any on a substantial number of small entities (f) Compliance under the criteria of the Regulatory deviations to RC steps, including substeps Comply with this AD within the and identified figures. Flexibility Act. compliance times specified, unless already (ii) Steps not labeled as RC may be List of Subjects in 14 CFR Part 39 done. deviated from using accepted methods in accordance with the operator’s maintenance Air transportation, Aircraft, Aviation (g) Replacement or inspection program without obtaining safety, Incorporation by reference, Within 51 months after the effective date approval of an AMOC, provided the RC steps, Safety. of this AD: Replace each spoiler power including substeps and identified figures, can

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still be done as specified, and the airplane SUMMARY: We are superseding Boulevard, Lakewood, CA 90712–4137; can be put back in an airworthy condition. Airworthiness Directive (AD) 2012–16– phone: 562–627–5264; fax: 562–627– (i) Related Information 07 for certain The Boeing Company 5210; email: jennifer.tsakoumakis@ faa.gov. For more information about this AD, Model 737–500 series airplanes. AD contact Myra Kuck, Aerospace Engineer, 2012–16–07 required inspections of the SUPPLEMENTARY INFORMATION: Cabin Safety/Mechanical & Environmental fuselage skin at the chem-milled steps, Systems branch, ANM–150L, FAA, Los and repair if necessary. This new AD Discussion Angeles Aircraft Certification Office (ACO), adds new inspections, permanent We issued a notice of proposed 3960 Paramount Boulevard, Lakewood, repairs of time-limited repairs, related rulemaking (NPRM) to amend 14 CFR California 90712–4137; phone: 562–627– investigative and corrective actions if part 39 to supersede AD 2012–16–07, 5316; fax: 562–627–5210; email: necessary, and skin panel replacement. Amendment 39–17154 (77 FR 48423, [email protected]. This AD was prompted by evaluation by August 14, 2012) (‘‘AD 2012–16–07’’). (j) Material Incorporated by Reference the design approval holder (DAH) that AD 2012–16–07 applied to certain The (1) The Director of the Federal Register indicates that the fuselage skin is Boeing Company Model 737–500 series approved the incorporation by reference subject to widespread fatigue damage airplanes. The NPRM published in the (IBR) of the service information listed in this (WFD), and reports of cracking in Federal Register on May 13, 2016 (81 paragraph under 5 U.S.C. 552(a) and 1 CFR certain areas of the fuselage skin. We are FR 29813) (‘‘the NPRM’’). The NPRM part 51. issuing this AD to address the unsafe was prompted by evaluation by the (2) You must use this service information condition on these products. DAH that indicates that the fuselage as applicable to do the actions required by DATES: This AD is effective March 28, skin is subject to WFD, and reports of this AD, unless the AD specifies otherwise. cracks at the chem-milled steps in the (i) Boeing Alert Service Bulletin 757– 2017. 27A0154, dated July 22, 2016. The Director of the Federal Register fuselage skin. The NPRM proposed to (ii) Reserved. approved the incorporation by reference continue to require inspections of the (3) For Boeing service information of a certain publication listed in this AD fuselage skin at the chem-milled steps, identified in this AD, contact Boeing as of March 28, 2017. and repair if necessary. The NPRM also Commercial Airplanes, Attention: ADDRESSES: For service information proposed to add new fuselage skin Contractual & Data Services (C&DS), 2600 identified in this final rule, contact inspections for cracking, inspections to Westminster Blvd., MC 110–SK57, Seal detect missing or loose fasteners and Beach, CA 90740–5600; telephone 562–797– Boeing Commercial Airplanes, Attention: Contractual & Data Services any disbonding or cracking of bonded 1717; Internet https:// doublers, permanent repairs of time- www.myboeingfleet.com. (C&DS), 2600 Westminster Blvd., MC (4) You may view this referenced service 110–SK57, Seal Beach, CA 90740–5600; limited repairs, related investigative and information at the FAA, Transport Airplane telephone 562–797–1717; Internet corrective actions if necessary, and skin Directorate, 1601 Lind Avenue SW., Renton, https://www.myboeingfleet.com. You panel replacement. We are issuing this WA. For information on the availability of may view this referenced service AD to detect and correct cracking on the this material at the FAA, call 425–227–1221. information at the FAA, Transport aft lower lobe fuselage skins, which (5) You may view this service information Airplane Directorate, 1601 Lind Avenue could result in rapid decompression of that is incorporated by reference at the the airplane. National Archives and Records SW., Renton, WA. For information on Administration (NARA). For information on the availability of this material at the Comments FAA, call 425–227–1221. It is also the availability of this material at NARA, call We gave the public the opportunity to available on the Internet at http:// 202–741–6030, or go to: http:// participate in developing this AD. The www.archives.gov/federal-register/cfr/ibr- www.regulations.gov by searching for following presents the comments locations.html. and locating Docket No. FAA–2016– received on the NPRM and the FAA’s 6664. Issued in Renton, Washington, on January response to each comment. 23, 2017. Examining the AD Docket Dionne Palermo, Request To Remove Time-Limited You may examine the AD docket on Acting Manager, Transport Airplane Repair Exception From Paragraph (g) of Directorate, Aircraft Certification Service. the Internet at http:// the Proposed AD www.regulations.govby searching for [FR Doc. 2017–03030 Filed 2–17–17; 8:45 am] Boeing requested that we remove the and locating Docket No. FAA–2016– BILLING CODE 4910–13–P paragraph (h)(5) exception specified in 6664; or in person at the Docket paragraph (g) of the proposed AD. Management Facility between 9 a.m. Boeing stated that paragraph (h)(5) of DEPARTMENT OF TRANSPORTATION and 5 p.m., Monday through Friday, the proposed AD refers to structure with except Federal holidays. The AD docket time-limited repairs and is not Federal Aviation Administration contains this AD, the regulatory applicable to paragraph (g) of the evaluation, any comments received, and proposed AD, which deals with actions 14 CFR Part 39 other information. The address for the on unrepaired structure. Docket Office (phone: 800–647–5527) is [Docket No. FAA–2016–6664; Directorate We agree with Boeing’s request to Docket Management Facility, U.S. remove the paragraph (h)(5) reference in Identifier 2015–NM–177–AD; Amendment Department of Transportation, Docket 39–18795; AD 2017–03–04] paragraph (g) of this AD for the reason Operations, M–30, West Building provided by Boeing. We have revised RIN 2120–AA64 Ground Floor, Room W12–140, 1200 paragraph (g) of this AD accordingly. New Jersey Avenue SE., Washington, Airworthiness Directives; The Boeing DC 20590. Request To Revise Proposed Company Airplanes FOR FURTHER INFORMATION CONTACT: Compliance Time and Method of Compliance AGENCY: Federal Aviation Jennifer Tsakoumakis, Aerospace Administration (FAA), DOT. Engineer, Airframe Branch, ANM–120L, Boeing requested that we revise FAA, Los Angeles Aircraft Certification paragraphs (h)(4), (k)(1), and (k)(2) of ACTION: Final rule. Office (ACO), 3960 Paramount the proposed AD to specify that the skin

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panel replacement condition is ‘‘before’’ information part references, so this corrective actions’’ because that phrase 53,000 total flight cycles, not ‘‘at or change would make paragraph (i) indicates there are on-condition actions. before’’ 53,000 total flight cycles; ‘‘and consistent with the formatting of The skin panel replacement includes a at or after’’ 53,000 total flight cycles, not paragraph (g) of the proposed AD. conditional action that specifies ‘‘before’’ for the terminating action in We do not agree with Boeing’s reinstalling a certain lap joint paragraph (k) of the proposed AD. requests. Paragraph (g) of this AD, in modification. The sentence ‘‘do all Boeing explained if a skin panel is part, specifies the specific service applicable related investigative and replaced at 53,000 total flight cycles, no information paragraph reference for corrective actions before further flight’’ additional safety inspections would be doing repairs that are terminating action is included to reinforce the compliance needed due to the limit of validity for the repetitive inspections at the time for the on-condition actions. We (LOV). repaired locations only. We determined have not changed this AD in regard to Boeing also requested that we revise that this reference is needed for clarity. these requests. the compliance time for skin panel We do not agree that the other replacement in paragraph (h)(4) of the references are needed for clarity. We Request To Revise the NPRM To proposed AD to a time approved by the have not changed this AD in this regard. Address Certain Repaired Areas FAA through the alternative method of For airplanes subject to the Request To Clarify Post-modification compliance (AMOC) process instead of requirements of paragraph (g) of the Airworthiness Limitation Inspections the time specified in the service proposed AD, Boeing requested that we information. Boeing asserted that a reset Boeing requested that we revise add a paragraph that specifies that of the compliance times is necessary if paragraph (j) of the proposed AD to inspections are not required in areas the panel is replaced before 53,000 total specify that table 3 of paragraph 1.E., that are spanned by an FAA-approved flight cycles. Since a Boeing authorized ‘‘Compliance,’’ of Boeing Special repair that has met certain conditions. representative may not approve Attention Service Bulletin 737–53– Boeing submitted specific conditions. extensions of compliance times, Boeing 1315, Revision 1, dated June 30, 2015 Boeing stated that its request is to pointed out that the AMOC approval for (‘‘SASB 737–53–1315 R1’’), is for post- address elimination of inspections for a reset of the compliance times from modification airworthiness limitation repairs that have been accomplished for total flight cycles to flight cycles from inspections at the modified locations. damage other than chem-mill cracking. when the panel is replaced would have Boeing explained that, since We do not agree with Boeing’s to come from the FAA. airworthiness limitation inspections are request. Paragraph (g) of this AD We partially agree with Boeing’s required by maintenance and specifies to do the applicable requests. We agree to revise the operational rules, it is unnecessary to inspections and related investigative compliance time condition to ‘‘before mandate them in this AD. and corrective actions specified in the 53,000 total flight cycles’’ in paragraphs We agree with Boeing’s request. We Accomplishment Instructions of SASB (h)(4), (k)(1), and (k)(2) of this AD; and have revised paragraph (j) of this AD to 737–53–1315 R1. This service to ‘‘at or after 53,000 total flight cycles’’ clarify that the post-modification information already contains the criteria in paragraph (k) of this AD for the inspections are airworthiness Boeing proposed. Therefore, this criteria terminating action to address Boeing’s limitations that are required by does not need to be repeated in this AD. LOV concerns. maintenance and operational rules; We have not changed this AD in this We also acknowledge the request to therefore, these inspections are not regard. change the compliance time in required by this AD. paragraph (h)(4) of this AD from the Effect of Winglets on Accomplishment applicable time for the next inspection Request To Revise Corrective Actions in of the Proposed Actions Paragraph (k) of the Proposed AD as specified in the service information Aviation Partners Boeing stated that to a time approved by the FAA. Boeing requested that we revise accomplishing the Supplemental Type However, we have determined that a paragraph (k) of the proposed AD, Certificate (STC) ST01219SE does not change to this AD is not necessary. which specifies replacing the applicable affect the actions specified in the Operators may always request approval skin panels and doing all applicable NPRM. for alternative compliance times using a related investigative and corrective We concur with the commenter. We method approved in accordance with actions. Boeing requested that we have redesignated paragraph (c) of the the procedures specified in paragraph remove the phrases ‘‘do all applicable proposed AD as (c)(1) and added (m) of this AD. The compliance time in related investigative and corrective paragraph (c)(2) to this AD to state that paragraph (h)(4) of this AD is an actions,’’ in accordance with the installation of STC ST01219SE does not appropriate compliance time and Accomplishment Instructions of SASB affect the ability to accomplish the provides an acceptable level of safety. It 737–53–1315 R1 and ‘‘do all applicable actions required by this final rule. should also provide operators with related investigative and corrective Therefore, for airplanes on which STC sufficient information for maintenance actions before further flight.’’ Boeing ST01219SE is installed, a ‘‘change in planning purposes and allow the suggested replacing these phrases with product’’ alternative method of inspections to be done during scheduled in accordance with ‘‘Part 2: Skin Panel compliance (AMOC) approval request is maintenance intervals for most affected Replacement of the Accomplishment not necessary to comply with the operators. Instructions of Boeing Special Attention requirements of 14 CFR 39.17. Service Bulletin 737–53–1315, Revision Request To Provide Specific Service 1, dated June 30, 2015,’’ to be similar to Conclusion Information References the wording in other NPRMs. We reviewed the relevant data, Boeing requested that we revise We disagree with the request to refer considered the comments received, and paragraphs (i)(1) and (i)(2) of the to ‘‘Part 2’’ of SASB 737–53–1315 R1. determined that air safety and the proposed AD to provide reference to the We do not agree that the reference is public interest require adopting this AD specific part of the service information. needed for clarity. We also do not agree with the changes described previously, Boeing stated that paragraph (g) of the with removing the phrase ‘‘all and minor editorial changes. We have proposed AD includes specific service applicable related investigative and determined that these minor changes:

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• Are consistent with the intent that Related Service Information Under 1 reasonably available because the was proposed in the NPRM for CFR Part 51 interested parties have access to it correcting the unsafe condition; and through their normal course of business We reviewed SASB 737–53–1315 R1. • Do not add any additional burden or by the means identified in the The service information describes ADDRESSES section. upon the public than was already procedures for inspection and repair of proposed in the NPRM. the fuselage skin panels between station Costs of Compliance We also determined that these 727 and station 1016, and between We estimate that this AD affects 33 changes will not increase the economic stringers S–14 and S–25; and also airplanes of U.S. registry. burden on any operator or increase the describes procedures for skin panel We estimate the following costs to scope of this AD. replacement. This service information is comply with this AD:

ESTIMATED COSTS

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

Inspections (actions retained from AD 23 work-hours × $85 per hour = $1,955 $0 $1,955 per inspec- $64,515 per inspection 2012–16-07). per inspection cycle. tion cycle. cycle. Inspections (new action) ...... Up to 1,515 work-hours × $85 per hour 0 Up to $128,775 per Up to $4,249,575 per in- = $128,775 per inspection cycle. inspection cycle. spection cycle. Skin panel replacement (new action) ..... 688 work-hours × $85 per hour = 96,000 $154,480 ...... $5,097,840. $58,480.

We estimate the following costs to do required based on the results of the determining the number of aircraft that any necessary repairs that would be inspection. We have no way of might need these repairs:

ON-CONDITION COSTS

Action Labor cost Parts cost Cost per product

Time-limited repair ...... 24 work-hours × $85 per hour = $2,040...... (1) $2,040. Permanent repair ...... 31 work-hours × $85 per hour = $2,635...... (1) 2,635. Permanent repair inspection ... 4 work-hours × $85 per hour = $340 per inspection cycle ...... (1) 340 per inspection cycle. 1 We have received no definitive data that would enable us to provide parts cost estimates for the on-condition actions specified in this AD.

Authority for This Rulemaking or on the distribution of power and Authority: 49 U.S.C. 106(g), 40113, 44701. responsibilities among the various Title 49 of the United States Code § 39.13 [Amended] specifies the FAA’s authority to issue levels of government. rules on aviation safety. Subtitle I, For the reasons discussed above, I ■ 2. The FAA amends § 39.13 by Section 106, describes the authority of certify that this AD: removing Airworthiness Directive (AD) (1) Is not a ‘‘significant regulatory the FAA Administrator. Subtitle VII, 2012–16–07, Amendment 39–17154 (77 action’’ under Executive Order 12866, Aviation Programs, describes in more (2) Is not a ‘‘significant rule’’ under FR 48423, August 14, 2012), and adding detail the scope of the Agency’s DOT Regulatory Policies and Procedures the following new AD: authority. (44 FR 11034, February 26, 1979), 2017–03–04 The Boeing Company: We are issuing this rulemaking under (3) Will not affect intrastate aviation Amendment 39–18795; Docket No. the authority described in Subtitle VII, in Alaska, and FAA–2016–6664; Directorate Identifier Part A, Subpart III, Section 44701, (4) Will not have a significant 2015–NM–177–AD. ‘‘General requirements.’’ Under that economic impact, positive or negative, (a) Effective Date section, Congress charges the FAA with on a substantial number of small entities promoting safe flight of civil aircraft in under the criteria of the Regulatory This AD is effective March 28, 2017. air commerce by prescribing regulations Flexibility Act. for practices, methods, and procedures (b) Affected ADs the Administrator finds necessary for List of Subjects in 14 CFR Part 39 This AD replaces AD 2012–16–07, safety in air commerce. This regulation Air transportation, Aircraft, Aviation Amendment 39–17154 (77 FR 48423, August is within the scope of that authority safety, Incorporation by reference, 14, 2012) (‘‘AD 2012–16–07’’). because it addresses an unsafe condition Safety. (c) Applicability that is likely to exist or develop on products identified in this rulemaking Adoption of the Amendment (1) This AD applies to all The Boeing action. Accordingly, under the authority Company Model 737–500 series airplanes, certificated in any category. delegated to me by the Administrator, Regulatory Findings (2) Installation of Supplemental Type the FAA amends 14 CFR part 39 as Certificate (STC) ST01219SE (http://rgl.faa. We have determined that this AD will follows: _ _ _ not have federalism implications under gov/Regulatory and Guidance Library/ Executive Order 13132. This AD will PART 39—AIRWORTHINESS rgstc.nsf/0/ebd1cec7b301293e86257cb not have a substantial direct effect on DIRECTIVES 30045557a/$FILE/ST01219SE.pdf) the States, on the relationship between the national government and the States, ■ 1. The authority citation for part 39 continues to read as follows:

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does not affect the ability to accomplish the (4) For airplanes on which an operator has Replace the applicable skin panels, and do actions required by this AD. Therefore, for a record that a skin panel was replaced with all applicable related investigative and airplanes on which STC ST01219SE is a production skin panel before 53,000 total corrective actions, in accordance with the installed, a ‘‘change in product’’ alternative flight cycles: At the applicable time for the Accomplishment Instructions of SASB 737– method of compliance (AMOC) approval next inspection as specified in table 1 of 53–1315 R1. Do all applicable related request is not necessary to comply with the paragraph 1.E., ‘‘Compliance,’’ SASB 737– investigative and corrective actions before requirements of 14 CFR 39.17. 53–1315 R1, except as provided by further flight. Doing the skin panel paragraphs (h)(1) and (h)(2) of this AD: replacement required by this paragraph (d) Subject Perform inspections and applicable terminates the inspection requirements of Air Transport Association (ATA) of corrective actions using a method approved paragraph (g) of this AD for that skin panel America Code 53, Fuselage. in accordance with the procedures specified only, provided the skin panel replacement in paragraph (m) of this AD. (e) Unsafe Condition was done with a production skin panel at or (5) The Condition column of table 2 of after 53,000 total flight cycles. This AD was prompted by an evaluation by Paragraph 1.E., ‘‘Compliance,’’ of SASB 737– (1) Before 60,000 total flight cycles, but not the design approval holder (DAH) that 53–1315 R1, refers to airplanes in certain before 53,000 total flight cycles. indicates that the fuselage skin is subject to configurations as of the ‘‘issue date of (2) Within 6,000 flight cycles after the widespread fatigue damage (WFD), and Revision 1 of this service bulletin.’’ However, effective date of this AD, but not before reports of cracks at the chem-milled steps in this AD applies to airplanes in the specified 53,000 total flight cycles. the fuselage skin. We are issuing this AD to configurations regardless of when the time detect and correct cracking on the aft lower limited repair is installed. (l) Credit for Previous Actions lobe fuselage skins, which could result in This paragraph provides credit for the zone rapid decompression of the airplane. (i) Actions for Airplanes With a Time Limited Repair Installed 1 actions required by paragraph (g) of this (f) Compliance AD, as described in SASB 737–53–1315 R1, For airplanes with a time limited repair if the zone 1, 2, and 3 actions, as described Comply with this AD within the installed as specified in Boeing Special in Boeing Special Attention Service Bulletin compliance times specified, unless already Attention Service Bulletin 737–53–1315, 737–53–1315, dated July 29, 2011, were done. dated July 29, 2011; or SASB 737–53–1315 performed before the effective date of this AD R1: At the applicable times specified in table (g) Inspections, Related Investigative and using Boeing Special Attention Service 2 of paragraph 1.E., ‘‘Compliance,’’ of SASB Corrective Actions Bulletin 737–53–1315, dated July 29, 2011, 737–53–1315 R1, except as provided by except as required by paragraph (h)(4) of this At the applicable times specified in table paragraphs (h)(1) and (h)(5) of this AD, do the AD. Boeing Special Attention Bulletin 737– 1 of paragraph 1.E., ‘‘Compliance,’’ of Boeing actions specified in paragraphs (i)(1) and 53–1315, dated July 29, 2011, was Special Attention Service Bulletin 737–53– (i)(2) of this AD. incorporated by reference in AD 2012–16–07. 1315, Revision 1, dated June 30, 2015 (1) Do the applicable inspections to detect (‘‘SASB 737–53–1315 R1’’), except as missing or loose fasteners and any (m) Alternative Methods of Compliance required by paragraphs (h)(1) and (h)(2) of disbonding or cracking of bonded doublers; (AMOCs) this AD: Do the applicable inspections to and do all applicable related investigative (1) The Manager, Los Angeles Aircraft detect cracks in the fuselage skin panels; and and corrective actions; in accordance with Certification Office (ACO), FAA, has the do all applicable related investigative and the Accomplishment Instructions of SASB authority to approve AMOCs for this AD, if corrective actions; in accordance with the 737–53–1315 R1, except as required by requested using the procedures found in 14 Accomplishment Instructions of SASB 737– paragraph (h)(3) of this AD. Do all applicable CFR 39.19. In accordance with 14 CFR 39.19, 53–1315 R1, except as required by related investigative and corrective actions send your request to your principal inspector paragraphs (h)(3) and (h)(4) of this AD. Do all before further flight. Repeat the applicable or local Flight Standards District Office, as applicable related investigative and inspections thereafter at the applicable appropriate. If sending information directly corrective actions before further flight. intervals specified SASB 737–53–1315 R1. Repeat the applicable inspections thereafter (2) Make the time limited repair permanent to the manager of the ACO, send it to the at the applicable intervals specified SASB and do all applicable related investigative attention of the person identified in 737–53–1315 R1. Accomplishment of a repair and corrective actions in accordance with the paragraph (n)(1) of this AD. Information may in accordance with ‘‘Part 3: Repair’’ of the Accomplishment Instructions of SASB 737– be emailed to: 9-ANM-LAACO-AMOC- Accomplishment Instructions of SASB 737– 53–1315 R1, except as required by paragraph [email protected]. 53–1315 R1, except as required by paragraph (h)(3) of this AD. Do all applicable related (2) Before using any approved AMOC, (h)(3) of this AD, is terminating action for the investigative and corrective actions before notify your appropriate principal inspector, repetitive inspections required by this further flight. Accomplishing the permanent or lacking a principal inspector, the manager paragraph at the repaired locations only. repair required by this paragraph terminates of the local flight standards district office/ certificate holding district office. (h) Exceptions to SASB 737–53–1315 R1 the inspections required by paragraph (i)(1) of this AD for the permanently repaired area (3) An AMOC that provides an acceptable (1) Where SASB 737–53–1315 R1, specifies only. level of safety may be used for any repair, compliance times ‘‘after the Revision 1 date modification, or alteration required by this of this service bulletin,’’ this AD requires (j) AD Provisions for Part 26 Supplemental AD if it is approved by the Boeing compliance within the specified compliance Inspections Commercial Airplanes Organization times after the effective date of this AD. Table 3 of paragraph 1.E., ‘‘Compliance,’’ Designation Authorization (ODA) that has (2) The Condition column of table 1 of of SASB 737–53–1315 R1, specifies post- been authorized by the Manager, Los Angeles Paragraph 1.E., ‘‘Compliance,’’ of SASB 737– modification airworthiness limitation ACO, to make those findings. To be 53–1315 R1, refers to airplanes in certain inspections in compliance with 14 CFR approved, the repair method, modification configurations as of the ‘‘issue date of 25.571(a)(3) at the modified locations, which deviation, or alteration deviation must meet Revision 1 of this service bulletin.’’ However, support compliance with 14 CFR the certification basis of the airplane, and the this AD applies to airplanes in the specified 121.1109(c)(2) or 129.109(b)(2). As approval must specifically refer to this AD. configurations ‘‘as of the effective date of this airworthiness limitations, these inspections (4) AMOCs approved previously for AD AD.’’ are required by maintenance and operational 2012–16–07 are approved as AMOCs for the (3) Where SASB 737–53–1315 R1, specifies rules. It is therefore unnecessary to mandate corresponding provisions of paragraph (g) of contacting Boeing for repair instructions or them in this AD. Deviations from these this AD. work instructions, before further flight, repair inspections require FAA approval, but do not (n) Related Information or perform the work instructions using a require an alternative method of compliance. method approved in accordance with the (1) For more information about this AD, procedures specified in paragraph (m) of this (k) Skin Panel Replacement contact Jennifer Tsakoumakis, Aerospace AD, except as required by paragraph (h)(4) of At the later of the times specified in Engineer, Airframe Branch, ANM–120L, this AD. paragraphs (k)(1) and (k)(2) of this AD: FAA, Los Angeles Aircraft Certification

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Office (ACO), 3960 Paramount Boulevard, CL–600–2B19 (Regional Jet Series 100 & SUPPLEMENTARY INFORMATION: Lakewood, CA 90712–4137; phone: 562–627– 440) airplanes. AD 2014–23–06 required 5264; fax: 562–627–5210; email: modifying the main landing gear (MLG) Discussion [email protected]. by installing a new bracket on the left (2) Service information identified in this We issued a notice of proposed AD that is not incorporated by reference is and right lower aft-wing planks. This rulemaking (NPRM) to amend 14 CFR available at the addresses specified in new AD requires modification of the part 39 to supersede AD 2014–23–06, paragraphs (o)(3) and (o)(4) of this AD. MLG with an improved design. This AD Amendment 39–18022 (79 FR 69037, was prompted by a report indicating (o) Material Incorporated by Reference November 20, 2014) (‘‘AD 2014–23– that inboard and outboard hydraulic 06’’). AD 2014–23–06 applied to certain (1) The Director of the Federal Register lines of the brakes were found Bombardier, Inc. Model CL–600–2B19 approved the incorporation by reference connected to the incorrect ports on the (IBR) of the service information listed in this (Regional Jet Series 100 & 440) swivel assembly of the MLG. We are paragraph under 5 U.S.C. 552(a) and 1 CFR airplanes. The NPRM published in the part 51. issuing this AD to address the unsafe condition on these products. Federal Register on October 24, 2016 (2) You must use this service information (81 FR 73042). The NPRM was as applicable to do the actions required by DATES: This AD is effective March 28, prompted by a report indicating that this AD, unless the AD specifies otherwise. 2017. (i) Boeing Special Attention Service The Director of the Federal Register inboard and outboard hydraulic lines of Bulletin 737–53–1315, Revision 1, dated June approved the incorporation by reference the brakes were found connected to the 30, 2015. incorrect ports on the swivel assembly (ii) Reserved. of a certain publication listed in this AD as of March 28, 2017. of the MLG. The NPRM proposed to (3) For Boeing service information require modification of the MLG with an identified in this AD, contact Boeing ADDRESSES: For service information Commercial Airplanes, Attention: identified in this final rule, contact improved design. We are issuing this Contractual & Data Services (C&DS), 2600 Bombardier, Inc., 400 Coˆte-Vertu Road AD to prevent incorrect installation of Westminster Blvd., MC 110–SK57, Seal West, Dorval, Que´bec H4S 1Y9, Canada; the brake hydraulic lines, which could Beach, CA 90740–5600; telephone 562–797– Widebody Customer Response Center cause the brakes and the anti-skid 1717; Internet https:// system to operate incorrectly, and result www.myboeingfleet.com. North America toll-free telephone 1– 866–538–1247 or direct-dial telephone in catastrophic failure of the airplane (4) You may view this service information during a high-speed rejected takeoff. at the FAA, Transport Airplane Directorate, 1–514–855–2999; fax 514–855–7401; 1601 Lind Avenue SW., Renton, WA. For email [email protected]; Transport Canada Civil Aviation information on the availability of this Internet http://www.bombardier.com. (TCCA), which is the aviation authority material at the FAA, call 425–227–1221. You may view this referenced service for Canada, has issued Canadian (5) You may view this service information information at the FAA, Transport Airworthiness Directive CF–2014–10R1, that is incorporated by reference at the Airplane Directorate, 1601 Lind Avenue dated May 4, 2016 (referred to after this National Archives and Records SW., Renton, WA. For information on Administration (NARA). For information on as the Mandatory Continuing the availability of this material at NARA, call the availability of this material at the Airworthiness Information, or ‘‘the 202–741–6030, or go to: http:// FAA, call 425–227–1221. It is also MCAI’’), to correct an unsafe condition www.archives.gov/federal-register/cfr/ibr- available on the Internet at http:// for certain Bombardier, Inc. Model CL– locations.html. www.regulations.gov by searching for 600–2B19 (Regional Jet Series 100 & Issued in Renton, Washington, on January and locating Docket No. FAA–2016– 440) airplanes. The MCAI states: 9190. 31, 2017. Cases of inboard and outboard hydraulic Michael Kaszycki, Examining the AD Docket brake lines connected to the incorrect port of Acting Manager, Transport Airplane You may examine the AD docket on the swivel assembly on the main landing gear Directorate, Aircraft Certification Service. the Internet at http:// were found in service. Cross-connected brake [FR Doc. 2017–02661 Filed 2–17–17; 8:45 am] www.regulations.gov by searching for hydraulic lines can cause the brakes and/or BILLING CODE 4910–13–P and locating Docket No. FAA–2016– the anti-skid system to operate incorrectly. 9190; or in person at the Docket During a high speed rejected take-off, Management Facility between 9 a.m. inability for the brakes to operate correctly DEPARTMENT OF TRANSPORTATION and 5 p.m., Monday through Friday, could be catastrophic. The original issue of this [Canadian] AD mandated the Federal Aviation Administration except Federal holidays. The AD docket contains this AD, the regulatory modification to prevent inadvertent cross- connection of the inboard and outboard 14 CFR Part 39 evaluation, any comments received, and other information. The address for the hydraulic brake lines. Following the initial release of this [Docket No. FAA–2016–9190; Directorate Docket Office (telephone 800–647–5527) [Canadian] AD, operators reported that the Identifier 2016–NM–087–AD; Amendment is Docket Management Facility, U.S. modifications required by Bombardier 39–18797; AD 2017–04–02] Department of Transportation, Docket Service Bulletin (SB) 601R–32–110 Rev. NC., RIN 2120–AA64 Operations, M–30, West Building dated 19 December 2013, still have a Ground Floor, Room W12–140, 1200 potential for incorrect connection. Airworthiness Directives; Bombardier, New Jersey Avenue SE., Washington, Inc. Airplanes Subsequently, the SB has been revised to DC 20590. introduce a modified design and this AGENCY: Federal Aviation FOR FURTHER INFORMATION CONTACT: [Canadian] AD revision is issued to mandate Administration (FAA), Department of Fabio Buttitta, Aerospace Engineer, the incorporation of the modified design. Transportation (DOT). Airframe and Mechanical Systems You may examine the MCAI in the AD ACTION: Final rule. Branch, ANE–171, FAA, New York Aircraft Certification Office, 1600 docket on the Internet at http:// SUMMARY: We are superseding Stewart Avenue, Suite 410, Westbury, www.regulations.gov by searching for Airworthiness Directive (AD) 2014–23– NY 11590; telephone 516–228–7303; fax and locating Docket No. FAA–2016– 06 for certain Bombardier, Inc. Model 516–794–5531. 9190.

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Comments because it addresses an unsafe condition (d) Subject We gave the public the opportunity to that is likely to exist or develop on Air Transport Association (ATA) of participate in developing this AD. We products identified in this rulemaking America Code 32, Landing gear. received no comments on the NPRM or action. (e) Reason on the determination of the cost to the Regulatory Findings This AD was prompted by a report public. We determined that this AD will not indicating that inboard and outboard Conclusion have federalism implications under hydraulic lines of the brakes were found connected to the incorrect ports on the We reviewed the available data and Executive Order 13132. This AD will swivel assembly of the main landing gear determined that air safety and the not have a substantial direct effect on (MLG). We are issuing this AD to prevent public interest require adopting this AD the States, on the relationship between incorrect installation of the brake hydraulic as proposed except for minor editorial the national government and the States, lines, which could cause the brakes and the changes. We have determined that these or on the distribution of power and anti-skid system to operate incorrectly, and minor changes: responsibilities among the various result in catastrophic failure during a high- • Are consistent with the intent that levels of government. speed rejected takeoff. was proposed in the NPRM for For the reasons discussed above, I (f) Compliance correcting the unsafe condition; and certify that this AD: 1. Is not a ‘‘significant regulatory Comply with this AD within the • Do not add any additional burden compliance times specified, unless already upon the public than was already action’’ under Executive Order 12866; done. proposed in the NPRM. 2. Is not a ‘‘significant rule’’ under the DOT Regulatory Policies and Procedures (g) Modification of the MLG Related Service Information Under 1 (44 FR 11034, February 26, 1979); (1) For airplanes on which Bombardier CFR Part 51 3. Will not affect intrastate aviation in Service Bulletin 601R–32–110, dated We reviewed Bombardier Service Alaska; and December 19, 2013, has been incorporated: Bulletin 601R–32–110, Revision C, 4. Will not have a significant Within 6,600 flight hours or 37 months after economic impact, positive or negative, the effective date of this AD, whichever dated May 4, 2016. The service occurs first, modify the MLG, in accordance information describes procedures for on a substantial number of small entities under the criteria of the Regulatory with Part B of the Accomplishment modifying the MLG by installing a block Instructions of Bombardier Service Bulletin on the left and right lower aft-wing Flexibility Act. 601R–32–110, Revision C, dated May 4, 2016. planks. This service information is List of Subjects in 14 CFR Part 39 (2) For airplanes on which Bombardier reasonably available because the Service Bulletin 601R–32–110, dated Air transportation, Aircraft, Aviation interested parties have access to it December 19, 2013, has not been safety, Incorporation by reference, through their normal course of business incorporated: Within 4,400 flight hours or 24 Safety. or by the means identified in the months after the effective date of this AD, whichever occurs first, modify the MLG, in ADDRESSES section. Adoption of the Amendment accordance with Part A of the Costs of Compliance Accordingly, under the authority Accomplishment Instructions of Bombardier delegated to me by the Administrator, Service Bulletin 601R–32–110, Revision C, We estimate that this AD affects 526 the FAA amends 14 CFR part 39 as dated May 4, 2016. airplanes of U.S. registry. We also estimate that it will take follows: (h) Credit for Previous Actions about 9 work-hours per product to PART 39—AIRWORTHINESS (1) This paragraph provides credit for actions required by paragraph (g)(1) of this comply with the basic requirements of DIRECTIVES this AD. The average labor rate is $85 AD, if those actions were performed before per work-hour. Required parts will cost ■ the effective date of this AD using Part B of 1. The authority citation for part 39 Bombardier Service Bulletin 601R–32–110, about $190 per product. Based on these continues to read as follows: Revision A, dated October 29, 2015; or figures, we estimate the cost of this AD Authority: 49 U.S.C. 106(g), 40113, 44701. Revision B, dated January 26, 2016. on U.S. operators to be $502,330, or (2) This paragraph provides credit for $955 per product. § 39.13 [Amended] actions required by paragraph (g)(2) of this Authority for This Rulemaking ■ 2. The FAA amends § 39.13 by AD, if those actions were performed before removing Airworthiness Directive (AD) the effective date of this AD using Part A of Title 49 of the United States Code Bombardier Service Bulletin 601R–32–110, 2014–23–06, Amendment 39–18022 (79 specifies the FAA’s authority to issue Revision A, dated October 29, 2015; or FR 69037, November 20, 2014), and rules on aviation safety. Subtitle I, Revision B, dated January 26, 2016. adding the following new AD: section 106, describes the authority of (i) Other FAA AD Provisions 2017–04–02 Bombardier, Inc.: Amendment the FAA Administrator. ‘‘Subtitle VII: The following provisions also apply to this Aviation Programs,’’ describes in more 39–18797; Docket No. FAA–2016–9190; Directorate Identifier 2016–NM–087–AD. AD: detail the scope of the Agency’s (1) Alternative Methods of Compliance authority. (a) Effective Date (AMOCs): The Manager, New York Aircraft We are issuing this rulemaking under This AD is effective March 28, 2017. Certification Office (ACO), ANE–170, FAA, the authority described in ‘‘Subtitle VII, has the authority to approve AMOCs for this Part A, Subpart III, Section 44701: (b) Affected ADs AD, if requested using the procedures found General requirements.’’ Under that This AD replaces AD 2014–23–06, in 14 CFR 39.19. In accordance with 14 CFR section, Congress charges the FAA with Amendment 39–18022 (79 FR 69037, 39.19, send your request to your principal promoting safe flight of civil aircraft in November 20, 2014) (‘‘AD 2014–23–06’’). inspector or local Flight Standards District Office, as appropriate. If sending information air commerce by prescribing regulations (c) Applicability directly to the New York ACO, send it to for practices, methods, and procedures This AD applies to Bombardier, Inc. Model ATTN: Program Manager, Continuing the Administrator finds necessary for CL–600–2B19 (Regional Jet Series 100 & 440) Operational Safety, FAA, New York ACO, safety in air commerce. This regulation airplanes, certificated in any category, serial 1600 Stewart Avenue, Suite 410, Westbury, is within the scope of that authority numbers 7003 and subsequent. NY 11590; telephone 516–228–7300; fax

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516–794–5531. Before using any approved DEPARTMENT OF TRANSPORTATION other information. The address for the AMOC, notify your appropriate principal Docket Office (phone: 800–647–5527) is inspector, or lacking a principal inspector, Federal Aviation Administration Docket Management Facility, U.S. the manager of the local flight standards Department of Transportation, Docket district office/certificate holding district 14 CFR Part 39 Operations, M–30, West Building office. Ground Floor, Room W12–140, 1200 (2) Contacting the Manufacturer: As of the [Docket No. FAA–2016–9191; Directorate effective date of this AD, for any requirement Identifier 2016–NM–106–AD; Amendment New Jersey Avenue SE., Washington, in this AD to obtain corrective actions from 39–18796; AD 2017–04–01] DC 20590. a manufacturer, the action must be RIN 2120–AA64 FOR FURTHER INFORMATION CONTACT: accomplished using a method approved by Myles Jalalian, Aerospace Engineer, the Manager, New York ACO, ANE–170, Airworthiness Directives; Gulfstream Systems and Equipment Branch, ACE– FAA; or Transport Canada Civil Aviation Aerospace Corporation Airplanes 119A, FAA, Atlanta Aircraft (TCCA); or Bombardier, Inc.’s TCCA Design Certification Office (ACO), 1701 Approval Organization (DAO). If approved by AGENCY: Federal Aviation Columbia Avenue, College Park, GA the DAO, the approval must include the Administration (FAA), DOT. DAO-authorized signature. 30337; phone: 404–474–5572; fax: 404– ACTION: Final rule. 474–5606; email: Myles.Jalalian@ (j) Related Information faa.gov. SUMMARY: We are adopting a new (1) Refer to Mandatory Continuing airworthiness directive (AD) for certain Airworthiness Information (MCAI) Canadian SUPPLEMENTARY INFORMATION: Gulfstream Aerospace Corporation Airworthiness Directive CF–2014–10R1, Discussion dated May 4, 2016, for related information. Model GVI airplanes. This AD was This MCAI may be found in the AD docket prompted by a report indicating that We issued a notice of proposed on the Internet at http://www.regulations.gov there are design deficiencies in the rulemaking (NPRM) to amend 14 CFR by searching for and locating Docket No. software used for monitoring the part 39 by adding an AD that would FAA–2016–9190. disconnect for the flight control apply to certain Gulfstream Aerospace (2) Service information identified in this computer (FCC)-hosted flight controls AD that is not incorporated by reference is Corporation Model GVI airplanes. The actuation main ram linear variable NPRM published in the Federal available at the addresses specified in differential transducer (LVDT). This AD paragraphs (k)(3) and (k)(4) of this AD. Register on November 15, 2016 (81 FR requires an update of the FCC software. 80009). The NPRM was prompted by a (k) Material Incorporated by Reference We are issuing this AD to address the report indicating that there are design (1) The Director of the Federal Register unsafe condition on these products. deficiencies in the software used for approved the incorporation by reference DATES: This AD is effective March 28, monitoring the disconnect for the FCC- (IBR) of the service information listed in this 2017. hosted flight controls actuation main paragraph under 5 U.S.C. 552(a) and 1 CFR The Director of the Federal Register ram LVDT. The NPRM proposed to part 51. approved the incorporation by reference require an update of the FCC software. (2) You must use this service information of certain publications listed in this AD We are issuing this AD to prevent as applicable to do the actions required by as of March 28, 2017. this AD, unless this AD specifies otherwise. undetected actuation of the main ram (i) Bombardier Service Bulletin 601R–32– ADDRESSES: For service information LVDT. Undetected actuation of the main 110, Revision C, dated May 4, 2016. identified in this final rule, contact ram LVDT, if not corrected, could result (ii) Reserved. Gulfstream Aerospace Corporation, in mechanical failure of the flight (3) For service information identified in Technical Publications Dept., P.O. Box control surface actuator mechanism this AD, contact Bombardier, Inc., 400 Coˆte- 2206, Savannah, GA 31402–2206; under force fight (the actuator is Vertu Road West, Dorval, Que´bec H4S 1Y9, telephone: 800–810–4853; fax: 912– working against the intended load Canada; Widebody Customer Response 965–3520; email: [email protected]; forces), causing primary surface Center North America toll-free telephone 1– Internet: http://www.gulfstream.com/ hardover, spoiler hardover, and loss of 866–538–1247 or direct-dial telephone 1– product_support/technical_pubs/pubs/ control of the airplane. 514–855–2999; fax 514–855–7401; email index.htm. You may view this [email protected]; Internet http:// Comments www.bombardier.com. referenced service information at the (4) You may view this service information FAA, Transport Airplane Directorate, We gave the public the opportunity to at the FAA, Transport Airplane Directorate, 1601 Lind Avenue SW., Renton, WA. participate in developing this AD. We 1601 Lind Avenue SW., Renton, WA. For For information on the availability of received no comments on the NPRM or information on the availability of this this material at the FAA, call 425–227– on the determination of the cost to the material at the FAA, call 425–227–1221. 1221. It is also available on the Internet public. (5) You may view this service information at http://www.regulations.gov by that is incorporated by reference at the searching for and locating Docket No. Conclusion National Archives and Records FAA–2016–9191. Administration (NARA). For information on We reviewed the relevant data and the availability of this material at NARA, call Examining the AD Docket determined that air safety and the public interest require adopting this AD 202–741–6030, or go to: http:// You may examine the AD docket on www.archives.gov/federal-register/cfr/ibr- as proposed, except for minor editorial the Internet at http:// locations.html. changes. We have determined that these www.regulations.gov by searching for minor changes: Issued in Renton, Washington, on February and locating Docket No. FAA–2016– • 1, 2017. 9191; or in person at the Docket Are consistent with the intent that Michael Kaszycki, Management Facility between 9 a.m. was proposed in the NPRM for Acting Manager, Transport Airplane and 5 p.m., Monday through Friday, correcting the unsafe condition; and Directorate, Aircraft Certification Service. except Federal holidays. The AD docket • Do not add any additional burden [FR Doc. 2017–03020 Filed 2–17–17; 8:45 am] contains this AD, the regulatory upon the public than was already BILLING CODE 4910–13–P evaluation, any comments received, and proposed in the NPRM.

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Related Service Information Under 1 June 28, 2016. The service information course of business or by the means CFR Part 51 describes procedures for doing an identified in the ADDRESSES section. update of the FCC software. This service Costs of Compliance We reviewed Gulfstream G650 information is distinct because it Aircraft Service Change Number 037, applies to different airplanes. This We estimate that this AD affects 90 Revision A, dated June 28, 2016; and service information is reasonably airplanes of U.S. registry. We estimate Gulfstream G650ER Aircraft Service available because the interested parties the following costs to comply with this Change Number 037, Revision A, dated have access to it through their normal AD:

ESTIMATED COSTS

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

Software update ...... 57 work-hours × $85 per hour = $4,845 ...... $9,126 $13,971 $1,257,390

According to the manufacturer, some (3) Will not affect intrastate aviation (e) Unsafe Condition of the costs of this AD may be covered in Alaska, and This AD was prompted by a report under warranty, thereby reducing the (4) Will not have a significant indicating that there are design deficiencies cost impact on affected individuals. We economic impact, positive or negative, in the software used for monitoring the do not control warranty coverage for on a substantial number of small entities disconnect for the flight control computer (FCC)-hosted flight controls actuation main affected individuals. As a result, we under the criteria of the Regulatory ram linear variable differential transducer have included all costs in our cost Flexibility Act. estimate. (LVDT). We are issuing this AD to prevent List of Subjects in 14 CFR Part 39 undetected actuation of the main ram LVDT. Authority for This Rulemaking Undetected actuation of the main ram LVDT, Air transportation, Aircraft, Aviation if not corrected, could result in mechanical Title 49 of the United States Code safety, Incorporation by reference, failure of the flight control surface actuator specifies the FAA’s authority to issue Safety. mechanism under force fight (the actuator is rules on aviation safety. Subtitle I, working against the intended load forces), section 106, describes the authority of Adoption of the Amendment causing primary surface hardover, spoiler the FAA Administrator. Subtitle VII: hardover, and loss of control of the airplane. Accordingly, under the authority Aviation Programs, describes in more delegated to me by the Administrator, (f) Compliance detail the scope of the Agency’s the FAA amends 14 CFR part 39 as Comply with this AD within the authority. follows: compliance times specified, unless already We are issuing this rulemaking under done. the authority described in Subtitle VII, PART 39—AIRWORTHINESS (g) Software Update for FCC Part A, Subpart III, Section 44701: DIRECTIVES ‘‘General requirements.’’ Under that Within 24 months after the effective date of this AD, do an FCC software update, in section, Congress charges the FAA with ■ 1. The authority citation for part 39 promoting safe flight of civil aircraft in accordance with the Modification continues to read as follows: Instructions of Gulfstream G650 Aircraft air commerce by prescribing regulations Authority: 49 U.S.C. 106(g), 40113, 44701. Service Change 037, Revision A, dated June for practices, methods, and procedures 28, 2016; or Gulfstream G650ER Aircraft the Administrator finds necessary for § 39.13 [Amended] Service Change 037, Revision A, dated June safety in air commerce. This regulation 28, 2016; as applicable. is within the scope of that authority ■ 2. The FAA amends § 39.13 by adding (h) Reporting not Required because it addresses an unsafe condition the following new airworthiness that is likely to exist or develop on directive (AD): Although Gulfstream G650 Aircraft Service products identified in this rulemaking Change 037, Revision A, dated June 28, 2016; 2017–04–01 Gulfstream Aerospace and Gulfstream G650ER Aircraft Service action. Corporation: Amendment 39–18796; Change 037, Revision A, dated June 28, 2016; Docket No. FAA–2016–9191; Directorate specify to submit certain information to the Regulatory Findings Identifier 2016–NM–106–AD. manufacturer, this AD does not require that This AD will not have federalism (a) Effective Date action. implications under Executive Order This AD is effective March 28, 2017. (i) Alternative Methods of Compliance 13132. This AD will not have a (AMOCs) substantial direct effect on the States, on (b) Affected ADs the relationship between the national None. (1) The Manager, Atlanta Aircraft government and the States, or on the Certification Office (ACO), FAA, has the (c) Applicability authority to approve AMOCs for this AD, if distribution of power and requested using the procedures found in 14 responsibilities among the various This AD applies to Gulfstream Aerospace Corporation Model GVI airplanes, certificated CFR 39.19. In accordance with 14 CFR 39.19, levels of government. in any category, serial numbers 6001 through send your request to your principal inspector For the reasons discussed above, I 6164 inclusive. or local Flight Standards District Office, as certify that this AD: Note 1 to paragraph (c) of this AD: Model appropriate. If sending information directly (1) Is not a ‘‘significant regulatory GVI airplanes are also referred to by to the manager of the ACO, send it to the marketing designations G650 and G650ER. attention of the person identified in action’’ under Executive Order 12866, paragraph (j) of this AD. (2) Is not a ‘‘significant rule’’ under (d) Subject (2) Before using any approved AMOC, DOT Regulatory Policies and Procedures Air Transport Association (ATA) of notify your appropriate principal inspector, (44 FR 11034, February 26, 1979), America Code 27; Flight controls. or lacking a principal inspector, the manager

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of the local flight standards district office/ schedule that governs the S.R. 74 Bridge can arrange their transits to minimize certificate holding district office across the Atlantic Intracoastal any impacts caused by the temporary (j) Related Information Waterway, mile 283.1, at Wrightsville deviation. Beach, NC. The deviation is necessary to For more information about this AD, In accordance with 33 CFR 117.35(e), contact Myles Jalalian, Aerospace Engineer, accommodate the free movement of the drawbridge must return to its regular Systems and Equipment Branch, ACE–119A, pedestrians and vehicles during the 8th operating schedule immediately at the FAA, Atlanta ACO, 1701 Columbia Avenue, Annual Wrightsville Beach Marathon. end of the effective period of this College Park, GA 30337; phone: 404–474– This deviation allows the bridge to temporary deviation. This deviation 5572; fax: 404–474–5606; email: remain in the closed-to-navigation from the operating regulations is [email protected]. position. authorized under 33 CFR 117.35. (k) Material Incorporated by Reference DATES: The deviation is effective from 5 Dated: February 14, 2017. (1) The Director of the Federal Register a.m. to 11 a.m. on March 25, 2017. Hal R. Pitts, approved the incorporation by reference ADDRESSES: The docket for this Bridge Program Manager, Fifth Coast Guard (IBR) of the service information listed in this deviation, [USCG–2016–1087] is District. paragraph under 5 U.S.C. 552(a) and 1 CFR available at http://www.regulations.gov. [FR Doc. 2017–03372 Filed 2–17–17; 8:45 am] part 51. Type the docket number in the BILLING CODE 9110–04–P (2) You must use this service information ‘‘SEARCH’’ box and click ‘‘SEARCH’’. as applicable to do the actions required by this AD, unless the AD specifies otherwise. Click on Open Docket Folder on the line (i) Gulfstream G650 Aircraft Service associated with this deviation. DEPARTMENT OF HOMELAND Change 037, Revision A, dated June 28, 2016. FOR FURTHER INFORMATION CONTACT: If SECURITY (ii) Gulfstream G650ER Aircraft Service you have questions on this temporary Change 037, Revision A, dated June 28, 2016. deviation, call or email Mr. Martin Coast Guard (3) For service information identified in Bridges, Bridge Administration Branch this AD, contact Gulfstream Aerospace Fifth District, Coast Guard, telephone 33 CFR Part 117 Corporation, Technical Publications Dept., 757–398–6422, email Martin.A.Bridges@ [Docket No. USCG–2017–0050] P.O. Box 2206, Savannah, GA 31402–2206; uscg.mil. telephone: 800–810–4853; fax: 912–965– RIN 1625–AA09 3520; email: [email protected]; Internet: SUPPLEMENTARY INFORMATION: The event _ director, Without Limits, with approval http://www.gulfstream.com/product Drawbridge Operation Regulation; support/technical_pubs/pubs/index.htm. from the North Carolina Department of (4) You may view this service information Transportation, who owns and operates Sturgeon Bay, Sturgeon Bay, WI at FAA, Transport Airplane Directorate, 1601 the S.R. 74 Bridge across the Atlantic AGENCY: Coast Guard, DHS. Lind Avenue SW., Renton, WA. For Intracoastal Waterway, mile 283.1, at ACTION: Interim rule with request for information on the availability of this Wrightsville Beach, NC, has requested a comments. material at the FAA, call 425–227–1221. temporary deviation from the current (5) You may view this service information that is incorporated by reference at the operating regulations. This temporary SUMMARY: The Coast Guard is modifying National Archives and Records deviation is necessary to accommodate the operating regulation that governs the Administration (NARA). For information on the free movement of pedestrians and Bayview (State Route 42/57) Bridge, the availability of this material at NARA, call vehicles during the 8th Annual Mile 3.0, Maple-Oregon Bridge, Mile 202–741–6030, or go to: http:// Wrightsville Beach Marathon. The 4.17, and Michigan Street Bridge, Mile www.archives.gov/federal-register/cfr/ibr- bridge is a double bascule bridge and 4.3, all over Sturgeon Bay Ship Canal in locations.html. has a vertical clearance in the closed Sturgeon Bay, WI, to allow testing of the Issued in Renton, Washington, on February position of 20 feet above mean high remote operation equipment for all three 2, 2017. water. drawbridges. The operating schedules Michael Kaszycki, The current operating schedule is set are not changing. The three drawbridges Acting Manager, Transport Airplane out in 33 CFR 117.821(a)(4). Under this will be remotely operated by a single Directorate, Aircraft Certification Service. temporary deviation, the bridge will tender throughout the 2017 navigation [FR Doc. 2017–03026 Filed 2–17–17; 8:45 am] remain in the closed-to-navigation season with request for comments from position from 5 a.m. to 11 a.m., on BILLING CODE 4910–13–P all stakeholders on the safety and March 25, 2017. The Atlantic effectiveness of the remote operation Intracoastal Waterway is used by a arrangement. variety of vessels including recreational DEPARTMENT OF HOMELAND vessels, tug and barge traffic, fishing DATES: This interim rule is effective SECURITY vessels, and small commercial vessels. from March 23, 2017 to midnight on March 15, 2018. Comments and related Coast Guard The Coast Guard has carefully coordinated the restrictions with material must reach the Coast Guard on or before December 1, 2017. 33 CFR Part 117 waterway users in publishing this temporary deviation. ADDRESSES: You may submit comments [Docket No. USCG–2016–1087] Vessels able to pass through the or view documents mentioned in this bridge in the closed position may do so preamble as being available in the Drawbridge Operation Regulation; at any time. The bridge will be able to docket, go to http:// Atlantic Intracoastal Waterway, open for emergencies and there is no www.regulations.gov, type [USCG– Wrightsville Beach, NC immediate alternate route for vessels 2017–0050] in the ‘‘SEARCH’’ box and AGENCY: Coast Guard, DHS. unable to pass through the bridge in the click ‘‘SEARCH.’’ Click on Open Docket ACTION: Notice of deviation from closed position. The Coast Guard will Folder on the line associated with this drawbridge regulation. also inform the users of the waterway rulemaking. through our Local and Broadcast Notice See the ‘‘Public Participation and SUMMARY: The Coast Guard has issued a to Mariners of the change in operating Request for Comments’’ portion of the temporary deviation from the operating schedule for the bridge so that vessels SUPPLEMENTARY INFORMATION section

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below for instructions on submitting submit comments throughout most of Guard authorize permanent remote comments. the interim rule period. operation of Bayview Bridge and Michigan Street Bridge, with operation FOR FURTHER INFORMATION CONTACT: If III. Legal Authority and Need for Rule you have questions on this interim rule, from a single tender stationed at the The Coast Guard is issuing this middle bridge, Maple-Oregon Bridge, call or email Mr. Lee Soule, Bridge interim rule under the authority of 33 Management Specialist, Ninth Coast under the provisions of 33 CFR 117.42. U.S.C. 499. The operating schedules for This interim rule is intended to allow Guard District; telephone 216–902– the three drawbridges that cross 6085, or [email protected]. remote operation arrangement Sturgeon Bay Ship Canal in Sturgeon throughout the 2017 navigation season SUPPLEMENTARY INFORMATION: Bay, WI are found under the existing under testing conditions to fully I. Table of Abbreviations regulation, 33 CFR 117.1101; Surgeon evaluate any impacts at the conclusion Bay. All three drawbridges are bascule- of the test period. Authorizing CFR Code of Federal Regulations type bridges with unlimited vertical DHS Department of Homeland Security temporary remote operation of the clearance in the open position. In the Sturgeon Bay drawbridges provides a FR Federal Register closed position, the three drawbridges NPRM Notice of proposed rulemaking good opportunity to evaluate the use of provide the following clearances: SNPRM Supplemental notice of proposed current technology to monitor and Bayview Bridge 42-feet, Maple-Oregon rulemaking operate remote drawbridges. This is Bridge 25-feet, and Michigan Street Pub. L. Public Law particularly true given the conditions on Bridge 14-feet. Under the current § Section this waterway and the demonstrated U.S.C. United States Code regulations, from March 15 thru WI–DOT Wisconsin Department of November 30, the Bayview Bridge opens record over time by the bridge owner, Transportation on signal for vessels 24 hours per day, WI–DOT, to efficiently manage and 7 days per week. Between December 1 operate their drawbridges within the II. Background Information and Ninth Coast Guard District. Regulatory History and March 14 the Bayview Bridge will open for vessels if at least 12-hours The Sturgeon Bay Ship Canal carries The Coast Guard is issuing this advance notice is provided. Between large (freighter) and smaller (tug/barge) interim rule without prior notice and March 15 and December 31, the Maple- commercial vessels, recreational vessels opportunity to comment pursuant to Oregon Bridge will open for recreational (including sailing vessels), vessels authority under section 4(a) of the vessels on the quarter-hour and three- seeking emergency yard services, Administrative Procedure Act (APA) quarter hour, 24 hours per day, 7 days transient vessels, and vessels seeking (5 U.S.C. 553(b)). This provision per week. Between March 15 and shelter from severe weather. There are authorizes an agency to issue a rule December 31 the Michigan Street Bridge numerous commercial, recreational, and without prior notice and opportunity to will open for vessels on the hour and transient facilities along Sturgeon Bay comment when the agency for good half-hour, 24 hours per day, 7 days per Ship Canal, including a shipyard cause finds that those procedures are week. Between January 1 and March 14 capable of servicing freighter size ‘‘impracticable, unnecessary, or contrary both the Maple-Oregon and the commercial vessels. Vessels may enter to the public interest.’’ Under 5 U.S.C. Michigan Street Bridges will open for or exit the Ship Canal through east or 553(b), the Coast Guard finds that good vessels if at least 12-hours advance west entrances, with some traffic cause exists for not publishing a notice notice is provided. All three passing through the entire waterway of proposed rulemaking (NPRM) with drawbridges open at any time for and requiring openings of all three respect to this rule because the commercial vessels. Due to the close drawbridges, and some traffic reaching operating schedules and methods to proximity of the Maple-Oregon and the facilities without requiring any signal for openings of the three Michigan Street Bridges, both are drawbridge openings by entering the drawbridges across Sturgeon Bay Ship required to open simultaneously if waterway from either the Lake Michigan Canal under this regulation are not requested by a commercial vessel and or Green Bay sides. changing, and WI–DOT has been testing both shall open on signal at any time if the remote operation equipment the past at least 10 vessels have accumulated at Based on data provided by WI–DOT two navigation seasons without any either bridge waiting for an opening or for the 2014 and 2015 navigation reported negative impact to safety or vessels are seeking shelter from severe seasons, the following charts show the navigation. Also, stakeholders and the weather. number of commercial and recreational general public will have the WI–DOT, owner of all three vessel traffic openings for each bridge: opportunity, and are encouraged, to drawbridges, has requested the Coast Bayview Bridge:

Commercial Recreational Total Year vessels vessels openings

2014 ...... 179 466 579 2015 ...... 171 476 570

Maple-Oregon Bridge:

Commercial Recreational Total Year vessels vessels openings

2014 ...... 470 1335 1351 2015 ...... 463 1449 1442

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Michigan Street Bridge:

Commercial Recreational Total Year vessels vessels openings

2014 ...... 1766 2897 2764 2015 ...... 2057 3922 3239

WI–DOT will gather additional traffic counts, vessel traffic counts (and requires federal agencies to consider the throughout the 2017 navigation season type), pedestrian counts, frequency of potential impact of regulations on small and during this interim rule. WI–DOT equipment failure and temporary entities during rulemaking. The term will also collect additional data to suspension of remote operation, ‘‘small entities’’ comprises small evaluate the remote operation frequency of restricted visibility, best businesses, not-for-profit organizations arrangement, including vehicular and practices, lessons learned, and any other that are independently owned and pedestrian traffic totals. The operating information useful for evaluating the operated and are not dominant in their schedules for all three drawbridges will remote operation arrangement. The fields, and governmental jurisdictions not be changed. Coast Guard and WI–DOT will evaluate with populations of less than 50,000. IV. Discussion of the Rule the data and all comments provided by The Coast Guard certifies under 5 U.S.C. stakeholders and the general public and 605(b) that this rule will not have a WI–DOT completed installation of determine whether to extend the test significant economic impact on a remote operation equipment on all three period, modify the arrangement, or substantial number of small entities. drawbridges in 2014 and operated all make the remote operation arrangement This Interim Rule imposes no changes three drawbridges via remote operation permanent in Sturgeon Bay. or additional requirements for any equipment from the middle bridge, The existing operating schedules of vessel operator or small entity to pass a Maple-Oregon, during the 2015 and the drawbridges will not be changed drawbridge compared to current 2016 navigation seasons. During this during the interim rule period, and are conditions. period WI–DOT identified not expected to be changed following Under section 213(a) of the Small improvements to equipment, best the period. Business Regulatory Enforcement practices and protocols. Fairness Act of 1996 (Pub. L. 104–121), V. Regulatory Analyses WI–DOT has proposed permanently we want to assist small entities in operating the Bayview and Michigan We developed this rule after understanding this rule. If the rule Street Bridges with a single bridge considering numerous statutes and would affect your small business, tender operating remote equipment from Executive Orders related to rulemaking. organization, or governmental the Maple-Oregon Bridge, which is Below we summarize our analyses jurisdiction and you have questions located between the Bayview and based on a number of these statutes and concerning its provisions or options for Michigan Street Bridges. In order to Executive Orders, and we discuss First compliance, please contact the person fulfill the required methods to receive Amendment rights of protesters. listed in the FOR FURTHER INFORMATION and respond to bridge opening requests A. Regulatory Planning and Review CONTACT, above. from vessels, as outlined in Subpart A Small businesses may send comments of 33 CFR 117, WI–DOT will employ the Executive Orders 12866 and 13563 on the actions of Federal employees following equipment and protocols; direct agencies to assess the costs and who enforce, or otherwise determine separate programmable logic controllers benefits of available regulatory compliance with, Federal regulations to (PLC) designed for each bridge on fiber alternatives and, if regulation is the Small Business and Agriculture optic connections, digital camera necessary, to select regulatory Regulatory Enforcement Ombudsman coverage (with ability to pan and approaches that maximize net benefits. and the Regional Small Business provide overlap video coverage) of all Executive Order 13563 emphasizes the Regulatory Fairness Boards. The approaches from land and water, importance of quantifying both costs Ombudsman evaluates these actions thermal imaging during severe weather and benefits, of reducing costs, of annually and rates each agency’s or restricted visibility, two-way audio harmonizing rules, and of promoting responsiveness to small business. If you capability, VHF–FM marine flexibility. This rule has not been wish to comment on actions by radiotelephone, landline telephone, designated a ‘‘significant regulatory employees of the Coast Guard, call 1– horn, signal lights, back-up and action,’’ under Executive Order 12866. 888–REG–FAIR (1–888–734–3247). The redundant systems, exclusive duties of Accordingly, it has not been reviewed Coast Guard will not retaliate against bridge tenders, and signage at the by the Office of Management and small entities that question or complain bridges advising mariners of Budget. about this rule or any policy or action communication and signaling methods. This regulatory action determination of the Coast Guard. WI–DOT has developed protocols to is based on the fact no changes to suspend the remote operation operating schedules are implemented C. Collection of Information arrangement and provide tenders at with this action. The remote drawbridge This rule calls for no new collection each drawbridge during emergencies or operation is expected and designed to of information under the Paperwork equipment failures and during busy be transparent to vessels with no Reduction Act of 1995 (44 U.S.C. 3501– holidays or weekends (Memorial Day, additional requirements or actions 3520). July Fourth, Labor Day). At the necessary to pass any of the three D. Federalism and Indian Tribal conclusion of the comment period of drawbridges. this interim rule period WI–DOT will Government provide a report documenting various B. Impact on Small Entities A rule has implications for federalism data and observations, including; The Regulatory Flexibility Act of 1980 under Executive Order 13132, frequency of bridge openings, vehicular (RFA), 5 U.S.C. 601–612, as amended, Federalism, if it has a substantial direct

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effect on the States, on the relationship VI. Public Participation and Request for by the tender at Maple-Oregon bridge, between the national government and Comments mile 4.17, and shall open as follows: the States, or on the distribution of We view public participation as * * * * * power and responsibilities among the essential to effective rulemaking, and Dated: February 3, 2017. various levels of government. We have will consider all comments and material analyzed this rule under that Order and J.E. Ryan, received during the comment period. have determined that it is consistent Rear Admiral, U.S. Coast Guard, Commander, Your comment can help shape the with the fundamental federalism Ninth Coast Guard District. outcome of this rulemaking. If you principles and preemption requirements [FR Doc. 2017–03346 Filed 2–17–17; 8:45 am] submit a comment, please include the described in Executive Order 13132. BILLING CODE 9110–04–P docket number for this rulemaking, Also, this rule does not have tribal indicate the specific section of this implications under Executive Order document to which each comment 13175, Consultation and Coordination DEPARTMENT OF VETERANS applies, and provide a reason for each AFFAIRS with Indian Tribal Governments, suggestion or recommendation. because it does not have a substantial We encourage you to submit 38 CFR Part 14 direct effect on one or more Indian comments through the Federal tribes, on the relationship between the RIN 2900–AP51 eRulemaking Portal at http:// Federal Government and Indian tribes, www.regulations.gov. If your material or on the distribution of power and Recognition of Tribal Organizations for cannot be submitted using http:// responsibilities between the Federal Representation of VA Claimants; Delay www.regulations.gov, contact the person Government and Indian tribes. of Effective Date in the FOR FURTHER INFORMATION E. Unfunded Mandates Reform Act CONTACT section of this document for AGENCY: Department of Veterans Affairs. alternate instructions. ACTION: The Unfunded Mandates Reform Act Final rule; delay of effective of 1995 (2 U.S.C. 1531–1538) requires We accept anonymous comments. All date. Federal agencies to assess the effects of comments received will be posted without change to http:// SUMMARY: In accordance with the their discretionary regulatory actions. In memorandum of January 20, 2017, from particular, the Act addresses actions www.regulations.gov and will include any personal information you have the Assistant to the President and Chief that may result in the expenditure by a of Staff, entitled ‘‘Regulatory Freeze State, local, or tribal government, in the provided. For more about privacy and the docket, you may review a Privacy Pending Review,’’ this action delays the aggregate, or by the private sector of effective date of the final rule $100,000,000 (adjusted for inflation) or Act notice regarding the Federal Docket Management System in the March 24, (‘‘Recognition of Tribal Organizations more in any one year. Though this rule for Representation of VA Claimants’’) will not result in such an expenditure, 2005, issue of the Federal Register (70 FR 15086). published January 19, 2017, from we do discuss the effects of this rule February 21, 2017, until March 21, elsewhere in this preamble. Documents mentioned in this notice, and all public comments, are in our 2017. F. Environment online docket at http:// DATES: The effective date of the rule that We have analyzed this rule under www.regulations.gov and can be viewed published on January 19, 2017, at 82 FR Department of Homeland Security by following that Web site’s 6265, is delayed until March 21, 2017. Management Directive 023–01 and instructions. Additionally, if you go to FOR FURTHER INFORMATION CONTACT: Commandant Instruction M16475.lD, the online docket and sign up for email Brandon A. Jonas, Staff Attorney, which guides the Coast Guard in alerts, you will be notified when Benefits Law Group, Office of the complying with the National comments are posted or a final rule is General Counsel, (022D), Department of Environmental Policy Act of 1969 published. Veterans Affairs, 810 Vermont Avenue (NEPA) (42 U.S.C. 4321–4370f), and List of Subjects in 33 CFR Part 117 NW., Washington, DC 20420, (202) 461– have made a determination that this 7699. (This is not a toll free number.) action is one of a category of actions Bridges. SUPPLEMENTARY INFORMATION: On which do not individually or For the reasons discussed in the January 19, 2017, the Department of cumulatively have a significant effect on preamble, the Coast Guard amends 33 Veterans Affairs (VA) issued a final rule the human environment. This rule CFR part 117 as follows: amending its regulations concerning simply promulgates the operating recognition of certain national, State, regulations or procedures for PART 117—DRAWBRIDGE and regional or local organizations for drawbridges. This action is categorically OPERATION REGULATIONS purposes of VA claims representation. excluded from further review, under Specifically, the rulemaking allows the figure 2–1, paragraph (32)(e), of the ■ 1. The authority citation for part 117 Secretary to recognize tribal Commandant Instruction. continues to read as follows: organizations in a similar manner as the Authority: 33 U.S.C. 499; 33 CFR 1.05–1; Secretary recognizes State organizations. G. Protest Activities Department of Homeland Security Delegation The final rule allows a tribal The Coast Guard respects the First No. 0170.1. organization that is established and Amendment rights of protesters. ■ 2. In § 117.1101, add introductory text funded by one or more tribal Protesters are asked to contact the to read as follows: governments to be recognized for the person listed in the FOR FURTHER purpose of providing assistance on VA INFORMATION CONTACT section to § 117.1101 Sturgeon Bay. benefit claims. In addition, the coordinate protest activities so that your The draws of the Bayview (State rulemaking allows an employee of a message can be received without Route 42/57) and Michigan Street tribal government to become accredited jeopardizing the safety or security of bridges, miles 3.0 and 4.3, respectively, through a recognized State organization people, places or vessels. at Sturgeon Bay, are remotely operated in a similar manner as a County

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Veterans’ Service Officer (CVSO) may Approved: February 15, 2017. use appropriated funds available to VA become accredited through a recognized Jeffrey Martin, for the Medical Services account to State organization. The rule was Office Program Manager, Office of Regulation provide fertility counseling and published with an effective date of Policy & Management, Office of the Secretary, treatment using assisted reproductive February 21, 2017. Department of Veterans Affairs. technology (ART) to a veteran with a VA bases this action on the [FR Doc. 2017–03328 Filed 2–17–17; 8:45 am] service-connected disability that results memorandum of January 20, 2017 (82 BILLING CODE 8320–01–P in the inability of the veteran to FR 8346), from the Assistant to the procreate without the use of fertility President and Chief of Staff, entitled treatment, and to the spouse of such ‘‘Regulatory Freeze Pending Review’’ DEPARTMENT OF VETERANS veteran. The ART treatments referred to (White House memorandum). That AFFAIRS in this law are those relating to memorandum directed the heads of reproductive assistance provided to a Executive Departments and Agencies to 38 CFR Part 17 member of the Armed Forces who temporarily postpone for 60 days from RIN 2900–AP94 incurs a serious injury or illness on the date of the memorandum the active duty pursuant to title 10 of the effective dates of all regulations that had Fertility Counseling and Treatment for United States Code (U.S.C.) section been published in the Federal Register Certain Veterans and Spouses, 1074(c)(4)(A), as described in a policy but had not yet taken effect, for the Correction memorandum issued by the Assistant purpose of ‘‘reviewing questions of fact, Secretary of Defense for Health Affairs law, and policy they raise.’’ VA, AGENCY: Department of Veterans Affairs. on April 3, 2012, titled ‘‘Policy for therefore, is revising the effective date of ACTION: Interim final rule; correcting Assisted Reproductive Services for the the rule that published on January 19, amendment. Benefit of Seriously or Severely Ill/ 2017 (82 FR 6265), to March 21, 2017. Injured (Category II or III) Active Duty To the extent that 5 U.S.C. 553 applies SUMMARY: The Department of Veterans Service Members,’’ and the guidance to this action, it is exempt from notice Affairs published in the Federal issued to implement such policy, and comment because it constitutes a Register on January 19, 2017, an interim including any limitations on the amount rule of procedure under 5 U.S.C. final rulemaking adding a new section of benefits available to each eligible 553(b)(A). Alternatively, VA’s authorizing in vitro fertilization (IVF) member. implementation of this action without for a veteran with a service-connected VA added new § 17.380 which states opportunity for public comment, disability that results in the inability of that IVF may be provided when effective immediately upon publication the veteran to procreate without the use clinically appropriate to a veteran who today in the Federal Register, is based of fertility treatment. In addition, we has a service-connected disability that on the good cause exceptions in 5 U.S.C. added a new section authorizing VA to results in the inability of the veteran to 553(b)(B) and (d)(3). Seeking public provide fertility counseling and procreate without the use of fertility comment is impracticable, unnecessary, treatment using assisted reproductive treatment, as well as a spouse of such and contrary to the public interest. The technologies (ART), including IVF, to a veteran. IVF services available to such temporary delay in the effective date spouse of a veteran with a service- veterans are the same as those provided until March 21, 2017, is necessary to connected disability that results in the by DoD to a member of the Armed give VA officials the opportunity for inability of the veteran to procreate Forces who incurs a serious injury or further review and consideration of the without the use of fertility treatment. illness on active duty pursuant to 10 new regulation, consistent with the These sections contain an error U.S.C. 1074(c)(4)(A), as described in White House memorandum. Given the regarding the expiration date VA’s DoD policy guidance, including any imminence of the effective date, the authority to provide health care limitations on the amount of such brief length of the extension, and the services. This document corrects the benefits available to such a member. public’s full opportunity to comment errors and does not make any Fertility counseling and treatment other prior to the publishing of the final rule, substantive change to the content of the than IVF is available to veterans as part seeking public comment on this interim final rule. of the medical benefits package at temporary delay would have been DATES: Effective: February 21, 2017. § 17.38. impracticable, as well as contrary to the We also added new § 17.412 which public interest in the orderly FOR FURTHER INFORMATION CONTACT: states that VA may provide fertility promulgation and implementation of Patricia M. Hayes, Ph.D. Chief counseling and treatment using ART to regulations. VA also believes that Consultant, Women’s Health Services, a spouse of a veteran with a service- further delay, beyond what is required Patient Care Services, Veterans Health connected disability that results in the by the White House memorandum, Administration, Department of Veterans inability of the veteran to procreate would cause undue inconvenience to Affairs, 810 Vermont Ave. NW., without the use of fertility treatment to the affected entities. Washington, DC 20420. (202) 461–0373. the extent such services are available to (This is not a toll-free number.) enrolled veterans under the medical Signing Authority SUPPLEMENTARY INFORMATION: VA benefits package. It also states that VA The Secretary of Veterans Affairs, or published an interim final rule at 82 FR may provide IVF to a spouse of a designee, approved this document and 6275 (January 19, 2017) that veteran with a service-connected authorized the undersigned to sign and implemented section 260 of the disability that results in the inability of submit the document to the Office of the Continuing Appropriations and Military the veteran to procreate without the use Federal Register for publication Construction, Veterans Affairs, and of fertility treatment. Such health care electronically as an official document of Related Agencies Appropriations Act, services may be provided when the Department of Veterans Affairs. Gina 2017, and Zika Response and clinically appropriate and consistent S. Farrisee, Deputy Chief of Staff, Preparedness Act (Pub. L. 114–223) as it with the benefits relating to Department of Veterans Affairs, pertains to fertility counseling and reproductive assistance provided to a approved this document on February treatment for certain veterans and member of the Armed Forces who 15, 2017, for publication. spouses. This law states that VA may incurs a serious injury or illness on

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active duty as described in DoD policy § 17.380 [Amended] reference to 36.4826. Consequently, the guidance. ■ 2. In § 17.380 paragraph (b), remove Electronic Code of Federal Regulations, In paragraph (b) of both §§ 17.380 and ‘‘2017’’ and add in its place ‘‘2018’’. published by the Government Printing 17.412 we incorrectly stated that Office, could not implement the change, authority to provide health care services § 17.412 [Amended] noting an ‘‘inaccurate amendatory under these sections expires on ■ 3. In § 17.412 paragraph (b), remove instruction’’ at the bottom of 38 CFR September 30, 2017, the end of fiscal ‘‘2017’’ and add in its place ‘‘2018’’. 36.4309. year 2017. In this correction, we amend [FR Doc. 2017–03319 Filed 2–17–17; 8:45 am] With this notice, VA is amending §§ 36.4309, 36.4322, 36.4335, and both paragraphs to reflect that authority BILLING CODE 8320–01–P to provide health care services under 36.4378, to correct the outdated cross- these sections expires on September 30, references to the 36.4800 series 2018. DEPARTMENT OF VETERANS regulations. Signing Authority AFFAIRS Signing Authority The Secretary of Veterans Affairs, or 38 CFR Part 36 The Secretary of Veterans Affairs, or designee, approved this document and designee, approved this document and RIN 2900–AP95 authorized the undersigned to sign and authorized the undersigned to sign and submit the document to the Office of the submit the document to the Office of the Veterans Benefits Administration; Federal Register for publication Federal Register for publication Loan Guaranty: Technical Corrections electronically as an official document of electronically as an official document of the Department of Veterans Affairs. Gina AGENCY: Department of Veterans Affairs. the Department of Veterans Affairs. Gina S. Farrisee, Deputy Chief of Staff, ACTION: Final rule; correcting S. Farrisee, Deputy Chief of Staff, Department of Veterans Affairs, amendment. Department of Veterans Affairs, approved this document on February approved this document on February 15, 2017, for publication. SUMMARY: On June 15, 2010, VA 15, 2017, for publication. published a document in the Federal List of Subjects in 38 CFR Part 17 Register eliminating redundant List of Subjects in 38 CFR Part 36 Administrative practice and provisions from its loan guaranty Condominiums, Housing, Individuals procedure, Alcohol abuse, Alcoholism, regulations following the with disabilities, Loan programs— Claims, Day care, Dental health, Drug implementation of a new electronic housing and community development, abuse, Government contracts, Grant reporting system and redesignating the Loan programs—veterans, Manufactured programs—health, Grant programs— section numbers of these regulations. At homes, Mortgage insurance, Reporting veterans, Health care, Health facilities, that time, VA did not update cross- and recordkeeping requirements, Health professions, Health records, reference citations to conform to the Veterans. redesignated sections. A subsequent Homeless, Medical and Dental schools, Correction Medical devices, Medical research, notice updated some, but not all, cross- Mental health programs, Nursing reference citations. VA is now updating For the reasons discussed in the homes, Reporting and recordkeeping the remaining non-substantive, cross- preamble, VA is amending 38 CFR part requirements, Travel and transportation reference citations for clarity and 36 with the following correcting expenses, Veterans. accuracy. amendments: Dated: February 15, 2017. DATES: This correction is effective on PART 36—LOAN GUARANTY Janet Coleman, February 21, 2017. ■ Chief, Office of Regulation Policy & FOR FURTHER INFORMATION CONTACT: 1. The authority citation for part 36 Management, Office of the Secretary, Jeffrey F. London, Director, Loan continues to read as follows: Department of Veterans Affairs. Guaranty Service (26), Veterans Benefits Authority: 38 U.S.C. 501 and as otherwise Administration, Department of Veterans For the reasons set out in the noted. Affairs, 810 Vermont Avenue NW., preamble, VA is correcting 38 CFR part Washington, DC 20420, (202) 632–8862. § 36.4309 [Amended] 17 by making the following correcting (This is not a toll-free number.) amendments: ■ 2. In § 36.4309, amend paragraph SUPPLEMENTARY INFORMATION: On June (c)(1)(vii) by removing ‘‘36.4826’’ and PART 17—MEDICAL 15, 2010, at 75 FR 33704, VA amended adding in its place ‘‘36.4326’’. what had been the 36.4800 series of 38 ■ 1. The authority citation for part 17 CFR part 36 to eliminate redundant and § 36.4322 [Amended] continues to read as follows: obsolete regulations, found from 38 CFR ■ 3. In § 36.4322, amend paragraphs Authority: 38 U.S.C. 501, and as noted in 36.4800 through 36.4893, and (b)(2) and (3) by removing ‘‘38 CFR specific sections. redesignated those sections as CFR 36.4848’’ and adding in its place ‘‘38 Section 17.38 is also issued under 38 36.4300 through 36.4393. CFR 36.4348’’. U.S.C. 101, 501, 1701, 1705, 1710, 1710A, On October 22, 2010, at 75 FR 65238, 1721, 1722, 1782, and 1786. VA amended the cross-references in the § 36.4335 [Amended] Sections 17.380 and 17.412 are also issued 36.4300 series to reflect the June 15, ■ 4. Amend § 36.4335 by removing under sec. 260, Public Law 114–223, 130 2010, amendments. At that time, VA ‘‘§§ 36.4800 to 36.4880’’ and adding in Stat. 857. inadvertently failed to update a number its place ‘‘§§ 36.4300 to 36.4380’’. Section 17.415 is also issued under 38 of cross-references. Additionally, VA U.S.C. 7301, 7304, 7402, and 7403. ■ 5. Revise the section heading for Sections 17.640 and 17.647 are also issued attempted to amend 38 CFR § 36.4378 to read as follows: under sec. 4, Public Law 114–2, 129 Stat. 30. 36.4309(c)(1)(vii) to replace a reference Sections 17.641 through 17.646 are also to 36.4826 with a reference to 36.4326. § 36.4378 Debits and credits to insurance issued under 38 U.S.C. 501(a) and sec. 4, However, VA erroneously cited account under § 36.4320. Public Law 114–2, 129 Stat. 30. paragraph (c)(1)(vi) as containing the * * * * *

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Approved: February 15, 2017. Vermont Ave. NW., Washington DC occur, must inform VA’s Center for Jeffrey Martin, 20420, phone (202) 461–4300. Verification and Evaluation (CVE) of Office Program Manager, Office of Regulation SUPPLEMENTARY INFORMATION: In a final any changes that would adversely affect Policy & Management, Office of the Secretary, rule published in the Federal Register its eligibility. Moreover, in accordance Department of Veterans Affairs. on February 8, 2010, (73 FR 6098), VA with 38 CFR part 74.20(a), VA has the [FR Doc. 2017–03329 Filed 2–17–17; 8:45 am] established new 38 CFR part 74 setting right to conduct random, unannounced BILLING CODE 8320–01–P forth a mechanism for verifying site examinations of participants or to ownership and control of VOSBs, conduct a further examination upon including SDVOSBs. At that time, with receipt of specific and credible DEPARTMENT OF VETERANS respect to 38 CFR 74.15, VA anticipated information that a participant is no AFFAIRS that annual examinations were longer eligible. Lastly, in the course of necessary to ensure the integrity of the specific SDVOSB/VOSB set-aside 38 CFR Part 74 Verification Program. This was deemed acquisitions, VA contracting officers RIN 2900–AP93 consistent with the annual Federal size and also competing SDVOSB/VOSBs and status recertification requirement in have the right to raise a SDVOSB/VOSB VA Veteran-Owned Small Business the Central Contractor Registry. In June status protest to VA’s Office of Small Verification Guidelines 2012, the period was extended to two and Disadvantaged Business Utilization years. Subsequently, VA has determined (OSDBU) if either has a reasonable basis AGENCY: Department of Veterans Affairs. that a three-year eligibility period is upon which to challenge the SDVOSB/ ACTION: Interim final rule. warranted. VOSB status of a verified firm. Establishment of a longer, 3-year In administering this program since SUMMARY: This document implements a eligibility period is consistent with February 2010, VA has concluded that portion of the Veterans Benefits, Health other Federal set-aside programs. With an annual examination is not necessary Care, and Information Technology Act respect to the Historically Underutilized to adequately maintain the integrity of of 2006, which requires the Department Business Zone (HUBZone) small the program and proposes a 3-year of Veterans Affairs (VA) to verify business certification program, U.S. eligibility period. This change is ownership and control of veteran- Small Business Administration (SBA) appropriate because VA conducts a owned small businesses (VOSB), regulations at 13 CFR 126.500 require including service-disabled veteran- robust examination of personal and that any qualified HUBZone small owned small businesses (SDVOSB) in company documentation to verify business concern seeking to remain on order for these firms to participate in ownership and control by Veterans of the HUBZone approved list must VA acquisitions set-aside for SDVOSB/ applicant businesses. In addition to recertify every 3 years with SBA. With VOSBs. This interim final rule contains verifying individual owners’ service- regard to SBA’s Section 8(a) Business a minor revision to require re- disabled veteran status or veteran status, Development program, SBA authorizes a verification of SDVOSB/VOSB status in accordance with 38 CFR 74.20(b), VA program term of up to 9 years in 13 CFR only every three years rather than reviews an applicant’s financial 124.2. For VA’s SDVOSB/VOSB biennially. The purpose of this change statements; Federal personal and verification program, VA has now is to reduce the administrative burden business tax returns; personal history determined that a program term of 3 on SDVOSB/VOSBs regarding statements; articles of incorporation/ years is reasonable given the mandatory participation in VA acquisitions set organization; corporate by-laws or nature of VA’s SDVOSB/VOSB set-aside asides for these types of firms. operating agreements; organizational, authority in contrast to the discretionary annual and board/member meeting nature of the HUBZone and Section 8(a) DATES: records; stock ledgers and certificates; Effective Date: February 21, 2017. set-aside programs. In accordance with State-issued certificates of good 38 U.S.C. 8127 and VA Acquisition Comment Date: Comments must be standing; contract, lease and loan received on or before April 24, 2017. Regulation, 48 CFR part 819, VA is agreements; payroll records; bank required to set aside any open market ADDRESSES: Written comments may be account signature cards; and licenses. procurement for SDVOSBs and then submitted by: Mail or hand-delivery to Given the depth of this review, annual VOSBs, first and second respectively, if Director, Regulations Management or biennial re-verification examinations two or more such concerns are (00REG1), Department of Veterans have become an unnecessary reasonably anticipated to submit offers Affairs, 810 Vermont Ave. NW., Room administrative burden on both at fair and reasonable pricing. Given the 1068, Washington, DC 20420; fax to applicants/participants and VA. large volume of appropriated funds (202) 273–9026; or email through http:// Given this extensive initial subject to these set-aside requirements, www.Regulations.gov. Comments examination, VA is confident that the a 3-year eligibility period prior to re- should indicate that they are submitted integrity of the verification program will examination is deemed reasonable to in response to ‘‘RIN 2900–AP93—VA not be compromised by establishing a 3- adequately balance the burden on Veteran-Owned Small Business year eligibility period. This is borne out SDVOSB/VOSBs and to protect the Verification Guidelines.’’ All comments by fiscal year 2016 data that shows that integrity of the program. received will be available for public out of 1,109 reverification applications, inspection in the Office of Regulation only ten were denied. Therefore, only Administrative Procedure Act Policy and Management, Room 1063B, 0.9 percent of firms submitting The Secretary of Veterans Affairs between the hours of 8 a.m. and 4:30 reverification applications were found finds good cause to issue this interim p.m., Monday through Friday (except to be ineligible after two years. Other final rule prior to notice and comment holidays). Please call (202) 273–9515 for integrity aspects of the program remain procedures. The interim rule makes a an appointment. adequate to oversee a 3-year eligibility minor modification to extend the FOR FURTHER INFORMATION CONTACT: period. Once verified, 38 CFR 74.15(a) eligibility period for SDVOSB/VOSBs Thomas McGrath, Director, Center for mandates that the participant must after VA’s initial robust verification Verification and Evaluation (00VE), maintain its eligibility during its tenure examination and approval from 2 years Department of Veterans Affairs, 810 and, if ownership or control changes to 3 years. The rule will reduce the

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administrative burden on SDVOSB/ Flexibility Act, 5 U.S.C. 601–612. expenditure by State, local, and tribal VOSB participants by extending the re- Therefore, under 5 U.S.C. 605(b), this governments, in the aggregate, or by the verification submissions. The integrity regulation is exempt from the initial and private sector, of $100 million or more of the program remains protected by the final regulatory flexibility analysis (adjusted annually for inflation) in any initial robust and detailed verification requirements of sections 603 and 604. given year. This interim final rule examination, the regulatory requirement Executive Orders 12866 and 13563 would have no such effect on State, of participants to report changes to local, and tribal governments, or on the ownership and control during their Executive Orders 12866 and 13563 private sector. eligibility period, VA’s authority to direct agencies to assess the costs and conduct random site examinations and benefits of available regulatory Paperwork Reduction Act to re-examine eligibility upon receipt of alternatives and, when regulation is This document contains no provisions any reasonably credible information necessary, to select regulatory affecting SDVOSB/VOSB verified status, approaches that maximize net benefits constituting a collection of information and, for individual acquisitions, the (including potential economic, under the Paperwork Reduction Act of status protest process, where VA environmental, public health and safety 1995 (44 U.S.C. 3501–3521). contracting officers or competing effects, and other advantages; Catalog of Federal Domestic Assistance vendors can challenge the SDVOSB/ distributive impacts; and equity). VOSB status of offerors if a reasonable Executive Order 13563 (Improving This interim final rule affects the basis can be asserted to be decided by Regulation and Regulatory Review) verification guidelines of veteran-owned VA OSDBU on SDVOSB/VOSB set-aside emphasizes the importance of small businesses, for which there is no acquisitions. quantifying both costs and benefits, Catalog of Federal Domestic Assistance For these reasons, the Secretary of reducing costs, harmonizing rules, and program number. Veterans Affairs is issuing this as an promoting flexibility. Executive Order interim final rule. In view of the 12866 (Regulatory Planning and Signing Authority detrimental effects of continuing an Review) defines a ‘‘significant The Secretary of Veterans Affairs, or unnecessary administrative burden on regulatory action,’’ which requires designee, approved this document and program participants and verifying review by the Office of Management and authorized the undersigned to sign and officials, and to avoid delays in Budget (OMB), as ‘‘any regulatory action verification caused by repetitive that is likely to result in a rule that may: submit the document to the Office of the biennial reviews, the Secretary finds it (1) Have an annual effect on the Federal Register for publication is impracticable, unnecessary, and economy of $100 million or more or electronically as an official document of contrary to public interest to delay the adversely affect in a material way the the Department of Veterans Affairs. Gina effective date of this regulation for the economy, a sector of the economy, S. Farrisee, Deputy Chief of Staff, purpose of soliciting advance public productivity, competition, jobs, the Department of Veterans Affairs, comment. The Secretary of Veterans environment, public health or safety, or approved this document on February Affairs will consider and address State, local, or tribal governments or 15, 2017 for publication. comments that are received within 60 communities; (2) Create a serious List of Subjects in 38 CFR Part 74 days of the date this interim final rule inconsistency or otherwise interfere is published in the Federal Register. with an action taken or planned by Administrative practice and For these same reasons, and because another agency; (3) Materially alter the procedures, Privacy, Reporting and this interim final rule relieves a budgetary impact of entitlements, recordkeeping requirements, Small restriction, the Secretary finds that this grants, user fees, or loan programs or the business, Veteran, Veteran-owned small rule will be effective on the date of rights and obligations of recipients business, Verification. publication. thereof; or (4) Raise novel legal or policy Approved: February 15, 2017. Regulatory Flexibility Act issues arising out of legal mandates, the President’s priorities, or the principles Jeffrey Martin, The Regulatory Flexibility Act, 5 set forth in this Executive Order.’’ Office Program Manager, Office of Regulation U.S.C. 601–612, applies to this final The economic, interagency, Policy & Management, Office of the Secretary, rule. This interim final rule is generally budgetary, legal, and policy Department of Veterans Affairs. neutral in its effect on small businesses implications of this regulatory action For the reasons set out in the because it relates only to small have been examined and it has been preamble, VA amends 38 CFR part 74 as businesses applying for verified status determined not to be a significant follows: in VA’s SDVOSB/VOSB verified regulatory action under Executive Order database. The overall impact of the rule 12866. PART 74—VETERANS SMALL will benefit small businesses owned by VA has already established the BUSINESS REGULATIONS veterans or service-disabled veterans SDVOSB/VOSB verification program in because it will reduce their regulation at 38 CFR part 74, and the ■ administrative burden associated with minor change in this interim final rule 1. The authority citation for part 74 maintaining verified status by extending will modify the term of eligibility after continues to read as follows: the need for re-verification by VA from initial verification from 2 years to 3 Authority: 38 U.S.C. 501, 513, and as 2 years to 3 years. VA has estimated the years before re-verification would be noted in specific sections. cost to an individual business to be null. required. Increasing the verification period will § 74.15 [Amended] decrease the frequency of any costs. On Unfunded Mandates ■ this basis, the Secretary certifies that the The Unfunded Mandates Reform Act 2. Section 74.15(a) is amended by adoption of this interim final rule would of 1995 requires, at 2 U.S.C. 1532, that removing ‘‘2 years’’ and adding, in its not have a significant economic impact agencies prepare an assessment of place, ‘‘3 years’’. on a substantial number of small entities anticipated costs and benefits before [FR Doc. 2017–03331 Filed 2–17–17; 8:45 am] as they are defined in the Regulatory issuing any rule that may result in the BILLING CODE 8320–01–P

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FEDERAL COMMUNICATIONS not only the proposed updated Federal Communications Commission. COMMISSION categories and prices for the Barbara A. Kreisman, reimbursement expenses listed, but also Chief, Video Division, Media Bureau. 47 CFR Part 73 adopts an economic methodology to [FR Doc. 2017–03174 Filed 2–17–17; 8:45 am] [GN Docket No. 12–268; MB Docket No. 16– update the prices in the Catalog BILLING CODE 6712–01–P 306; DA 17–154] throughout the three-year reimbursement period so that they Incentive Auction Task Force and accurately reflect the current market for DEPARTMENT OF COMMERCE Media Bureau Finalize Catalog of the equipment and services listed in the Reimbursement Expenses Catalog. The Catalog that the Incentive National Oceanic and Atmospheric Administration AGENCY: Federal Communications Auction Task Force and the Media Commission. Bureau adopt will be embedded in the 50 CFR Part 622 ACTION: Final action; requirements and on-line Reimbursement Form (FCC procedures. Form 2100, Schedule 399) which will be [Docket No. 131113952–7147–03] used by entities seeking reimbursement RIN 0648–BD78 SUMMARY: In this document the to file estimated costs and Incentive Auction Task Force and the reimbursement claims for the costs they Snapper-Grouper Fishery Off the Media Bureau of the Federal actually incur. The Reimbursement Southern Atlantic States; Regulatory Communications Commission Form is a web-based electronic form Amendment 16; Technical Amendment (Commission) adopts: Updates to the containing previously approved categories of eligible equipment and information collections (under existing AGENCY: National Marine Fisheries services, as well as updated baseline OMB control number 3060–1178). The Service (NMFS), National Oceanic and costs, in the catalog of eligible Commission previously sought, and, on Atmospheric Administration (NOAA), Commerce. reimbursement expenses (Catalog); an March 17, 2016, obtained OMB approval economic methodology for adjusting the for the information collection ACTION: Final rule; technical Catalog’s baseline costs annually such requirements contained in the amendment. that they remain accurate, by using the Bureau of Labor Statistics’ Producer Reimbursement Form, which became SUMMARY: NMFS is hereby making a Price Index, WPUFD4 series; and effective on March 24, 2016, for a period technical amendment to our regulations revisions to the online Reimbursement of three years. (See Expanding the without altering the substance of the Form to incorporate the updates to the Economic and Innovation Opportunities regulations. These changes will clarify Catalog, which will be embedded in the of Spectrum Through Incentive our regulations to make them more Reimbursement Form, as well as other Auctions, 81 FR 15649, Vol. 81, No. 57 easily understood by the public. As a features, including checkboxes for (Mar. 24, 2016)). Because the Catalog result of a previously published final entities to indicate if they are seeking will be embedded within the rule to implement Regulatory upgrades or partial payment requests, Reimbursement Form, available via the Amendment 16 to the Fishery which are designed to make it more Commission’s Licensing and Management Plan for the Snapper- user-friendly. Management System (LMS), we now Grouper Fishery of the South Atlantic DATES: February 21, 2017. resubmit the Reimbursement Form to Region (FMP), that published in the Federal Register on December 29, 2016, ADDRESSES: Copies of any comments on the Office of Management and Budget NMFS has identified a section of the the Paperwork Reduction Act (OMB) for approval under the regulations for black sea bass pot information collection requirements Paperwork Reduction Act (PRA) of the commercial trip limits in need of contained herein should be submitted to incremental changes resulting from the clarification. This rule does not make Cathy Williams, Federal Catalog’s updates, as well as other any substantive changes to the Communications Commission, 445 12th minor modifications made to the regulations governing South Atlantic Street SW., Washington, DC 20554, or Reimbursement Form that are designed snapper-grouper or to other species by email to [email protected] and to make it more user-friendly and assist managed by NMFS. [email protected]. filers in describing their claims. For DATES: This final rule is effective FOR FURTHER INFORMATION CONTACT: example, we have added check boxes February 21, 2017. Pamela Gallant, 202–418–0614, or that allow entities to easily indicate if Raphael Sznajder, 202–418–1648, of the they are seeking optional equipment ADDRESSES: Electronic copies of Media Bureau, Video Division. upgrades or requesting partial payment Regulatory Amendment 16, which includes an environmental impact SUPPLEMENTARY INFORMATION: With the of particular expenses. The public will now have an opportunity to comment statement, a Regulatory Flexibility Act assistance of a third-party contractor, analysis, and a regulatory impact on these modifications to the data Widelity, Inc., and based on the record review, may be obtained from the collections in the Reimbursement Form. to date, the Media Bureau has Southeast Regional Office Web site at developed, updated, and now adopted This is a summary of the FCC’s https://sero.nmfs.noaa.gov/sustainable_ an updated catalog of eligible document GN Docket No. 12–268; MB fisheries/s_atl/sg/2013/reg_am16/ reimbursement expenses (Catalog) for Docket No. 16–306; DA 17–154 index.html. reimbursement-eligible entities to use (released Feb. 9, 2017). The full text of for reference during the post-incentive this document is available for FOR FURTHER INFORMATION CONTACT: auction transition. The Catalog is not inspection and copying during normal Nikhil Mehta, 727–824–5305; email: exhaustive, but rather a tool to facilitate business hours in the FCC Reference [email protected]. the process for reimbursement-eligible Center (Room CY–A257), 445 12th SUPPLEMENTARY INFORMATION: Black sea entities to claim reimbursement on the Street SW., Washington, DC 20554. bass is in the snapper-grouper fishery Reimbursement Form. This Public and is managed under the FMP. The Notice (available at: DA 17–154), adopts FMP was prepared by the Council and

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is implemented through regulations at different black sea bass gear components public comment pursuant to the 50 CFR part 622 under the authority of (pots and hook-and-line) in the authority set forth in 5 U.S.C. 553(b)(B) the Magnuson-Stevens Fishery commercial sector. of the Administrative Procedure Act Conservation and Management Act The final rule for Regulatory (APA), because prior notice and (Magnuson-Stevens Act). Amendment 16 revised the black sea opportunity for public comment on this On December 29, 2016, NMFS bass pot seasonal prohibition. As of final rule is unnecessary and contrary to published the final rule for Regulatory December 29, 2016, sea bass pots are the public interest. Such procedures are Amendment 16 (81 FR 95893). The final allowed to be fished year-round in unnecessary and contrary to the public rule for Regulatory Amendment 16 specific areas in the South Atlantic. interest, because the rules establishing revised the seasonal prohibition on the During the development of the the commercial trip limits and the use of black sea bass pot gear in the rulemaking to implement Regulatory South Atlantic and added an additional Amendment 16, NMFS inadvertently seasonal closures have already been gear marking requirement for black sea did not revise the relevant regulatory subject to notice and comment and not bass pot gear. The purpose of that final text to correctly reference that the immediately correcting the regulatory rule was to reduce the adverse commercial trip limits for black sea bass text would result in confusion and socioeconomic impacts from the fishers are meant to be in effect year- uncertainty for the affected entities. previous seasonal black sea bass pot round. However, the South Atlantic For the aforementioned reasons, the gear prohibition while continuing to Fishery Management Council’s stated AA also finds good cause to waive the protect Endangered Species Act listed intent in Regulatory Amendment 16 was 30-day delay in the effectiveness of this North Atlantic right whales in the South to retain the 1,000 lb (454 kg), gutted action under 5 U.S.C. 553(d)(3). Atlantic. That final rule also required weight; 1,180 lb (535 kg), round weight, These measures are thus exempt from additional gear markings to help year-round commercial trip limit for the the procedures of the Regulatory identify black sea bass pot gear in the black sea bass pot sector originally South Atlantic. This technical implemented in 2012. Flexibility Act because prior notice and amendment to that final rule clarifies comment have been waived under the that black sea bass pot commercial trip Correction APA. limits are meant to be in effect year- Currently, the regulations at List of Subjects in 50 CFR Part 622 round. § 622.191(a)(8)(ii) contain a reference that the 1,000 lb (454 kg), gutted weight; Background Black sea bass, Commercial trip 1,180 lb (535 kg), round weight, limits, Fisheries, Fishing, South On June 1, 2012, NMFS published the commercial trip limit is only applicable Atlantic. final rule for Amendment 18A to the from May 1 through October 31. The FMP (77 FR 32408). Among the May 1 through October 31 condition Dated: February 14, 2017. measures in Amendment 18A was the was added to clarify the seasonal Alan D. Risenhoover, establishment of a year-round differences in commercial trip limits Acting Deputy Assistant Administrator for commercial trip limit of 1,000 lb (454 among the hook-and-line and black sea Regulatory Programs, National Marine kg), gutted weight; 1,180 lb (535 kg), bass pot components in the commercial Fisheries Service. round weight. sector. As currently written, the For the reasons set out in the On September 23, 2013, NMFS regulations at § 622.191(a)(8)(ii) preamble, 50 CFR part 622 is amended published the final rule for Regulatory incorrectly have no commercial trip as follows: Amendment 19 to the FMP (78 FR limit in place from November 1 through 58249). Regulatory Amendment 19 April 30. As had been described in established an annual prohibition on the PART 622—FISHERIES OF THE Regulatory Amendment 16, the intent CARIBBEAN, GULF OF MEXICO, AND use of black sea bass pot gear from by NMFS and the South Atlantic SOUTH ATLANTIC November through April. Fishery Management Council was for On November 7, 2014, NMFS the commercial trip limit for sea bass ■ published the final rule for Regulatory pots to be in effect year-round. 1. The authority citation for part 622 Amendment 14 to the FMP (79 FR This technical amendment corrects continues to read as follows: 66316). One of the measures the text within § 622.191(a)(8)(ii) to Authority: 16 U.S.C. 1801 et seq. implemented through Regulatory accurately state that the black sea bass Amendment 14 was the establishment pot trip limit is in effect year-round. ■ 2. In § 622.191, revise paragraph of a 300 lb (136-kg), gutted weight; 354 (a)(8)(ii) to read as follows: lb (161 kg), round weight, commercial Classification trip limit for the black sea bass hook- The Regional Administrator, § 622.191 Commercial trip limits. and-line component in the South Southeast Region, NMFS, has * * * * * Atlantic from January 1 through April determined this final rule is necessary (a) * * * 30, each year. In addition, NMFS for the conservation and management of changed the commercial trip limit for South Atlantic black sea bass and is (8) * * * the black sea bass pot component from consistent with the Magnuson-Stevens (ii) Sea bass pot component. Until the year-round to May 1 through October Act and other applicable laws. applicable quota specified in 31, each year. The intent of referencing This final rule has been determined to § 622.190(a)(5) is reached—1,000 lb (454 the May through October dates for the be not significant for the purposes of kg), gutted weight; 1,180 lb (535 kg), black sea bass pot commercial trip limit Executive Order 12866. round weight. was because at that time, May through The Assistant Administrator for October was the only time period that Fisheries, NOAA (AA), finds that the * * * * * pots could be fished. The final rule for need to immediately implement this [FR Doc. 2017–03291 Filed 2–17–17; 8:45 am] Regulatory Amendment 14 simply regulatory clarification constitutes good BILLING CODE 3510–22–P clarified the seasonal differences in cause to waive the requirements to commercial trip limits among the provide prior notice and opportunity for

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DEPARTMENT OF COMMERCE Stevens Fishery Conservation and Classification Management Act. Regulations governing National Oceanic and Atmospheric fishing by U.S. vessels in accordance This action responds to the best Administration with the FMP appear at subpart H of 50 available information recently obtained CFR part 600 and 50 CFR part 679. from the fishery. The Acting Assistant 50 CFR Part 679 Regulations governing sideboard Administrator for Fisheries, NOAA (AA), finds good cause to waive the [Docket No. 150818742–6210–02] protections for GOA groundfish fisheries appear at subpart B of 50 CFR requirement to provide prior notice and RIN 0648–XF235 part 680. opportunity for public comment pursuant to the authority set forth at 5 The A season allowance of the 2017 Fisheries of the Exclusive Economic U.S.C. 553(b)(B) as such requirement is Pacific cod total allowable catch (TAC) Zone Off Alaska; Pacific Cod by impracticable and contrary to the public apportioned to vessels using pot gear in Vessels Using Pot Gear in the Western interest. This requirement is the Western Regulatory Area of the GOA Regulatory Area of the Gulf of Alaska impracticable and contrary to the public is 4,854 metric tons (mt), as established interest as it would prevent NMFS from AGENCY: National Marine Fisheries by the final 2016 and 2017 harvest responding to the most recent fisheries Service (NMFS), National Oceanic and specifications for groundfish of the GOA data in a timely fashion and would Atmospheric Administration (NOAA), (81 FR 14740, March 18, 2016) and delay the directed fishing closure of Commerce. inseason adjustment (81 FR 95063, Pacific cod for vessels using pot gear in ACTION: Temporary rule; closure. December 27, 2016). the Western Regulatory Area of the In accordance with § 679.20(d)(1)(i), SUMMARY: NMFS is prohibiting directed GOA. NMFS was unable to publish a fishing for Pacific cod by vessels using the Administrator, Alaska Region, notice providing time for public pot gear in the Western Regulatory Area NMFS (Regional Administrator) has comment because the most recent, of the Gulf of Alaska (GOA). This action determined that the A season allowance relevant data only became available as is necessary to prevent exceeding the A of the 2017 Pacific cod TAC of February 14, 2017. apportioned to vessels using pot gear in season allowance of the 2017 Pacific The AA also finds good cause to cod total allowable catch apportioned to the Western Regulatory Area of the GOA will soon be reached. Therefore, the waive the 30-day delay in the effective vessels using pot gear in the Western date of this action under 5 U.S.C. Regulatory Area of the GOA. Regional Administrator is establishing a directed fishing allowance of 4,844 mt 553(d)(3). This finding is based upon DATES: Effective 1200 hours, Alaska and is setting aside the remaining 10 mt the reasons provided above for waiver of local time (A.l.t.), February 16, 2017, as bycatch to support other anticipated prior notice and opportunity for public through 1200 hours, A.l.t., June 10, groundfish fisheries. In accordance with comment. 2017. § 679.20(d)(1)(iii), the Regional This action is required by § 679.20 FOR FURTHER INFORMATION CONTACT: Administrator finds that this directed and is exempt from review under Obren Davis, 907–586–7228. fishing allowance has been reached. Executive Order 12866. SUPPLEMENTARY INFORMATION: NMFS Consequently, NMFS is prohibiting Authority: 16 U.S.C. 1801 et seq. manages the groundfish fishery in the directed fishing for Pacific cod by GOA exclusive economic zone vessels using pot gear in the Western Dated: February 15, 2017. according to the Fishery Management Regulatory Area of the GOA. After the Karen H. Abrams, Plan for Groundfish of the Gulf of effective date of this closure the Acting Director, Office of Sustainable Alaska (FMP) prepared by the North maximum retainable amounts at Fisheries, National Marine Fisheries Service. Pacific Fishery Management Council § 679.20(e) and (f) apply at any time [FR Doc. 2017–03378 Filed 2–15–17; 4:15 pm] under authority of the Magnuson- during a trip. BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 82, No. 33

Tuesday, February 21, 2017

This section of the FEDERAL REGISTER to the ‘‘Proposed Designation of Product NUCLEAR REGULATORY contains notices to the public of the proposed Categories.’’ COMMISSION issuance of rules and regulations. The • Federal eRulemaking Portal: http:// purpose of these notices is to give interested 10 CFR Part 50 persons an opportunity to participate in the www.regulations.gov. Follow the rule making prior to the adoption of the final instructions for submitting comments. [Docket No. PRM–50–113; NRC–2015–0230] rules. • _ Email: biopreferred support@ Uninterruptible Monitoring of Coolant amecfw.com. Include RIN number and Fuel in Reactors and Spent Fuel DEPARTMENT OF AGRICULTURE 0599–AA24 and ‘‘Proposed Designation Pools of Product Categories’’ on the subject Office of Procurement and Property line. Please include your name and AGENCY: Nuclear Regulatory Management address in your message. Commission. ACTION: • Mail/commercial/hand delivery: Petition for rulemaking; denial. 7 CFR Part 3201 Mail or deliver your comments to: Marie SUMMARY: The U.S. Nuclear Regulatory RIN 0599–AA24 Wheat, USDA, Office of Procurement Commission (NRC) is denying a petition and Property Management, Room 361, for rulemaking (PRM), dated September Designation of Product Categories for Reporters Building, 300 7th St. SW., 10, 2015, submitted by Dr. Alexander Federal Procurement Washington, DC 20024. DeVolpi (the petitioner). The petition AGENCY: Office of Procurement and • Persons with disabilities who was docketed by the NRC on September Property Management, USDA. require alternative means for 21, 2015, and was assigned Docket No. PRM–50–113. The petitioner requested ACTION: Proposed rule; extension of communication for regulatory comment period. information (Braille, large print, that the NRC amend its regulations to audiotape, etc.) should contact the require ‘‘installation of ex-vessel instrumentation for uninterruptible SUMMARY: The U.S. Department of USDA TARGET Center at (202) 720– monitoring of coolant and fuel in Agriculture (USDA) is extending by 30 2600 (voice) and (202) 690–0942 (TTY). days the deadline to submit comments reactors and spent-fuel pools.’’ The NRC on the proposed rule to designate 12 FOR FURTHER INFORMATION CONTACT: is denying the petition because the product categories for federal Marie Wheat, USDA, Office of Commission finds that the issues raised procurement, which was published on Procurement and Property Management, by the petitioner have been addressed January 13, 2017 (82 FR 4206) under the Room 361, Reporters Building, 300 7th by actions taken by the NRC in response authority of section 9002 of the Farm St. SW., Washington, DC 20024; email: to the Fukushima Dai-ichi nuclear Security and Rural Investment Act of [email protected]; accident. 2002 (the 2002 Farm Bill), as amended phone (202) 239–4502. Information DATES: The docket for the petition for by the Food, Conservation, and Energy regarding the Federal preferred rulemaking, PRM–50–113, is closed on Act of 2008 (the 2008 Farm Bill), and procurement program (one initiative of February 21, 2017. further amended by the Agricultural Act the BioPreferred Program) is available ADDRESSES: Please refer to Docket ID of 2014 (the 2014 Farm Bill), 7 U.S.C. on the Internet at http:// NRC–2015–0230, when contacting the 8102. The 60-day comment period in www.biopreferred.gov. NRC about the availability of the proposed rule is scheduled to end information regarding this petition. You on March 14, 2017. The extended SUPPLEMENTARY INFORMATION: may obtain publicly-available comment period will now close on Comment Period information related to this petition by April 13, 2017. In this proposed rule, any of the following methods: USDA is proposing to amend the USDA is extending the public • Federal Rulemaking Web site: Go to Guidelines for Designating Biobased comment period for an additional 30 http://www.regulations.gov and search Products for Federal Procurement days. The public comment period will for Docket ID NRC–2015–0230. Address (Guidelines) to add 12 sections that will end on April 13, 2017, instead on March questions about NRC dockets to Carol designate the product categories within 14, 2017. Gallagher; telephone: 301–415–3463; which biobased products would be email: [email protected]. For afforded procurement preference by List of Subjects in 7 CFR Part 3201 technical questions, contact the Federal agencies and their contractors. individual listed in the FOR FURTHER Biobased products, Procurement. DATES: Comments on the proposed rule INFORMATION CONTACT section of this published January 13, 2017 (82 FR 4206) Dated: February 3, 2017. document. must be received on or before April 13, Malcom Shorter, • NRC’s Agencywide Documents 2017. Acting Assistant Secretary for Access and Management System ADDRESSES: You may submit comments Administration, U.S. Department of (ADAMS): You may obtain publicly- by any of the following methods. All Agriculture. available documents online in the submissions received must include the [FR Doc. 2017–03288 Filed 2–17–17; 8:45 am] ADAMS Public Documents collection at agency name and Regulatory BILLING CODE 3410–93–P http://www.nrc.gov/reading-rm/ Information Number (RIN). The RIN for adams.html. To begin the search, select this rulemaking is 0599–AA24. Also, ‘‘ADAMS Public Documents’’ and then please identify submittals as pertaining select ‘‘Begin Web-based ADAMS

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Search.’’ For problems with ADAMS, National Academy of Sciences (NAS) cooling, spent fuel pool cooling, and please contact the NRC’s Public report entitled ‘‘Lessons Learned from containment prior to the onset of core or Document Room (PDR) reference staff at the Fukushima Nuclear Accident for spent fuel damage. Either installed 1–800–397–4209, 301–415–4737, or by Improving Safety of U.S. Nuclear instrumentation remains powered email to [email protected]. For the Plants’’ should be mandated (as an NRC during an extended loss of alternating convenience of the reader, instructions regulation) to require installation of ex- current power via safety-related about obtaining materials referenced in vessel instrumentation for batteries and other power supplies that this document are provided in Section uninterruptible monitoring of coolant provide coping capabilities for an IV, ‘‘Availability of Documents,’’ of this and fuel in reactors and spent fuel indefinite period of time, or portable document. pools. The petitioner stated that NAS instruments are used that are • NRC’s PDR: You may examine and gave a high priority to this independent from installed plant power purchase copies of public documents at recommendation and the petitioner systems. If mitigation strategies are not the NRC’s PDR, Room O1–F21, One indicated that he has developed successful and severe accident White Flint North, 11555 Rockville instrumentation that is capable of conditions develop, the enhancements Pike, Rockville, Maryland 20852. uninterruptible monitoring of critical made in response to Order EA–12–049 FOR FURTHER INFORMATION CONTACT: thermodynamic parameters. The will provide for monitoring of key Jennifer C. Tobin, Office of Nuclear petitioner included diagrams and parameters on the condition of the Reactor Regulation, telephone: 301– explanations of his patented reactor, containment, and spent fuel 415–2328; email: Jennifer.Tobin@ instrumentation and supportive pool throughout the accident’s nrc.gov; U.S. Nuclear Regulatory technical papers and requested that the progression until instrumentation Commission, Washington, DC 20555– NRC require use of such becomes unavailable or unreliable. 0001. instrumentation to prevent or mitigate These enhancements should also enable accidents. In particular, the petitioner licensees to more easily transition to the SUPPLEMENTARY INFORMATION: contends that the accident at Three Mile use of computational aids when direct Table of Contents Island, Unit 2 might have been diagnosis of key plant conditions cannot I. The Petition prevented if real-time uninterruptible be determined reliably from II. Reasons for Denial ex-vessel reactor water-level monitoring instrumentation. Further, spent fuel III. Conclusion had been in place. Further, the pool instrumentation is also required by IV. Availability of Documents petitioner states that one or two of the Order EA–12–051, ‘‘Order Modifying Fukushima Dai-ichi meltdowns might Licenses with Regard to Reliable Spent I. The Petition have been delayed or averted if Fuel Pool Instrumentation,’’ to remotely Section 2.802 of title 10 of the Code uninterruptible ex-vessel real-time report three distinct water levels: of Federal Regulations (10 CFR), reactor water-level monitoring had been Normal level; low level but still enough ‘‘Petition for rulemaking,’’ provides an in place and operating on self-contained to shield workers above the pools from opportunity for any interested person to low-current battery supplies. radiation; and a level near the top of the petition the Commission to issue, The NRC staff responded to the NAS spent fuel rods, at which more water amend, or rescind any regulation. The report and its recommendations in should be added without delay. NRC received a petition dated SECY–15–0059, ‘‘Seventh 6-Month Following the issuance of the Orders, September 10, 2015, from Dr. Alexander Status Update on Response to Lessons the NRC staff presented its evaluation of DeVolpi and assigned it Docket No. Learned from Japan’s March 11, 2011, enhanced instrumentation for beyond- PRM–50–113. The NRC published a Great To¯hoku Earthquake and design-basis conditions in enclosure 5 notice of docketing in the Federal Subsequent Tsunami,’’ dated April 9, to SECY–15–0137, ‘‘Proposed Plans for Register (FR) on December 1, 2015 (80 2015. The NRC staff’s discussion of Resolving Open Fukushima Tier 2 and FR 75009). The NRC did not request Recommendation 5.1A in enclosure 6 of 3 Recommendations.’’ The staff public comment on PRM–50–113 SECY–15–0059 addresses the recommended that the Commission not because it had sufficient information to installation of ex-vessel instrumentation pursue additional regulatory review the issues raised by the for uninterruptible monitoring of requirements for enhanced reactor and petitioner. coolant and fuel in reactors and spent containment instrumentation. The NRC The petitioner requested that the NRC fuel pools. The NRC staff found that this staff concluded that additional studies amend 10 CFR part 50, ‘‘Domestic recommendation was addressed by are unlikely to support additional licensing of production and utilization existing requirements and other ongoing regulatory requirements related to facilities,’’ to require ‘‘installation of ex- activities. The issues that the enhanced reactor and containment vessel instrumentation for petitioner’s proposal would address are instrumentation for beyond-design-basis uninterruptible monitoring of coolant being or have already been addressed by conditions, when evaluated against the and fuel in reactors and spent-fuel NRC actions taken in response to the criteria for operating reactors in pools.’’ Fukushima Dai-ichi nuclear accident, as § 50.109, ‘‘Backfitting,’’ or the issue summarized in this document. finality provisions of 10 CFR part 52, II. Reasons for Denial Instrumentation used to support ‘‘Licenses, Certifications, and Approvals The NRC is denying the petition strategies in the mitigation of beyond- for Nuclear Power Plants.’’ because the issues raised by the design-basis events is addressed in In the staff requirements petitioner have been addressed through Order EA–12–049, ‘‘Issuance of Order to memorandum associated with SECY– actions taken in response to the Modify Licenses with Regard to 15–0137, the Commission directed the Fukushima Dai-ichi nuclear accident. Requirements for Mitigation Strategies NRC staff to provide the final results of The NRC determined that there is no for Beyond-Design-Basis External its evaluation following interactions sufficient technical or regulatory basis Events.’’ This Order ensures that plant with external stakeholders and the to amend the NRC’s regulations as operators have the information Advisory Committee on Reactor requested by the petitioner. concerning key parameters needed to Safeguards (ACRS). Accordingly, the The petitioner proposed that support implementation of mitigation NRC staff provided updated information Recommendation 5.1A in the 2014 strategies to maintain or restore core regarding enhanced reactor and

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containment instrumentation for preceded the onset of fuel damage in the Federal Register on November 13, 2015 beyond-design-basis conditions in spent fuel pool or core. (80 FR 70610; corrected November 30, enclosure 2 to SECY–16–0041, ‘‘Closure The additional NRC staff evaluations 2015 at 80 FR 74717), would, among of Fukushima Tier 3 Recommendations further support the conclusion that other things, add a new regulation Related to Containment Vents, regulatory actions to require (proposed 10 CFR 50.155) to make Hydrogen Control, and enhancements to reactor and Orders EA–12–049 and EA–12–051 Instrumentation.’’ The updated containment instrumentation to support generically applicable, establish information addressed the observations the response to severe accidents would regulatory requirements for an provided by the ACRS in letters dated not provide a substantial safety integrated response capability, and November 16, 2015, and March 15, enhancement, and therefore, additional include requirements for enhanced 2016, and insights provided by external regulatory actions would not be onsite emergency response capabilities. stakeholders. For example, information warranted when evaluated against the Therefore, in accordance with the was added to the final assessment that § 50.109 criteria. The ACRS agreed in its NRC staff’s evaluation in SECY–15– describes the technical support March 15, 2016, letter that no further 0137, the Commission’s direction on guidance (TSG) for the severe accident regulatory action is warranted in SECY–15–0137, updated information management guidelines (SAMGs) and support of the closure of the provided in SECY–16–0041, and related assessments of plant parameters recommendation on enhanced existing emergency preparedness as well as the status of safety functions instrumentation. requirements, and the proposed In addition to the discussions in that would be performed by plant Mitigation of Beyond-Design-Basis SECY–15–0137 and SECY–16–0041, the personnel during a severe accident. The Events rulemaking, the NRC has NRC staff notes that, depending on an SAMGs are entered when plant determined that additional accident’s progression, licensees will conditions indicate that cooling of the instrumentation requirements to address use available indicators and technical severe accident conditions proposed in spent fuel pool or core cannot be assessments of the evolving scenario to PRM–50–113 are not necessary. maintained and the fuel in the spent implement adequate measures to protect fuel pool or reactor is on a trajectory public health and safety in accordance III. Conclusion towards damage. The SAMGs then with the NRC’s emergency preparedness For the reasons cited in Section II of invoke the TSGs that are based on an requirements. If an accident progresses this document, the NRC has concluded engineering evaluation of the scenario. to fuel damage, specific additional that the issues raised by the petitioner This would include an assessment of actions may be required, including have been addressed by NRC actions the available parameter indications, initiating predetermined protective taken in response to the Fukushima Dai- their functional consistency, and their actions for the public. ichi nuclear accident and there is no trends as the plant transitions to severe Moreover, the NRC is proposing to sufficient technical or regulatory basis accident conditions, which may be more amend its regulations to establish to amend the NRC’s regulations as severe than the conditions assumed in regulatory requirements for nuclear requested by the petitioner. Therefore, instrument design and environmental power reactor applicants and licensees the NRC is denying PRM–50–113. qualifications. The severe accident to mitigate beyond-design-basis events response strategies are then based on to reflect requirements imposed on IV. Availability of Documents fundamental principles that do not rely current licensees by Order and the The documents identified in the on precise indications of parameter lessons learned from the Fukushima following table are available to values, but rather on an integrated Dai-ichi accident. This proposed rule, interested persons through one or more technical assessment of the evolving ‘‘Mitigation of Beyond-Design-Basis of the methods listed in the ADDRESSES event scenario and the conditions that Events,’’ which was published in the section of this document.

ADAMS accession No./Web link/Federal Document Register citation

ACRS Letter, ‘‘Plans for Resolving the NRC Near-Term Task Force Open Fukushima Tier 2 and 3 ML15320A074. Recommendations,’’ November 16, 2015. ACRS Letter, ‘‘Closure of Fukushima Tier 3 Recommendations Related to Vents, Hydrogen Control, ML16075A330. and Enhanced Instrumentation,’’ March 15, 2016. Federal Register notice, ‘‘Uninterruptible Monitoring of Coolant and Fuel in Reactors and Spent Fuel 80 FR 75009. Pools,’’ December 1, 2015. Federal Register notice, ‘‘Mitigation of Beyond-Design-Basis Events,’’ November 13, 2015 ...... 80 FR 70610 (corrected by 80 FR 74717; November 30, 2015). Letter from Nuclear Energy Institute to NRC, ‘‘Submittal of Industry Initiative to Maintain Severe Acci- ML15335A442. dent Management Guidelines,’’ October 26, 2015. National Academy of Sciences, ‘‘Lessons Learned from the Fukushima Nuclear Accident for Improv- http://www.nap.edu/read/18294/chapter/1. ing Safety of U.S. Nuclear Plants,’’ 2014. NRC Generic Letter 1982–033, ‘‘Supplement 1 to NUREG–0737—Requirements for Emergency Re- ML031080548. sponse Capability,’’ December 17, 1982. NUREG–0933, ‘‘Resolution of Generic Safety Issues,’’ December 2011 ...... http://nureg.nrc.gov/sr0933. Order EA–12–049, ‘‘Issuance of Order to Modify Licenses With Regard to Requirements for Mitiga- ML12054A735. tion Strategies for Beyond-Design-Basis External Events,’’ March 12, 2012. Order EA–12–051, ‘‘Order Modifying Licenses with Regard to Reliable Spent Fuel Pool Instrumenta- ML12056A044. tion,’’ March 12, 2012. PRM–50–113, ‘‘Uninterruptible Monitoring of Critical Thermodynamic Parameters (Coolant and Fuel ML15264A857. in Reactors and Spent-Fuel Pools),’’ September 10, 2015. SECY–15–0059, ‘‘Seventh 6-Month Status Update on Response to Lessons Learned from Japan’s ML15069A444, ML15069A568 (enc. 3), March 11, 2011, Great Tohoku Earthquake and Subsequent Tsunami,’’ April 9, 2015. ML15069A600 (enc. 6).

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ADAMS accession No./Web link/Federal Document Register citation

SECY–15–0065, ‘‘Proposed Rulemaking: Mitigation of Beyond-Design-Basis Events (RIN 3150– ML15049A201. AJ49),’’ April 30, 2015. SECY–15–0137, ‘‘Proposed Plans for Resolving Open Fukushima Tier 2 and 3 Recommendations,’’ ML15254A006, ML15254A034 (enc. 5). October 29, 2015. SECY–16–0041, ‘‘Closure of Fukushima Tier 3 Recommendations Related to Containment Vents, ML16049A079. Hydrogen Control, and Enhanced Instrumentation,’’ March 31, 2016. SRM–SECY–15–0065, ‘‘Proposed Rulemaking: Mitigation of Beyond-Design-Basis Events (RIN ML15239A767. 3150–AJ49),’’ August 27, 2015. SRM–SECY–15–0137, ‘‘Proposed Plans for Resolving Open Fukushima Tier 2 and 3 Recommenda- ML16039A175. tions,’’ February 8, 2016.

Dated at Rockville, Maryland, this 14th day p.m., Monday through Friday, except aspects of this proposed AD. We will of February 2017. Federal holidays. consider all comments received by the For the Nuclear Regulatory Commission. For service information identified in closing date and may amend this Annette L. Vietti-Cook, this NPRM, contact Airbus, proposed AD based on those comments. Secretary of the Commission. Airworthiness Office—EIAS, 1 Rond We will post all comments we [FR Doc. 2017–03284 Filed 2–17–17; 8:45 am] Point Maurice Bellonte, 31707 Blagnac receive, without change, to http:// BILLING CODE 7590–01–P Cedex, France; telephone +33 5 61 93 36 www.regulations.gov, including any 96; fax +33 5 61 93 44 51; email personal information you provide. We [email protected]; will also post a report summarizing each DEPARTMENT OF TRANSPORTATION Internet http://www.airbus.com. You substantive verbal contact we receive may view this referenced service about this proposed AD. Federal Aviation Administration information at the FAA, Transport Airplane Directorate, 1601 Lind Avenue Discussion 14 CFR Part 39 SW., Renton, WA. For information on the availability of this material at the The European Aviation Safety Agency [Docket No. FAA–2016–9571; Directorate FAA, call 425–227–1221. (EASA), which is the Technical Agent Identifier 2016–NM–139–AD] for the Member States of the European Examining the AD Docket RIN 2120–AA64 Union, has issued EASA Airworthiness You may examine the AD docket on Directive 2016–0146, dated July 20, Airworthiness Directives; Airbus the Internet at http:// 2016 (referred to after this as the Airplanes www.regulations.gov by searching for Mandatory Continuing Airworthiness and locating Docket No. FAA–2016– Information, or ‘‘the MCAI’’), to correct AGENCY: Federal Aviation 9571; or in person at the Docket an unsafe condition for all Airbus Administration (FAA), DOT. Management Facility between 9 a.m. Model A321 series airplanes. The MCAI ACTION: Notice of proposed rulemaking and 5 p.m., Monday through Friday, states: (NPRM). except Federal holidays. The AD docket Following the results of a new full scale SUMMARY: We propose to adopt a new contains this proposed AD, the fatigue test campaign on the A321 airframe airworthiness directive (AD) for all regulatory evaluation, any comments in the context of the A321 extended service goal, it was identified that cracks could Airbus Model A321 series airplanes. received, and other information. The street address for the Docket Operations develop on the fastener holes of frame (FR) This proposed AD was prompted by a 35.1, FR 35.2, and FR 35.3 between stringers full scale fatigue test campaign on these office (telephone 800–647–5527) is in (STR) 29 and STR 32 and at the FR 35.2 to airplanes in the context of the extended the ADDRESSES section. Comments will Slidebox junction (Triform fitting), both left service goal. This proposed AD would be available in the AD docket shortly hand (LH) and right hand (RH) sides. require inspections of the affected frame after receipt. This condition, if not detected and locations, and repair if necessary. We FOR FURTHER INFORMATION CONTACT: corrected, could reduce the structural are proposing this AD to address the Sanjay Ralhan, Aerospace Engineer, integrity of the fuselage. Prompted by these unsafe condition on these products. International Branch, ANM–116, findings, Airbus developed an inspection Transport Airplane Directorate, FAA, programme, published in Service Bulletin DATES: We must receive comments on (SB) A320–53–1308, SB A320–53–1309, SB this proposed AD by April 7, 2017. 1601 Lind Avenue SW., Renton, WA A320–53–1310, SB A320–53–1311, SB A320– ADDRESSES: You may send comments, 98057–3356; telephone 425–227–1405; 53–1312 and SB A320–53–1313, each using the procedures found in 14 CFR fax 425–227–1149. containing instructions for a different 11.43 and 11.45, by any of the following SUPPLEMENTARY INFORMATION: location. For the reasons described above, this [EASA] AD requires repetitive special methods: Comments Invited • Federal eRulemaking Portal: Go to detailed (rototest) inspections (SDI) of the affected frame locations and, depending on http://www.regulations.gov. Follow the We invite you to send any written relevant data, views, or arguments about findings, accomplishment of a repair. instructions for submitting comments. This [EASA] AD is considered an interim • Fax: 202–493–2251. this proposed AD. Send your comments • action, pending the development of a Mail: U.S. Department of to an address listed under the permanent solution. Transportation, Docket Operations, M– ADDRESSES section. Include ‘‘Docket No. 30, West Building Ground Floor, Room FAA–2016–9571; Directorate Identifier You may examine the MCAI in the W12–140, 1200 New Jersey Avenue SE., 2016–NM–139–AD’’ at the beginning of AD docket on the Internet at http:// Washington, DC 20590. your comments. We specifically invite www.regulations.gov by searching for • Hand Delivery: Deliver to Mail comments on the overall regulatory, and locating Docket No. FAA–2016– address above between 9 a.m. and 5 economic, environmental, and energy 9571.

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Related Service Information Under 1 • Airbus Service Bulletin A320–53– in the United States. Pursuant to our CFR Part 51 1311, dated November 4, 2015. bilateral agreement with the State of • We reviewed the following Airbus Airbus Service Bulletin A320–53– Design Authority, we have been notified service information. This service 1312, dated November 4, 2015. of the unsafe condition described in the information describes procedures for • Airbus Service Bulletin A320–53– MCAI and service information repetitive rototest inspections for 1313, dated November 4, 2015. referenced above. We are proposing this cracking of the affected frame locations, This service information is reasonably AD because we evaluated all pertinent and contacting Airbus for repair available because the interested parties information and determined an unsafe instructions. These service bulletins are have access to it through their normal condition exists and is likely to exist or distinct because they apply to different course of business or by the means develop on other products of the same frame locations. identified in the ADDRESSES section. type design. • Airbus Service Bulletin A320–53– FAA’s Determination and Requirements Costs of Compliance 1308, dated November 4, 2015. of This Proposed AD • Airbus Service Bulletin A320–53– We estimate that this proposed AD 1309, dated November 4, 2015. This product has been approved by affects 176 airplanes of U.S. registry. • Airbus Service Bulletin A320–53– the aviation authority of another We estimate the following costs to 1310, dated November 4, 2015. country, and is approved for operation comply with this proposed AD:

ESTIMATED COSTS

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

Inspection ...... 54 work-hours × $85 per hour = $4,590 per $1,070 per inspection $5,660 per inspection $996,160 per inspec- inspection cycle. cycle. cycle. tion cycle.

We have no way to estimate the costs responsibilities among the various (a) Comments Due Date to do any necessary repairs that would levels of government. We must receive comments by April 7, be required based on the results of the For the reasons discussed above, I 2017. proposed inspection. We have no way of certify this proposed regulation: (b) Affected ADs determining the number of airplanes 1. Is not a ‘‘significant regulatory None. that might need these repairs. action’’ under Executive Order 12866; Authority for This Rulemaking 2. Is not a ‘‘significant rule’’ under the (c) Applicability DOT Regulatory Policies and Procedures This AD applies to all Airbus Model A321– Title 49 of the United States Code (44 FR 11034, February 26, 1979); 111, –112, –131, –211, –212, –213, –231, and specifies the FAA’s authority to issue 3. Will not affect intrastate aviation in –232 airplanes, certificated in any category. rules on aviation safety. Subtitle I, Alaska; and (d) Subject section 106, describes the authority of 4. Will not have a significant the FAA Administrator. ‘‘Subtitle VII: Air Transport Association (ATA) of economic impact, positive or negative, Aviation Programs,’’ describes in more America Code 53, Fuselage. on a substantial number of small entities detail the scope of the Agency’s (e) Reason under the criteria of the Regulatory authority. Flexibility Act. This AD was prompted by a full scale We are issuing this rulemaking under fatigue test campaign on Airbus Model A321 the authority described in ‘‘Subtitle VII, List of Subjects in 14 CFR Part 39 series airplanes in the context of the extended service goal. It was determined that Part A, Subpart III, Section 44701: Air transportation, Aircraft, Aviation General requirements.’’ Under that cracks could develop on the fastener holes of safety, Incorporation by reference, certain frames on the left-hand (LH) and section, Congress charges the FAA with Safety. right-hand (RH) sides of the affected promoting safe flight of civil aircraft in The Proposed Amendment airplanes. We are issuing this AD to detect air commerce by prescribing regulations and correct cracking of the fastener holes at for practices, methods, and procedures Accordingly, under the authority certain frame locations, which could result in the Administrator finds necessary for delegated to me by the Administrator, reduced structural integrity of the fuselage. safety in air commerce. This regulation the FAA proposes to amend 14 CFR part (f) Compliance is within the scope of that authority 39 as follows: because it addresses an unsafe condition Comply with this AD within the that is likely to exist or develop on PART 39—AIRWORTHINESS compliance times specified, unless already done. products identified in this rulemaking DIRECTIVES action. (g) Repetitive Inspections of the Frames, ■ 1. The authority citation for part 39 Stringers, and Slidebox Junctions Regulatory Findings continues to read as follows: At the applicable time specified in table 1 We determined that this proposed AD Authority: 49 U.S.C. 106(g), 40113, 44701. to paragraph (g) of this AD, do a rototest would not have federalism implications inspection for cracking at frame (FR) 35.1, FR under Executive Order 13132. This § 39.13 [Amended] 35.2, and FR 35.3 on the LH and RH sides, in accordance with the Accomplishment ■ proposed AD would not have a 2. The FAA amends § 39.13 by adding Instructions of the Airbus service information substantial direct effect on the States, on the following new airworthiness specified in paragraphs (g)(1), (g)(2), (g)(3), the relationship between the national directive (AD): (g)(4), (g)(5), and (g)(6) of this AD. Repeat the Government and the States, or on the Airbus: Docket No. FAA–2016–9571; inspection thereafter at intervals not to distribution of power and Directorate Identifier 2016–NM–139–AD. exceed 5,300 flight cycles.

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(1) Airbus Service Bulletin A320–53–1308, (3) Airbus Service Bulletin A320–53–1310, (5) Airbus Service Bulletin A320–53–1312, dated November 4, 2015 (FR 35.1 LH side). dated November 4, 2015 (FR 35.2 LH side). dated November 4, 2015 (FR 35.3 LH side). (2) Airbus Service Bulletin A320–53–1309, (4) Airbus Service Bulletin A320–53–1311, (6) Airbus Service Bulletin A320–53–1313, dated November 4, 2015 (FR 35.1 RH side). dated November 4, 2015 (FR 35.2 RH side). dated November 4, 2015 (FR 35.3 RH side).

TABLE 1 TO PARAGRAPH (g) OF THIS AD—INSPECTION THRESHOLD

Airplane accumulated total flight cycles at the effective date of this AD Compliance time

For airplanes with 18,300 total flight cycles or less ...... Before exceeding 18,300 total flight cycles, or within 5,300 flight cycles after the ef- fective date of this AD, whichever occurs later. For airplanes with more than 18,300 total flight cycles ..... Before exceeding 23,600 total flight cycles, or within 2,100 flight cycles after the ef- fective date of this AD, whichever occurs later.

(h) Corrective Action (3) Required for Compliance (RC): Except DEPARTMENT OF HEALTH AND If any crack is found during any inspection as required by paragraph (h) of this AD: If HUMAN SERVICES required by paragraph (g) of this AD: Before any service information contains procedures further flight, repair using a method or tests that are identified as RC, those 42 CFR Part 88 approved by the Manager, International procedures and tests must be done to comply Branch, ANM–116, Transport Airplane with this AD; any procedures or tests that are [NIOSH Docket 094] Directorate, FAA; or the European Aviation not identified as RC are recommended. Those Safety Agency (EASA); or Airbus’s EASA procedures and tests that are not identified World Trade Center Health Program; Design Organization Approval (DOA). as RC may be deviated from using accepted Petition 014—Autoimmune Diseases; Although the service information specified in Finding of Insufficient Evidence paragraph (g) of this AD specifies to contact methods in accordance with the operator’s Airbus for repair instructions, and specifies maintenance or inspection program without AGENCY: Centers for Disease Control and that action as ‘‘RC’’ (Required for obtaining approval of an AMOC, provided Prevention, HHS. Compliance), this AD requires repair as the procedures and tests identified as RC can specified in this paragraph. Repair of an be done and the airplane can be put back in ACTION: Denial of petition for addition of airplane as required by this paragraph does an airworthy condition. Any substitutions or a health condition. not constitute terminating action for the changes to procedures or tests identified as repetitive inspections required by paragraph SUMMARY: On September 29, 2016, the RC require approval of an AMOC. (g) of this AD for that airplane, unless Administrator of the World Trade specified otherwise in the repair instructions (j) Related Information Center (WTC) Health Program received approved by the Manager, International a petition to add autoimmune diseases, Branch, ANM–116, Transport Airplane (1) Refer to Mandatory Continuing Airworthiness Information (MCAI) EASA including rheumatoid arthritis, to the Directorate, FAA; or EASA; or Airbus’s EASA List of WTC-Related Health Conditions DOA. Airworthiness Directive 2016–0146, dated July 20, 2016, for related information. This (List). Upon reviewing the information (i) Other FAA AD Provisions MCAI may be found in the AD docket on the provided by the petitioner, the The following provisions also apply to this Internet at http://www.regulations.gov by Administrator has determined that AD: searching for and locating Docket No. FAA– Petition 014 is not substantially (1) Alternative Methods of Compliance 2016–9571. different from Petitions 007, 008, 009, (AMOCs): The Manager, International (2) For service information identified in 011, and 013, which also requested the Branch, ANM–116, Transport Airplane addition of autoimmune diseases, Directorate, FAA, has the authority to this AD, contact Airworthiness Office—EIAS, approve AMOCs for this AD, if requested 1 Rond Point Maurice Bellonte, 31707 including various subtypes. The using the procedures found in 14 CFR 39.19. Blagnac Cedex, France; telephone +33 5 61 Administrator has published responses In accordance with 14 CFR 39.19, send your 93 36 96; fax +33 5 61 93 44 51; email to the five previous petitions in the request to your principal inspector or local [email protected]; Internet Federal Register and has determined Flight Standards District Office, as http://www.airbus.com. You may view this that Petition 014 does not provide appropriate. If sending information directly service information at the FAA, Transport additional evidence of a causal to the International Branch, send it to ATTN: Airplane Directorate, 1601 Lind Avenue SW., relationship between 9/11 exposures Sanjay Ralhan, Aerospace Engineer, Renton, WA. For information on the and autoimmune diseases, including International Branch, ANM–116, Transport Airplane Directorate, FAA, 1601 Lind availability of this material at the FAA, call rheumatoid arthritis. Accordingly, the Avenue SW., Renton, WA 98057–3356; 425–227–1221. Administrator finds that insufficient telephone 425–227–1405; fax 425–227–1149. evidence exists to request a Information may be emailed to: 9-ANM-116- Issued in Renton, Washington, on January recommendation of the WTC Health [email protected]. Before using 11, 2017. Program Scientific/Technical Advisory any approved AMOC, notify your appropriate Michael Kaszycki, Committee (STAC), to publish a principal inspector, or lacking a principal Acting Manager, Transport Airplane proposed rule, or to publish a inspector, the manager of the local flight Directorate, Aircraft Certification Service. determination not to publish a proposed standards district office/certificate holding district office. [FR Doc. 2017–03031 Filed 2–17–17; 8:45 am] rule. (2) Contacting the Manufacturer: For any BILLING CODE 4910–13–P DATES: The Administrator of the WTC requirement in this AD to obtain corrective Health Program is denying this petition actions from a manufacturer, the action must for the addition of a health condition as be accomplished using a method approved of February 21, 2017. by the Manager, International Branch, ANM– 116, Transport Airplane Directorate, FAA; or FOR FURTHER INFORMATION CONTACT: the EASA; or Airbus’s EASA DOA. If Rachel Weiss, Program Analyst, 1090 approved by the DOA, the approval must Tusculum Avenue, MS: C–46, include the DOA-authorized signature. Cincinnati, OH 45226; telephone (855)

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818–1629 (this is a toll-free number); Federal Register a determination that published epidemiologic studies email [email protected]. insufficient evidence exists to take (including direct observational studies SUPPLEMENTARY INFORMATION: action under (1) through (3) above. in the case of health conditions such as However, in accordance with 42 CFR injuries) provide substantial support 5 Table of Contents 88.16(a)(5), the Administrator is for a causal relationship between 9/11 A. WTC Health Program Statutory Authority required to consider a new submission exposures and the health condition in 9/ B. Petition 014 for a previously-evaluated health 11-exposed populations. If the evidence C. Review of Scientific and Medical condition determined not to qualify for assessment provides only modest Information and Administrator addition to the List as a valid new support 6 for a causal relationship Determination petition only if the submission presents between 9/11 exposures and the health D. Administrator’s Final Decision on Whether To Propose the Addition of a new medical basis—evidence not condition, the Administrator may then Autoimmune Diseases to the List previously reviewed by the evaluate additional peer-reviewed, E. Approval To Submit Document to the Administrator—for the association published epidemiologic studies, Office of the Federal Register between 9/11 exposures and the conducted among non-9/11-exposed condition to be added.2 populations, evaluating associations A. WTC Health Program Statutory In addition to the regulatory between the health condition of interest Authority provisions, the WTC Health Program and 9/11 agents.7 If that additional Title I of the James Zadroga 9/11 has developed policies to guide the assessment adds enough support for the Health and Compensation Act of 2010 review of submissions and petitions 3 Administrator to determine there is (Pub. L. 111–347, as amended by Pub. and the analysis of evidence supporting substantial support 8 for a causal L. 114–113), added Title XXXIII to the the potential addition of a non-cancer relationship between a 9/11 agent or Public Health Service (PHS) Act,1 health condition to the List.4 In agents and the health condition, the establishing the WTC Health Program accordance with the non-cancer health health condition may be added to the within the Department of Health and condition policy, the Administrator List. Human Services (HHS). The WTC directs the WTC Health Program to Health Program provides medical conduct a review of the scientific B. Petition 014 monitoring and treatment benefits to literature to determine if the available On September 29, 2016, the eligible firefighters and related scientific information has the potential Administrator received a petition from a personnel, law enforcement officers, to provide a basis for a decision on WTC Health Program member to add and rescue, recovery, and cleanup whether to add the health condition to ‘‘autoimmune conditions like workers who responded to the the List. A literature review includes a Rheumatoid Arthritis’’ to the List, September 11, 2001, terrorist attacks in search for peer-reviewed, published considered Petition 014.9 This is the New York City, at the Pentagon, and in epidemiologic studies (including direct sixth petition to the Administrator Shanksville, Pennsylvania (responders), observational studies in the case of requesting the addition of autoimmune and to eligible persons who were health conditions such as injuries) about diseases, including various subtypes, to present in the dust or dust cloud on the health condition among 9/11- the List; each of the first five September 11, 2001, or who worked, exposed populations; such studies are autoimmune disease petitions were resided, or attended school, childcare, considered ‘‘relevant.’’ Relevant studies denied due to insufficient evidence, as or adult daycare in the New York City identified in the literature search are described in respective Federal Register disaster area (survivors). further reviewed for their quantity and notices (FRNs).10 Petition 014 was All references to the Administrator of quality to provide a basis for deciding the WTC Health Program whether to propose adding the health 5 The substantial evidence standard is met when (Administrator) in this notice mean the condition to the List. Where the the Program assesses all of the available, relevant Director of the National Institute for information and determines with high confidence available evidence has the potential to that the evidence supports its findings regarding a Occupational Safety and Health provide a basis for a decision, the causal association between the 9/11 exposure(s) and (NIOSH) or his or her designee. scientific and medical evidence is the health condition. Pursuant to section 3312(a)(6)(B) of further assessed to determine whether a 6 The modest evidence standard is met when the the PHS Act, interested parties may Program assesses all of the available, relevant causal relationship between 9/11 information and determines with moderate petition the Administrator to add a exposures and the health condition is confidence that the evidence supports its findings health condition to the List in 42 CFR supported. A health condition may be regarding a causal association between the 9/11 88.15. Within 90 days after receipt of a added to the List if peer-reviewed, exposure(s) and the health condition. petition to add a condition to the List, 7 9/11 agents are chemical, physical, biological, or other agents or hazards reported in a published, the Administrator must take one of the 2 42 CFR 88.16(a)(5) further allows that a peer-reviewed exposure assessment study of following four actions described in ‘‘submission that provides no new medical basis responders or survivors who were present in the and is received after the publication of a response section 3312(a)(6)(B) and 42 CFR 88.16: New York City disaster area, at the Pentagon site, in the Federal Register to a petition requesting the or at the Shanksville, Pennsylvania site, as those (1) Request a recommendation of the addition of the same health condition will not be locations are defined in 42 CFR 88.1. STAC; (2) publish a proposed rule in the considered a valid petition and will not be 8 Federal Register to add such health answered in a Federal Register notice.... The See supra note 5. interested party will be informed of the . . . 9 See Petition 014, WTC Health Program: Petitions condition; (3) publish in the Federal decision in writing.’’ Received, http://www.cdc.gov/wtc/received.html. Register the Administrator’s 3 See WTC Health Program [2014], Policy and 10 ‘‘World Trade Center Health Program; Petition determination not to publish such a Procedures for Handling Submissions and Petitions 007—Autoimmune Diseases; Finding of Insufficient proposed rule and the basis for such to Add a Health Condition to the List of WTC- Evidence,’’ 80 FR 32333 (June 8, 2015); ‘‘World Related Health Conditions, May 14, http:// Trade Center Health Program; Petition 008— determination; or (4) publish in the www.cdc.gov/wtc/pdfs/WTCHPPPPetitionHandling Autoimmune Diseases; Finding of Insufficient Procedures14May2014.pdf. Evidence,’’ 80 FR 39720 (July 10, 2015); ‘‘World 1 Title XXXIII of the PHS Act is codified at 42 4 See WTC Health Program [2016], Policy and Trade Center Health Program; Petition 009— U.S.C. 300mm to 300mm–61. Those portions of the Procedures for Adding Non-Cancer Conditions to Autoimmune Diseases; Finding of Insufficient James Zadroga 9/11 Health and Compensation Act the List of WTC-Related Health Conditions, May 11, Evidence,’’ 80 FR 65980 (Oct. 28, 2015); ‘‘World of 2010 found in Titles II and III of Public Law 111– http://www.cdc.gov/wtc/pdfs/WTCHP_PP_Adding_ Trade Center Health Program; Petition 011— 347 do not pertain to the WTC Health Program and NonCancer_Conditions_Revision_11_May_ Autoimmune Diseases; Finding of Insufficient are codified elsewhere. 2016.pdf. Continued

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received prior to recent amendments to 2015 Webber study; the Program including rheumatoid arthritis, to the WTC Health Program regulations conducted updates of that literature List (pursuant to PHS Act, sec. regarding petitions for additions to the search in response to Petition 011 and 3312(a)(6)(B)(ii) and 42 CFR List taking effect.11 The Petition was Petition 013, looking for relevant studies 88.16(a)(2)(ii)) or publishing a evaluated pursuant to the regulations published since the date of the previous determination not to publish a proposed and policies in effect at the time of its literature search.17 In reviewing Petition rule in the Federal Register (pursuant to receipt 12 and, therefore, Petition 014 014, the Program conducted a search 18 PHS Act, sec. 3312(a)(6)(B)(iii) and 42 was considered valid. Future such to update the results of the previous CFR 88.16(a)(2)(iii)). The Administrator submissions requesting the addition of literature review for all of the types of has also determined that requesting a autoimmune diseases to the List and autoimmune diseases identified in the recommendation from the STAC providing the same peer-reviewed, 2015 Webber et al. study.19 The Program (pursuant to PHS Act, sec. published, epidemiologic evidence, identified one new reference since the 3312(a)(6)(B)(i) and 42 CFR however, may not be considered valid publication of the Petition 013 FRN in 88.16(a)(2)(i)) is unwarranted. in accordance with 42 CFR 88.16(a)(5), September 2016, a conference abstract For the reasons discussed above, the as amended. regarding sarcoidosis in 9/11-exposed Petition 014 request to add autoimmune In accordance with WTC Health firefighters.20 Upon review, the abstract diseases, including rheumatoid arthritis, Program policy, the medical basis for a was determined not to be relevant to the List of WTC-Related Health potential addition to the List may be because it is not a published Conditions is denied. demonstrated by reference to a peer- epidemiologic study in a peer-reviewed E. Approval To Submit Document to the reviewed, published epidemiologic scientific journal. Office of the Federal Register study about the health condition among The literature review did not identify 9/11-exposed populations or to clinical any newly-published, relevant studies The Secretary, HHS, or her/his case reports of health conditions in of autoimmune diseases, including designee, the Director, Centers for WTC responders or survivors.13 Petition rheumatoid arthritis, in the 9/11- Disease Control and Prevention (CDC) 014 presented an online news article 14 exposed population.21 Therefore, in and Administrator, Agency for Toxic announcing the online publication of a accordance with the Program policy Substances and Disease Registry study published by Webber et al. [2015], discussed above, the Program was (ATSDR), authorized the undersigned, entitled ‘‘Nested Case-Control Study of unable to further evaluate Petition 014. the Administrator of the WTC Health Selected Systemic Autoimmune D. Administrator’s Final Decision on Program, to sign and submit the Diseases in World Trade Center Rescue/ Whether To Propose the Addition of document to the Office of the Federal 15 Recovery Workers.’’ Because Webber Autoimmune Diseases to the List Register for publication as an official et al. [2015] is a peer-reviewed, document of the WTC Health Program. published epidemiologic study of Finding no newly-published, relevant Anne Schuchat, M.D., Acting Director, autoimmune diseases among 9/11- studies with regard to Petition 014, the CDC, and Acting Administrator, exposed responders and survivors, the Administrator has accordingly ATSDR, approved this document for petition was considered valid. determined that insufficient evidence is publication on February 9, 2017. available to take further action at this Accordingly, the Program conducted a John Howard, review of available scientific time, including either proposing the addition of autoimmune diseases, Administrator, World Trade Center Health information regarding the causal Program and Director, National Institute for association between 9/11 exposure and 17 See 81 FR 24047 (April 25, 2016) and 81 FR Occupational Safety and Health, Centers for autoimmune diseases, including 60329 (Sept. 1, 2016), respectively. Disease Control and Prevention, Department rheumatoid arthritis. 18 Databases searched include: CINAHL, Embase, of Health and Human Services. NIOSHTIC–2, ProQuest Health and Safety Science [FR Doc. 2017–03336 Filed 2–17–17; 8:45 am] C. Review of Scientific and Medical Abstracts, PubMed, Scopus, Toxicology Abstracts, BILLING CODE 4163–18–P Information and Administrator and TOXLINE. Determination 19 Rheumatoid arthritis; spondyloarthritis; inflammatory myositis (polymyositis and A literature search conducted in dermatomyositis); systemic lupus erythematosus; DEPARTMENT OF COMMERCE response to Petition 007 16 included all systemic sclerosis (scleroderma); Sjogren’s of the autoimmune conditions in the syndrome; antiphospholipid syndrome; National Oceanic and Atmospheric granulomatosis with polyangiitis (Wegener’s); and eosinophilic granulomatosis with polyangiitis Administration Evidence,’’ 81 FR 24047 (April 25, 2016); and (Churg-Strauss). ‘‘World Trade Center Health Program; Petition 20 013—Autoimmune Disease; Finding of Insufficient Hena K, Yip J, Jaber N, et al. [2016], Clinical 50 CFR Part 622 Evidence,’’ 81 FR 60329 (Sept. 1, 2016). Characteristics of Sarcoidosis in World Trade Center (WTC) Exposed Fire Department of the City [Docket No. 161103999–7146–01] 11 See ‘‘World Trade Center Health Program; of New York (FDNY) Firefighters, Chest Amendments to Definitions, Appeals, and Other 150(4S):514A. RIN 0648–BG43 Requirements; Final Rule,’’ 81 FR 90926 (Dec. 15, 21 2016), effective Jan. 17, 2017. Two relevant studies identified in previous FRNs, Webber et al. [2015] and Webber M, Moir W, Fisheries of the Caribbean, Gulf of 12 See 42 CFR 88.17 (2016); see also 77 FR 24628 Crowson C, et al. [2016], Post-September 11, 2001, (Apr. 25, 2012). Mexico, and South Atlantic; Coastal Incidence of Systemic Autoimmune Diseases in 13 Migratory Pelagic Resources in the See supra note 2. World Trade Center-Exposed Firefighters and 14 Boynes-Shuck A [2015], Why Rheumatoid Emergency Medical Service Workers, Mayo Clin Gulf of Mexico and Atlantic Region; Arthritis Is Plaguing 9/11 First Responders, Proc 2016;91(1):23–32, were reviewed in the Framework Amendment 4 Healthline News, http://www.healthline.com/ Petition 011 and Petition 013 FRNs and found not health-news/why-rheumatoid-arthritis-is-plaguing- to have the potential to provide a basis for a AGENCY: National Marine Fisheries 9-11-first-responders-040415#1. decision on whether to propose adding Service (NMFS), National Oceanic and 15 Webber M, Moir W, Zeig-Owens R, et al. autoimmune diseases to the List. These studies are Atmospheric Administration (NOAA), [2015], Nested Case-Control Study of Selected not further discussed in this notice; discussions of Systemic Autoimmune Diseases in World Trade the Administrator’s findings with regard to these Commerce. Center Rescue/Recovery Workers, Arthritis studies may be found in previous notices for ACTION: Proposed rule; request for Rheumatol 67(5):1369–1376. Petition 011, 81 FR 24047 (April 25, 2016) and comments. 16 80 FR 32333 (June 8, 2015). Petition 013, 81 FR 60329 (Sept. 1, 2016).

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SUMMARY: NMFS proposes to implement Electronic copies of Framework the stock ACL being exceeded in 2015, management measures described in Amendment 4 may be obtained from the the 2016 recreational season for Atlantic Framework Amendment 4 to the Fishery Southeast Regional Office Web site at cobia in Federal waters closed on June Management Plan for the Coastal http://sero.nmfs.noaa.gov/sustainable_ 20, 2016 (81 FR 12601, March 10, 2016). Migratory Pelagics Fishery of the Gulf of fisheries/gulf_sa/cmp/2016/framework_ Because the recreational closure Mexico and Atlantic Region (FMP) as am4/index.html. Framework occurred during months of high prepared and submitted jointly by the Amendment 4 includes an recreational effort for cobia, the early Gulf of Mexico Fishery Management environmental assessment, a Regulatory closure had negative social and Council and South Atlantic Fishery Flexibility Act (RFA) analysis, and a economic impacts on recreational Management Council (Councils). For the regulatory impact review. anglers, charter vessel and headboat recreational sector, this proposed rule FOR FURTHER INFORMATION CONTACT: (for-hire) businesses, for-hire clients, would establish bag and vessel limits, Karla Gore, Southeast Regional Office, and associated businesses such as tackle and revise the minimum size limit and NMFS, telephone: 727–551–5753, or shops. accountability measures (AMs) for email: [email protected]. The following actions in Framework Atlantic migratory group cobia (Atlantic SUPPLEMENTARY INFORMATION: The Amendment 4 and this proposed rule cobia). This proposed rule would also coastal migratory pelagic fishery of the are intended to slow the rate of harvest establish a commercial trip limit for Gulf and Atlantic Regions is managed of Atlantic cobia and reduce the Atlantic cobia. Framework Amendment under the FMP and includes the likelihood that sector landings will 4 and this proposed rule apply to the management of the Gulf and Atlantic exceed the sector and stock ACLs, commercial and recreational harvest of migratory groups of king mackerel, thereby triggering the AMs and reducing Atlantic cobia in the exclusive Spanish mackerel, and cobia. The FMP harvest opportunities. The goal is to economic zone (EEZ) from Georgia was prepared jointly by the Councils provide equitable access for all through New York. The purpose of and is implemented through regulations recreational participants in the Framework Amendment 4 and this at 50 CFR part 622 under authority of participants in the Atlantic cobia proposed rule is to slow the rate of the Magnuson-Stevens Fishery component of the coastal migratory harvest of Atlantic cobia and reduce the Conservation and Management Act pelagics fishery. likelihood that landings will exceed the (Magnuson-Stevens Act). commercial and recreational annual Management Measures Contained in catch limits (ACL), thereby triggering Background This Proposed Rule the AMs and reducing harvest The Magnuson-Stevens Act requires For the recreational sector, this opportunities. NMFS and regional fishery management proposed rule would establish bag and DATES: Written comments must be councils to prevent overfishing and vessel limits and revise the minimum received on or before March 23, 2017. achieve, on a continuing basis, optimum size limit and AMs for Atlantic cobia. yield from federally managed fish This proposed rule would also establish ADDRESSES: You may submit comments stocks. All weights described in this a commercial trip limit for Atlantic on the proposed rule, identified by proposed rule are in round weight. cobia. As a result of the proposed ‘‘NOAA–NMFS–2016–0167,’’ by either The current recreational AM for recreational bag and possession limits of the following methods: Atlantic cobia provides that if landings and the commercial trip limit, Atlantic • Electronic submission: Submit all exceed the stock ACL (commercial and migratory cobia would no longer be electronic public comments via the recreational ACLs combined), then subject to the two fish per person per Federal e-Rulemaking Portal: http:// during the following fishing year, the day possession limit for limited harvest www.regulations.gov. Go to length of the recreational season will be species. www.regulations.gov/ reduced by the amount necessary to Recreational Minimum Size Limit #!docketDetail;D=NOAA-NMFS-2016- ensure recreational landings may 0167, click the ‘‘Comment Now!’’ icon, achieve the recreational annual catch The current minimum size limit for complete the required fields, and enter target (ACT) of 500,000 lb (226,796 kg) the recreational harvest of Atlantic cobia or attach your comments. for 2016 and subsequent fishing years), in the EEZ is 33 inches (83.8 cm), fork • Mail: Submit written comments to but do not exceed the recreational ACL. length. This proposed rule would Karla Gore, Southeast Regional Office, The current commercial AM for increase the recreational minimum size NMFS, 263 13th Avenue South, St. Atlantic cobia provides that if limit for the Atlantic cobia recreational Petersburg, FL 33701. commercial landings reach or are sector to 36 inches (91.4 cm), fork Instructions: Comments sent by any estimated to reach the commercial quota length. This modification would result other method, to any other address or (ACL), then the commercial sector will in a recreational harvest reduction in individual, or received after the end of be closed for the remainder of the the Atlantic, that in combination with the comment period, may not be fishing year. The commercial quota for the proposed recreational bag and vessel considered by NMFS. All comments Atlantic cobia is 50,000 lb (22,680 kg). limits, would be expected slow the rate received are a part of the public record Additionally, cobia is currently of recreational harvest and thereby and will generally be posted for public defined as a limited harvest species and reduce the likelihood of exceeding the viewing on www.regulations.gov no person may possess more than two recreational and stock ACLs and thereby without change. All personal identifying cobia per day in or from the Gulf, Mid- triggering the AM. information (e.g., name, address, etc.), Atlantic, or South Atlantic EEZ, Recreational Bag and Vessel Limits confidential business information, or regardless of whether harvested by the otherwise sensitive information commercial or recreational sector. This proposed rule would remove submitted voluntarily by the sender will In 2015, recreational landings for Atlantic cobia from the limited harvest be publicly accessible. NMFS will Atlantic cobia exceeded the 2015 species possession limit and would accept anonymous comments (enter ‘‘N/ recreational ACL of 630,000 lb (285,763 establish a recreational bag limit of one A’’ in required fields if you wish to kg) and the 2015 stock ACL of 690,000 fish per person per day or six fish per remain anonymous). lb (312,979 kg). Therefore, as a result of vessel, whichever is more restrictive.

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As explained above, the proposed recreational vessel limit and the length but they are not considered business increase in the recreational minimum of the recreational fishing season would entities under the RFA. Charter vessel size limit, and the proposed recreational not be reduced if NMFS determines, and headboat operations are business bag limit and vessel limit are expected based on the best scientific information entities but they are only indirectly to slow the harvest rate and reduce the available, that a recreational vessel limit affected by the proposed rule. For RFA likelihood that recreational landings and fishing season reduction are purposes only, NMFS has established a will exceed the ACL and trigger the unnecessary. small business size standard for recreational AMs for the following businesses, including their affiliates, Commercial Trip Limit fishing year. whose primary industry is commercial There is currently no specific Recreational AMs fishing (see 50 CFR 200.2). A business commercial trip limit for Atlantic cobia. primarily engaged in commercial fishing This proposed rule would revise the However, as previously discussed, (NAICS code 11411) is classified as a recreational AMs for Atlantic cobia. Atlantic cobia is currently a limited small business if it is independently Currently, if the sum of commercial and harvest species and there is a possession owned and operated, is not dominant in recreational landings of cobia exceed limit of two cobia per person per day for its field of operation (including the stock ACL, then during the both sectors. This proposed rule would affiliates), and has combined annual following fishing year, the length of the remove Atlantic cobia from the limited receipts not in excess of $11 million for recreational fishing season will be harvest species possession limit and all its affiliated operations worldwide. reduced to ensure that the harvest establish a commercial trip limit for achieves the recreational ACT, but does From 2010 through 2015, excluding Atlantic cobia of two fish per person per the Mid-Atlantic states, an annual not exceed the recreational ACL. Also, day or six fish per vessel per day, the current recreational AM uses a average of 98 vessels took 318 whichever is more restrictive. commercial trips that combined landed moving average of the most recent 3 Establishing a commercial trip limit an average of 13,469 lb (6,109 kg) gutted years of landings to compare to the ACL. will reduce the rate of harvest of cobia weight of Atlantic cobia annually with Additionally, if Atlantic cobia are to help ensure the commercial and stock a dockside value (2014 dollars) of overfished, and the stock ACL is ACLs are not exceeded and the AMs $31,115. Average annual dockside exceeded, then during the following triggered, resulting in a reduced season revenue from Atlantic cobia represented fishing year the recreational ACL and length or reduced vessel limit for the approximately 3.6 percent of total ACT would be reduced by the amount recreational sector and a commercial dockside revenues from trips that of any recreational ACL overage. closure as a result of exceeding the landed Atlantic cobia from 2010 Framework Amendment 4 would commercial quota. remove the current 3-year average of through 2015. For the Mid-Atlantic landings to compare to the ACL. NMFS Classification states during the same time period, an expects that using a single year of Pursuant to section 304(b)(1)(A) of the annual average of 24 vessels took 178 landings to determine if an overage Magnuson-Stevens Act, the Regional commercial trips that combined landed occurred will better represent the Administrator, Southeast Region, an average of 14,732 lb (6,682 kg) patterns and behavior of the Atlantic NMFS, has determined that this landed weight of Atlantic cobia cobia fishery. Cobia landings can be proposed rule is consistent with annually with a dockside value (2014 variable; including very high or very Framework Amendment 4, the dollars) of $39,227. For these vessels, low recreational landings into a 3-year Magnuson-Stevens Act, and other per vessel revenue (2014 dollars) from average can result in an artificial applicable law, subject to further Atlantic cobia was approximately reduction or lengthening of the consideration after public comment. $1,644. On average, vessels in the South recreational fishing season, respectively. This proposed rule has been Atlantic that harvested Atlantic cobia The proposed recreational AM would determined to be not significant for also took 2,338 commercial fishing trips require that if the recreational ACL and purposes of Executive Order 12866. per year without Atlantic cobia the stock ACL are exceeded, then during The Chief Counsel for Regulation of landings. Combining all sources of the following fishing year, recreational the Department of Commerce certified revenues, the average annual dockside landings will be monitored for a to the Chief Counsel for Advocacy of the revenues of vessels that landed Atlantic persistence in increased landings, and, Small Business Administration (SBA) cobia was $74,066 (2014 dollars) per if necessary, the Assistant Administrator that this rule, if adopted, would not vessel. Annual dockside revenues from for Fisheries, NOAA (AA) will file a have significant economic impacts on a Atlantic cobia landings represented, on notification with the Office of the substantial number of small entities. average, approximately 0.4 percent of Federal Register to reduce the The factual basis for this determination the total dockside revenues from all recreational vessel limit, to no less than is as follows: commercial landings from 2010 through 2 fish per vessel to ensure recreational A description of this proposed rule, 2015 of vessels that landed Atlantic landings achieve the recreational ACT, why it is being considered, the cobia. On average, the crew size per trip, but do not exceed the recreational ACL objectives of, and legal basis for this including captains, of vessels in the in that fishing year. Any reduction to proposed rule are contained at the South Atlantic that landed Atlantic the proposed recreational vessel limit beginning of this section in the cobia was 1.8 persons for hook and line would only apply for the fishing year in preamble and in the SUMMARY section of vessels, 2.0 persons for gillnet vessels, which it is implemented. Additionally, the preamble of this proposed rule. The and 2.4 persons for vessels using other if the reduction to the vessel limit is Magnuson-Stevens Act provides the gear types. The overall average crew size insufficient to ensure that recreational statutory basis for this proposed rule. per trip for all vessels landing Atlantic landings will not exceed the NMFS expects this proposed rule to cobia was less than 2 persons. Similar recreational ACL, then the length of the directly affect federally permitted information on overall revenues from all recreational fishing season would also commercial fishermen fishing for sources and crew size for vessels in the be reduced to ensure recreational Atlantic cobia. Recreational anglers Mid-Atlantic is not available. However, landings do not exceed the recreational fishing for Atlantic cobia would also be it is expected that the crew size for ACL in that fishing year. The directly affected by the proposed action, vessels in the Mid-Atlantic would be

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similar to that for vessels in the Dated: February 14, 2017. § 622.388 Annual catch limits (ACLs), Southeast because they employ similar Alan D. Risenhoover, annual catch targets (ACTs), and accountability measures (AMs). gear types in fishing for Atlantic cobia. Acting Deputy Assistant Administrator, for Vessels that caught and landed Atlantic Regulatory Programs, National Marine * * * * * cobia may also operate in other Fisheries Service. (f) Atlantic migratory group cobia. (1) fisheries, such as the shellfish fisheries, For the reasons set out in the The following ACLs and AMs apply to preamble, 50 CFR part 622 is proposed cobia that are sold (commercial sector): the revenues of which are not known (i) If the sum of the cobia landings to be amended as follows: and are not reflected in these totals. that are sold, as estimated by the SRD, Based on revenue information, all reach or are projected to reach the quota commercial vessels directly affected by PART 622—FISHERIES OF THE CARIBBEAN, GULF OF MEXICO, AND specified in § 622.384(d)(2) (ACL), the the proposed rule may be assumed to be SOUTH ATLANTIC AA will file a notification with the small entities. Office of the Federal Register to prohibit Because all entities expected to be ■ 1. The authority citation for part 622 the sale and purchase of cobia for the directly affected by this proposed rule continues to read as follows: remainder of the fishing year; are assumed to be small entities, NMFS (ii) In addition to the measures has determined that this proposed rule Authority: 16 U.S.C. 1801 et seq. specified in paragraph (f)(1)(i) of this would affect a substantial number of ■ 2. In § 622.380, revise paragraph (a) to section, if the sum of the cobia landings that are sold and not sold in or from the small entities; however, the issue of read as follows: Atlantic migratory group, as estimated disproportionate effects on small versus § 622.380 Size limits. by the SRD, exceeds the stock ACL, as large entities does not arise in the specified in paragraph (f)(3) of this present case. * * * * * (a) Cobia. (1) In the Gulf—33 inches section, and Atlantic migratory group The proposed rule would establish a (83.8), fork length. cobia are overfished, based on the most commercial cobia trip limit of two fish (2) In the Mid-Atlantic or South recent status of U.S. Fisheries Report to per person per day and would also Atlantic. (i) 33 inches (83.8), fork length, Congress, the AA will file a notification implement a limit of six fish per vessel for cobia that are sold (commercial with the Office of the Federal Register, per day, whichever is more restrictive. sector). at or near the beginning of the following This action would affect only those (ii) 36 inches (91.4 cm), fork length, fishing year to reduce the applicable vessels with a crew of more than three for cobia that are not sold (recreational quota (ACL), as specified in paragraph persons. Noting that the 2010 through sector). (f)(1)(i) of this section, for that following 2015 average crew size for vessels * * * * * year by the amount of any applicable landing Atlantic cobia was less than two ■ 3. In § 622.382, revise paragraph (a) sector-specific ACL overage in the prior fishing year. persons per trip, it is likely that this introductory text and add paragraph (2) The following ACLs and AMs (a)(1)(vi) to read as follows: action would have only minor effects on apply to cobia that are not sold vessel revenues. It is, therefore, § 622.382 Bag and possession limits. (recreational sector). If recreational expected that this proposed rule would landings for cobia, as estimated by the not have significant economic impacts * * * * * (a) King mackerel, Spanish mackerel, SRD, exceed both the recreational ACL on a substantial number of small and Atlantic migratory group cobia— of 620,000 lb (281,227 kg), and the stock entities. (1) * * * ACL, as specified paragraph (f)(3) of this No duplicative, overlapping, or (vi) Atlantic migratory group cobia section, then during the following conflicting Federal rules have been that are not sold (recreational sector)— fishing year, recreational landings will identified. In addition, no new 1, not to exceed 6 fish per vessel per be monitored for a persistence in reporting, record-keeping, or other day. increased landings, and, if necessary, the AA will file a notification with the compliance requirements are introduced * * * * * Office of the Federal Register to reduce by this proposed rule. Accordingly, this ■ 4. In § 622.383, revise paragraph (b) to the recreational vessel limit, specified in rule does not implicate the Paperwork read as follows: § 622.382(a)(1)(vi), to no less than 2 fish Reduction Act. § 622.383 Limited harvest species. per vessel to ensure recreational The information provided above * * * * * landings achieve the recreational ACT, supports a determination that this (b) Gulf migratory group cobia. No but do not exceed the recreational ACL proposed rule would not have person may possess more than two Gulf in that fishing year. Any recreational significant economic impacts on a migratory group cobia per day in or vessel limit reduction that is substantial number of small entities. from the EEZ, regardless of the number implemented as described in this Because this proposed rule, if of trips or duration of a trip. paragraph is only applicable for the implemented, is not expected to have ■ 5. In § 622.385, add paragraph (c) to fishing year in which it is implemented. significant economic impacts on any read as follows: Additionally, if the reduction in the small entities, an initial regulatory recreational vessel limit is determined flexibility analysis is not required and § 622.385 Commercial trip limits. by the AA to be insufficient to ensure none has been prepared. * * * * * that recreational landings will not (c) Cobia. (1) Atlantic migratory exceed the recreational ACL, the AA List of Subjects in 50 CFR Part 622 group. Until the commercial ACL will also reduce the length of the specified in § 622.384(d)(2) is reached, 2 recreational fishing season by the Annual catch limits, Cobia, Fisheries, fish per person, not to exceed 6 fish per amount necessary to ensure recreational Fishing, Gulf of Mexico, South Atlantic. vessel. landings do not exceed the recreational (2) [Reserved] ACL in that fishing year. The ■ 6. In § 622.388, revise paragraph (f) to recreational vessel limit and the length read as follows: of the recreational fishing season will

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not be reduced if NMFS determines, and fishing season reduction are (3) The stock ACL for Atlantic based on the best scientific information unnecessary. The recreational ACT is migratory group cobia is 670,000 lb available, that a recreational vessel limit 500,000 lb (226,796 kg). (303,907 kg). [FR Doc. 2017–03290 Filed 2–17–17; 8:45 am] BILLING CODE 3510–22–P

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Notices Federal Register Vol. 82, No. 33

Tuesday, February 21, 2017

This section of the FEDERAL REGISTER Independence Avenue SW., Stop 0237, Oranges and grapefruit grown in Lower contains documents other than rules or Room 1406–S, Washington, DC 20250– Rio Grande Valley in Texas; 915, proposed rules that are applicable to the 0237, or online at www.regulations.gov. Avocados grown in south Florida; 922, public. Notices of hearings and investigations, All comments received will be available Apricots grown in designated counties committee meetings, agency decisions and for public inspection in the Office of the in Washington; 923, Sweet cherries rulings, delegations of authority, filing of petitions and applications and agency Docket Clerk during regular USDA grown in designated counties in statements of organization and functions are business hours, or they can be viewed Washington; 925, Grapes grown in a examples of documents appearing in this at www.regulations.gov. designated area of southeastern section. All comments to this notice will be California; 927, Pears grown in Oregon summarized and included in the request and Washington; 929, Cranberries for OMB approval, and will become a grown in Massachusetts, Rhode Island, DEPARTMENT OF AGRICULTURE matter of public record. Connecticut, New Jersey, Wisconsin, SUPPLEMENTARY INFORMATION: Michigan, Minnesota, Oregon, Agricultural Marketing Service Title: Organic Handler Market Washington, and Long Island in New [Docket No. AMS–SC–17–0005; SC–900–1] Promotion Assessment Exemption York; 930, Tart cherries grown in under Federal Marketing Orders. Michigan, New York, Pennsylvania, Notice of Request for Extension of a OMB Number: 0581–0216. Oregon, Utah, Washington, and Currently Approved Assessment Expiration Date of Approval: April 30, Wisconsin; 932, Olives grown in Exemption for Organic Commodities 2017. California; 948, Irish potatoes grown in Type of Request: Extension of a Colorado; 955, Vidalia onions grown in AGENCY: Agricultural Marketing Service, currently-approved information Georgia; 956, Sweet onions grown in the USDA. collection. Walla Walla Valley of southeast ACTION: Notice and request for Abstract: Marketing order programs Washington and northeast Oregon; 958, comments. provide an opportunity for producers of Onions grown in certain designated fresh fruit, vegetables, and specialty counties in Idaho, and Malheur County, SUMMARY: In accordance with the Oregon; 959, Onions grown in South Paperwork Reduction Act of 1995, this crops in specified production areas to Texas; 966, Tomatoes grown in Florida; notice announces the Agricultural work together to solve marketing 981, Almonds grown in California; 982, Marketing Service’s (‘‘AMS’’) intention problems that cannot be solved Hazelnuts grown in Oregon and to request an extension for the form individually. Washington; 984, Walnuts grown in currently used by marketers to apply for Under the Agricultural Marketing California; 985, spearmint oil produced exemption from market promotion Agreement Act of 1937 as amended (7 in Washington, Idaho, Oregon, and parts assessments under 23 marketing order U.S.C. 601–674), marketing orders may of Nevada and Utah; 986, Pecans programs. authorize production and marketing research, including paid advertising, to produced in Alabama, Arkansas, DATES: Comments on this notice must be promote various commodities, which is Arizona, California, Florida, Georgia, received by April 24, 2017. paid for by assessments that are levied Kansas, Louisiana, Missouri, FOR FURTHER INFORMATION CONTACT: on the handlers who are regulated by Mississippi, North Carolina, New Contact Andrew Hatch, Supervisory the Orders. Mexico, Oklahoma, South Carolina, and Marketing Specialist, Marketing Order On May 13, 2002, the Farm Security Texas; 987, Domestic dates produced or and Agreement Division, Specialty and Rural Investment Act (7 U.S.C. packed in Riverside County, California; Crops Program, AMS, USDA, 1400 7901) amended the Federal Agriculture 989, Raisins produced from grapes Independence Avenue SW., Stop 0237, Improvement and Reform Act of 1996 (7 grown in California; and 993, Dried Room 1406–S, Washington, DC 20250– U.S.C. 7201), exempting any person prunes produced in California. 0237; Tel: (202) 720–2491, Email: who handles or markets solely 100 The information collected is used [email protected]. percent organic products from paying only by authorized marketing order Small businesses may request these assessments with respect to any committee or board employees, who are information on this notice by contacting agricultural commodity that is produced the primary users of the information, Richard Lower, Marketing Order and on a certified organic farm, as defined and by authorized representatives of the Agreement Division, Specialty Crops in the Organic Foods Production Act of USDA, including the AMS Specialty Program, AMS, USDA, 1400 1990 (7 U.S.C. 6502). A certified organic Crops Program’s regional and Independence Avenue SW., Stop 0237, handler can apply for this exemption by headquarters staff, who are the Room 1406–S, Washington, DC 20250– completing a ‘‘Certified Organic Handler secondary users of the information. 0237; Tel: (202) 720–2491; or Email: Application for Exemption from Market Estimate of Burden: The public [email protected]. Promotion Assessments Paid Under reporting burden for this collection of Comments are welcome and should Federal Marketing Orders,’’ and information is estimated to average 15 reference the docket number and the submitting it to the applicable minutes per response. date and page number of this issue of marketing order committee or board. Respondents: Respondents are eligible the Federal Register, as well as the Section 900.700 of the regulations (7 certified organic handlers. appropriate marketing order number. CFR part 900.700) provides for Estimated Number of Respondents: Comments may be submitted by mail to exemption from assessments. This 210. the Docket Clerk, Specialty Crops notice applies to the following Estimated Number of Total Annual Program, AMS, USDA, 1400 marketing orders: 7 CFR parts 906, Responses: 210.

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Estimated Number of Responses per Executive Office Building, 725 17th and accurate. The collected information Respondent: 1. Street NW., Washington, DC 20502. is used for the purposes of identifying Estimated Total Annual Burden on Commenters are encouraged to submit each specific tortoise and documenting Respondents: 53 hours. their comments to OMB via email to: the State of its health so that the animals Comments are invited on: (1) Whether [email protected] or can be transported across State and the proposed collection of information fax (202) 395–5806 and to Departmental national boundaries. If the information is necessary for the proper performance Clearance Office, USDA, OCIO, Mail is not collected APHIS would be forced of the functions of the Agency, Stop 7602, Washington, DC 20250– to continue their complete ban on the including whether the information will 7602. Copies of the submission(s) may interstate movement of leopard, African have practical utility; (2) the accuracy of be obtained by calling (202) 720–8958. spurred, and Bell’s hingeback tortoises. the Agency’s estimate of the burden of An agency may not conduct or This would economically harm U.S. the proposed collection of information, sponsor a collection of information tortoise breeders. including the validity of the unless the collection of information Description of Respondents: methodology and assumptions used; (3) displays a currently valid OMB control Individuals or households; Business or ways to enhance the quality, utility and number and the agency informs other for-profit. clarity of the information to be potential persons who are to respond to Number of Respondents: 50. collected; and (4) was to minimize the the collection of information that such Frequency of Responses: Reporting: burden of the collection of information persons are not required to respond to On occasion. on those who are to respond, including the collection of information unless it Total Burden Hours: 375. through the use of appropriate displays a currently valid OMB control Animal and Plant Health Inspection automated, electronic, mechanical, or number. Service other technological collection techniques or other forms of information Animal and Plant Health Inspection Title: Importation of Table Eggs from technology. Service Regions Where Newcastle Disease Exists. Dated: February 15, 2017. Title: Interstate Movement of Certain Land Tortoises. OMB Control Number: 0579–0328. Bruce Summers, OMB Control Number: 0579–0156. Summary of Collection: The Animal Acting Administrator, Agricultural Marketing Summary of Collection: The Animal Health Protection Act (AHPA) of 2002 is Service. Health Protection Act (AHPA) of 2002 is the primary Federal law governing the [FR Doc. 2017–03341 Filed 2–17–17; 8:45 am] the primary Federal law governing the protection of animal health. The law BILLING CODE 3410–02–P protection of animal health. The law gives the Secretary of Agriculture broad gives the Secretary of Agriculture broad authority to detect, control, or eradicate authority to prevent, control, and pests or diseases of livestock or poultry. DEPARTMENT OF AGRICULTURE eliminate domestic diseases such as Veterinary Services, a program with the Submission for OMB Review; tuberculosis, as well as to take actions Animal and Plant Health Inspection Comment Request to prevent and to manage exotic Service (APHIS) is responsible for diseases such as heartwater disease. The administering regulations intended to February 15, 2017. regulations in 9 CFR part 93 prohibit the prevent the dissemination of animal The Department of Agriculture has importation of the leopard tortoise, the disease within the United States. submitted the following information African spurred tortoise, and the Bell’s Regulations in title 9, Code of Federal collection requirement(s) to OMB for hingeback tortoise to prevent the Regulations, section 94.6 deal review and clearance under the introduction and spread of exotic ticks specifically with the importation of Paperwork Reduction Act of 1995, known to be vectors of heartwater table eggs from certain regions that may Public Law 104–13. Comments are disease, an acute, infectious disease of pose a risk of introducing Exotic requested regarding (1) whether the cattle and other ruminants. The Newcastle Disease (END) into the collection of information is necessary regulations in 9 CFR part 74 prohibit the United States. for the proper performance of the interstate movement of those tortoises Need and Use of the Information: functions of the agency, including that are already in the United States Although this collection applies to any whether the information will have unless the tortoises are accompanied by region where END is considered to exist, practical utility; (2) the accuracy of the a health certificate or certificate of the United States is not currently agency’s estimate of burden including veterinary inspection. importing table eggs from any END- the validity of the methodology and Need and Use of the Information: affected region. APHIS requires the assumptions used; (3) ways to enhance APHIS will collect information to following with regard to imported table the quality, utility and clarity of the ensure that the interstate movement of eggs: (1) A certificate for table eggs from information to be collected; and (4) these leopard, African spurred, and END-affected regions; and (2) a ways to minimize the burden of the Bell’s hingeback tortoises poses no risk government seal issued by the collection of information on those who of spreading exotic ticks within the veterinarian accredited by the national are to respond, including through the United States. Owners and veterinarians government who signed the certificate. use of appropriate automated, are required to provide the following APHIS will also use form VS–17–6, electronic, mechanical, or other information to Federal or accredited Export Health Certificate for Poultry or technological collection techniques or veterinarians for completion of the Hatching Eggs for Export. If the other forms of information technology. health certificate: Name, address, and information were collected less Comments regarding this information telephone number of the owner; frequently or not collected at all, APHIS collection received by March 23, 2017 information identifying the animal such would be unable to establish an will be considered. Written comments as collar or tattoo number; breed; age; effective defense against the incursion should be addressed to: Desk Officer for sex; color; distinctive marks; of END from table eggs imported from Agriculture, Office of Information and vaccination history; and certifications END-affected regions. This would cause Regulatory Affairs, Office of from both the owner and the serious economic consequences for U.S. Management and Budget (OMB), New veterinarian that all information is true poultry industry, which would be

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unable to export poultry and hatching Park Center Drive, Room 524, principal source of information about eggs. Alexandria, VA 22302. Comments may how each State agency operates its WIC Description of Respondents: Business also be submitted via fax to the attention Program. Information collected from or other for-profit; Federal Government. of Kurtria Watson at 703–305–2196 or participants and local agencies is Number of Respondents: 201. via email to Kurtria.Watson@ collected through State-developed forms Frequency of Responses: Reporting: fns.usda.gov. Comments will also be or Management Information Systems. On occasion. accepted through the Federal The information collected is used by the Total Burden Hours: 3,405. eRulemaking Portal. Go to http:// Department of Agriculture to manage, Ruth Brown, www.regulations.gov, and follow the plan, evaluate, make decisions and Departmental Information Collection online instructions for submitting report on WIC program operations. This Clearance Officer. comments electronically. information collection is requesting a [FR Doc. 2017–03303 Filed 2–17–17; 8:45 am] All responses to this notice will be revision in the burden hours due to BILLING CODE 3410–34–P summarized and included in the request program changes related to Electronic for Office of Management and Budget Benefits Transfer (EBT) delivery and approval. All comments will be a matter program adjustments that primarily DEPARTMENT OF AGRICULTURE of public record. reflect expected changes in the number FOR FURTHER INFORMATION CONTACT: of WIC participants; WIC authorized Food and Nutrition Service Requests for additional information or vendors; and WIC local agencies. The copies of this information collection revisions decreased the approved Agency Information Collection should be directed to Kurtria Watson at reporting burden by 169,424 hours and Activities: Proposed Collection; 703–605–4387. decreased the total approved record- Comment Request—Special keeping burden by 88,203 hours. Supplemental Nutrition Program for SUPPLEMENTARY INFORMATION: Women, Infants, and Children (WIC) Title: Special Supplemental Nutrition Reporting Burden Program for Women, Infants, and Program Regulations—Reporting and Affected Public: Individual/ Children (WIC) Program Regulations— Record-Keeping Burden Households; Business or Other for Reporting and Record-keeping Burden. Profit; State, Local and Tribal AGENCY: Food and Nutrition Service Form Number: N/A. (FNS), USDA. OMB Number: 0584–0043. Government. Estimated Number of Respondents: ACTION: Notice. Expiration Date: April 30, 2017. Type of Request: Revision of a The total estimated number of SUMMARY: In accordance with the currently approved collection. respondents is 7,739,970. This includes: Paperwork Reduction Act of 1995, this Abstract: The purpose of the Special 1,927 State and local agencies; notice invites the general public and Supplemental Nutrition Program for 7,693,319 WIC participants; and 44,724 other public agencies to comment on Women, Infants, and Children (WIC) is Retail Vendors. this proposed information collection. to provide supplemental foods, Estimated Number of Responses per This collection is a revision to a nutrition education, and health care Respondent: The estimated number of currently approved information referrals to low income, nutritionally at- responses per respondent is 3.07. Estimated Total Annual Responses: collection in the Special Supplemental risk pregnant, breastfeeding and The estimated total for annual responses Nutrition Program for Women, Infants, postpartum women, infants, and is 23,734,452. and Children (WIC) Regulations (7 CFR children up to age five. Currently, WIC Estimated Time per Response: The part 246) for the reporting and record- operates through State health estimated time per response is .13 keeping burdens associated with the departments in 50 States, 34 Indian WIC Program regulations. hours. Tribal Organizations, American Samoa, Estimated Total Annual Reporting DATES: Written comments must be District of Columbia, Guam, Burden Hours: The estimated total received on or before April 24, 2017. Commonwealth of the Northern Mariana annual reporting burden hours is ADDRESSES: Comments are invited on: Islands, Puerto Rico, and the Virgin 3,159,555. (a) Whether the proposed collection of Islands. The Federal regulations Current OMB Inventory: 3,328,979. information is necessary for the proper governing the WIC Program (7 CFR part Difference (Burden Revisions performance of the functions of the 246) require that certain program-related Requested): 169,424. agency, including whether the information be collected and that full information shall have practical utility; and complete records concerning WIC Record-Keeping Burden (b) the accuracy of the agency’s estimate operations are maintained. The Estimated Number of Record-keepers: of the burden of the proposed collection information reporting and record- The estimated number of record-keepers of information, including the validity of keeping burdens are necessary to ensure is 11,927. the methodology and assumptions that appropriate and efficient management of Estimated Number of Records: The were used; (c) ways to enhance the the WIC program. estimated number of records is 2,586. quality, utility, and clarity of the The reporting and record-keeping Total Estimated Annual Records: The information to be collected; and (d) burdens covered by this Information total estimated annual records is ways to minimize the burden of the Collection Burden (ICB) include 30,848,590. collection of information on those who requirements that involve the Estimated Annual Hours per Record- are to respond, including use of certification of WIC participants; the keeper: The estimated annual hours per appropriate automated, electronic, nutrition education that is provided to record-keeper is .02. mechanical, or other technological participants; the authorization, training Estimated Total Record-keeping collection techniques or other forms of and monitoring of vendors; and the Burden Hours: The estimated total information technology. collection of vendor pricing information record-keeping burden hours is 607,555. Comments may be sent to: Kurtria in order to comply with the Federal Current OMB Inventory: 695,758. Watson, Food and Nutrition Service, regulations regarding WIC cost Difference (Burden Revisions U.S. Department of Agriculture, 3101 containment. State Plans are the Requested): 88,203.

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Estimated Grand Total for Reporting estimated grand total for reporting and and Record-keeping Burden: The record-keeping is 3,767,110.

Total Number of Total estimated Annual estimated burden hours Estimated Type of respondent number of responses per annual per request burden respondents respondent responses (hours) hours

State, Local, & Indian Tribal Governments (90 WIC State agencies; 1,837 WIC local agencies) ...... 1,927 6,192 11,932,833 0.20 2,397,410 Business or Other For-Profit (44,724 WIC authorized vendors) ...... 44,724 2.24 100,338 1.77 177,455 Individuals/Households (7,693,319 WIC participants) ... 7,693,319 1.52 11,701,281 0.05 584,689

Total Reporting Burden ...... 7,739,970 ...... 24,756,206 ...... 3,271,644

Total Estimated number Estimated estimated Estimated time Estimated Type of respondent of record-keepers number of annual (hours) burden hours records records

State, Local, & Indian Tribal Governments (90 WIC State agencies; 1,837 WIC local agencies, 10,000) .. 11,927 2,586 30,848,590 0.02 607,555

Dated: February 13, 2017. ADDRESSES: The meeting will be held at Street, Quincy, California 95971; or by Jessica Shahin, the Feather River Ranger District, email to [email protected]. Acting Administrator, Food and Nutrition Conference Room, 875 Mitchell Avenue, Meeting Accommodations: If you are Service, USDA. Oroville, California. a person requiring reasonable [FR Doc. 2017–03340 Filed 2–17–17; 8:45 am] Written comments may be submitted accommodation, please make requests BILLING CODE 3410–30–P as described under SUPPLEMENTARY in advance for sign language INFORMATION. All comments, including interpreting, assistive listening devices, names and addresses when provided, or other reasonable accommodation. For DEPARTMENT OF AGRICULTURE are placed in the record and are access to the facility or proceedings, available for public inspection and please contact the person listed in the Forest Service copying. The public may inspect section titled FOR FURTHER INFORMATION comments received at the Plumas CONTACT. All reasonable Butte County Resource Advisory National Forest Supervisor‘s Office. accommodation requests are managed Committee Please call ahead to facilitate entry into on a case by case basis. AGENCY: Forest Service, USDA. the building. Dated: February 8, 2017. ACTION: Notice of meeting. FOR FURTHER INFORMATION CONTACT: Lee Jeanne Higgins, Anne Schramel, RAC Coordinator, by Acting Associate Deputy Chief, National SUMMARY: The Butte County Resource phone at 530–283–7850 or by email at Forest System. Advisory Committee (RAC) will meet in [email protected]. Oroville, California. The committee is [FR Doc. 2017–03270 Filed 2–17–17; 8:45 am] authorized under the Secure Rural Individuals who use BILLING CODE 3411–15–P Schools and Community Self- telecommunication devices for the deaf Determination Act (the Act) and (TDD) may call the Federal Information DEPARTMENT OF AGRICULTURE operates in compliance with the Federal Relay Service (FIRS) at 1–800–877–8339 between 8:00 a.m. and 8:00 p.m., Advisory Committee Act. The purpose Forest Service of the committee is to improve Eastern Standard Time, Monday collaborative relationships and to through Friday. Lake Tahoe Basin Federal Advisory provide advice and recommendations to SUPPLEMENTARY INFORMATION: The Committee the Forest Service concerning projects purpose of the meeting is to recommend and funding consistent with Title II of projects for Title II funds. AGENCY: Forest Service, USDA. the Act. RAC information can be found The meeting is open to the public. ACTION: Notice of meeting. at the following Web site: http:// The agenda will include time for people www.fs.usda.gov/main/pts/ to make oral statements of three minutes SUMMARY: The Lake Tahoe Basin Federal specialprojects/racweb. or less. Individuals wishing to make an Advisory Committee (LTBFAC) will meet in South Lake Tahoe, California. DATES: The meeting will be held on oral statement should request in writing The Committee is established pursuant February 28, 2017, at 6:30 p.m. For by February 16, 2017, to be scheduled to Executive Order 13057, and the anyone who would like to attend via on the agenda. Anyone who would like Federal Advisory Committee Act of conference call, please contact the to bring related matters to the attention 1972. Additional information person listed under the FOR FURTHER of the committee may file written concerning the Committee can be found INFORMATION CONTACT. statements with the committee staff All RAC meetings are subject to before or after the meeting. Written by visiting the Committee’s Web site at: cancellation. For status of meeting prior comments and requests for time to make http://www.fs.usda.gov/goto/ltbmu/ to attendance, please contact the person oral comments must be sent to Lee Anne LTFAC. listed under FOR FURTHER INFORMATION Schramel, Plumas National Forest DATES: The meeting will be held on CONTACT. Supervisor’s Office, 159 Lawrence Tuesday, February 28, 2017, from 1:00

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p.m. to 4:00 p.m. All LTBFAC meetings accommodation, please make requests by phone at 270–924–2002 or via email are subject to cancellation. For updated in advance for sign language at [email protected] status of the meeting prior to interpreting, assistive listening devices Individuals who use attendance, please contact the person or other reasonable accommodation for telecommunication devices for the deaf listed under FOR FURTHER INFORMATION access to the facility or proceedings by (TDD) may call the Federal Information CONTACT. contacting the person listed in the Relay Service (FIRS) at 1–800–877–8339 FOR FURTHER INFORMATION between 8:00 a.m. and 8:00 p.m., ADDRESSES: The meeting will be held at section titled the Lake Tahoe Basin Management Unit, CONTACT. All reasonable Eastern Standard Time, Monday 35 College Drive, South Lake Tahoe, accommodation requests are managed through Friday. California. on a case by case basis. SUPPLEMENTARY INFORMATION: The Written comments may be submitted Dated: February 8, 2017. purpose of the meeting is to: as described under SUPPLEMENTARY Jeanne Higgins, 1. Discuss Environmental Education, INFORMATION. All comments, including and Acting Associate Deputy Chief, National 2. Effectively communicate future names and addresses, when provided, Forest System. are placed in the record and are land management plan activities. [FR Doc. 2017–03268 Filed 2–17–17; 8:45 am] The meeting is open to the public. available for public inspection and BILLING CODE 3411–15–P copying. The public may inspect The Board discussion is limited to comments received at the USDA Forest Forest Service staff and Board members; however, persons who wish to bring Service, 35 College Drive, South Lake DEPARTMENT OF AGRICULTURE Tahoe, California. related matters to the attention of the Board may file written statements with FOR FURTHER INFORMATION CONTACT: Forest Service the Designated Federal Officer (DFO) Heather Noel, Lake Tahoe Basin before February 16, 2017. Written Management Unit, USDA Forest Land Between The Lakes Advisory comments must be sent to Tina Tilley, Service, 35 College Drive, South Lake Board Area Supervisor/DFO, Land Between Tahoe, California 96150 by phone at AGENCY: Forest Service, USDA. The Lakes, 100 Van Morgan Drive, 530–543–2608, or by email at hmnoel@ ACTION: Notice of meeting. Golden Pond, Kentucky 42211; by email fs.fed.us. to [email protected], or via facsimile to Individuals who use SUMMARY: The Land Between The Lakes 270–924–2086. telecommunication devices for the deaf Advisory Board (Board) will meet in Meeting Accommodations: If you are (TDD) may call the Federal Information Golden Pond, Kentucky. The Board is a person requiring reasonable Relay Service (FIRS) at 1–800–877–8339 authorized under Section 450 of the accommodation, please make requests between 8:00 a.m. and 8:00 p.m., Land Between The Lakes Protection Act in advance for sign language Eastern Standard Time, Monday of 1998 (Act) and operates in interpreting, assistive listening devices, through Friday. compliance with the Federal Advisory or other reasonable accommodation. For SUPPLEMENTARY INFORMATION: The Committee Act. The purpose of the access to the facility or proceedings, purpose of this meeting is to: Board is to advise the Secretary of please contact the person listed in the 1. Provide an update on the South Agriculture on the means of promoting section titled FOR FURTHER INFORMATION Nevada Public Land Management Act public participation for the land and CONTACT. All reasonable (SNPLMA) secondary list and priority resource management plan for the accommodation requests are managed setting, recreation area; and environmental on a case by case basis. 2. Provide a review of LTFAC goals education. Board information can be and objectives, found at the following Web site: http:// Dated: February 8, 2017. 3. Provide the 2017 schedule of www.landbetweenthelakes.us/. Jeanne Higgins, meetings, and DATES: The meeting will be held on Acting Associate Deputy Chief, National 4. Provide membership and vacancy March 2, 2017, at 9:00 a.m. Forest System. information. All Board meetings are subject to [FR Doc. 2017–03269 Filed 2–17–17; 8:45 am] The meeting is open to the public. cancellation. For status of meeting prior BILLING CODE 3411–15–P The agenda will include time for people to attendance, please contact the person to make oral statements of three minutes listed under FOR FURTHER INFORMATION or less. Individuals wishing to make an DEPARTMENT OF AGRICULTURE CONTACT. oral statement should submit a request in writing by February 24, 2017, to be ADDRESSES: The meeting will be held at Forest Service scheduled on the agenda. However, the Land Between The Lakes anyone who would like to bring related Administration Building, 100 Van Siskiyou (OR) Resource Advisory matters to the attention of the Morgran Drive, Golden Pond, Kentucky. Committee Committee may file written statements Written comments may be submitted AGENCY: Forest Service, USDA. as described under SUPPLEMENTARY with the Committee staff before or after ACTION: Notice of meeting. the meeting. Written comments, time INFORMATION. All comments, including requests for oral comments, or requests names and addresses when provided, SUMMARY: The Siskiyou (OR) Resource for remote access via a conference call are placed in the record and are Advisory Committee (RAC) will meet in line must be sent to Heather Noel, available for public inspection and Brookings, Oregon. The committee is USDA Forest Service, Lake Tahoe Basin copying. The public may inspect authorized under the Secure Rural Management Unit, 35 College Drive, comments received at Land Between Schools and Community Self- South Lake Tahoe, California 96150; by The Lakes Adminstrative Building. Determination Act (the Act) and email at [email protected], or via Please call ahead to facilitate entry into operates in compliance with the Federal facsimile to 530–543–2693. the building. Advisory Committee Act. The purpose Meeting Accommodations: If you are FOR FURTHER INFORMATION CONTACT: of the committee is to improve a person requiring reasonable Christine Bombard, Board Coordinator, collaborative relationships and to

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provide advice and recommendations to Meeting Accommodations: If you are time before or after the meeting. the Forest Service concerning projects a person requiring reasonable However, to facilitate distribution of and funding consistent with Title II of accommodation, please make requests public presentation materials to the Act. RAC information can be found in advance for sign language Committee members, the Committee at the following Web site: https:// interpreting, assistive listening devices, suggests that presenters forward the www.fs.usda.gov/main/pts/ or other reasonable accommodation. For public presentation materials prior to specialprojects/racweb. access to the facility or proceedings, the meeting to Ms. Springer via email. DATES: The meeting will be held from please contact the person listed in the The Assistant Secretary for 10:00 a.m. to 4:30 p.m., on the following section titled FOR FURTHER INFORMATION Administration, with the concurrence of dates: CONTACT. All reasonable the delegate of the General Counsel, • March 8, 2017, and accommodation requests are managed formally determined on February 15, • March 9, 2017. on a case by case basis. 2017, pursuant to Section 10(d) of the All RAC meetings are subject to Dated: February 8, 2017. Federal Advisory Committee Act, as cancellation. For status of meeting prior Jeanne Higgins, amended (5 U.S.C. app. 2 section to attendance, please contact the person Acting Associate Deputy Chief, National (10)(d)), that the portion of the meeting listed under FOR FURTHER INFORMATION Forest System. dealing with pre-decisional changes to CONTACT. [FR Doc. 2017–03271 Filed 2–17–17; 8:45 am] the Commerce Control List and U.S. export control policies shall be exempt ADDRESSES: The meeting will be held at BILLING CODE 3411–15–P Best Western Plus Beachfront Inn, South from the provisions relating to public Conference Room, 16008 Boat Basin meetings found in 5 U.S.C. app. 2 Road, Brookings, Oregon. DEPARTMENT OF COMMERCE sections 10(a)(1) and 10(a)(3). The remaining portions of the meeting will Written comments may be submitted be open to the public. as described under SUPPLEMENTARY Bureau of Industry and Security INFORMATION. All comments, including For more information, call Yvette Transportation and Related Equipment names and addresses when provided, Springer at (202) 482–2813. Technical Advisory Committee: Notice are placed in the record and are of Partially Closed Meeting Dated: February 15, 2017. available for public inspection and Yvette Springer, copying. The public may inspect The Transportation and Related Committee Liaison Officer. comments received at Rogue River- Equipment Technical Advisory [FR Doc. 2017–03351 Filed 2–17–17; 8:45 am] Siskiyou National Forest Supervisor’s Committee will meet on March 8, 2017, BILLING CODE P Office. Please call ahead to facilitate 9:30 a.m., in the Herbert C. Hoover entry into the building. Building, Room 3884, 14th Street FOR FURTHER INFORMATION CONTACT: between Constitution & Pennsylvania DEPARTMENT OF COMMERCE Virginia Gibbons, RAC Coordinator, by Avenues NW., Washington, DC. The phone at 541–618–2113 or via email at Committee advises the Office of the Bureau of Industry and Security [email protected]. Assistant Secretary for Export Individuals who use Administration with respect to technical Materials Processing Equipment telecommunication devices for the deaf questions that affect the level of export Technical Advisory Committee: Notice (TDD) may call the Federal Information controls applicable to transportation of Partially Closed Meeting Relay Service (FIRS) at 1–800–877–8339 and related equipment or technology. The Materials Processing Equipment between 8:00 a.m. and 8:00 p.m., Agenda Eastern Standard Time, Monday Technical Advisory Committee through Friday. Public Session (MPETAC) will meet on March 7, 2017, 9:00 a.m., Room 3884, in the Herbert C. SUPPLEMENTARY INFORMATION: The 1. Welcome and Introductions. Hoover Building, 14th Street between purpose of the meeting is to: 2. Status reports by working group Pennsylvania and Constitution Avenues 1. Review project proposals, and chairs. NW., Washington, DC. The Committee 2. Make project recommendations for 3. Public comments and Proposals. advises the Office of the Assistant Title II funds. Closed Session Secretary for Export Administration The meeting is open to the public. with respect to technical questions that 4. Discussion of matters determined to The agenda will include time for people affect the level of export controls be exempt from the provisions to make oral statements of three minutes applicable to materials processing relating to public meetings found in or less. Individuals wishing to make an equipment and related technology. oral statement should request in writing 5 U.S.C. app. 2 sections 10(a)(1) and by March 3, 2017, to be scheduled on 10(a)(3). Agenda the agenda. Anyone who would like to The open session will be accessible Open Session bring related matters to the attention of via teleconference to 20 participants on the committee may file written a first come, first serve basis. To join the 1. Opening remarks and introductions. statements with the committee staff conference, submit inquiries to Ms. 2. Presentation of papers and comments before or after the meeting. Written Yvette Springer at Yvette.Springer@ by the Public. comments and requests for time to make bis.doc.gov no later than March 1, 2017. 3. Discussions on results from last, and oral comments must be sent to Virginia A limited number of seats will be proposals from last Wassenaar Gibbons, RAC Coordinator, Rogue River- available during the public session of meeting. Siskiyou National Forest Supervisor’s the meeting. Reservations are not Office, 3040 Biddle Road, Medford, accepted. To the extent time permits, 4. Report on proposed and recently Oregon 97525; by email to vgibbons@ members of the public may present oral issued changes to the Export fs.fed.us, or via facsimile to 541–618– statements to the Committee. The public Administration Regulations. 2144. may submit written statements at any 5. Other business.

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Closed Session NW., Washington, DC. The Committee 7. Industry presentations. advises the Office of the Assistant 6. Discussion of matters determined to Closed Session be exempt from the provisions Secretary for Export Administration on emerging technology and research 8. Discussion of matters determined to relating to public meetings found in be exempt from the provisions relating 5 U.S.C. app. 2 sections 10 (a)(1) activities, including those related to deemed exports. to public meetings found in 5 U.S.C. and 10(a)(3). app. 2 §§ 10(a)(1) and l0(a)(3). The open session will be accessible Agenda The open sessions will be accessible via teleconference to 20 participants on Open Session via teleconference to 25 participants on a first come, first serve basis. To join the a first come, first serve basis. To join the conference, submit inquiries to Ms. 1. Welcome Remarks & Update of conference, submit inquiries to Ms. Yvette Springer at Yvette.Springer@ ETRAC activities. Yvette Springer at Yvette.Springer@ bis.doc.gov, no later than February 28, 2. Update on Export Control Issues. bis.doc.gov no later than, March 16, 2017. 3. Review: Emerging Technologies in 2017. A limited number of seats will be the News: • A limited number of seats will be available for the public session. Regulatory uncertainty and the available for the public session. Reservations are not accepted. To the associated business risk for emerging Reservations are not accepted. To the extent that time permits, members of the technologies’’ by Robert A. Hoerr extent that time permits, members of the public may present oral statements to Springer Science and Business Media public may present oral statements to the Committee. The public may submit B.V. • the Committee. The public may submit written statements at any time before or ‘‘Denied Access’’ Pentagon Betting written statements at any time before or after the meeting. However, to facilitate on New Technologies to Foil Future after the meeting. However, to facilitate the distribution of public presentation Adversaries. • the distribution of public presentation materials to the Committee members, ‘‘China’s $9 billion effort to beat the materials to the Committee members, the Committee suggests that presenters U.S. in genetic testing’’ Washington Post the Committee suggests that presenters December 30, 2016. forward the public presentation • forward the public presentation materials prior to the meeting to Ms. Tech Connect World Innovation materials prior to the meeting to Ms. Springer via email. Conference and Expo—May 14–17, Springer via email. 2017—Washington, DC. The Assistant Secretary for • The Assistant Secretary for Administration, with the concurrence of ‘‘Encourage governments to need Administration, with the concurrence of the delegate of the General Counsel, scientific advice’’ by ETRAC member the delegate of the General Counsel, formally determined on February 15, William Colglazier Nature September formally determined on February 15, 29, 2016. 2017, pursuant to section 10(d) of the • 2017, pursuant to Section l0(d) of the Federal Advisory Committee Act, as 3D Graphene’’ TechConnect Federal Advisory Committee Act, as interviews. amended (5 U.S.C. app. 2 section 10(d)), • amended, that the portion of the that the portion of the meeting dealing ‘Airborne Optics and Photonics’ meeting dealing with matters of which with matters the premature disclosure of photonics.com. would be likely to frustrate significantly which would be likely to frustrate 4. Discussion of recent export control implementation of a proposed agency significantly implementation of a and emerging technologies activities. action as described in 5 U.S.C. • Council on Government Relations— proposed agency action as described in 552b(c)(9)(B) shall be exempt from the Research Compliance and 5 U.S.C. 552b(c)(9)(B) shall be exempt provisions relating to public meetings Administration. from the provisions relating to public found in 5 U.S.C. app. 2 §§ 10(a)1 and • Committee. meetings found in 5 U.S.C. app. 2 10(a)(3). The remaining portions of the • Association of University sections 10(a)(1) and 10(a)(3). The meeting will be open to the public. remaining portions of the meeting will Technology Managers—Global Issues For more information, call Yvette be open to the public. session at AUTM Annual Meeting in Springer at (202) 482–2813. For more information, call Yvette March, 2017. • Yvette Springer, Springer at (202) 482–2813. Advanced Design and Production Technologies at Sandia National Committee Liaison Officer. Dated: February 15, 2017. Laboratories. [FR Doc. 2017–03377 Filed 2–17–17; 8:45 am] • Yvette Springer, JASON-: Scientific group that BILLING CODE 3510–JT–P Committee Liaison Officer. advises government on matters of [FR Doc. 2017–03348 Filed 2–17–17; 8:45 am] science, technology and national BILLING CODE 3510–JT–P security. DEPARTMENT OF COMMERCE • The National Academies of Sciences, Engineering, Medicine—Dual Bureau of Industry and Security DEPARTMENT OF COMMERCE Use Research of Concern: Options for Future Management—January 4, 2017. Materials Technical Advisory Bureau of Industry and Security 5. Discussion on Industry Sectors Committee; Notice of Partially Closed being reviewed by the ETRAC. Meeting Emerging Technology and Research Advisory Committee; Notice of Electronics & Graphene Circuits The Materials Technical Advisory Partially Closed Meeting Graphene metamaterials Committee will meet on March 9, 2017, Robotics and Big Data 10:00 a.m., Herbert C. Hoover Building, The Emerging Technology and Optoelectronics & Photonics Room 3884, 14th Street between Research Advisory Committee (ETRAC) Additive Manufacturing Constitution & Pennsylvania Avenues will meet on March 23–24, 2017, 8:30 Advanced materials NW., Washington, DC. The Committee a.m., Room 3884, at the Herbert C. Autonomous Technology advises the Office of the Assistant Hoover Building, 14th Street between Hypersonics Secretary for Export Administration Pennsylvania and Constitution Avenues 6. Comments from the Public. with respect to technical questions that

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affect the level of export controls DEPARTMENT OF COMMERCE We invited parties to comment on the applicable to materials and related Preliminary Results. No interested party technology. International Trade Administration submitted comments. As a result, the Agenda [A–201–838] final results do not differ from the Preliminary Results. We continue to Open Session Seamless Refined Copper Pipe and find that sales of subject merchandise by 1. Opening remarks and introductions Tube From Mexico: Final Results of Golden Dragon and Nacobre were made by the Bureau of Industry and Security Antidumping Duty Administrative at prices less than normal value during Senior Management. Review and Final Determination of No the POR. We continue to find that IUSA Shipments; 2014–2015 had no shipments of subject 2. A discussion with industry on merchandise during the POR. The current illicit procurement trends AGENCY: Enforcement and Compliance, Department conducted this related to the carbon fiber production International Trade Administration, administrative review in accordance process and associated commodities by Commerce. Michael Burnett from Export with section 751(a) of the Tariff Act of SUMMARY: On December 12, 2016, the 1930, as amended (the Act). Enforcement. Department of Commerce (the 3. Regime and working group Department) published the preliminary Scope of the Order 3 discussions. results of the administrative review of 4. Public Comments/New Business/ the antidumping duty order on seamless The merchandise subject to the order Closed session. refined copper pipe and tube from is seamless refined copper pipe and Mexico. The review covers three tube. The product is currently classified Closed Session producers/exporters of the subject under the Harmonized Tariff Schedule 5. Discussion of matters determined to merchandise, GD Affiliates S. de R.L. de of the United States (HTSUS) be exempt from the provisions relating C.V. (Golden Dragon), Nacional de subheadings 7411.10.1030 and to public meetings found in 5 U.S.C. Cobre, S.A. de C.V. (Nacobre), and 7411.10.1090, and also may enter under app. 2 §§ 10(a)(1) and 10(a)(3). IUSA, S.A. de C.V. (IUSA). The period HTSUS subheadings 7407.10.1500, The open session will be accessible of review (POR) is November 1, 2014, 7419.99.5050, 8415.90.8065, and via teleconference to 20 participants on through October 31, 2015. No interested 8415.90.8085. Although the HTSUS a first come, first serve basis. To join the party submitted comments on the numbers are provided for convenience conference, submit inquiries to Ms. preliminary results. The final results do and customs purposes, the written Yvette Springer at Yvette.Springer@ not differ from the preliminary results. product description, available in the 4 bis.doc.gov, no later than March 2, 2017. DATES: Effective February 21, 2017. Preliminary Decision Memorandum, remains dispositive. A limited number of seats will be FOR FURTHER INFORMATION CONTACT: available during the public session of Dennis McClure or George Ayache, AD/ Final Determination of No Shipments the meeting. Reservations are not CVD Operations, Office VIII, accepted. To the extent time permits, Enforcement and Compliance, As noted in the Preliminary Results, members of the public may present oral International Trade Administration, the Department received a claim of no statements to the Committee. Written U.S. Department of Commerce, 1401 shipments from IUSA. Based on the statements may be submitted at any Constitution Avenue NW., Washington, results of our U.S. Customs and Border time before or after the meeting. DC 20230; telephone: (202) 482–5973 or Protection (CBP) data query to However, to facilitate distribution of (202) 482–2623, respectively. determine whether there were any public presentation materials to SUPPLEMENTARY INFORMATION: entries of subject merchandise during Committee members, the materials the POR from IUSA, for the final results, should be forwarded prior to the Background the Department continues to find that meeting to Ms. Springer via email. This review covers three producers/ IUSA did not have any reviewable The Assistant Secretary for exporters of the subject merchandise, entries during the POR.5 Administration, with the concurrence of 1 Golden Dragon, Nacobre, and IUSA. On Final Results of the Review the delegate of the General Counsel, December 12, 2016, the Department formally determined on February 15, published in the Federal Register the The Department determines that the 2017, pursuant to Section 10(d) of the preliminary results of administrative following weighted-average dumping Federal Advisory Committee Act, as review of the antidumping duty order margins exist for entries of subject amended (5 U.S.C. app. 2 § 10(d)), that on seamless refined copper pipe and merchandise that were produced and/or the portion of the meeting dealing with tube from Mexico.2 exported by the following companies pre-decisional changes to the Commerce during the POR: Control List and the U.S. export control 1 The Department previously treated GD Affiliates policies shall be exempt from the S. de R.L. de C.V. as part of a single entity including: (1) GD Copper Cooperatief U.A.; (2) Hong and accompanying Preliminary Decision provisions relating to public meetings Kong GD Trading Co. Ltd.; (3) Golden Dragon Memorandum. found in 5 U.S.C. app. 2 § § 10(a)(1) and Holding (Hong Kong) International, Ltd.; (4) GD 3 See Seamless Refined Copper Pipe and Tube 10(a)(3). The remaining portions of the Copper U.S.A. Inc.; (5) GD Affiliates Servicios S. de from Mexico and the People’s Republic of China: meeting will be open to the public. R.L. de C.V.; and (6) GD Affiliates S. de R.L. de C.V., Antidumping Duty Orders and Amended Final which is collectively referred to as Golden Dragon. Determination of Sales at Less Than Fair Value For more information, call Yvette See, e.g., Seamless Refined Copper Pipe and Tube From Mexico, 75 FR 71070 (November 22, 2010) Springer at (202) 482–2813. from Mexico: Final Results of Antidumping Duty (Amended Final and Order). New Shipper Review, 77 FR 59178 (September 26, 4 For a complete description of the scope of the Dated: February 15,2017. 2012), and accompanying Issues and Decision order, see the Preliminary Decision Memorandum Yvette Springer, Memorandum. at 3, which can be accessed directly at http:// Committee Liaison Officer. 2 See Seamless Refined Copper Pipe and Tube enforcement.trade.gov/frn/. from Mexico: Preliminary Results of Antidumping 5 For a full explanation of the Department’s [FR Doc. 2017–03374 Filed 2–17–17; 8:45 am] Duty Administrative Review; 2014–2015, 81 FR analysis, see the Preliminary Decision BILLING CODE 3510–JT–P 89434 (December 12, 2016) (Preliminary Results), Memorandum at 4.

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Weighted- review, a prior review, or the original DEPARTMENT OF COMMERCE average investigation but the manufacturer is, Exporter/producer dumping the cash deposit rate will be the rate National Oceanic and Atmospheric margins Administration (percent) established for the most recently completed segment for the manufacturer RIN 0648–XF149 GD Affiliates S. de R.L. de C.V. 1.93 of the merchandise; (4) the cash deposit Nacional de Cobre, S.A. de C.V. 6.50 rate for all other manufacturers or Marine Mammals; File No. 20465 exporters will continue to be 26.03 Assessment Rates AGENCY: National Marine Fisheries percent, the all-others rate established Service (NMFS), National Oceanic and The Department shall determine, and in the Amended Final and Order. These Atmospheric Administration (NOAA), CBP shall assess, antidumping duties on cash deposit requirements, when Commerce. all appropriate entries of subject imposed, shall remain in effect until ACTION: Notice; receipt of application. merchandise in accordance with the further notice. final results of this review.6 We intend SUMMARY: Notice is hereby given that Notification to Importers to instruct CBP to liquidate entries of the NMFS Alaska Fisheries Science subject merchandise produced and/or This notice also serves as a final Center (AFSC) Marine Mammal exported by the aforementioned reminder to importers of their Laboratory, 7600 Sand Point Way NE., companies. In accordance with the responsibility under 19 CFR Seattle, WA 98115–6349 (Responsible Department’s ‘‘automatic assessment’’ 351.402(f)(2) to file a certificate Party: Dr. John Bengtson), has applied in practice, for entries of subject regarding the reimbursement of due form for a permit to conduct merchandise during the POR produced research on 21 species of marine antidumping duties prior to liquidation by Golden Dragon or Nacobre for which mammals. they did not know their merchandise of the relevant entries during this POR. DATES: Written, telefaxed, or email was destined for the United States, we Failure to comply with this requirement comments must be received on or before intend to instruct CBP to liquidate could result in the Department’s March 23, 2017. unreviewed entries at the all-others presumption that reimbursement of rate.7 Additionally, because the antidumping duties has occurred and ADDRESSES: The application and related Department determined that IUSA had the subsequent assessment of double documents are available for review by no shipments of subject merchandise antidumping duties. selecting ‘‘Records Open for Public Comment’’ from the ‘‘Features’’ box on during the POR, any suspended entries Administrative Protective Order that entered under IUSA’s AD case the Applications and Permits for Protected Species (APPS) home page, number (i.e., at that exporter’s rate) will In accordance with 19 CFR https://apps.nmfs.noaa.gov, and then be liquidated at the all-others rate 351.305(a)(3), this notice also serves as effective during the period of review.8 selecting File No. 20465 from the list of a reminder to parties subject to available applications. The Department intends to issue administrative protective order (APO) of assessment instructions to CBP 41 days These documents are also available their responsibility concerning the upon written request or by appointment after the date of publication of these return or destruction of proprietary final results of review, pursuant to 19 in the Permits and Conservation information disclosed under the APO, CFR 356.8(a). Division, Office of Protected Resources, which continues to govern business NMFS, 1315 East-West Highway, Room Cash Deposit Requirements proprietary information in this segment 13705, Silver Spring, MD 20910; phone The following deposit requirements of the proceeding. Timely written (301) 427–8401; fax (301) 713–0376. will be effective upon publication of the notification of the return or destruction Written comments on this application notice of these final results for all of APO materials or conversion to should be submitted to the Chief, shipments of seamless refined copper judicial protective order is hereby Permits and Conservation Division, at pipe and tube from Mexico entered, or requested. Failure to comply with the the address listed above. Comments may withdrawn from warehouse, for regulations and terms of an APO is a also be submitted by facsimile to (301) consumption on or after the publication violation subject to sanction. 713–0376, or by email to date as provided by section 751(a)(2) of [email protected]. Please Notification to Interested Parties the Act: (1) The cash deposit rate for the include the File No. in the subject line reviewed companies will be the rates of the email comment. We intend to issue and publish these Those individuals requesting a public established in the final results of this results in accordance with sections administrative review; (2) for hearing should submit a written request 751(a)(1) and 777(i)(1) of the Act and 19 to the Chief, Permits and Conservation merchandise exported by manufacturers CFR 351.213(h) and 351.221(b)(5). or exporters not covered in this review Division at the address listed above. The but covered in a completed prior Dated: February 14, 2017. request should set forth the specific segment of the proceeding, the cash Ronald K. Lorentzen, reasons why a hearing on this application would be appropriate. deposit rate will continue to be the Acting Assistant Secretary for Enforcement company-specific rate published for the and Compliance. FOR FURTHER INFORMATION CONTACT: most recently completed segment; (3) if [FR Doc. 2017–03338 Filed 2–17–17; 8:45 am] Amy Hapeman or Shasta McClenahan, (301) 427–8401. the exporter is not a firm covered in this BILLING CODE 3510–DS–P SUPPLEMENTARY INFORMATION: The 6 See section 751(a)(2)(C) of the Act and 19 CFR subject permit is requested under the 351.212(b). authority of the Marine Mammal 7 For a full discussion of this clarification, see Protection Act of 1972, as amended Antidumping and Countervailing Duty Proceedings: Assessment of Antidumping Duties, 68 FR 23954 (MMPA; 16 U.S.C. 1361 et seq.), the (May 6, 2003). regulations governing the taking and 8 Id. importing of marine mammals (50 CFR

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part 216), the Endangered Species Act of Dated: February 15, 2017. Division, Office of Protected Resources, 1973, as amended (ESA; 16 U.S.C. 1531 Julia Harrison, NMFS, 1315 East-West Highway, Room et seq.), the regulations governing the Chief, Permits and Conservation Division, 13705, Silver Spring, MD 20910; phone taking, importing, and exporting of Office of Protected Resources, National (301) 427–8401; fax (301) 713–0376. endangered and threatened species (50 Marine Fisheries Service. FOR FURTHER INFORMATION CONTACT: CFR 222–226), and the Fur Seal Act of [FR Doc. 2017–03344 Filed 2–17–17; 8:45 am] Carrie Hubard (File Nos. 15682, 17845 1966, as amended (16 U.S.C. 1151 et BILLING CODE 3510–22–P and 20532), Sara Young (File Nos. seq.). 16094 and 20452), Shasta McClenahan AFSC’s Marine Mammal Laboratory (File Nos. 17845, 20532, and 20658), DEPARTMENT OF COMMERCE Amy Hapeman (File Nos. 19627, 20197, requests a 5-year permit to monitor and & 20658), and Erin Markin (File Nos. evaluate cetacean trends, abundance, National Oceanic and Atmospheric 19627, & 20197) at (301) 427–8401. distribution, and health in the North Administration SUPPLEMENTARY INFORMATION: Pacific Ocean, Bering, Beaufort, and Notices RINs 0648–XA888, 0648–XA599, 0648– were published in the Federal Register Chukchi Seas, and in the Gulf of Maine XC599, 0648–XE469, 0648–XE684, 0648– that requests for a permit or permit and mid-Atlantic waters. Up to 21 XE773, 0648–XE913, and 0648–XE915 amendment had been submitted by the species of cetaceans may be targeted for Marine Mammals and Endangered above-named applicants. The requested study including the following permits have been issued under the endangered or threatened species/ Species; File Nos. 15682, 16094, 17845, 19627, 20197, 20452, 20341, and 20658 Marine Mammal Protection Act of 1972, stocks: Cook Inlet beluga as amended (16 U.S.C. 1361 et seq.), the (Delphinapterus leucas), blue AGENCY: National Marine Fisheries regulations governing the taking and (Balaenoptera musculus), fin (B. Service (NMFS), National Oceanic and importing of marine mammals (50 CFR physalus), sei (B. borealis), bowhead Atmospheric Administration (NOAA), part 216), the Endangered Species Act of (Balaena mysticetus), humpback Commerce. 1973, as amended (ESA; 16 U.S.C. 1531 (Megaptera novaeangliae), North Pacific ACTION: Notice; issuance of permit and et seq.), and the regulations governing right (Eubalaena japonica), Southern permit amendments. the taking, importing, and exporting of Resident killer (Orcinus orca), and endangered and threatened species (50 sperm (Physeter macrocephalus) SUMMARY: Notice is hereby given that CFR parts 222–226), as applicable. whales. Research would involve aerial permits and permit amendments have Permit No. 15682–01: The original surveys, vessel surveys, and captures. been issued to the following entities: permit (No. 15682), issued on December Researchers would conduct manned and RIN 0648–XA888; Permit No. 15682– 20, 2011 (77 FR 268, January 4, 2012) unmanned aerial surveys for counts, 01: Mithriel MacKay, Ph.D., 1394 authorized Dr. MacKay up to 700 takes observations, photo-identification, Alameda Ave., Spring Hill, FL 34609; of humpback whales (Megaptera photogrammetry, and video of RIN 0648–XA599; Permit No. 16094– novaeangliae) annually in waters off 04: Alaska Department of Fish and cetaceans. Vessel surveys would be Puerto Rico during vessel-based photo- Game, Wildlife Conservation, 1255 West conducted for counts, biological identification, behavioral observation, 8th Street, Juneau, AK 99811–5526 sampling, observation, photo- and passive acoustic recording. The (Responsible Party: Robert Small, minor amendment (No. 15682–01) identification, photogrammetry, video, Ph.D.); extends the duration of the permit tagging, and/or acoustic playbacks of RIN 0648–XC599; Permit No. 17845– through December 31, 2017, but does cetaceans. Non-listed beluga whale 03: Rachel Cartwright, Ph.D., Keiki not change any other terms or stocks would be captured for health Kohola Project, 4945 Coral Way, conditions of the permit. assessments involving a suite of Oxnard, CA 93035; Permit No. 16094–04: The original biological sampling, acoustic playbacks, RIN 0648–XE469; Permit No. 19627: permit (No. 16094), issued on and/or tagging prior to release. Up to NMFS Southeast Fisheries Science September 20, 2011 (76 FR 61345, four mortalities of each beluga stock are Center, 75 Virginia Beach Drive, Room October 4, 2011) authorized the permit requested over the life of the permit for 207, Miami, FL 33149 (Responsible holder to conduct research on harbor capture work. Seven pinniped species Party: Dr. Bonnie Ponwith); seals (Phoca vitulina) throughout their including endangered Steller sea lions RIN 0648–XE684; Permit No. 20197: range in Alaska, including Southeast (Eumetopias jubatus) may be harassed NMFS Northeast Fisheries Science Alaska, Gulf of Alaska, and Bering Sea. incidental to research. Please see the Center, 166 Water Street, Woods Hole, Subsequent amendments were issued on take tables for numbers of animals MA 025433 (Responsible Party: Dr. Jon March 28, 2012 (Permit No. 16094–01), requested by species. Hare); June 1, 2012 (Permit No. 16094–02), and RIN 0648–XE773; Permit No. 20341: In compliance with the National March 5, 2013 (Permit No. 16094–03). Craig Matkin, North Gulf Oceanic Environmental Policy Act of 1969 (42 The minor amendment (No. 16094–04) Society, 3430 Main St., Suite B1, U.S.C. 4321 et seq.), an initial extends the duration of the permit Homer, AK 99603; determination has been made that the through December 31, 2017, but does RIN 0648–XE913; Permit No. 20452: not change any other terms or activity proposed is categorically SMRU Consulting North America, LLC, excluded from the requirement to conditions of the permit. P.O. Box 764, Friday Harbor, WA 98250; Permit No. 17845–03: Permit No. prepare an environmental assessment or RIN 0648–XE915; Permit No. 20658: 17845, issued on January 25, 2014 (79 environmental impact statement. Joseph Wilson, 1st Augustine’s Yard, FR 5382), authorizes Level A and B Concurrent with the publication of Gaunts Lane, Bristol, BS1 5DE, United harassment of humpback whales during this notice in the Federal Register, Kingdom; photo-identification, behavioral follows, NMFS is forwarding copies of the ADDRESSES: The permits and related and surface and underwater application to the Marine Mammal documents are available for review observations in Hawaii, Alaska, and Commission and its Committee of upon written request or by appointment California. Nine other cetacean species Scientific Advisors. in the Permits and Conservation may be studied opportunistically and

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two species of pinnipeds may be Stejneger’s beaked (Mesoplodon DEPARTMENT OF COMMERCE incidentally harassed. The permit stenergeri) whales. Photogrammetry amendment (81 FR 67997, October 3, using unmanned aircraft systems may National Oceanic and Atmospheric 2016) authorizes Level B playbacks for be used for killer whales. Prey remains Administration humpback whales in Hawaii to estimate may be collected from minke and gray their hearing range using behavioral whales, harbor porpoise (Phocoena RIN 0648–XF215 observation audiometry. The sounds phocoena), Dall’s porpoise Endangered Species; File No. 20315 will be presented to a maximum of 300 (Phocoenoides dalli), harbor seals, humpback whales and their behavioral Pacific white-sided dolphins AGENCY: National Marine Fisheries responses will be measured through (Lagenorhynchus obliquidens), and Service (NMFS), National Oceanic and visual and acoustic recordings including northern fur seals (Callorhinus ursinus). Atmospheric Administration (NOAA), an unmanned aerial system. Only Commerce. humpback whales will be targeted for The permit is valid through December active playback, but incidental 31, 2021. ACTION: Notice; receipt of application. harassment to additional species may Permit No. 20452: The requested SUMMARY: Notice is hereby given that occur including bottlenose dolphins permit (81 FR 68406, October 4, 2016) Kristen Hart, Ph.D., U.S. Geological (Tursiops truncatus), spinner dolphins authorizes a combination of land-based Survey, 3205 College Ave., Davie, (Stenella longirostris), false killer surveys and passive acoustic monitoring Florida, 33314 has applied in due form whales (Pseudorca crassidens), melon methods to characterize the fine-scale for a permit to take green (Chelonia headed whales (Peponocephala electra), habitat use of harbor porpoise and mydas), hawksbill (Eretmochelys and short-finned pilot whales pinnipeds in tidal inlets directed at imbricata), and loggerhead (Caretta (Globicephala macrorhynchus). The harbor porpoises and harbor seals in caretta) sea turtles for purposes of permit is valid through January 31, Washington waters. Steller sea lions scientific research. 2019. (Eumetopias jubatus) and California sea Permit No. 19627: The requested DATES: Written, telefaxed, or email lions (Zalophus californianus) may also permit (81 FR 12077, March 8, 2016) comments must be received on or before authorizes the permit holder to monitor be taken by acoustic playbacks and March 23, 2017. and provide data on green (Chelonia UAS. ADDRESSES: The application and related mydas), hawksbill (Eretmochelys Permit No. 20658: The requested documents are available for review by imbricata), Kemp’s ridley (Lepidochelys permit (81 FR 70101, October 11, 2016) selecting ‘‘Records Open for Public kempii), leatherback (Dermochelys authorizes Mr. Wilson to film and Comment’’ from the ‘‘Features’’ box on coriacea), loggerhead (Caretta caretta), photograph killer and Antarctic minke the Applications and Permits for and olive ridley (L. olivacea) sea turtles (Balaenoptera bonaerensis) whales in Protected Species (APPS) home page, that interact with commercial fisheries McMurdo Sound and the Ross Sea for https://apps.nmfs.noaa.gov, and then and other authorized activities in the the production of a documentary film selecting File No. 20315 from the list of Gulf of Mexico and along the U.S. East for Disneynature studio. Up to 60 available applications. Coast. Researchers may handle, whales of each species per year may be These documents are also available photograph, measure, weigh, flipper and targeted and disturbed during aerial upon written request or by appointment passive integrated transponder tag, filming and photography. The permit is in the Permits and Conservation tissue sample, and temporary carapace Division, Office of Protected Resources, valid through December 31, 2018. mark live sea turtles and salvage dead NMFS, 1315 East-West Highway, Room specimens legally taken during In compliance with the National 13705, Silver Spring, MD 20910; phone commercial fishing and other activities. Environmental Policy Act of 1969 (42 (301) 427–8401; fax (301) 713–0376. The permit is valid through January 15, U.S.C. 4321 et seq.), a final Written comments on this application 2022. determination has been made that the should be submitted to the Chief, Permit No. 20197: The requested activities proposed are categorically Permits and Conservation Division, at permit (81 FR 41296, June 24, 2016) excluded from the requirement to the address listed above. Comments may authorizes researchers to collect data on prepare an environmental assessment or also be submitted by facsimile to (301) green, Kemp’s ridley, leatherback, environmental impact statement. 713–0376, or by email to loggerhead, and unidentified sea turtles [email protected]. Please that interact with commercial fisheries As required by the ESA, as applicable, issuance of these permits and include the File No. in the subject line in the U.S. Northwest Atlantic Ocean. of the email comment. amendments were based on a finding Researchers may handle, photograph, Those individuals requesting a public that such permits and amendments: (1) measure, weigh, flipper tag, and tissue hearing should submit a written request Were applied for in good faith; (2) will sample live sea turtles and salvage dead to the Chief, Permits and Conservation specimens legally taken in commercial not operate to the disadvantage of such Division at the address listed above. The fisheries. The permit is valid through endangered species; and (3) are request should set forth the specific January 15, 2022. consistent with the purposes and reasons why a hearing on this Permit No. 20341: The requested policies set forth in section 2 of the application would be appropriate. permit (81 FR 59196, August 29, 2016) ESA. authorizes photo-identification, passive FOR FURTHER INFORMATION CONTACT: Erin Dated: February 15, 2017. acoustics, morphometrics, biopsy Markin or Amy Hapeman, (301) 427– sampling, and deployment of both Julia Harrison, 8401. suction cup and dart tagging in Alaskan Chief, Permits and Conservation Division, SUPPLEMENTARY INFORMATION: The waters for killer (Orcinus orca), gray Office of Protected Resources, National subject permit is requested under the (Eschrichtius robustus), minke Marine Fisheries Service. authority of the Endangered Species Act (Balaenoptera acutorostrata), Baird’s [FR Doc. 2017–03334 Filed 2–17–17; 8:45 am] of 1973, as amended (ESA; 16 U.S.C. beaked (Berardius bairdii), Cuvier’s BILLING CODE 3510–22–P 1531 et seq.) and the regulations beaked (Ziphius cavirostris), and governing the taking, importing, and

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exporting of endangered and threatened NationalSeaGrantAdvisoryBoard/ The agenda for this meeting will be species (50 CFR parts 222–226). UpcomingAdvisoryBoardMeetings.aspx. available at: http://seagrant.noaa.gov/ The applicant requests a five-year Time and Dates: The announced WhoWeAre/Leadership/ research permit to continue projects meeting is scheduled for Monday, NationalSeaGrantAdvisoryBoard/ studying green, hawksbill, and March 6, 2017 from 9:00 a.m. to 5:00 UpcomingAdvisoryBoardMeetings.aspx. loggerhead sea turtles in the U.S. Virgin p.m. EST, and Tuesday, March 7, 2017 Dated: February 14, 2017. Islands, including Buck Island Reef from 8:30 a.m. to 12:00 p.m. EST. Paul Johnson, National Monument, Virgin Islands ADDRESSES: The meeting will be held at Acting Deputy Chief Financial Officer/CAO, Coral Reef National Monument, and the Washington Plaza Hotel at 10 Office of Oceanic and Atmospheric Research, Virgin Islands National Park. Proposed Thomas Circle NW., Washington, DC National Oceanic and Atmospheric research would involve vessel surveys 20005. Administration. for abundance counts and capture of FOR FURTHER INFORMATION CONTACT: For [FR Doc. 2017–03345 Filed 2–17–17; 8:45 am] turtles to determine connectivity of any questions concerning the meeting, BILLING CODE 3510–KA–P populations, monitor movement, please contact Ms. Mary Ann Garlic, identify habitat utilization, estimate National Sea Grant College Program, abundance, and determine diet National Oceanic and Atmospheric DEPARTMENT OF COMMERCE composition of sea turtles. Annually, up Administration, 1315 East-West to 160 green, 190 hawksbill, and 10 National Oceanic and Atmospheric Highway, SSMC 3, Room 11717, Silver Administration loggerhead sea turtles would be Spring, Maryland 20910, or captured by hand, rodeo, or dip, tangle, [email protected]. If you need RIN 0648–XF236 or cast nets. Each turtle would be additional assistance, call 301–734– subject to epibiota removal, flipper and 1088. New England Fishery Management passive integrated transponder tagging, Status: The meeting will be open to Council; Public Meeting temporary carapace marking, public participation with a 15-minute AGENCY: National Marine Fisheries morphometric measurements, gastric public comment period on Tuesday, Service (NMFS), National Oceanic and lavage, photograph/video, opportunistic March 7, 2017 at 11:00 a.m. Check the Atmospheric Administration (NOAA), recapture, fecal collection, and blood/ agenda on the Web site to confirm time. Commerce. tissue sampling. Loggerhead sea turtles Matters To Be Considered: The Board ACTION: Notice; public meeting. and a subset of green and hawksbill sea expects that public statements presented turtles would also be outfitted with up at its meetings will not be repetitive of SUMMARY: The New England Fishery to three transmitters at a time. previously submitted verbal or written Management Council (Council) is Dated: February 15, 2017. statements. scheduling a joint public meeting of its In general, each individual or group Julia Harrison, Whiting Committee and Advisory Panel making a verbal presentation will be to consider actions affecting New Chief, Permits and Conservation Division, limited to a total time of three (3) Office of Protected Resources, National England fisheries in the exclusive Marine Fisheries Service. minutes. Written comments should be economic zone (EEZ). received by Ms. Mary Ann Garlic using [FR Doc. 2017–03333 Filed 2–17–17; 8:45 am] Recommendations from this group will the methods under the FOR FURTHER be brought to the full Council for formal BILLING CODE 3510–22–P INFORMATION CONTACT section by consideration and action, if appropriate. Monday, February 27, 2017 to provide DATES: This meeting will be held on DEPARTMENT OF COMMERCE sufficient time for the Board review. Monday, March 13, 2017 at 9 a.m. Comments received after the deadline ADDRESSES: National Oceanic and Atmospheric will be distributed to the Board, but may Meeting address: The meeting will be Administration not be reviewed prior to the meeting held at the Fairfield Inn & Suites, 185 date. Seats will be available on a first- MacArthur Drive, New Bedford, MA National Sea Grant Advisory Board; come, first-serve basis. 02740, telephone: (774) 634–2000. Meeting Special Accomodations: These Council address: New England meetings are physically accessible to Fishery Management Council, 50 Water AGENCY: National Sea Grant Advisory people with disabilities. Requests for Street, Mill 2, Newburyport, MA 01950. Board (NSGAB), National Oceanic and sign language interpretation or other FOR FURTHER INFORMATION CONTACT: Atmospheric Administration (NOAA), auxiliary aids should be directed to Ms. Thomas A. Nies, Executive Director, Department of Commerce. Mary Ann Garlic using the methods New England Fishery Management ACTION: Notice of public meeting. under the FOR FURTHER INFORMATION Council; telephone: (978) 465–0492. CONTACT section by Monday, February SUPPLEMENTARY INFORMATION: SUMMARY: This notice sets forth the 20, 2017. schedule and proposed agenda of a SUPPLEMENTARY INFORMATION: The Agenda forthcoming meeting of the Board. Board, which consists of a balanced The Committee and Advisory Panel Board members will discuss and representation from academia, industry, will review and approve draft provide advice on the National Sea state government and citizens groups, alternatives for Amendment 22 to the Grant College Program (NSGCP) in the was established in 1976 by Section 209 Small Mesh Multi-Species FMP, areas of program evaluation, strategic of the Sea Grant Improvement Act (Pub. including limited access qualification planning, education and extension, L. 94–461, 33 U.S.C. 1128). The Board criteria, permit conditions, and science and technology programs, and advises the Secretary of Commerce and possession limits. Council staff will other matters as described in the agenda the Director of the National Sea Grant provide an update on the schedule for found on the National Sea Grant College College Program with respect to planned 2017 actions, including a Program Web site at http:// operations under the Act, and such specifications package for 2018–2020. seagrant.noaa.gov/WhoWeAre/ other matters as the Secretary refers to Other business will be discussed as Leadership/ them for review and advice. necessary.

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Special Accommodations Financial Protection Bureau, 1700 G responding public may encompass the Street NW., Washington, DC 20552. following groups, some of which may This meeting is physically accessible • to people with disabilities. This meeting Hand Delivery/Courier: Monica overlap in part: Jackson, Office of the Executive • will be recorded. Consistent with U.S.C. Individual consumers; Secretary, Consumer Financial 1852, a copy of the recording is • Consumer, civil rights, and privacy Protection Bureau, 1275 First Street NE., available upon request. Requests for advocates; Washington, DC 20002. • Community development and sign language interpretation or other Instructions: Please note the number auxiliary aids should be directed to service organizations; associated with any question to which • Thomas A. Nies, Executive Director, at you are responding at the top of each Lenders, including depository and (978) 465–0492, at least 5 days prior to response (you are not required to non-depository institutions; the meeting date. answer all questions to receive • Consumer reporting agencies, Authority: 16 U.S.C. 1801 et seq. consideration of your comments). The including specialty consumer reporting Dated: February 15, 2017. Bureau encourages the early submission agencies; • Tracey L. Thompson, of comments. All submissions must Data brokers and aggregators; include the document title and docket • Acting Deputy Director, Office of Sustainable Model developers and licensors, as Fisheries, National Marine Fisheries Service. number. Because paper mail in the well as companies involved in the Washington, DC area and at the Bureau [FR Doc. 2017–03310 Filed 2–17–17; 8:45 am] analysis of new or existing models; is subject to delay, commenters are • BILLING CODE 3510–22–P Consultants, attorneys, or other encouraged to submit comments professionals who advise market electronically. In general, all comments participants on these issues; received will be posted without change • Regulators; BUREAU OF CONSUMER FINANCIAL to http://www.regulations.gov. In • Researchers or members of PROTECTION addition, comments will be available for academia; [Docket No. CFPB–2017–0005] public inspection and copying at 1275 • First Street NE., Washington, DC 20002, Telecommunication, utility, and Request for Information Regarding Use on official business days between the other non-financial companies that rely of Alternative Data and Modeling hours of 10 a.m. and 5 p.m. Eastern on consumer data for eligibility Techniques in the Credit Process decisions; Standard Time. You can make an • appointment to inspect the documents Participants in non-U.S. consumer AGENCY: Bureau of Consumer Financial by telephoning 202–435–7275. markets with knowledge of or Protection. All submissions, including experience in the use of alternative data ACTION: Notice and request for attachments and other supporting or modeling techniques for use in the information. materials, will become part of the public credit process; and • Any other interested parties. SUMMARY: The Consumer Financial record and subject to public disclosure. All commenters are welcome to Protection Bureau (CFPB or Bureau) Sensitive personal information, such as respond in any manner they see fit, seeks information about the use or account numbers or Social Security including by sharing their knowledge of potential use of alternative data and numbers, or names of other individuals, standard practices, their understanding modeling techniques in the credit should not be included. Submissions of the market as a whole, or their own process. Alternative data and modeling will not be edited to remove any positions and views on the questions techniques are changing the way that identifying or contact information. included in this RFI. Commenters may some financial service providers FOR FURTHER INFORMATION CONTACT: For also choose to answer only a subset of conduct business. These changes hold general inquiries, submission process questions. The information obtained in the promise of potentially significant questions or any additional information, response to this RFI will help the benefits for some consumers but also please contact Monica Jackson, Office of Bureau monitor consumer credit present certain potentially significant the Executive Secretary, at 202–435– markets and consider any appropriate risks. The Bureau seeks to learn more 7275. steps. Comments may also help industry about current and future market Authority: 12 U.S.C. 5511(c). develop best practices. The Bureau developments, including existing and SUPPLEMENTARY INFORMATION: The seeks information predominantly emerging consumer benefits and risks, Bureau would like to encourage pertaining to products and services and how these developments could alter responsible innovations that could be offered to consumers. However, because the marketplace and the consumer implemented in a consumer-friendly some of the Bureau’s authorities relate experience. The Bureau also seeks to way to help serve populations currently to small business lending,1 the Bureau learn how market participants are or underserved by the mainstream credit welcomes information about alternative could be mitigating certain risks to system. To that end, in reviewing the data and modeling techniques in consumers, and about consumer comments to this request for business lending markets as well. preferences, views, and concerns. information (RFI), the Bureau seeks not Information submitted by financial DATES: Comments must be received on only to understand the benefits and institutions should not include any or before May 19, 2017. risks stemming from use of alternative personal information relating to any ADDRESSES: You may submit responsive data and modeling techniques but also customer, such as name, Social Security information and other comments, to begin to consider future activity to identified by Docket No. CFPB–2017– encourage their responsible use and 1 For example, the Equal Credit Opportunity Act 0005, by any of the following methods: lower unnecessary barriers, including covers both consumer and commercial credit • Electronic: Go to http:// any unnecessary regulatory burden or transactions. 15 U.S.C. 1691 et seq. In addition, www.regulations.gov. Follow the uncertainty that impedes such use. section 1071 of the Dodd-Frank Act requires data instructions for submitting comments. The Bureau encourages comments collection and reporting for lending to women- • owned, minority-owned, and small businesses. The Mail: Monica Jackson, Office of the from all interested members of the Bureau has yet to write regulations implementing Executive Secretary, Consumer public. The Bureau anticipates that the that section but it has begun that process.

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number, address, telephone number, or lines, extensions of new offers of credit, they have not established a long enough account number. or other decisions in the credit process, credit history on their own or in this For the purposes of this RFI, we lenders typically evaluate consumers country. Some underserved consumers define the following terms. None of using a standard set of information that instead resort to high-cost products that these definitions should be construed as includes consumer-supplied data (such may not help them build credit history. statutory or regulatory definitions or as income, assets and, if secured, any Several commentators have suggested descriptions of statutory or regulatory collateral) and other traditional data that alternative data and modeling coverage. supplied by one or more of the techniques could address this problem • ‘‘Traditional data’’ refers to data nationwide consumer reporting and reach some of the millions of assembled and managed in the core agencies. Many lenders base their consumers currently shut out of the credit files of the nationwide consumer decisions, in whole or in part, on scores mainstream credit system and enable reporting agencies, which includes using traditional data as inputs and others to obtain more favorable pricing tradeline information (including certain generated from commercially-available, based on more refined assessments of loan or credit limit information, debt third-party models such as one of the their risks.3 Discussions point to the repayment history, and account status), many developed by FICO or wide array of other data sources beyond and credit inquiries, as well as VantageScore Solutions. Other lenders traditional credit files that could be information from public records relating may base their decisions, in whole or in used to assess the creditworthiness of to civil judgments, tax liens, and part, on proprietary scoring algorithms borrowers, including so-called ‘‘big bankruptcies. It also refers to data that use traditional data, and perhaps data.’’ 4 In addition, increased customarily provided by consumers as scores from these third-party models, as computing power and the expanded use part of applications for credit, such as well as consumer-supplied information, of machine learning to mine massive income or length of time in residence. as inputs. In addition to using common datasets could potentially identify • ‘‘Alternative data’’ refers to any data inputs, there is similar consistency in insights not otherwise discoverable that are not ‘‘traditional.’’ We use the modeling techniques used to through traditional methods. The ‘‘alternative’’ in a descriptive rather generate these automated decision application of alternative data and than normative sense and recognize engines. They have predominantly been modeling techniques might also there may not be an easily definable line developed using multivariate regression improve decisions in the credit process between traditional and alternative data. analysis to correlate past credit history by improving the predictiveness of • ‘‘Traditional modeling techniques’’ and current credit usage attributes to credit-related models, by lowering the refers to statistical and mathematical consumer credit outcomes to determine costs of sourcing and analyzing data, or techniques, including models, whether, based on the performance of through other process improvements algorithms, and their outputs, that are other previous consumers who had such as faster decisions. traditionally used in automated credit similar attributes at the time credit was If these claimed benefits prove valid, processes, especially linear and logistic extended, it is likely that the consumer regression methods. the use of alternative data and modeling • being evaluated will default on or techniques could significantly reshape ‘‘Alternative modeling techniques’’ become seriously delinquent on the loan refers to all other modeling techniques the consumer (and business) credit within a certain period of time (often 1– market. Potentially millions of that are not ‘‘traditional,’’ including but 2 years). These traditional data and not limited to decision trees, random consumers previously locked out of modeling techniques have facilitated the mainstream credit could become eligible forests, artificial neural networks, k- standardization and automation of the nearest neighbor, genetic programming, for credit products that might help them credit process, leading to efficiencies in buy a car or a home. An increasing ‘‘boosting’’ algorithms, etc. We use the provision of credit over the past few ‘‘alternative’’ in a descriptive rather ability for lenders to accurately assess decades. risk could reduce the price of credit for than normative sense and recognize that Yet the use of traditional data and there may not be an easily definable line those who are shown to be good risks modeling techniques has left some (although it could increase the price of between traditional and alternative important gaps in access to mainstream modeling techniques. credit for those shown to be worse • credit for certain consumer groups and risks), and might even reduce the ‘‘The credit process’’ refers to all segments. The Bureau estimates that 26 the processes and decisions made by the overall average price of credit for those million Americans are ‘‘credit who qualify for credit. The process of creditor during the full lifecycle of the invisible,’’ meaning that they have no credit product, including marketing, file with the major credit bureaus, while 3 See, e.g., PERC, Give Credit Where Credit Is Due: pre-screening, fraud prevention, another 19 million are ‘‘unscorable’’ application procedures, underwriting, Increasing Access To Affordable Mainstream Credit because their credit file is either too thin Using Alternative Data (Dec. 2006), available at account management, credit or too stale to generate a reliable score http://www.perc.net/publications/give-credit-where- authorization, the setting of pricing and from one of the major credit scoring credit-is-due/; CFSI, The Predictive Value of terms, as well as the renewal, Alternative Credit Scores (Nov. 2007), available at firms.2 Most of these 45 million modification, or refinancing of existing http://www.cfsinnovation.com/Document-Library/ Americans are underserved by the The-Predictive-Value-of-Alternative-Credit-Scores; credit, and the servicing and collection mainstream credit system and they are 4 ‘‘Big data’’ is a distinct concept from alternative of debts. disproportionately Black and Hispanic, data, though some alternative data may have the attributes generally ascribed to ‘‘big data.’’ In the Part A: Traditional Automated Credit low-income, or young adults. Some FTC’s words, ‘‘A common framework for Process and Its Alternatives populations, like those recently characterizing big data relies on the ‘three Vs,’ the Most of today’s automated decisions widowed or divorced or recent volume, velocity, and variety of data, each of which immigrants, have difficulty accessing is growing at a rapid rate as technological advances in the credit process use traditional permit the analysis and use of this data in ways that modeling techniques that rely upon the mainstream credit system because were not possible previously.’’ FTC, Big Data: A traditional data elements as inputs. Tool for Inclusion or Exclusion? Understanding the 2 CFPB, Data Point: Credit Invisibles (May 2015), Issues (Jan. 2016), available at https://www.ftc.gov/ When lenders make decisions about available at http://files.consumerfinance.gov/f/ system/files/documents/reports/big-data-tool- consumers relating to applications for 201505_cfpb_data-point-credit-invisibles.pdf inclusion-or-exclusion-understanding-issues/ credit, increases or reductions in credit (figures are from 2010 Census). 160106big-data-rpt.pdf.

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applying for credit could become more intended as a normative judgment, but Part C: Potential Benefits and Risks streamlined and convenient. to describe the fact that they have not Associated With Use of Alternative At the same time, other commentators customarily been used in decisions in Data and Modeling Techniques in the have pointed out that alternative data the credit process. Any mention in this Credit Process and modeling techniques could present document of particular types of Prior Research and Interest in risks for consumers. These risks include alternative data or modeling techniques but are not limited to potential issues Alternative Data and Modeling should not be construed as endorsement Techniques with the accuracy of alternative data or disapproval by the Bureau. and modeling techniques; the lack of The Bureau is aware that several transparency, control, and ability to Data that some have labeled market participants,6 consumer correct data that might result from their ‘‘alternative’’ include but are not limited advocates,7 regulators, and other 5 use; potential infringements on to the following: commentators have identified the use of consumer privacy; and the risk that • Data showing trends or patterns in alternative data and modeling certain data could dampen social traditional loan repayment data. techniques as a source of potential opportunities and risks. Without mobility, result in discriminatory • Payment data relating to non-loan seeking to summarize the full range of outcomes, or otherwise disadvantage products requiring regular (typically prior work, we note here a few relevant certain groups, characteristics, or monthly) payments, such as behaviors. recent publications by other Federal telecommunications, rent, insurance, or The Bureau seeks to learn more about entities.8 In September 2014, the these potential benefits and risks. In utilities. Federal Trade Commission (FTC) held a further educating ourselves and the • Checking account transaction and public workshop on the topic of ‘‘Big public, the Bureau seeks to encourage cashflow data and information about a Data’’ and subsequently published a responsible uses of alternative data and consumer’s assets, which could include report in January 2016 entitled ‘‘Big modeling techniques while mitigating the regularity of a consumer’s cash Data: A Tool for Inclusion or the various risks. inflows and outflows, or information Exclusion?’’ 9 This report outlined potential consumer benefits and risks Part B: Alternative Data and Modeling about prior income or expense shocks. broadly, rather than those specific to Techniques • Data that some consider to be related to a consumer’s stability, which credit decisions. The FTC found that big Based on its research to date, the data ‘‘is helping target educational, might include information about the Bureau is aware of a broad range of credit, healthcare, and employment frequency of changes in residences, alternative data and modeling opportunities to low-income and employment, phone numbers or email techniques that firms are either using or underserved populations’’ but could addresses. contemplating. These innovations may also contain ‘‘potential inaccuracies and be in different stages of development • Data about a consumer’s biases [that] might lead to detrimental and market adoption. As set forth educational or occupational attainment, effects, including discrimination, for below, the Bureau seeks more including information about schools low-income and underserved information about the stages of attended, degrees obtained, and job populations.’’ 10 development and extent of adoption of positions held. Similarly, the Department of the these innovations. In some cases they • Behavioral data about consumers, Treasury’s May 2016 report on are broadly used by a wide range of such as how consumers interact with a marketplace lending referenced the use market participants, while others are in web interface or answer specific earlier stages of development. Some 6 questions, or data about how they shop, See, e.g., FICO, ‘‘Can Alternative Data Expand may be used often in fraud detection or Credit Access?’’ (Dec. 2015), available at http:// browse, use devices, or move about their marketing, for example, but rarely in subscribe.fico.com/can-alternative-data-expand- underwriting. Some have been daily lives. credit-access; TransUnion, ‘‘The State of • Alternative Data,’’ available at https:// developed by established data Data about consumers’ friends and www.transunion.com/resources/transunion/doc/ aggregators or model developers who associates, including data about insights/research-reports/research-report-state-of- license their technologies or connections on social media. alternative-data.pdf. 7 ‘‘platforms’’ to lenders; others have been See, e.g., National Consumer Law Center, Big Modeling techniques that some have Data: A Big Disappointment for Scoring Consumer developed for proprietary use by labeled ‘‘alternative’’ include but are not Creditworthiness (Mar. 2014), available at http:// established lenders; and still others are limited to the following: www.nclc.org/issues/big-data.html; Leadership Conference on Civil and Human Rights, ‘‘Civil being used by early stage lenders as a • basis for lending at lower cost or Decision trees (or sets of decision Rights Principles for the Era of Big Data,’’ February 27, 2014, available at http://www.civilrights.org/ profitably in certain channels or to trees, such as ‘‘random forests’’). • press/2014/civil-rights-principles-big-data.html. consumer segments that established Artificial neural networks. 8 State policymakers and law enforcement lenders have not traditionally served or • Genetic programming. officials have also looked into the potential risks can only serve at higher cost. Among the and opportunities of alternative data, particularly • ‘‘Boosting’’ algorithms. on data privacy issues. For example, in March 2015 numerous online or marketplace lenders • the National Association of Attorneys General held that have formed over the past few K-nearest neighbors. a meeting to discuss ‘‘Big Data: Challenges and years, many have identified use of Given the rapidly evolving credit Opportunities,’’ available at http://www.naag.org/ proprietary alternative data or machine naag/media/naag-news/untitled-resource1.php. In market landscape, the Bureau is eager to addition, the Massachusetts Attorney General learning techniques as central to their learn more about types of alternative hosted a March 2016 forum on data privacy in business strategies and comparative data and modeling techniques, partnership with the MIT Computer Science and advantage. including but not limited to those listed Artificial Intelligence Lab. 9 Just how ‘‘alternative’’ or above, and their uses and impacts. FTC, Big Data: A Tool for Inclusion or ‘‘traditional’’ certain data or modeling Exclusion? (Jan. 2016), available at https:// www.ftc.gov/system/files/documents/reports/big- techniques are depends on one’s 5 This list is purely descriptive, and nothing data-tool-inclusion-or-exclusion-understanding- perspective. Labeling data or modeling should be implied from the inclusion or exclusion issues/160106big-data-rpt.pdf. techniques as ‘‘alternative’’ is not of any data. 10 Id. at 1.

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of alternative data in underwriting by and non-banks, and with its additional consumers who present greater or lesser marketplace lenders as an area of both desire to foster consumer-friendly risks of default. It is important to note promise and risk: ‘‘While data-driven innovation in the marketplace, the that, to the extent alternative data or algorithms may expedite credit Bureau is especially interested in modeling techniques could help a assessments and reduce costs, they also increasing its understanding of the creditor identify consumers who are carry the risk of disparate impact in consumer benefits and risks that are more and less likely to default than their credit outcomes and the potential for likely to accompany these developments current credit score suggests, alternative fair lending violations.’’ 11 and how they relate to established data could in fact decrease or increase The Obama Administration consumer protections. Through this RFI, a given consumer’s likelihood of completed two reports on big data, each the Bureau seeks to build on the receiving credit, or could raise or lower referencing both the promises and risks foundation of existing research by other the price that any individual is offered posed by alternative data in the credit Federal agencies and develop a deeper for that credit. Though this could be process.12 The latter report notes, understanding of these potential seen as a detriment to consumers who among other things, the importance of benefits and risks. The Bureau seeks to are less likely to receive credit (or mitigating ‘‘algorithmic discrimination,’’ encourage responsible and consumer- whose prices increase), it could also be designing the best algorithmic systems, friendly uses of alternative data and seen as an improvement in risk and algorithmic auditing and testing. modeling techniques that leverage such assessment, which may provide greater Finally, the Office of the Comptroller benefits while providing a clearer path certainty and allow a lender to increase of the Currency (OCC), the Federal whereby market participants can credit availability for those who qualify. Reserve Board of Governors (FRB), and mitigate risks to consumers. Indeed, in the longer term consumers the Federal Deposit Insurance whose credit scores understate their true Potential Consumer Benefits Corporation (FDIC) recently issued joint risk may be better served if they do not guidance 13 referencing alternative data. Alternative data and modeling obtain additional credit that they cannot The guidance identifies that banks’ use techniques have the potential to benefit repay. of ‘‘alternative credit histories’’ as a consumers in several ways listed below. • More timely information: The credit means ‘‘to evaluate low- or moderate- These benefits, as well as others not process could be improved by relying income individuals who lack sufficient identified here, could accrue differently on more timely information about the conventional credit histories and who in different product markets—what consumer being assessed. While all risk would be denied credit based on the helps consumers in the credit card assessments use data from the present or institution’s traditional underwriting marketplace may not help consumers in past to predict outcomes in the future standards’’ could be considered an the mortgage marketplace—or could (e.g., likelihood of default), traditional ‘‘innovative and flexible practice . . . to provide different levels of benefits to data often lags actual events. For address the credit needs of low- or different consumer segments—what example, the opening of a new credit moderate-income individuals or helps consumers with no credit records account might take months to show up geographies’’ that examiners would may not help consumers with long on a consumer’s credit report and in consider in evaluating banks’ lending traditional credit histories. some cases it may not show up at all. practices under the Community • Greater credit access: The Bureau Alternative data could provide more Reinvestment Act (CRA). The guidance estimates that approximately 45 million timely indicators, such as real-time lists a prospective borrower’s rental and Americans lack access to mainstream access to a consumer’s outstanding utility payments as examples of credit because they have no credit credit card balance. It could also help alternative credit history. history or because their credit history is lenders recognize whether a particular These agencies’ attention to the use of insufficient or stale. The use of consumer’s finances are trending in a alternative data and modeling alternative data or modeling techniques particular direction, such as through a techniques in the credit process reflects could increase access to credit for that job status change appearing on social the growing importance of these population by providing more media. Such information could help to methods and approaches in the information about them and enabling distinguish those consumers whose low marketplace. As a Federal agency them to be reliably scored. For example, scores are a function of prior financial designated by Congress to oversee some consumers might not have problems that they have surmounted compliance with the various consumer traditional loan repayment history but from those consumers whose financial financial protection statutes and might pay their mobile phone bills on challenges have just begun and who regulations as they apply to both banks a regular basis, a pattern that might be may pose a greater risk than the score sufficient to reassure some lenders that indicates. Alternative modeling 11 U.S. Treasury, Opportunities and Challenges in they are viable credit risks. Of course, techniques might also generate more Online Marketplace Lending (May 2016), available only some portion of that 45 million at https://www.treasury.gov/connect/blog/ timely feedback to the extent they Documents/ might be reliably scorable using dynamically change as new data are Opportunities_and_Challenges_in_Online_ alternative data and modeling ingested, though such dynamism could Marketplace_Lending_white_paper.pdf. techniques, and some of those scores also carry certain risks. 12 Executive Office of the President, Big Data: A might not qualify consumers for • Lower costs: The use of alternative Report on Algorithmic Systems, Opportunity, and mainstream credit. data and modeling techniques may have Civil Rights (May 2016), available at https:// • www.whitehouse.gov/sites/default/files/microsites/ Enhanced creditworthiness the potential to lower lenders’ costs— ostp/2016_0504_data_discrimination.pdf; Executive predictions: Alternative data and these cost savings might, in turn, be Office of the President, Big Data: Seizing modeling techniques could allow passed along to consumers in the form Opportunities, Preserving Values (May 2014), available at https://www.whitehouse.gov/sites/ lenders to better assess the of lower prices or in lenders’ ability to default/files/docs/ creditworthiness of consumers who are make smaller loans economically. For big_data_privacy_report_may_1_2014.pdf. already scored. For example, a lender example, a lender might currently verify 13 OCC, FRB, and FDIC, Community Reinvestment might not currently lend below a credit employment and income by calling the Act; Interagency Questions and Answers Regarding score of 620, but might be willing to do consumer’s employer or manually Community Reinvestment; Guidance, 81 FR 48506 (July 25, 2016), available at https://www.gpo.gov/ so if, by adding some new data source, reviewing tax returns. If, instead, the fdsys/pkg/FR-2016-07-25/pdf/2016-16693.pdf. it could distinguish those sub-620 lender could automate such tasks by

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processing data associated with the have greater rates of error due to their example, members of the military may individual’s employer, tax returns, or nature or the fact that the quality frequently move and the perceived lack other methods, its processing costs standards for their original purpose are of housing stability or continuity may might significantly decline. lesser than those associated with give a false impression of overall • Better service and convenience: decisions in the credit process. Such instability. Or negative inferences could Alternative data and modeling concerns may arise in part because such potentially be drawn about consumers techniques might also be able to drive data have not historically been used in who are not found in the alternative operational improvements that enable credit or other eligibility decisions and, data source being used by the lender. better customer service outcomes for as a result, the sources of such data may Foreseeable or otherwise, using consumers or greater convenience. For not have been subject to the type of alternative data and modeling example, to the extent more tasks can be accuracy and quality obligations that techniques could also cause potentially automated, it might speed up would commonly be expected for data undesirable results. For example, using application processes or reduce any to be used in decisions in the credit some alternative data, especially data discretionary judgments that may process. about a trait or attribute that is beyond sometimes lead to discrimination. • Lost transparency, control, and a consumer’s control to change, even if Through this RFI, the Bureau seeks to ability to correct: Some sources of not illegal to use, could harden barriers understand how consumers might alternative data may not permit to economic and social mobility, benefit from the use of alternative data consumers to access or view data that is particularly for those currently out of and modeling techniques (including in being used in decisions in the credit the financial mainstream. the ways identified above), the degree to process, or to correct any inaccuracies • Discrimination: Alternative data which those benefits impact different in that data. In some cases, consumers and modeling techniques could also consumer segments or products, and might not be able to determine the result in illegal discrimination. For any specific empirical evidence relevant sources of the data. These issues are example, using alternative data that to the likelihood and extent of those compounded if creditors are not involves categories protected under benefits. transparent about the type of data they Federal, State, or local fair lending laws Potential Consumer Risks are using and how those data figure into may be overt discrimination. In decisions in the credit process. Certain addition, certain alternative data Use of alternative data and modeling alternative modeling techniques could variables might serve as proxies for techniques also carries several potential compound the transparency problem if certain groups protected by anti- risks. The Bureau lists some such risks they do not permit easy interpretation of discrimination laws, such as a variable below not to dissuade the use of how various data inputs impact a indicating subscription to a magazine alternative data and modeling model’s result. exclusively devoted to coverage of techniques but rather to highlight some • Harder to change credit standing women’s health issues. And the use of of the challenges with such use, to through behavior: Traditional credit other alternative data might cause a encourage responsible use that takes factors are heavily influenced by the disproportionately negative impact on a consideration of and manages these consumer’s own financial conduct, such prohibited basis that does not meet a risks, and to invite commenters to as whether the person paid their loans legitimate business need or that could discuss their views about how these and on time or how much credit the person be reasonably achieved by means that other risks could be mitigated. As with has obtained and utilized. Alternative are less disparate in their impact. the consumer benefits, this list of data that cannot be changed by Machine learning algorithms that sift consumer risks may not encompass all consumers or that are not specific to the through vast amounts of data could of the perceived or potential consumer individual, but relate instead to peers or unearth variables, or clusters of risks, and some risks may apply broader consumer segments, do not variables, that predict the consumer’s differently to different consumer or enable consumers to improve their likelihood of default (or other relevant product segments. credit rating. outcome) but are also highly correlated • Privacy: Some types of alternative • Harder to educate and explain: The with race, ethnicity, sex, or some other data could raise privacy concerns more factors that are integrated into a basis protected by law. Such because the data are of a sensitive consumer’s credit score or into correlations are not per se nature and consumers may not know decisions in the credit process, or the discriminatory but may raise fair the data were collected and shared nor more complex the modeling process in lending risks. The use of alternative data expect or be aware it will be used in which the data are used, the harder it and modeling techniques could decisions in the credit process. may be to explain to a consumer what potentially lead to disparate impact on • Data quality issues: Some types of factors led to a particular decision. This the part of a well-intentioned lender as alternative data could raise accuracy may be true for lenders, who are well as allow ill-meaning lenders to concerns because the data are required to provide adverse action intentionally discriminate and hide it inconsistent, incomplete, or otherwise notices to consumers in certain behind a curtain of programming code. inaccurate. Though traditional data circumstances, as well as for financial • Other violations of law: The use of raises accuracy concerns,14 it could be educators, who wish to improve alternative data and modeling that certain types of alternative data consumers’ understanding of the factors techniques could potentially raise the that impact their credit standing. These risk of violating consumer financial 14 See FTC, Report to Congress Under Section 319 complexities make it more difficult for laws, such as the Equal Credit of the Fair and Accurate Credit Transactions Act of consumers to exercise control in their Opportunity Act (ECOA) and Regulation 2003 (Jan. 2015), available at https://www.ftc.gov/ system/files/documents/reports/section-319-fair- financial lives, such as by learning how B, the Fair Credit Reporting Act (FCRA) accurate-credit-transactions-act-2003-sixth-interim- to improve their credit rating. and Regulation V, and the prohibitions final-report-federal-trade/150121factareport.pdf • Unintended or undesirable side on unfair, deceptive, or abusive acts or (26% of consumers found material errors on their effects: The use of alternative data and practices (UDAAPs, collectively). The credit reports, 13% experienced a change in their credit score as a result of modifying their reports, modeling techniques could penalize or Bureau also recognizes that there may and 5% experienced a significant change that reward certain groups or behaviors in be uncertainty about how certain changed their risk tier). ways that are difficult to predict. For aspects of these laws apply to

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alternative data and modeling (4) Specific Statutes and Regulations. considers itself to be a consumer techniques, and the Bureau seeks to Each question speaks generally about all reporting agency subject to the FCRA. understand specifically where greater decisions in the credit process, but d. Please describe the format in which certainty would be helpful. answers can differentiate, as the data are received or generated, being Through this RFI, the Bureau seeks to appropriate, between uses in marketing, as specific as possible. understand risks to consumers from the fraud detection and prevention, e. Please describe the breadth or use of alternative data and modeling underwriting, setting or changes in coverage of the data. Are there certain techniques (including in the ways terms (including pricing), servicing, consumer segments for whom the data identified above), the degree to which collections, or other relevant aspects of are unavailable? those risks impact different product or the credit process. The questions are f. Please describe whether the data consumer segments, and any specific phrased in the present tense, but the include both positive and negative empirical evidence relevant to the Bureau is equally interested in observations. For example, do records of likelihood and extent of those risks. The information about any past but rental payments include instances Bureau also seeks to understand what discontinued uses or in any potential where consumers paid on time as well steps market participants are taking to future uses that commenters are as when they were late? manage risks and realize benefits. The considering or are aware of. The Bureau g. Please describe if the data are Bureau intends to use information welcomes any relevant empirical specific to the individual consumer gleaned from the questions below to research or studies on these topics. (e.g., the consumer’s actual income) or help maximize the benefits and attributed to the consumer based upon Alternative Data minimize the risks from these a perceived peer group (e.g., average developments. This section asks questions about the income of consumers obtaining the types, sources, and purposes of same educational degree). Part D: Questions Related to Alternative alternative data. Comments referencing h. Please describe the quality of the Data and Modeling Techniques Used in specific practices, firms, or data are data, in terms of apparent errors, the Credit Process especially helpful. missing information, and consistency This RFI is intended to cover past, 1. What types of alternative data are over time. i. Please describe the methods or current, and potential uses of alternative used in decisions in the credit process? procedures used to assess the coverage, data and modeling techniques. The Please describe not only the broad quality, completeness, consistency, Bureau is interested in learning more categories (e.g., cashflow data) but also accuracy, and reliability of the data, as about the specific types of alternative the specific data element or variables well as who is responsible for data and modeling techniques utilized used (e.g., rent or telephone expense). overseeing those methods or for various decisions in the credit The questions below refer back to each procedures. process, as well as the policies and type of alternative data listed in j. Please describe the original purpose procedures used to ensure the response to this question. for which the data were initially responsible use of these alternative data 2. For each type of alternative data and methods. In addition, the Bureau generated, assembled, or collected, and identified above: the standard for coverage, quality, seeks to learn how the use of alternative a. Please describe the specific data and modeling techniques compares completeness, consistency, accuracy, decisions in which this type of and reliability that the original data and contrasts with the use of traditional alternative data is used, the specific data and modeling techniques for those provider applied. Was the consumer purpose for using it, and the product(s) able to see, dispute, or correct the data same decisions. Finally, of particular and consumer segment(s) for which it is interest is a specific and empirical at the time they were originally used. For example, are certain data used collected or with the original collector understanding of the current and to create a proprietary score for potential consumer benefits and risks of the data or with the subsequent user? underwriting mortgage loans for non- k. Could this particular type of associated with the use of alternative prime applicants while other data are alternative data feasibly be furnished to data and modeling techniques, used to determine whether credit line one or more of the nationwide consumer including risks related to specific increases or decreases are appropriate reporting agencies? What would be the statutes and regulations. for existing credit card users? investment(s) required to do so? What While the Bureau recognizes that b. Please describe any goals, prevents such furnishing today? some commenters may feel that objectives, or challenges that the use of l. Please describe whether and how answering the questions below raises this type of alternative data is designed the data are used in identifying and concerns about revealing proprietary to accomplish or address. For example, constructing target lists for marketing information, we encourage commenters a certain type of data might be used in credit online, by mail, or in person (i.e., to share as much detail as possible in order to provide a more timely 15 firm offers of credit or invitations to this public forum. We also welcome assessment of the consumer’s current apply). comments from representatives, such as income while another type of data might m. Please describe whether and how attorneys, consultants, or trade be used to more accurately predict the the data are used to screen for potential associations, which need not identify stability of future income streams. fraud prior to assessing their clients or members by name. Please describe the extent to which use creditworthiness. The questions below are divided into of alternative data has in fact advanced 3. For each type of alternative data four sections: (1) Alternative Data; (2) or addressed these goals, objectives, or identified above, please describe the Alternative Modeling Techniques; (3) challenges. process for deciding whether to use that Potential Benefits and Risks to c. Please describe the source of the type of data, including the criteria used Consumers and Market Participants; and data, being as specific as possible, for evaluating the data and its potential including if the data are provided by the use. If applicable, please describe the 15 We do not seek, nor should commenters basis for determining the relationship provide, actual alternative data about consumers. consumer or obtained from or through a Rather we seek information about different types of third party. If obtained from a third between the data and the outcome they alternative data. party, please indicate if that third party are designed to predict. If the

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relationship is empirically derived, modeling technique have on the consumers of using alternative data describe the type(s) of data used to decision it informs? present to: derive the relationship (e.g., internal 7. For each type of alternative a. Improved risk assessment so that loan performance data, third-party reject modeling technique identified above, consumers are more accurately paired inference data, etc.). please describe the model development with appropriate credit products. 4. For each type of alternative data and governance process (e.g., initial b. Increases in access to affordable identified above, please describe development, training, testing, credit. whether the data are used alongside validation, beta, broader use, c. Lower prices. other traditional or alternative data. redevelopment, etc.) in as much detail d. Quicker or more convenient How much impact does the alternative as possible, including but not limited to: decisioning process. data have on the relevant decision? Is a. Whether the process differs based 10. What does available evidence this data used only after a preliminary upon the type of outcome being suggest about the potential benefits for decision based on the exclusive use of predicted. consumers of using alternative modeling traditional data, for example, to re- b. Whether the process differs for techniques? Such benefits could evaluate consumers who failed a model alternative versus traditional modeling include, but are not limited to: a. Improved risk assessment so that that used only traditional data? Or is it techniques. consumers are more accurately paired used at the same time? Are there c. Whether the process differs when with appropriate credit products. particular decisions or particular alternative versus traditional data are b. Increases in access to credit. products or consumer segments where used. d. Whether specific tests or c. Lower prices. firms rely exclusively or predominantly d. Quicker or more convenient on the use of alternative data? validations are performed to assess compliance with fair lending or other decisioning process. 5. Are there types of alternative data 11. What does available evidence regulatory requirements. Are these that have been evaluated but are not suggest about the potential benefits for similar to or different from those used being used in decisions in the credit market participants of using alternative for traditional modeling techniques? process? If so, please describe and data? Such benefits could include, but explain the evaluation process and e. A description of any judgmental, subjective, or discretionary decisions are not limited to: outcomes and the reason(s) why the a. An increased ability to accurately made in the development phase. For alternative data are not being used for predict the likelihood of a certain example, for machine learning the particular credit-related decision. outcome (e.g., a 90 day delinquency techniques, what are decisions the 6. For questions 1 through 5 above, within 24 months). developer must make in supervising the please describe any differences in your b. Risk assessment that is more training phase, or providing parameters answers as they pertain to lending to reactive to real-time information. businesses (especially small businesses) or limits on its operation? c. Ability to assess and grant credit to rather than consumers. f. A description of how, if at all, the more consumers. process handles: d. Lower operational costs. Alternative Modeling Techniques i. Sample selection for model testing/ e. Quicker or more convenient This section asks questions about validation. decisioning process. alternative modeling techniques. ii. Potential measurement error. f. Competitive advantage, including iii. Overfitting. Comments referencing specific the ability to compete with traditional iv. Correlations with characteristics practices, firms, or data are especially methods. prohibited under fair lending laws. helpful. 12. What does available evidence v. Direction of the relationship suggest about the potential benefits for What types of alternative modeling between features and outcomes (e.g., techniques are used in decisions in the market participants of using alternative monotonicity). modeling techniques? Such benefits credit process? Please describe these vi. Any other noteworthy modeling techniques in as much detail could include, but are not limited to: considerations. a. An increased ability to accurately as possible, including but not limited to: 8. For questions 7 and 8 above, please a. A detailed explanation of the predict the likelihood of a certain describe any differences in your outcome (e.g., a 90 day delinquency modeling technique, and how it answers as they pertain to lending to transforms inputs into outputs. within 24 months). businesses (especially small businesses) b. Risk assessment that is more b. The product or consumer rather than consumers. reactive to real-time information. segment(s) it is used for. c. Ability to assess and grant credit to c. The outcome(s) the modeling Potential Benefits and Risks to Consumers and Market Participants more consumers. technique aims to predict. d. Lower operational costs. d. The final output that the modeling This section asks questions about the e. Quicker or more convenient technique generates, such as a score potential benefits and risks related to decisioning process. within a defined range or a pass/fail the use of alternative data and modeling f. Competitive advantage, including decision, including any identification of techniques. The Bureau encourages the ability to compete with traditional the main factors impacting the final commenters to be as specific as possible methods. output. when describing the potential benefits 13. What does available evidence e. A detailed explanation of the and risks, including but not limited to suggest about the potential risks for specific data types used as inputs, which consumer segments or groups consumers of using alternative data? In including both traditional and (e.g., no traditional credit file, different addition, what steps are being taken to alternative data. demographic groups), which products mitigate these risks? Such risks could f. Whether the modeling technique is (e.g., auto loans, credit cards), and include, but are not limited to: used concurrently with, subsequent to, which channels (e.g., online, storefront) a. Impacts on consumer privacy. or in conjunction with other traditional are most affected. b. Decreased transparency about the or alternative modeling techniques. 9. What does available evidence use of one’s data and about how How much impact does the alternative suggest about the potential benefits for decisions in the credit process are made.

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c. Decreased ability to dispute 17. For questions 10 through 17 conducting the activity; the type(s) of inaccurate information or correct errors. above, please describe any differences models reviewed (e.g., underwriting, d. Decreased ability of consumers to in your answers as they pertain to pricing, fraud, marketing); how those improve their credit standing. lending to businesses (especially small models are prioritized for review; the e. Decreased completeness, businesses) rather than consumers. level (e.g., attribute, model, or consistency, accuracy, or reliability of Specific Statutes and Regulations decisioning process) at which the data that affects decisions in the credit activity is conducted; and which process. This section asks questions about prohibited bases (e.g., age, sex, race, f. Illegal discrimination. specific statutes and regulations as they ethnicity) are evaluated. pertain to alternative data and modeling g. The hardening of barriers to social i. In general, what methods do market techniques. Nothing below should be and economic mobility. participants use to evaluate alternative interpreted as a legal conclusion or h. Decreased access to affordable data and modeling techniques for fair interpretation by the Bureau. While the credit. lending risk? i. Decreased ability to inform and questions below are focused on the educate consumers about the factors activities of market participants, the ii. What steps, if any, do market affecting their credit standing. Bureau is equally interested in participants take to determine whether 14. What does available evidence information from researchers, alternative data may be serving as a suggest about the potential risks for consultants, and other third parties proxy for a prohibited basis? What consumers of using alternative modeling about the issues raised below. The thresholds, standards, or baselines are techniques? In addition, what steps are Bureau also recognizes that market used to make this determination? being taken to mitigate these risks? Such participants may be reluctant to iii. What steps, if any, do market risks could include, but are not limited comment publicly on potential legal participants take to determine whether to: uncertainties and invite such parties to use of alternative data has a a. Decreased transparency about the submit comments through anonymized disproportionately negative impact on a use of one’s data and about how channels such as law firms, trade prohibited basis? What thresholds, decisions in the credit process are made. associations, and the like. standards, or baselines are used to make b. Decreased ability to dispute 18. The ECOA and Regulation B this determination? To what extent, if inaccurate information or correct errors. prohibit discrimination on the basis of any, do market participants use c. Decreased ability of consumers to race, color, religion, national origin, sex, traditional data (or scores generated improve their credit standing. marital status, age, the fact that all or therefrom) as a baseline for making this d. Illegal discrimination. part of the applicant’s income derives determination? e. Decreased ability to inform and from any public assistance program, or iv. What steps, if any, do market educate consumers about the factors the good faith exercise of any right participants take to determine if the use affecting their credit standing. under the Consumer Credit Protection of alternative data meets a legitimate 15. What does available evidence Act. Evidence of disparate treatment business need notwithstanding any suggest about the potential risks for and evidence of disparate impact can be disproportionately negative impact that market participants of using alternative used to show discrimination under use may have on a prohibited basis? data? In addition, what specific steps ECOA and Regulation B. are being taken to mitigate these risks? a. Are there specific challenges or v. What steps, if any, do market Such risks could include, but are not uncertainties that market participants participants take to ensure that a limited to: face in complying with ECOA and legitimate business need met by the use a. Decreased transparency about how Regulation B with respect to the use of of alternative data cannot reasonably be decisions in the credit process are made. alternative data or modeling techniques? achieved as well by means that are less b. Lack of historical performance data b. In the absence of data on disparate in their impact? related to certain alternative data. applicants’ ethnicity, race, sex, or other vi. What other steps, besides those c. Decreased completeness, prohibited basis group membership, already discussed in response to consistency, accuracy, or reliability of how prevalent is the practice of questions 19(d)(i)–(v) above, do market data. proxying for those characteristics in participants take to evaluate or manage d. Decreased ability to inform and order to test for potential fair lending potential fair lending risk arising from educate consumers about the factors risks in the use of alternative data or the use of alternative data or modeling affecting their credit standing. modeling techniques? techniques? e. Decreased consumer trust or c. How, if at all, are market vii. When a lender identifies acceptance of lender decisions. participants using demographically disparities affecting a prohibited basis 16. What does available evidence conscious model development group or other fair lending risks that suggest about the potential risks for techniques to ensure that models or arise from the use of a particular market participants of using alternative modeling techniques do not result in variable or model, what steps does the modeling techniques? In addition, what illegal discrimination? lender take as a result? To what extent specific steps are being taken to mitigate d. For respondents (such as market do these steps mitigate that risk? these risks? Such risks could include, participants or consultants, attorneys, or viii. How do the activities described but are not limited to: other professionals who advise market in response to questions 19(d)(i)–(v) a. Decreased transparency about how participants) that evaluate models for compare with the activities conducted decisions in the credit process are made. potential fair lending risk, please when using traditional data or modeling b. Lack of historical performance data answer the following questions. For techniques? related to certain modeling techniques. each activity described in your answers, c. Decreased ability to inform and please specify the point(s) in time (e.g., e. Many entities subject to the educate consumers about the factors model development, validation, Bureau’s supervisory or enforcement affecting their credit standing. implementation, or use) at which the jurisdiction have risk management d. Decreased consumer trust or activity is conducted; the function(s) programs in place pursuant to guidance acceptance of lender decisions. within the company responsible for on model risk management issued by

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prudential regulators.16 To what extent credit scores, are there challenges in SUMMARY: The Advisory Committee on do market participants use principles or providing adverse action notices or risk- Arlington National Cemetery is an processes discussed in that guidance in based pricing notices? For example, independent Federal advisory connection with their management of when using alternative modeling committee chartered to provide the fair lending risk? techniques, are there challenges in Secretary of Defense, through the f. Are market participants using determining the key factors that Secretary of the Army, independent alternative data or modeling techniques adversely affected the consumer’s score? advice and recommendations on as a ‘‘second look’’ for those who do not Are there challenges in providing the Arlington National Cemetery, including, meet initial eligibility requirements source of the information? Do you have but not limited to cemetery based on traditional data or modeling information showing whether administration, the erection of techniques? If so, what issues and consumers understand the information memorials at the cemetery, and master challenges, if any, arise in that context? on these notices or take appropriate planning for the cemetery. The Have data that were first used in follow-up actions? Secretary of the Army may act on the ‘‘second looks’’ eventually become g. When using alternative data or Committee’s advice and included in initial screening processes? modeling techniques, are there recommendations. The Committee is g. When using alternative data or challenges in disclosing, pursuant to comprised of no more than nine (9) modeling techniques, or using multiple Section 615(b) of the FCRA, the nature members. Subject to the approval of the models, are there challenges in of the information used in credit-related Secretary of Defense, the Secretary of determining and disclosing to decisions when such information comes the Army appoints no more than seven applicants the principal reasons for from a third party that is not a consumer (7) of these members. The purpose of taking adverse action or describing the reporting agency? this notice is to solicit nominations from reasons for taking adverse action in a h. The FCRA permits consumer a wide range of highly qualified persons manner that relates to and accurately reports to be obtained for some non- to be considered for appointment to the describes the factors actually considered credit decisions, such as employment Committee. Nominees may be appointed or scored? and tenant screening. What potential as members of the Committee and its 19. The FCRA and Regulation V impacts could alternative data and sub-committees for terms of service regulate the collection, dissemination, modeling techniques have on these non- ranging from one to four years. This and use of consumer information, credit decisions? notice solicits nominations to fill including consumer credit information. 20. The Dodd-Frank Act prohibits Committee membership vacancies that a. Are there specific challenges or unfair, deceptive, or abusive acts or may occur through July 31, 2017. uncertainties that market participants practices in connection with consumer Nominees must be preeminent face in complying with the FCRA with financial products or services. Section 5 authorities in their respective fields of respect to the use of alternative data or of the FTC Act similarly prohibits unfair interest or expertise. modeling techniques? or deceptive acts or practices in DATES: All nominations must be b. What challenges do companies connection with a broader set of received (see ADDRESSES) no later than generating, selling, and brokering transactions. May 1, 2017. alternative data face in determining a. Are there specific challenges or ADDRESSES: Interested persons may whether they are a consumer reporting uncertainties that market participants submit a resume for consideration by agency subject to the FCRA? face in complying with the prohibitions the Department of the Army to the c. What challenges do consumer on UDAAPs with respect to alternative Committee’s Designated Federal Officer reporting agencies assembling or data or modeling techniques? at the following address: Advisory evaluating alternative data face in b. What steps, if any, do users of Committee on Arlington National implementing accuracy and dispute alternative data or modeling techniques Cemetery, ATTN: Designated Federal procedures and disclosing file take to avoid engaging in UDAAPs? Officer (DFO) (Ms. Yates), Arlington information to consumers? c. What steps, if any, can the Bureau National Cemetery, Arlington, VA d. What challenges do lenders face take to help minimize the risk of 22211. when they obtain alternative data? Is it UDAAPs from the use of alternative data FOR FURTHER INFORMATION CONTACT: Ms. typically clear whether the data and modeling techniques? Renea C. Yates, Designated Federal provider is a consumer reporting agency Dated: February 14, 2017. Officer, by email at renea.c.yates.civ@ subject to the FCRA? mail.mil or by telephone 877–907–8585. e. How, if at all, do market Richard Cordray, participants treat alternative data Director, Bureau of Consumer Financial SUPPLEMENTARY INFORMATION: The differently when they receive it from Protection. Advisory Committee on Arlington data providers or other sources that do [FR Doc. 2017–03361 Filed 2–17–17; 8:45 am] National Cemetery was established pursuant to Title 10, United States Code not appear to be subject to the FCRA? BILLING CODE 4810–AM–P f. When using alternative data or Section 4723. The selection, service and modeling techniques, or using multiple appointment of members of the Committee are publicized in the 16 See Federal Reserve Board SR Letter 11–7 DEPARTMENT OF DEFENSE Committee Charter, available on the (‘‘Guidance on Model Risk Management’’) (April 4, Arlington National Cemetery Web site 2011); Office of the Comptroller of the Currency Department of the Army http://www.arlingtoncemetery.mil/ (OCC) Bulletin 1997–24 (‘‘Credit Scoring Models’’) About/Advisory-Committee-on- (May 20, 1997); OCC Bulletin 2000–16 (‘‘Risk Advisory Committee on Arlington Modeling’’) (May 30, 2000); OCC Bulletin 2011–12 Arlington-National-Cemetery/Charter. National Cemetery; Request for The substance of the provisions of the (‘‘Sound Practices for Model Risk Management’’) Nominations (April 4, 2011); Federal Deposit Insurance Charter is as follows: Corporation (FDIC) Supervisory Insights (‘‘Model AGENCY: Department of the Army, DoD. a. Selection. The Committee Charter Governance’’) (last updated December 5, 2005); provides that the Committee shall be FDIC Supervisory Insights (‘‘Fair Lending ACTION: Notice; Request for comprised of no more than nine Implications of Credit Scoring Systems’’) (last Nominations. updated April 11, 2013). members, all of whom are preeminent

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authorities in their respective fields of serve as special government employees. OMB Desk Officer: Ms. Jasmeet interest or expertise. Of these, no more Committee members appointed as Seehra. than seven members are nominated by special government employees shall Comments and recommendations on the Secretary of the Army. serve without compensation except that the proposed information collection By direction of the Secretary of the travel and per diem expenses associated should be emailed to Ms. Jasmeet Army, all resumes submitted in with official Committee activities are Seehra, DoD Desk Officer, at Oira_ response to this notice will be presented reimbursable. [email protected]. Please to and reviewed by a panel of three Additional information about the identify the proposed information senior Army leaders. Potential nominees Committee is available on the Internet collection by DoD Desk Officer and the shall be prioritized after review and at: http://www.arlingtoncemetery.mil/ Docket ID number and title of the consideration of their resumes for: About/Advisory-Committee-on- information collection. Demonstrated technical/professional Arlington-National-Cemetery/Charter. You may also submit comments and expertise; preeminence in a field(s) of Brenda S. Bowen, recommendations, identified by Docket interest or expertise; potential ID number and title, by the following Army Federal Register Liaison Officer. contribution to membership balance in method: terms of the points of view represented [FR Doc. 2017–03320 Filed 2–17–17; 8:45 am] • Federal eRulemaking Portal: http:// and the functions to be performed; BILLING CODE 5001–03–P www.regulations.gov. Follow the potential organizational and financial instructions for submitting comments. conflicts of interest; commitment to our Instructions: All submissions received Nation’s veterans and their families; and DEPARTMENT OF DEFENSE must include the agency name, Docket published points of view relevant to the ID number and title for this Federal objectives of the Committee. The panel Office of the Secretary Register document. The general policy will provide the DFO with a prioritized [Docket ID: DOD–2016–OS–0043] for comments and other submissions list of potential nominees for from members of the public is to make consideration by the Executive Director, Submission for OMB Review; these submissions available for public Army National Military Cemeteries, in Comment Request viewing on the Internet at http:// making an initial recommendation to www.regulations.gov as they are the Secretary of the Army. The ACTION: Notice. received without change, including any Executive Director, Army National SUMMARY: The Department of Defense Military Cemeteries; the Secretary of the personal identifiers or contact has submitted to OMB for clearance, the information. Army; and the Secretary of Defense are following proposal for collection of not limited or bound by the DOD Clearance Officer: Mr. Frederick information under the provisions of the recommendations of the Army senior Licari. Paperwork Reduction Act. leader panel. Sources in addition to this Written requests for copies of the Federal Register notice may be utilized DATES: Consideration will be given to all information collection proposal should in the solicitation and selection of comments received by March 23, 2017. be sent to Mr. Licari at WHS/ESD nominations. FOR FURTHER INFORMATION CONTACT: Fred Directives Division, 4800 Mark Center b. Service. The Secretary of Defense Licari, 571–372–0493. Drive, East Tower, Suite 03F09, may approve the appointment of a SUPPLEMENTARY INFORMATION: Alexandria, VA 22350–3100. Committee member for a one-to-four Title, Associated Form and OMB Dated: February 14, 2017. year term of service; however, no Number: Application for Former Spouse Aaron Siegel, member, unless authorized by the Payments from Retired Pay, DD Form Alternate OSD Federal Register Liaison Secretary of Defense, may serve on the 2293; OMB Number 0730–0008. Officer, Department of Defense. Committee or authorized subcommittee Type of Request: Reinstatement with [FR Doc. 2017–03289 Filed 2–17–17; 8:45 am] for more than two consecutive terms of change. BILLING CODE 5001–06–P service. The Secretary of the Army shall Number of Respondents: 2,500. designate the Committee Chair from the Responses per Respondent: 1. total Advisory Committee membership. Annual Responses: 2,500. DEPARTMENT OF DEFENSE The Committee meets at the call of the Average Burden per Response: 30 DFO, in consultation with the minutes. Office of the Secretary Committee Chair. It is estimated that the Annual Burden Hours: 12,500 hours. Committee meets four times per year. Needs and Uses: The information Reserve Forces Policy Board; Notice c. Appointment. The operations of the collection requirement is necessary to of Federal Advisory Committee Committee and the appointment of provide DFAS with the basic data Meeting members are subject to the Federal needed to process court orders for Advisory Committee Act (Pub. L. 92– division of military retired pay as AGENCY: Office of the Secretary of 463, as amended) and departmental property or order alimony and child Defense, Reserve Forces Policy Board, implementing regulations, including support payment from that retired pay Department of Defense. Department of Defense Instruction per Title 10 U.S.C. 1408, ‘‘Payment of ACTION: Notice of Federal Advisory 5105.04, Department of Defense Federal retired or retainer pay in compliance Committee Meeting. Advisory Committee Management with court orders.’’ The former spouse Program, available at http:// may apply to the DFAS for direct SUMMARY: The Department of Defense www.dtic.mil/whs/directives/corres/pdf/ payment of these monies by using DD (DoD) is publishing this notice to 510504p.pdf. Appointed members who Form 2293. announce that the following Federal are not full-time or permanent part-time Affected Public: Individuals or Advisory Committee meeting of the Federal officers or employees shall be households. Reserve Forces Policy Board (RFPB) will appointed as experts and consultants Frequency: On occasion. take place. under the authority of Title 5, United Respondent’s Obligation: Required to DATES: Wednesday, March 8, 2017 from States Code Section 3109 and shall obtain or retain benefits. 8:15 a.m. to 3:50 p.m.

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ADDRESSES: The address is the States Marine Forces Reserve to discuss to the RFPB about its approved agenda Pentagon, Room 3E863, Arlington, VA. their priorities and views regarding the or at any time on the RFPB’s mission. FOR FURTHER INFORMATION CONTACT: Mr. readiness of their respective Written statements should be submitted Alex Sabol, Designated Federal Officer, component’s challenges for the to the RFPB’s Designated Federal Officer (703) 681–0577 (Voice), (703) 681–0002 ‘‘Operational Reserve’’ as part of the at the address, email, or facsimile (Facsimile), Email— Total Force. The Chair of the number listed in the FOR FURTHER [email protected]. Subcommittee on Supporting and INFORMATION CONTACT section. If Mailing address is Reserve Forces Policy Sustaining Reserve Component statements pertain to a specific topic Board, 5113 Leesburg Pike, Suite 601, Personnel will discuss the being discussed at the planned meeting, Falls Church, VA 22041. Web site: subcommittee’s review of the then these statements must be submitted http://rfpb.defense.gov/. The most up- Department of Defense’s (DoD’s) Duty no later than five (5) business days prior to-date changes to the meeting agenda Status reform proposals and discuss to the meeting in question. Written can be found on the RFPB’s Web site. some of the specific policies impacting statements received after this date may the Reserve Components for a proposed SUPPLEMENTARY INFORMATION: This not be provided to or considered by the meeting notice is being published under RFPB Duty Status reform RFPB until its next meeting. The recommendation report to the Secretary the provisions of the Federal Advisory Designated Federal Officer will review of Defense. The Chair of the Committee Act of 1972 (FACA) (5 all timely submitted written statements Subcommittee on Ensuring a Ready, U.S.C., Appendix, as amended), the and provide copies to all the RFPB Capable, Available, and Sustainable Government in the Sunshine Act of members before the meeting that is the Operational Reserve will discuss the 1976 (5 U.S.C. 552b, as amended), and subject of this notice. Please note that subcommittee’s review of the 41 CFR 102–3.150. since the RFPB operates under the reorganization of the Office of the Purpose of the Meeting: The purpose provisions of the FACA, all submitted Secretary of Defense for Personnel and of the meeting is to obtain, review, and comments and public presentations will Readiness and discuss its impacts on evaluate information related to be treated as public documents and will the Reserve Components for a proposed strategies, policies, and practices be made available for public inspection, RFPB recommendation report to the designed to improve and enhance the including, but not limited to, being Secretary of Defense. posted on the RFPB’s Web site. capabilities, efficiency, and Meeting Accessibility: Pursuant to effectiveness of the Reserve section 10(a)(1) of the FACA and 41 CFR Dated: February 15, 2017. Components. 102–3.140 through 102–3.165, and Aaron Siegel, Agenda: The RFPB will hold a subject to the availability of space, the Alternate OSD Federal Register Liaison meeting from 8:15 a.m. to 3:50 p.m. The meeting is open to the public from 12:25 Officer, Department of Defense. portion of the meeting from 8:15 a.m. to p.m. to 3:50 p.m. Seating is on a first- [FR Doc. 2017–03327 Filed 2–17–17; 8:45 am] 11:45 a.m. will be closed to the public come, first-served basis. All members of BILLING CODE 5001–06–P and will consist of remarks to the RFPB the public who wish to attend the from following invited speakers: Major public meeting must contact Mr. Alex General Sheila Zuehlke, USAFR, Sabol, the Designated Federal Officer, DEPARTMENT OF DEFENSE Subcommittee on Enhancing DoD’s Role not later than 12:00 p.m. on Tuesday, in the Homeland Board Member, will March 7, 2017, as listed in the FOR Office of the Secretary provide an update on the progress of the FURTHER INFORMATION CONTACT section to recommendations made in the RFPB’s make arrangements for a Pentagon [Docket ID: DOD–2017–OS–0007] 2014 report to SECDEF: ‘‘Department of escort, if necessary. Defense Cyber Approach: Use of the Public attendees requiring escort Privacy Act of 1974; System of National Guard and Reserve in the should arrive at the Pentagon Metro Records Cyber Mission Force.’’ The Air Force Entrance with sufficient time to Total Force Continuum Office will complete security screening no later AGENCY: Office of the Secretary of provide updates on the implementation than 11:50 a.m. on March 8. To Defense, DoD. of recommendations from the National complete the security screening, please ACTION: Notice of a Modified System of Commission on the Structure of the Air be prepared to present two forms of Records. Force report of January 2014 as they identification. One must be a picture apply to the Air Guard & Air Force identification card. In accordance with SUMMARY: The Office of the Secretary of Reserve. The National Commission on section 10(d) of the FACA, 5 U.S.C. Defense is modifying a system of the Future of the Army Tri-Chair Office 552b(c), and 41 CFR 102–3.155, the DoD records, entitled, ‘‘Defense User will provide updates on the has determined that the portion of this Registration System (DURS) Records, implementation of recommendations meeting scheduled to occur from 8:15 DTIC 01’’ to be compliant with the OMB from the National Commission on the a.m. to 11:45 a.m. will be closed to the Circular A–108 and make other Future of the Army report of January public. Specifically, the Under Secretary administrative changes. This system of 2016 as they apply to the Army National of Defense (Personnel and Readiness), in records registers and certifies users of Guard and Army Reserve. The Institute coordination with the Department of Defense Technical Information Center for Defense Analysis will provide an Defense FACA Attorney, has (DTIC) products and services. It ensures update on their findings in Phase II of determined in writing that this portion that Department of Defense scientific their operational effectiveness study on of the meeting will be closed to the and technological information is the Reserve Components during public because it is likely to disclose appropriately managed to enable Operation Enduring Freedom. The classified matters covered by 5 U.S.C. scientific knowledge and technological portion of the meeting from 12:25 p.m. 552b(c)(1). innovations to be fully accessible to to 3:50 p.m. will be open to the public Written Statements: Pursuant to authorized recipients while applying and will consist of briefings from: The section 10(a)(3) of the FACA and 41 CFR appropriate safeguards to assure that the Chief of the Navy Reserve, Chief of the 102–3.105(j) and 102–3.140, interested information is protected according to Army Reserve, and Commander, United persons may submit written statements national security requirements.

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DATES: Comments will be accepted on or Circular No. A–108, ‘‘Federal Agency military rank; organization/company before March 23, 2017. This proposed Responsibilities for Review, Reporting, name; office mailing address/physical action will be effective the day and Publication Under the Privacy Act,’’ location; office email address; userid following the end of the comment revised December 23, 2016 (December and password/reset questions; office period unless comments are received 23, 2016 81 FR 94424). telephone number(s); access eligibility; which result in a contrary Dated: February 15, 2017. dissemination/distribution group codes; determination. Aaron Siegel, and personal and facility security ADDRESSES: You may submit comments, clearance level(s). Alternate OSD Federal Register Liaison Records also contain the government identified by docket number and title, Officer, Department of Defense. by any of the following methods: approving official’s name, office phone * Federal Rulemaking Portal: http:// SYSTEM NAME AND NUMBER: number and email address; date of www.regulations.gov. Follow the registration activation; and the projected Defense User Registration System (DURS) date of expiration. Where applicable, instructions for submitting comments. Records, DTIC 01 * Mail: Department of Defense, Office the records contain contract number(s), of the Deputy Chief Management SYSTEM CLASSIFICATION: contract expiration date(s), and the Officer, Directorate of Oversight and Unclassified Militarily Critical Technical Data Compliance, 4800 Mark Center Drive, Agreement (MCTDA) Certification Mailbox #24, Suite 08D09B, Alexandria, SYSTEM LOCATION: Number. VA 22350–1700. Defense Technical Information Center Instructions: All submissions received (DTIC), Directorate of User Services, RECORD SOURCE CATEGORIES: must include the agency name and Communications and Customer Access Individuals, security personnel, the docket number for this Federal Register Division, Attn: DTIC–UC, 8725 John J. Defense Manpower Data Center document. The general policy for Kingman Road, Fort Belvoir, VA 22060– Department of Defense Person Search comments and other submissions from 6218. (DMDC DPS), and the electronic Official members of the public is to make these Personnel Folder (eOPF). SYSTEM MANAGER(S): submissions available for public ROUTINE USES OF RECORDS MAINTAINED IN THE viewing on the Internet at http:// Chief, Customer Access and Communications Division, DTIC–UC, SYSTEM, INCLUDING CATEGORIES OF USERS AND www.regulations.gov as they are THE PURPOSES OF SUCH USES: received without change, including any 8725 John J. Kingman Road, Fort Belvoir, VA 22060–6218. In addition to those disclosures personal identifiers or contact generally permitted under 5 U.S.C. information. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 552a(b) of the Privacy Act of 1974, as FOR FURTHER INFORMATION CONTACT: Mrs. E.O. 13526, Classified National amended, the records contained herein Luz D. Ortiz, Chief, Records, Privacy Security Information; DoD Directive may specifically be disclosed outside and Declassification Division (RPDD), (DoDD) 5105.73 Defense Technical the DoD as a routine use pursuant to 1155 Defense Pentagon, Washington, DC Information Center (DTIC); DoD 552a(b)(3) as follows: 20301–1155, or by phone at (571) 372– Instruction (DoDI) 3200.12 DoD 1. Law Enforcement Routine Use: If a 0478. Scientific and Technical Information system of records maintained by a DoD SUPPLEMENTARY INFORMATION: In Program (STIP); and DoD Manual Component to carry out its functions addition to the formatting changes (DoDM) 3200.14, Volume 1, Principles indicates a violation or potential required by OMB Circular A–108, this and Operational Parameters of the DoD violation of law, whether civil, criminal, modification reflects a change to the Scientific and Technical Information or regulatory in nature, and whether system location, categories of Program (STIP): General Processes. arising by general statute or by regulation, rule, or order issued individuals, categories of records, PURPOSE(S) OF THE SYSTEM: authorities for maintenance of the pursuant thereto, the relevant records in To collect registration requests, system, purpose, routine uses, the system of records may be referred, validate eligibility, and maintain an retrievability, safeguards, system as a routine use, to the agency official registry that identifies manager and address, notification concerned, whether federal, state, local, individuals who apply for, and are procedure, record access procedures, or foreign, charged with the granted access privileges to DTIC owned contesting record procedures, and responsibility of investigating or or controlled computers, databases, record source categories. prosecuting such violation or charged The Office of the Secretary of Defense products, services, and electronic with enforcing or implementing the notices for systems of records subject to information systems. statute, rule, regulation, or order issued the Privacy Act of 1974 (5 U.S.C. 552a), CATEGORIES OF INDIVIDUALS COVERED BY THE pursuant thereto. as amended, have been published in the SYSTEM: 2. Congressional Inquiries Disclosure Federal Register and are available from Department of Defense (DoD) military Routine Use: Disclosure from a system the address in FOR FURTHER INFORMATION and civilian personnel and other U.S. of records maintained by a DoD CONTACT or at the Defense Privacy, Civil Federal Government personnel, their Component may be made to a Liberties and Transparency Division contractors and grantees, and other congressional office from the record of Web site at http://defense.gov/privacy. government officials according to an individual in response to an inquiry The proposed system report, as agreements with DoD who request from the congressional office made at required by 5 U.S.C. 552a(r) of the access privileges to DTIC products, the request of that individual. Privacy Act of 1974, as amended, was services, and electronic information 3. Disclosure to the Department of submitted on December 8, 2016, to the systems. Justice for Litigation Routine Use: A House Committee on Oversight and record from a system of records Government Reform, the Senate CATEGORIES OF RECORDS IN THE SYSTEM: maintained by a DoD Component may Committee on Governmental Affairs, Name; DoD Identification (ID) be disclosed as a routine use to any and the Office of Management and Number; citizenship; service type; component of the Department of Justice Budget (OMB) pursuant to OMB personnel category; civilian pay grade; for the purpose of representing the

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Department of Defense, or any officer, are kept in a locked, controlled access If executed within the United States, employee or member of the Department area. Access to personal information is its territories, possessions, or in pending or potential litigation to limited to those individuals who require commonwealths: ‘‘I declare (or certify, which the record is pertinent. a need to know to perform their official verify, or state) under penalty of perjury 4. Disclosure of Information to the assigned duties. that the foregoing is true and correct. National Archives and Records Executed on (date). (Signature).’’ Administration Routine Use: A record RECORD ACCESS PROCEDURES: from a system of records maintained by Individuals seeking access to EXEMPTIONS PROMULGATED FOR THE SYSTEM: a DoD Component may be disclosed as information about themselves contained a routine use to the National Archives in this system of records should address None. and Records Administration for the written requests to the Office of the HISTORY: purpose of records management Secretary of Defense/Joint Staff Freedom inspections conducted under authority of Information Act Requester Service October 4, 2010, 75 FR 61135; of 44 U.S.C. 2904 and 2906. Center, 1155 Defense Pentagon, November 12, 2008, 73 FR 66852; April 5. Data Breach Remediation Purposes Washington, DC 20701–1155. 25, 2005, 70 FR 21181. Signed, written requests should Routine Use: A record from a system of [FR Doc. 2017–03355 Filed 2–17–17; 8:45 am] records maintained by a Component include the individual’s full name, may be disclosed to appropriate telephone number, street address, email BILLING CODE 5001–06–P agencies, entities, and persons when (1) address, and name and number of this system of records notice. In addition, The Component suspects or has DEPARTMENT OF DEFENSE confirmed that the security or the requester must provide a notarized confidentiality of the information in the statement or an unsworn declaration Department of the Army, U.S. Army system of records has been made in accordance with 28 U.S.C. Corps of Engineers compromised; (2) the Component has 1746, in the following format: determined that as a result of the If executed outside the United States: Cancellation of Notice of Availability of suspected or confirmed compromise ‘‘I declare (or certify, verify, or state) a Draft Detailed Project Report With there is a risk of harm to economic or under penalty of perjury under the laws Integrated Environmental Assessment property interests, identity theft or of the United States of America that the and Draft Finding of No Significant fraud, or harm to the security or foregoing is true and correct. Executed Impact for the Pier 70 Central Basin integrity of this system or other systems on (date). (Signature).’’ Continuing Authorities Program If executed within the United States, or programs (whether maintained by the Section 107 Navigation Improvement its territories, possessions, or Component or another agency or entity) Project at the Port of San Francisco, commonwealths: ‘‘I declare (or certify, that rely upon the compromised San Francisco, CA information; and (3) the disclosure verify, or state) under penalty of perjury that the foregoing is true and correct. made to such agencies, entities, and AGENCY: Department of the Army, U.S. Executed on (date). (Signature).’’ persons is reasonably necessary to assist Army Corps of Engineers, DoD. in connection with the Components CONTESTING RECORD PROCEDURES: efforts to respond to the suspected or ACTION: Notice; cancellation. confirmed compromise and prevent, The Office of the Secretary of Defense minimize, or remedy such harm. (OSD) rules for accessing records, SUMMARY: The United States Army contesting contents, and appealing Corps of Engineers (USACE) San POLICIES AND PRACTICES FOR STORAGE OF initial agency determinations are Francisco District is canceling the notice RECORDS: contained in OSD Administrative of availability issued on February 10, Electronic storage media. Instruction 81; 32 CFR part 311; or may 2017 (82 FR 10346) for the Draft be obtained from the system manager. POLICIES AND PRACTICES FOR RETRIEVAL OF Detailed Project Report with Integrated RECORDS: NOTIFICATION PROCEDURES: Environmental Assessment (DPR/EA) Individual name; DoD ID number; Individuals seeking to determine if and draft Finding of No Significant office email address. information about themselves is Impact (FONSI) for the proposed Pier 70 contained in this system should address Central Basin Continuing Authorities POLICIES AND PRACTICES FOR RETENTION AND Program (CAP) Section 107 Navigation DISPOSAL OF RECORDS: written inquiries to Defense Technical Improvement Project in San Francisco, Electronic records are to be deleted Information Center; Attn: DTIC–UC, 8725 John J. Kingman Road, Fort CA. The USACE is postponing the when DTIC determines they are no public review and comment period. longer needed for administrative, audit, Belvoir, VA 22060–6218. legal, or operational purposes. Signed, written requests should FOR FURTHER INFORMATION CONTACT: contain the individual’s full name, Questions concerning this notice should ADMINISTRATIVE, TECHNICAL, AND PHYSICAL telephone number, street address, email be addressed to Roxanne Grillo, U.S. SAFEGUARDS: address, and name and number of this Army Corps of Engineers, San Francisco Records are maintained in secure, system of records notice. In addition, District, 1455 Market Street, San limited access, and monitored areas. the requester must provide a notarized Francisco, CA 94103–1398. Telephone: Database is monitored, access is statement or an unsworn declaration (415) 503–6859. Email: CESPN-ET-PA@ password protected, and common made in accordance with 28 U.S.C. usace.army.mil. access card (CAC) enabled. Firewalls 1746, in the following format: and intrusion detection system are used. If executed outside the United States: SUPPLEMENTARY INFORMATION: None. Physical entry by unauthorized persons ‘‘I declare (or certify, verify, or state) is restricted through the use of locks, under penalty of perjury under the laws Brenda S. Bowen, guards, passwords, and/or other security of the United States of America that the Army Federal Register Liaison Officer. measures. Archived data is stored on foregoing is true and correct. Executed [FR Doc. 2017–03321 Filed 2–17–17; 8:45 am] compact discs, or magnetic tapes, which on (date). (Signature).’’ BILLING CODE 3720–58–P

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DEPARTMENT OF DEFENSE ADDRESSES: Written objections are to be with effective preparation for doctoral filed with the Naval Air Warfare Center study. Department of the Navy Aircraft Division, Technology Transfer Background Office, Attention Michelle Miedzinski, Notice of Intent To Grant Exclusive Code 5.0H, 22347 Cedar Point Road, The Federal TRIO programs, Patent License; JFD Limited Building 2185, Box 62, Room 2160, including the McNair Program, represent a national commitment to AGENCY: Department of the Navy: DoD. Patuxent River, Maryland 20670. education for all students regardless of DATES: Anyone wishing to object to the ACTION: Notice. race, ethnic background, disability grant of this license must file written status, or economic circumstances. The SUMMARY: The Department of the Navy objections along with supporting Department of Education (Department) hereby gives notice of its intent to grant evidence, if any, within fifteen (15) days has a strong interest in ensuring that to JFD Limited a revocable, non- of the date of this published notice. assignable, exclusive license to practice groups traditionally underrepresented FOR FURTHER INFORMATION CONTACT: in postsecondary education, such as in the United States, the Government- Michelle Miedzinski, 301–342–1133, owned invention described in U.S. low-income students, first-generation Naval Air Warfare Center Aircraft college students, students who are Patent No. 6,868,360, entitled ‘‘SMALL Division, 22347 Cedar Point Road, HEAD-MOUNTED COMPASS SYSTEM English learners, students with Building 2185, Box 62, Room 2160, disabilities, homeless students, students WITH OPTICAL DISPLAY’’, issued Patuxent River, Maryland 20670. March 15, 2005, Navy Case No. 84,835. who are in foster care, and other Authority: 35 U.S.C. 207, 37 CFR part 404. disconnected students, receive the DATES: Anyone wishing to object to the Dated: February 13, 2017. support necessary to assist them in grant of this license has fifteen (15) days successfully pursuing doctoral degrees. from the date of this notice to file A.M. Nichols, The Department views the McNair written objections along with Lieutenant Commander, Judge Advocate Program as a critical component of its supporting evidence, if any. General’s Corps, U.S. Navy, Federal Register efforts to improve postsecondary Liaison Officer. ADDRESSES: Written objections are to be outcomes for students who have been filed with Naval Surface Warfare Center [FR Doc. 2017–03264 Filed 2–17–17; 8:45 am] traditionally underrepresented in Panama City, 110 Vernon Ave., Code BILLING CODE 3810–FF–P postsecondary education and graduate 00L, Panama City, FL 32407–7001. school by providing disadvantaged FOR FURTHER INFORMATION CONTACT: Mr. college students with effective James Shepherd, Patent Counsel, Naval DEPARTMENT OF EDUCATION preparation for doctoral study, and Surface Warfare Center Panama City, improving the quality of student 110 Vernon Ave., Panama City, FL Applications for New Awards; Ronald outcomes so that more students are well 32407–7001, telephone 850–234–4646, E. McNair Postbaccalaureate prepared for graduate school and fax 850–235–5497, or Achievement Program careers. To strategically align the McNair [email protected]. AGENCY: Office of Postsecondary Program with overarching national (Authority: 35 U.S.C. 207, 37 CFR Part 404) Education, Department of Education. strategies for increasing the number of Dated: February 13, 2017. ACTION: Notice. students pursuing and completing A.M. Nichols, Overview Information: degrees in the Science, Technology, Lieutenant Commander, Judge Advocate Ronald E. McNair Postbaccalaureate Engineering, and Mathematics (STEM) General’s Corps, U.S. Navy, Federal Register Achievement Program. fields, this notice includes a competitive Liaison Officer. Notice inviting applications for new preference priority intended to [FR Doc. 2017–03266 Filed 2–17–17; 8:45 am] awards for fiscal year (FY) 2017. encourage applicants to propose BILLING CODE 3810–FF–P Catalog of Federal Domestic activities that support this Assistance (CFDA) Number: 84.217A. comprehensive goal, consistent with a logic model (as defined in this notice). DEPARTMENT OF DEFENSE DATES: The inclusion of this competitive Applications Available: February 21, preference priority will encourage Department of the Navy 2017. applicants to increase the number of Deadline for Transmittal of individuals in the McNair Program’s Notice of Intent To Grant an Exclusive Applications: April 7, 2017. target population that have access to License; PhareTech Deadline for Intergovernmental STEM programs at the postsecondary Review: June 6, 2017. AGENCY: Department of the Navy, DoD. level and are prepared for graduate ACTION: Notice. Full Text of Announcement study in STEM. The McNair Program’s target population includes groups I. Funding Opportunity Description SUMMARY: The Department of the Navy underrepresented in graduate education, hereby gives notice of its intent to grant Purpose of Program: The Ronald E. as defined in the McNair Program to PhareTech located at 4720 Chevy McNair Postbaccalaureate Achievement regulations; low-income individuals Chase Drive, Apartment 406, Chevy (McNair) Program is one of the eight who are first generation college Chase, Maryland 20815, a revocable, programs known as the Federal TRIO students; and groups underrepresented nonassignable, exclusive license Programs, which provides in STEM as documented by standard throughout the United States (U.S.) in postsecondary educational support for statistical references or other national all the fields of use in the Government- qualified individuals from survey data submitted to and accepted Owned invention described in U.S. disadvantaged backgrounds. The by the Secretary. Patent Application number 14/734,186 McNair Program awards discretionary Consistent with 34 CFR 75.210, the filed on June 9, 2015 entitled ‘‘Low grants to institutions of higher Secretary will use the selection criteria Latency Fiber Optic Local Area education for projects designed to outlined in 34 CFR 647.21 to evaluate Network’’ inventors Beranek et al. provide disadvantaged college students the applications submitted for new

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grants under this program. In addition, ‘‘other related outcomes’’ could include end- congressional action. However, we are consistent with the Department’s of-course grades, or improvement in research inviting applications to allow enough increasing emphasis on promoting or laboratory skills, among other outcomes. time to complete the grant process if evidence-based practices through our Congress appropriates funds for this grant competitions, the Secretary will Definitions program. evaluate applications on the extent to The definition of the term ‘‘groups Contingent upon the availability of which the components and anticipated underrepresented in graduate funds and the quality of applications, outcomes of the proposed project are education’’ is from the McNair Program we may make additional awards in FY supported by a logic model that meets regulations, 34 CFR 647.7(b). The 2018 and subsequent fiscal years from the evidence standard of ‘‘strong definitions of the terms ‘‘logic model’’ the list of unfunded applications from theory’’ (as defined in this notice). We and ‘‘strong theory’’ are from 34 CFR this competition. encourage applicants to read carefully 77.1. Estimated Range of Awards: $226,600 the selection criteria for this program in Groups underrepresented in graduate to $378,783. 34 CFR 647.21 and listed in the education include Black (non-Hispanic), Estimated Average Size of Awards: application package. Resources to assist Hispanic, American Indian, Alaskan $243,589. applicants in creating a logic model can Native (as defined in section 7306 of the Maximum Award: be found here: http://ies.ed.gov/ncee/ Elementary and Secondary Education Pursuant to 34 CFR 647.32(a), we will edlabs/regions/pacific/pdf/REL_ Act of 1965, as amended (ESEA)), reject any application that proposes a 2014007.pdf. Native Hawaiians (as defined in section budget exceeding the applicable Priority: This notice contains one 7207 of the ESEA), and Native American maximum amount listed here for a competitive preference priority. The Pacific Islanders (as defined in section single budget period of 12 months. We competitive preference priority is from 320 of the Higher Education Act of will also reject any application from a the notice of final supplemental 1965, as amended). new applicant that proposes a budget to priorities and definitions for Logic model (also referred to as theory serve fewer than 25 participants or, for discretionary grant programs, published of action) means a well-specified applicants that are current grantees, any in the Federal Register on December 10, conceptual framework that identifies application with a proposed budget to 2014 (79 FR 73425) (Supplemental key components of the proposed serve fewer than the number of Priorities). Applicants must include in process, product, strategy, or practice participants the applicant was approved the one-page abstract submitted with the (i.e., the active ‘‘ingredients’’ that are to serve in FY 2016. application a statement indicating hypothesized to be critical to achieving For an applicant not currently whether they addressed the competitive the relevant outcomes) and describes receiving a McNair Program grant, the preference priority. The priority must the relationships among the key maximum award is $226,600 to serve a also be listed on the McNair Program components and outcomes, theoretically minimum of 25 eligible participants, Profile Sheet. and operationally. based upon a per participant cost of no Competitive Preference Priority: For Strong theory means a rationale for more than $9,064. FY 2017 and any subsequent year in the proposed process, product, strategy, For an applicant currently receiving a which we make awards from the list of or practice that includes a logic model. McNair Program grant and applying to unfunded applications from this Program Authority: 20 U.S.C. 1070a– serve a different campus, the maximum competition, this priority is a 11 and 20 U.S.C. 1070a–15. award is $226,600 to serve a minimum competitive preference priority. Under Applicable Regulations: (a) The of 25 eligible participants, based upon a 34 CFR 75.105(c)(2)(i), we will award up Education Department General per participant cost of no more than to five additional points to an Administrative Regulations (EDGAR) in $9,064. application depending on the extent to 34 CFR parts 75 (except for 75.215 For an applicant currently receiving a which the application meets this through 75.221), 77, 79, 82, 84, 86, 97, McNair Program grant and not applying priority. 98 and 99. (b) The Office of to serve a different campus, the This priority is: Management and Budget Guidelines to maximum award is the amount equal to Competitive Preference Priority— Agencies on Governmentwide the applicant’s grant award amount for Promoting Science, Technology, Debarment and Suspension FY 2016 (i.e., 2016–17). This funding Engineering, and Mathematics (STEM) (Nonprocurement) in 2 CFR part 180, as will serve at least the same number of Education (up to 5 points). adopted and amended as regulations of participants that was approved for the Projects that are designed to improve the Department in 2 CFR part 3485. (c) current project in FY 2016 (i.e., 2016– student achievement or other related The Uniform Administrative 17). outcomes by increasing the number of Requirements, Cost Principles, and Estimated Number of Awards: 164. individuals from groups that have been Audit Requirements for Federal Awards in 2 CFR part 200, as adopted and Note: The Department is not bound by any historically underrepresented in STEM, estimates in this notice. including minorities, individuals with amended as regulations of the disabilities, and women, who are Department in 2 CFR part 3474. (d) The Project Period: Up to 60 months. provided with access to rigorous and regulations for this program in 34 CFR III. Eligibility Information engaging coursework in STEM or who part 645. 1. Eligible Applicants: Institutions of are prepared for postsecondary study II. Award Information and careers in STEM. (up to 5 points) higher education and combinations of Type of Award: Discretionary grants. those institutions. Note: The definition of ‘‘student Estimated Available Funds: The 2. Cost Sharing or Matching: This achievement’’ from the Secretary’s Administration has requested program does not require cost sharing or Supplemental Priorities does not apply here because that definition applies only to $900,000,000 for the Federal TRIO matching. elementary and secondary grades and Programs for FY 2017, of which we 3. Other: An applicant may submit subjects that are covered by the Elementary intend to use an estimated $40,000,000 more than one application for a McNair and Secondary Education Act of 1965, as for McNair awards. The actual level of grant as long as each application amended. For the purposes of this program, funding, if any, depends on final describes a project that serves a different

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campus or a designated different • Use a font size that is either 12 process should contact the program population (34 CFR 647.10(a)). The point or larger, or no smaller than 10 contact person listed under For Further McNair Program regulations define pitch (character per inch). Information Contact in section VII in ‘‘different campus’’ as ‘‘a site of an • Use one of the following fonts: this notice. If the Department provides institution of higher education that—(1) Times New Roman, Courier, Courier an accommodation or auxiliary aid to an Is geographically apart from the main New, or Arial. An application submitted individual with a disability in campus of the institution; (2) Is in any other font (including Times connection with the application permanent in nature; and (3) Offers Roman and Arial Narrow) will not be process, the individual’s application courses in educational programs leading accepted. remains subject to all other to a degree, certificate, or other The page limit does not apply to Part requirements and limitations in this recognized educational credential.’’ 34 I, the Application for Federal Assistance notice. CFR 647.7(b). The Secretary is not Face Sheet (SF 424); Part II, the Budget Deadline for Intergovernmental designating any additional populations Information Summary form (ED Form Review: June 6, 2017. for which an applicant may submit a 524); Part III, the McNair Program 4. Intergovernmental Review: This separate application under this Profile; Part III, the one-page Project program is subject to Executive Order competition (34 CFR 647.10(b)). Abstract narrative; and Part IV, the 12372 and the regulations in 34 CFR Assurances and Certifications. The page part 79. Information about IV. Application and Submission limit also does not apply to a table of Intergovernmental Review of Federal Information contents, which you should include in Programs under Executive Order 12372 1. Address to Request Application the application narrative. If you include is in the application package for this Package: You may request a copy of the any attachments or appendices, these program. application package from: Carmen items will be counted as part of Part III, 5. Funding Restrictions: We specify Gordon, McNair Program, U.S. the application narrative, for purposes unallowable costs in 34 CFR 647.31. We Department of Education, 400 Maryland of the page-limit requirement. You must reference additional regulations Avenue SW., Room 5C111, Washington, include your complete response to the outlining funding restrictions in the DC 20202. Telephone: (202) 453–7311 selection criteria, which also includes Applicable Regulations section of this or by email: [email protected]. the budget narrative. notice. Any application addressing the If you use a telecommunications 6. Data Universal Numbering System competitive preference priority may device for the deaf (TDD) or a text Number, Taxpayer Identification include up to four additional pages for telephone (TTY), call the Federal Relay Number, and System for Award the priority. These additional pages Service (FRS), toll free, at 1–800–877– Management: To do business with the must be used to discuss how the 8339. Department of Education, you must— application meets the competitive a. Have a Data Universal Numbering Individuals with disabilities can preference priority. The additional System (DUNS) number and a Taxpayer obtain a copy of the application package pages allotted to address the Identification Number (TIN); in an accessible format (e.g., braille, competitive preference priority cannot b. Register both your DUNS number large print, audiotape, or compact disc) be used for or transferred to the project and TIN with the System for Award by contacting the program contact narrative or any other section of the Management (SAM), the Government’s person listed in this section. application. primary registrant database; 2. Content and Form of Application Partial pages will count as a full page c. Provide your DUNS number and Submission: Requirements concerning toward the page limit. For the purpose TIN on your application; the content and form of an application, of determining compliance with the and together with the forms you must page limit, each page containing text d. Maintain an active SAM submit, are in the application package will be counted as one full page. for this program. We will reject your application if you registration with current information while your application is under review Page Limit: The application narrative exceed the page limit. by the Department and, if you are (Part III of the application) is where you, 3. Submission Dates and Times: awarded a grant, during the project the applicant, address the selection Applications Available: February 21, period. criteria that reviewers will use to 2017. You can obtain a DUNS number from evaluate your application. You must Deadline for Transmittal of Dun and Bradstreet at the following limit the application narrative, which Applications: April 7, 2017. Web site: http://fedgov.dnb.com/ includes the budget narrative, to no Applications for grants under this webform. A DUNS number can be more than 60 pages using the following program must be submitted created within one to two business days. standards: electronically using the Grants.gov Apply site (Grants.gov). For information If you are a corporate entity, agency, • A ‘‘page’’ is 8.5″ x 11″, on one side (including dates and times) about how institution, or organization, you can only, with 1″ margins at the top, bottom, to submit your application obtain a TIN from the Internal Revenue and both sides. Page numbers and an electronically, or in paper format by Service. If you are an individual, you identifier may be within the 1″ margin. mail or hand delivery if you qualify for can obtain a TIN from the Internal • Each page on which there is text or an exception to the electronic Revenue Service or the Social Security graphics will be counted as one full submission requirement, please refer to Administration. If you need a new TIN, page. Other Submission Requirements in please allow two to five weeks for your • Double space (no more than three section IV of this notice. TIN to become active. lines per vertical inch) all text in the We do not consider an application The SAM registration process can take application narrative, including charts, that does not comply with the deadline approximately seven business days, but tables, figures, and graphs. Titles, requirements. may take upwards of several weeks, headings, footnotes, quotations, Individuals with disabilities who depending on the completeness and references, and captions may be single need an accommodation or auxiliary aid accuracy of the data you enter into the spaced. in connection with the application SAM database. Therefore, if you think

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you want to apply for Federal financial information regarding calculation of the • You will not receive additional assistance under a program date that is two weeks before the point value because you submit your administered by the Department, please application deadline date is provided application in electronic format, nor allow sufficient time to obtain and later in this section under Exception to will we penalize you if you qualify for register your DUNS number and TIN. Electronic Submission Requirement. an exception to the electronic We strongly recommend that you You may access the electronic grant submission requirement, as described register early. application for the McNair Program at elsewhere in this section, and submit Note: Once your SAM registration is active, www.Grants.gov. You must search for your application in paper format. it may take 24 to 48 hours before you can the downloadable application package • You must submit all documents access the information in, and submit an for this program by the CFDA number. electronically, including all information application through, Grants.gov. Do not include the CFDA number’s you typically provide on the following If you are currently registered with alpha suffix in your search (e.g., search forms: Application for Federal SAM, you may not need to make any for 84.217, not 84.217A). Assistance (SF 424), the Department of changes. However, please make certain Please note the following: Education Supplemental Information for • that the TIN associated with your DUNS When you enter the Grants.gov site, SF 424, Budget Information—Non- number is correct. Also note that you you will find information about Construction Programs (ED 524), and all will need to update your registration submitting an application electronically necessary assurances and certifications. • annually. This may take three or more through the site, as well as the hours of You must upload any narrative business days. operation. sections and all other attachments to Information about SAM is available at • Applications received by your application as files in a read-only, www.SAM.gov. To further assist you Grants.gov are date and time stamped. non-modifiable Portable Document with obtaining and registering your Your application must be fully Format (PDF). Do not upload an DUNS number and TIN in SAM or uploaded and submitted and must be interactive or fillable PDF file. If you updating your existing SAM account, date and time stamped by the upload a file type other than a read- we have prepared a SAM.gov Tip Sheet, Grants.gov system no later than 4:30:00 only, non-modifiable PDF (e.g., Word, which you can find at: www2.ed.gov/ p.m., Washington, DC time, on the Excel, WordPerfect, etc.) or submit a fund/grant/apply/sam-faqs.html. application deadline date. Except as password-protected file, we will not In addition, if you are submitting your otherwise noted in this section, we will review that material. Please note that application via Grants.gov, you must (1) not accept your application if it is this could result in your application not be designated by your organization as an received—that is, date and time being considered for funding because Authorized Organization Representative stamped by the Grants.gov system—after the material in question—for example, (AOR); and (2) register yourself with 4:30:00 p.m., Washington, DC time, on the application narrative—is critical to a Grants.gov as an AOR. Details on these the application deadline date. We do meaningful review of your proposal. For steps are outlined at the following not consider an application that does that reason it is important to allow Grants.gov Web page: www.grants.gov/ not comply with the deadline yourself adequate time to upload all web/grants/register.html. requirements. When we retrieve your material as PDF files. The Department 7. Other Submission Requirements: application from Grants.gov, we will will not convert material from other Applications for grants under this notify you if we are rejecting your formats to PDF. program must be submitted application because it was date and time • Your electronic application must electronically unless you qualify for an stamped by the Grants.gov system after comply with any page-limit exception to this requirement in 4:30:00 p.m., Washington, DC time, on requirements described in this notice. accordance with the instructions in this the application deadline date. • After you electronically submit section. • The amount of time it can take to your application, you will receive from a. Electronic Submission of upload an application will vary Grants.gov an automatic notification of Applications. depending on a variety of factors, receipt that contains a Grants.gov Applications for grants under the including the size of the application and tracking number. This notification McNair Program, CFDA number the speed of your Internet connection. indicates receipt by Grants.gov only, not 84.217A, must be submitted Therefore, we strongly recommend that receipt by the Department. Grants.gov electronically using the you do not wait until the application will also notify you automatically by Governmentwide Grants.gov Apply site deadline date to begin the submission email if your application met all the at www.Grants.gov. Through this site, process through Grants.gov. Grants.gov validation requirements or if you will be able to download a copy of • You should review and follow the there were any errors (such as the application package, complete it Education Submission Procedures for submission of your application by offline, and then upload and submit submitting an application through someone other than a registered your application. You may not email an Grants.gov that are included in the Authorized Organization electronic copy of a grant application to application package for this program to Representative, or inclusion of an us. ensure that you submit your application attachment with a file name that We will reject your application if you in a timely manner to the Grants.gov contains special characters). You will be submit it in paper format unless, as system. You can also find the Education given an opportunity to correct any described elsewhere in this section, you Submission Procedures pertaining to errors and resubmit, but you must still qualify for one of the exceptions to the Grants.gov under News and Events on meet the deadline for submission of electronic submission requirement and the Department’s G5 system home page applications. submit, no later than two weeks before at www.G5.gov. In addition, for specific Once your application is successfully the application deadline date, a written guidance and procedures for submitting validated by Grants.gov, the Department statement to the Department that you an application through Grants.gov, will retrieve your application from qualify for one of these exceptions no please refer to the Grants.gov Web site Grants.gov and send you an email with later than two weeks before the at: www.grants.gov/web/grants/ a unique PR/Award number for your application deadline date. Further applicants/apply-for-grants.html. application.

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These emails do not mean that your technical problem you experienced is (4) Any other proof of mailing application is without any disqualifying unrelated to the Grants.gov system. acceptable to the Secretary of the U.S. errors. While your application may have Exception to Electronic Submission Department of Education. been successfully validated by Requirement: You qualify for an If you mail your application through Grants.gov, it must also meet the exception to the electronic submission the U.S. Postal Service, we do not Department’s application requirements requirement, and may submit your accept either of the following as proof as specified in this notice and in the application in paper format, if you are of mailing: application instructions. Disqualifying unable to submit an application through (1) A private metered postmark. errors could include, for instance, the Grants.gov system because–– (2) A mail receipt that is not dated by failure to upload attachments in a read- • You do not have access to the the U.S. Postal Service. only, non-modifiable PDF; failure to Internet; or Note: The U.S. Postal Service does not submit a required part of the • You do not have the capacity to uniformly provide a dated postmark. Before application; or failure to meet applicant upload large documents to the relying on this method, you should check eligibility requirements. It is your Grants.gov system; and with your local post office. We will not consider applications postmarked after the responsibility to ensure that your • submitted application has met all of the No later than two weeks before the deadline date. application deadline date (14 calendar Department’s requirements. c. Submission of Paper Applications days or, if the fourteenth calendar day • We may request that you provide us by Hand Delivery. before the application deadline date original signatures on forms at a later If you qualify for an exception to the falls on a Federal holiday, the next date. electronic submission requirement, you business day following the Federal (or a courier service) may deliver your Application Deadline Date Extension holiday), you mail or fax a written paper application to the Department by in Case of Technical Issues with the statement to the Department, explaining hand. You must deliver the original and Grants.gov System: If you are which of the two grounds for an two copies of your application by hand, experiencing problems submitting your exception prevents you from using the on or before the application deadline application through Grants.gov, please Internet to submit your application. contact the Grants.gov Support Desk, date, to the Department at the following If you mail your written statement to toll free, at 1–800–518–4726. You must address: U.S. Department of Education, the Department, it must be postmarked obtain a Grants.gov Support Desk Case Application Control Center, Attention: no later than two weeks before the Number and must keep a record of it. (CFDA Number 84.217A), 550 12th application deadline date. If you fax Street SW., Room 7039, Potomac Center If you are prevented from your written statement to the Plaza, Washington, DC 20202–4260. electronically submitting your Department, we must receive the faxed The Application Control Center application on the application deadline statement no later than two weeks accepts hand deliveries daily between date because of technical problems with before the application deadline date. 8:00 a.m. and 4:30:00 p.m., Washington, the Grants.gov system, we will grant you Address and mail or fax your an extension until 4:30:00 p.m., DC time, except Saturdays, Sundays, statement to: Katie Blanding, U.S. and Federal holidays. Washington, DC time, the following Department of Education, 400 Maryland business day to enable you to transmit Avenue SW., Room 5E105, Washington, Note for Mail or Hand Delivery of Paper your application electronically or by DC 20202. FAX: (202) 260–7464. Applications: If you mail or hand deliver hand delivery. You also may mail your your application to the Department— Your paper application must be application by following the mailing (1) You must indicate on the envelope submitted in accordance with the mail instructions described elsewhere in this and—if not provided by the Department—in or hand delivery instructions described notice. Item 11 of the SF 424 the CFDA number, in this notice. including suffix letter, if any, of the If you submit an application after b. Submission of Paper Applications competition under which you are submitting 4:30:00 p.m., Washington, DC time, on by Mail. your application; and the application deadline date, please If you qualify for an exception to the (2) The Application Control Center will contact the program contact person mail to you a notification of receipt of your electronic submission requirement, you listed under FOR FURTHER INFORMATION grant application. If you do not receive this may mail (through the U.S. Postal CONTACT in section VII of this notice and notification within 15 business days from the Service or a commercial carrier) your provide an explanation of the technical application deadline date, you should call application to the Department. You problem you experienced with the U.S. Department of Education must mail the original and two copies Application Control Center at (202) 245– Grants.gov, along with the Grants.gov of your application, on or before the 6288. Support Desk Case Number. We will application deadline date, to the accept your application if we can Department at the following address: V. Application Review Information confirm that a technical problem U.S. Department of Education, occurred with the Grants.gov system 1. Selection Criteria: The selection Application Control Center, Attention: and that the problem affected your criteria for this competition total 110 (CFDA Number 84.217A), LBJ Basement ability to submit your application by points and are from 34 CFR 647.21 and Level 1, 400 Maryland Avenue SW., 4:30:00 p.m., Washington, DC time, on 34.CFR 75.210: Washington, DC 20202–4260. the application deadline date. We will (a) Need (16 Points). The Secretary You must show proof of mailing contact you after we determine whether reviews each application to determine consisting of one of the following: your application will be accepted. the extent to which the applicant can (1) A legibly dated U.S. Postal Service clearly and definitively demonstrate the Note: The extensions to which we refer in postmark. need for a McNair project to serve the this section apply only to the unavailability (2) A legible mail receipt with the of, or technical problems with, the Grants.gov target population. In particular, the system. We will not grant you an extension date of mailing stamped by the U.S. Secretary looks for information that if you failed to fully register to submit your Postal Service. clearly defines the target population; application to Grants.gov before the (3) A dated shipping label, invoice, or describes the academic, financial and application deadline date and time or if the receipt from a commercial carrier. other problems that prevent potentially

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eligible project participants in the target with other programs for disadvantaged quality of the design of the proposed population from completing students; and project. In determining the quality of the baccalaureate programs and continuing (9) (5 points) The follow-up plan that design of the proposed project, the to postbaccalaureate programs; and will be used to track the academic and Secretary considers the extent to which demonstrates that the project’s target career accomplishments of participants the proposed project is supported by population is underrepresented in after they are no longer participating in strong theory (as defined in this notice). graduate education, doctorate degrees the McNair project. Review and Selection Process: We conferred and careers where a doctorate (d) Quality of key personnel (9 remind potential applicants that in is a prerequisite. points). The Secretary evaluates the reviewing applications in any (b) Objectives (9 points). The quality of key personnel the applicant discretionary grant competition, the Secretary evaluates the quality of the plans to use on the project on the basis Secretary may consider, under 34 CFR applicant’s objectives and proposed of the following: 75.217(d)(3), the past performance of the targets (percentages) in the following (1)(i) The job qualifications of the applicant in carrying out a previous areas on the basis of the extent to which project director. award, such as the applicant’s use of they are both ambitious, as related to the (ii) The job qualifications of each of funds, achievement of project need data provided under paragraph (a) the project’s other key personnel. objectives, and compliance with grant (iii) The quality of the project’s plan of this section, and attainable, given the conditions. The Secretary may also for employing highly qualified persons, project’s plan of operation, budget, and consider whether the applicant failed to including the procedures to be used to other resources— submit a timely performance report or (1) (2 points) Research or scholarly employ members of groups submitted a report of unacceptable activity. underrepresented in higher education, quality. (2) (3 points) Enrollment in a graduate including Blacks, Hispanics, American In addition, in making a competitive program. Indians, Alaska Natives, Asian grant award, the Secretary also requires (3) (2 points) Continued enrollment in Americans and Pacific Islanders various assurances including those graduate study. (including Native Hawaiians). applicable to Federal civil rights laws (4) (2 points) Doctoral degree (2) In evaluating the qualifications of that prohibit discrimination in programs attainment. a person, the Secretary considers his or or activities receiving Federal financial (c) Plan of Operation (44 points). The her experience and training in fields assistance from the Department of Secretary reviews each application to related to the objectives of the project. Education (34 CFR 100.4, 104.5, 106.4, determine the quality of the applicant’s (e) Adequacy of the resources and 108.8, and 110.23). plans of operation, including— budget (15 points). The Secretary For this competition, a panel of non- (1) (4 points) The plan for identifying, evaluates the extent to which— Federal reviewers will review each (1) The applicant’s proposed recruiting and selecting participants to application in accordance with the allocation of resources in the budget is be served by the project, including selection criteria in 34 CFR 647.21 and clearly related to the objectives of the students enrolled in the Student the competitive preference priority. The project; individual scores of the reviewers will Support Services program; (2) Project costs and resources, (2) (4 points) The plan for assessing be added and the sum divided by the including facilities, equipment, and individual participant needs and for number of reviewers to determine the supplies, are reasonable in relation to monitoring the academic growth of peer review score received in the review the objectives and scope of the project; participants during the period in which process. Additionally, in accordance and with 34 CFR 647.22, the Secretary will the student is a McNair participant; (3) The applicant’s proposed award prior experience points to (3) (5 points) The plan for providing commitment of institutional resources applicants that conducted a McNair high quality research and scholarly to the McNair participants, as for Program project during budget periods activities in which participants will be example, the commitment of time from 2013–14, 2014–15, and 2015–16, based involved; institutional research faculty and the on their documented experience. Prior (4) (5 points) The plan for involving waiver of tuition and fees for McNair experience points, if any, will be added faculty members in the design of participants engaged in summer to the application’s average reader score research activities in which students research projects. will be involved; (f) Evaluation plan (7 points). The to determine the total score for each (5) (5 points) The plan for providing Secretary evaluates the quality of the application. internships, seminars, and other evaluation plan for the project on the If there are insufficient funds for all educational activities designed to basis of the extent to which the applications with the same total scores, prepare undergraduate students for applicant’s methods of evaluation— the Secretary will choose among the tied doctoral study; (1) Are appropriate to the project’s applications so as to serve geographic (6) (5 points) The plan for providing objectives; areas and eligible populations that have individual or group services designed to (2) Provide for the applicant to been underserved by the McNair enhance a student’s successful entry determine, in specific and measurable Program. into postbaccalaureate education; ways, the success of the project in— 3. Risk Assessment and Special (7) (3 points) The plan to inform the (i) Making progress toward achieving Conditions: Consistent with 2 CFR institutional community of the goals its objectives (a formative evaluation); 200.205, before awarding grants under and objectives of the project; and this competition the Department (8) (8 points) The plan to ensure (ii) Achieving its objectives at the end conducts a review of the risks posed by proper and efficient administration of of the project period (a) summative applicants. Under 2 CFR 3474.10, the the project, including, but not limited evaluation); and Secretary may impose special to, matters such as financial (3) Provide for a description of other conditions and, in appropriate management, student records project outcomes, including the use of circumstances, high-risk conditions on a management, personnel management, quantifiable measures, if appropriate. grant if the applicant or grantee is not the organizational structure, and the (g) Quality of project design (5 financially stable; has a history of plan for coordinating the McNair project points). The Secretary considers the unsatisfactory performance; has a

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financial or other management system necessary processes and systems to Telephone: (202) 453–7311 or by email: that does not meet the standards in 2 comply with the reporting requirements [email protected]. CFR part 200, subpart D; has not in 2 CFR part 170 should you receive If you use a TDD or a TTY, call the fulfilled the conditions of a prior grant; funding under the competition. This FRS, toll free, at 1–800–877–8339. or is otherwise not responsible. does not apply if you have an exception VIII. Other Information 4. Integrity and Performance System: under 2 CFR 170.110(b). If you are selected under this (b) At the end of your project period, Accessible Format: Individuals with competition to receive an award that you must submit a final performance disabilities can obtain this document over the course of the project period report, including financial information, and a copy of the application package in may exceed the simplified acquisition as directed by the Secretary. If you an accessible format (e.g., braille, large threshold (currently $150,000), under 2 receive a multiyear award, you must print, audiotape, or computer disc) on CFR 200.205(a)(2) we must make a submit an annual performance report request to the program contact person judgment about your integrity, business that provides the most current listed under FOR FURTHER INFORMATION ethics, and record of performance under performance and financial expenditure CONTACT in section VII of this notice. Electronic Access to This Document: Federal awards—that is, the risk posed information as directed by the Secretary The official version of this document is by you as an applicant—before we make under 34 CFR 75.118. The Secretary the document published in the Federal an award. In doing so, we must consider may also require more frequent Register. Free Internet access to the any information about you that is in the performance reports under 34 CFR official edition of the Federal Register integrity and performance system 75.720(c). For specific requirements on and the Code of Federal Regulations is (currently referred to as the Federal reporting, please go to www.ed.gov/ available via the Federal Digital System Awardee Performance and Integrity fund/grant/apply/appforms/ at: www.gpo.gov/fdsys. At this site you Information System (FAPIIS)), appforms.html. accessible through SAM. You may can view this document, as well as all (c) Under 34 CFR 75.250(b), the other documents of this Department review and comment on any Secretary may provide a grantee with information about your institution that published in the Federal Register, in additional funding for data collection text or PDF. To use PDF you must have a Federal agency previously entered and analysis and reporting. In this case the that is currently in FAPIIS. Adobe Acrobat Reader, which is Secretary establishes a data collection available free at this site. Please note that, if the total value of period. your currently active grants, cooperative You may also access documents of the 4. Performance Measures: The success Department published in the Federal agreements, and procurement contracts of the McNair Program will be measured from the Federal Government exceeds Register by using the article search by the McNair Program participants’ feature at: www.federalregister.gov. $10,000,000, the reporting requirements success in completing research and in 2 CFR part 200, Appendix XII, Specifically, through the advanced participation in scholarly activities, feature at this site, you can limit your require you to report certain integrity enrollment in a graduate program, information to FAPIIS semiannually. search to documents published by the continued enrollment in graduate study, Department. Please review the requirements in 2 CFR and the attainment of a doctoral degree. part 200, Appendix XII, if this grant All McNair Program grantees will be Dated: February 15, 2017. plus all the other Federal funds you required to submit an annual Linda Byrd-Johnson, receive exceed $10,000,000. performance report. Acting Deputy Assistant Secretary, Higher 5. Continuation Awards: In making a Education Programs, and Senior Director, VI. Award Administration Information Student Service. 1. Award Notices: If your application continuation award under 34 CFR 75.253, the Secretary considers, among [FR Doc. 2017–03366 Filed 2–17–17; 8:45 am] is successful, we notify your U.S. BILLING CODE 4000–01–P Representative and U.S. Senators and other things: Whether a grantee has send you a Grant Award Notification made substantial progress in achieving the goals and objectives of the project; (GAN); or we may send you an email DEPARTMENT OF EDUCATION containing a link to access an electronic whether the grantee has expended funds version of your GAN. We may notify in a manner that is consistent with its Application for New Awards; National you informally, also. approved application and budget; and, Professional Development Program If your application is not evaluated or if the Secretary has established AGENCY: Office of English Language not selected for funding, we notify you. performance management requirements, Acquisition, Department of Education. 2. Administrative and National Policy the performance targets in the grantee’s Requirements: We identify approved application. ACTION: Notice. administrative and national policy In making a continuation grant, the Secretary also considers whether the Overview Information: requirements in the application package National Professional Development grantee is operating in compliance with and reference these and other Program. requirements in the Applicable the assurances in its approved Notice inviting applications for new Regulations section of this notice. application, including those applicable awards for fiscal year (FY) 2017. We reference the regulations outlining to Federal civil rights laws that prohibit Catalog of Federal Domestic the terms and conditions of an award in discrimination in programs or activities Assistance (CFDA) Number: 84.365Z. receiving Federal financial assistance the Applicable Regulations section of DATES: this notice and include these and other from the Department (34 CFR 100.4, Applications Available: February 21, specific conditions in the GAN. The 104.5, 106.4, 108.8, and 110.23). 2017. GAN also incorporates your approved VII. Agency Contact Deadline for Notice of Intent to Apply: application as part of your binding March 13, 2017. commitments under the grant. FOR FURTHER INFORMATION CONTACT: Deadline for Transmittal of 3. Reporting: (a) If you apply for a Carmen Gordon, U.S. Department of Applications: April 24, 2017. grant under this competition, you must Education, 400 Maryland Avenue SW., Deadline for Intergovernmental ensure that you have in place the Room 5C111, Washington, DC 20202. Review: June 21, 2017.

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Full Text of Announcement programs, to elementary school evaluations will help ensure that I. Funding Opportunity Description programs. projects funded under the NPD program Background: are part of a learning agenda that Purpose of Program: The National Educator effectiveness is the most expands the knowledge base on Professional Development (NPD) important in-school factor affecting effective EL practices to ultimately program, authorized by section student achievement and success.1 The enable all ELs to achieve postsecondary 3131(c)(1)(C) of the Elementary and NPD program is a Federal grant program and career success. Secondary Education Act of 1965 as that offers professional development For the FY 2017 NPD competition, the amended by the Every Student Succeeds specifically for educators of ELs. Department is particularly interested in Act (hereafter in this notice referred to Through its competitions, the NPD supporting projects that improve as the ESEA), awards grants on a program intends to improve the parental, family, and community competitive basis, for a period of not academic achievement of ELs by engagement. Literature suggests that more than five years, to institutions of supporting pre-service and inservice educators who involve families in their higher education (IHEs) or public or practices for teachers and other staff, children’s education can strengthen private entities with relevant experience including school leaders, working with their instructional effectiveness with and capacity, in consortia with State ELs. ELs.23 Providing professional educational agencies (SEAs) or local Through previous competitions, the development that enhances educators’ educational agencies (LEAs). The NPD program has funded a range of abilities to build meaningful purpose of these grants is to provide grantees that are currently relationships with students’ families professional development activities that implementing 121 projects across the may also support students’ learning at will improve classroom instruction for country. As the EL population continues home. Accordingly, this notice includes English learners (ELs) and assist to grow, it has become increasingly a competitive preference priority related educational personnel working with important to identify and support to improving parent, family, and such children to meet high professional practices implemented by educators of community engagement. standards, including standards for ELs that effectively improve student The Department is also interested in certification and licensure as teachers learning outcomes. supporting dual language acquisition who work in language instruction However, there are limited studies approaches that are effective in educational programs or serve ELs. that provide evidence about how to best developing biliteracy skills. Evidence Grants awarded under this program prepare and support educators of ELs in suggests that students who are biliterate may be used— ways that will ultimately improve have certain cognitive and social (1) For effective pre-service or student learning and outcomes. The benefits compared to their monolingual inservice professional development existing studies that the Department has peers. Further, recent research 4 suggests programs that will improve the identified typically do not meet the that despite initial lags, students in qualifications and skills of educational highest standards for rigor, and largely well-implemented dual language personnel involved in the education of focus on professional development for programs eventually perform equal to or ELs, including personnel who are not in-service teachers; few focused on better than their counterparts in certified or licensed and educational preparation for pre-service teachers. English-only programs. paraprofessionals, and for other Nonetheless, the body of evidence on In addition, we recognize that activities to increase teacher and school effective language, literacy, and content linguistic and cultural diversity is an leader effectiveness in meeting the instruction for ELs, including specific asset, and that dual language needs of ELs; instructional practices for English approaches may also enhance the (2) For the development of program language acquisition, is growing preservation of heritage languages and curricula appropriate to the needs of the steadily, as documented by the 2014 cultures. These approaches may be consortia participants involved; What Works Clearinghouse (WWC) particularly impactful for diverse (3) To support strategies that Practice Guide for teaching ELs, populations of ELs, such as immigrant strengthen and increase parent, family, available at: http://ies.ed.gov/ncee/wwc/ children and youth and Native and community member engagement in PracticeGuide.aspx?sid=19. To American students. the education of ELs; encourage the use of evidence to Finally, we are interested in the development of the early learning (4) To develop, share, and increase the effectiveness of projects workforce. In this competition, we disseminate effective practices in the funded by NPD, the Department has encourage pre-service preparation for instruction of ELs and in increasing the included a competitive preference early learning educators so that they can student academic achievement of ELs, priority for projects designed to improve successfully support ELs. Because the including the use of technology-based academic outcomes for ELs using foundational knowledge of programs; strategies supported by moderate developmental learning and language (5) In conjunction with other Federal evidence of effectiveness (as defined in need-based student financial assistance this document). 2 Chen, C., Kyle, D.W., and McIntyre, M. (2008). programs, for financial assistance, In addition, in order to increase the including costs related to tuition, fees, Helping teachers work effectively with English body of evidence available to inform language learners and their families. The School and books for enrolling in courses improved instruction for ELs, we Community Journal, 18 (1), 7–20. required to complete the degree encourage NPD applicants to propose 3 Waterman, R. and Harry, B. (2008). Building involved, to meet certification or projects that include a rigorous Collaboration Between Schools and Parents of licensing requirements for teachers who English Language Learners: Transcending Barriers, evaluation of proposed activities that, if Creating Opportunities. Tempe, AZ: National work in language instruction well-implemented, would meet the Center for Culturally Responsive Educational educational programs or serve ELs; and WWC Evidence Standards with Systems. (6) As appropriate, to support 4 Valentino, R.A., and Reardon, S.F. (2015). reservations. We believe that such strategies that promote school readiness Effectiveness of four instructional programs designed to serve English language learners: of ELs and their transition from early 1 Caldero´n, M., Slavin, R., and Sa´nchez, M. Variation by ethnicity and initial English childhood education programs, such as (2011). Effective instruction for English learners. proficiency. Educational Evaluation and Policy Head Start or State-run preschool Future of Children, 21(1), 103–127. Analysis, doi: 10.3102/0162373715573310.

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acquisition skills applies across all Competitive Preference Priority 1— Learning Content to All Levels of levels of teaching ELs, including at the Moderate Evidence of Effectiveness (0 or Teacher Preparation. secondary level, we also encourage 5 points). We encourage applicants to propose projects that will include this Projects that are supported by projects that improve the quality and knowledge building for educators at all moderate evidence of effectiveness (as effectiveness of the early learning levels. defined in this notice). workforce, including administrators, so Priorities: This notice includes one Competitive Preference Priority 2— that they have the necessary knowledge, absolute priority, two competitive Improving Parent, Family, and skills, and abilities to improve ELs’ preference priorities, and two Community Engagement (up to 5 cognitive, health, social-emotional, and invitational priorities. The absolute points). dual language development. Early priority is from section 3131 of the Projects that are designed to improve learning programs are designed to ESEA (20 U.S.C. 6861). Competitive student outcomes through one or more improve early learning and Preference Priority 1 is from 34 CFR of the following: development outcomes across one or 75.226. Competitive Preference Priority (a) Developing and implementing more of the essential domains of school 2 is from the Department’s notice of systemic initiatives (as defined in this readiness (as defined in this notice) for final supplemental priorities and notice) to improve parent and family children from birth through third grade definitions (Supplemental Priorities), engagement (as defined in this notice) (or for any age group within this range). published in the Federal Register on by expanding and enhancing the skills, Further, we encourage applicants to December 10, 2014 (79 FR 73425). strategies, and knowledge (including include in such projects these Absolute Priority: For FY 2017 and techniques or use of technological tools foundational professional learning any subsequent year in which we make needed to effectively communicate, domains for educators at all levels of awards from the list of unfunded advocate, support, and make informed teaching, including secondary applicants from this competition, this decisions about the student’s education) preparation. Definitions: The following definitions priority is an absolute priority. Under 34 of parents and families. are from 34 CFR 77.1, 34 CFR 200.6, the CFR 75.105(c)(3) we consider only (b) Providing professional Supplemental Priorities, sections 3201 applications that meet this priority. development that enhances the skills and 8101 of the ESEA (20 U.S.C. 7011 This priority is: and competencies of school or program and 7801), and section 101(a) of the leaders, principals, teachers, Providing Professional Development Higher Education Act of 1965 (HEA) (20 practitioners, or other administrative to Improve Instruction for English U.S.C. 1001), and apply to the priorities and support staff to build meaningful Learners. and selection criteria in this notice. The Under this priority we provide relationships with students’ parents or source of each definition is noted in funding to projects that provide families through systemic initiatives (as parentheses following the text of the professional development activities that defined in this notice) that may also definition. will improve classroom instruction for support students’ learning at home. Ambitious means promoting ELs and assist educational personnel (c) Implementing initiatives that continued, meaningful improvement for working with ELs to meet high improve community engagement (as program participants or for other professional standards, including defined in this notice), the relationships individuals or entities affected by the standards for certification and licensure between parents or families and school grant, or representing a significant as teachers who work in language or program staff by cultivating sustained advancement in the field of education instruction educational programs or partnerships (as defined in this notice). research, practices, or methodologies. serve ELs. Invitational Priorities: For FY 2017 When used to describe a performance Competitive Preference Priorities: For and any subsequent year in which we target, whether a performance target is FY 2017 and any subsequent year in make awards from the list of unfunded ambitious depends upon the context of which we make awards from the list of applicants from this competition, these the relevant performance measure and unfunded applications from this priorities are invitational priorities. the baseline for that measure. (34 CFR competition, these priorities are Under 34 CFR 75.105(c)(1) we do not 77.1) competitive preference priorities. Under give an application that meets these Baseline means the starting point 34 CFR 75.105(c)(2)(i), we award an invitational priorities a competitive or from which performance is measured additional five points to an application absolute preference over other and targets are set. (34 CFR 77.1) that meets competitive preference applications. Community engagement means the priority 1, and we award up to an Invitational Priority 1—Dual systematic inclusion of community additional five points to an application Language Approaches. organizations as partners with State depending on how well the application We encourage applicants to propose educational agencies, local educational meets competitive preference priority 2. projects to improve educator agencies, or other educational An application may be awarded up to a preparation and professional learning institutions, or their school or program maximum of 10 additional points under for dual language implementation staff to accomplish activities that may these competitive preference priorities. models to support effective instruction include developing a shared community Applicants may address none, one, or for ELs. In particular, we encourage vision, establishing a shared both of the competitive preference such approaches to take into account accountability agreement, participating priorities. An applicant must clearly the unique needs of recently arrived in shared data-collection and analysis, identify in the project abstract and the limited English proficient students, or establishing community networks project narrative section of its immigrant children and youth, and that are focused on shared community- application the competitive preference Native American students, who are level outcomes. These organizations priority or priorities it wishes the members of Federally recognized Indian may include faith- and community- Department to consider for purposes of tribes. based organizations, institutions of earning competitive preference priority Invitational Priority 2—Supporting higher education (including minority- points. the Early Learning Workforce to Serve serving institutions eligible to receive These priorities are: ELs and Apply the Same Developmental aid under Title III or Title V of the

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Higher Education Act of 1965), and attaining English proficiency, while Note: Multiple studies can cumulatively businesses and industries, labor meeting challenging State academic meet the large and multi-site sample organizations, State and local standards; and, requirements as long as each study government entities, or Federal entities (B) That may make instructional use meets the other requirements in this other than the Department. of both English and a child’s native paragraph. (Supplemental Priorities) language to enable the child to develop Multi-site sample means more than English learner means an individual and attain English proficiency, and may one site, where site can be defined as an who is limited English proficient (LEP), include the participation of English LEA, locality, or State. (34 CFR 77.1) which, by statute, means an proficient children if such course is Parent and family engagement means individual— designed to enable all participating the systematic inclusion of parents and (A) Who is aged 3 through 21; children to become proficient in English families, working in partnership with (B) Who is enrolled or preparing to and a second language. (Section 3201 of SEAs, State lead agencies (under Part C enroll in an elementary school or the ESEA) of the Individuals with Disabilities secondary school; Large sample means an analytic Education Act (IDEA) or the State’s Race (C)(i) Who was not born in the United sample of 350 or more students (or other to the Top-Early Learning Challenge States or whose native language is a single analysis units), or 50 or more grant), LEAs, or other educational language other than English; groups (such as classrooms or schools) institutions, or their staff, in their (ii)(I) Who is a Native American or that contain 10 or more students (or child’s education, which may include Alaska Native, or a Native resident of other single analysis units). (34 CFR strengthening the ability of (A) parents the outlying areas; and 77.1) and families to support their child’s (II) Who comes from an environment Logic model (also referred to as theory education; and (B) school or program where a language other than English has of action) means a well-specified staff to work with parents and families. had a significant impact on the conceptual framework that identifies (Supplemental Priorities) individual’s level of English language key components of the proposed Recently arrived limited English proficiency; or process, product, strategy, or practice proficient student is a student with (iii) Who is migratory, whose native (i.e., the active ‘‘ingredients’’ that are limited English proficiency who has language is a language other than hypothesized to be critical to achieving attended schools in the United States for English, and who comes from an the relevant outcomes) and describes less than twelve months. The phrase environment where a language other the relationships among the key ‘‘schools in the United States’’ includes than English is dominant; and components and outcomes, theoretically only schools in the 50 States and the (D) Whose difficulties in speaking, and operationally. (34 CFR 77.1.) District of Columbia. (34 CFR Moderate evidence of effectiveness reading, writing, or understanding the 200.6(b)(4)(iv)) means one of the following conditions English language may be sufficient to Relevant outcome means the student deny the individual— is met: (A) There is at least one study of the outcome(s) (or the ultimate outcome if (i) The ability to meet challenging not related to students) the proposed State academic standards; effectiveness of the process, product, strategy, or practice being proposed that process, product, strategy, or practice is (ii) The ability to successfully achieve designed to improve; consistent with in classrooms where the language of meets the What Works Clearinghouse Evidence Standards without the specific goals of a program. (34 CFR instruction is English; or 77.1) (iii) The opportunity to participate reservations, found a statistically significant favorable impact on a Strong theory means a rationale for fully in society. (Section 8101 of the the proposed process, product, strategy, ESEA) relevant outcome (with no statistically significant and overriding unfavorable or practice that includes a logic model Essential domains of school readiness (as defined in this notice). (34 CFR 77.1) means the domains of language and impacts on that outcome for relevant literacy development, cognition and populations in the study or in other Note: Applicants may use resources such general knowledge (including early studies of the intervention reviewed by as the Pacific Education Laboratory’s mathematics and early scientific and reported on by the What Works Education Logic Model Application (http:// Clearinghouse), and includes a sample relpacific.mcrel.org/resources/elm-app) to development), approaches toward help design their logic models. learning (including the utilization of the that overlaps with the populations or arts), physical well-being and motor settings proposed to receive the process, Student achievement means—For development (including adaptive skills), product, strategy, or practice. grades and subjects in which and social and emotional development. (B) There is at least one study of the assessments are required under section (Supplemental Priorities) effectiveness of the process, product, 1111(b)(3) of the ESEA: (1) A student’s Immigrant children and youth means strategy, or practice being proposed that score on such assessments; and, as individuals who meets the What Works Clearinghouse appropriate (2) other measures of (A) Are aged 3 through 21; Evidence Standards with reservations, student learning, such as those (B) Were not born in any State; and found a statistically significant favorable described in the subsequent paragraph, (C) Have not been attending one or impact on a relevant outcome (with no provided that they are rigorous and more schools in any one or more States statistically significant and overriding comparable across schools within an for more than 3 full academic years. unfavorable impacts on that outcome for LEA. (Section 3201 of the ESEA) relevant populations in the study or in For grades and subjects in which Institution of higher education has the other studies of the intervention assessments are not required under meaning given that term in Section reviewed by and reported on by the section 1111(b)(3) of the ESEA: (1) 101(a) of the Higher Education Act of What Works Clearinghouse), includes a Alternative measures of student learning 1965. sample that overlaps with the and performance, such as student Language instruction educational populations or settings proposed to results on pre-tests, end-of-course tests, program means an instruction course— receive the process, product, strategy, or and objective performance-based (A) In which an English learner is practice, and includes a large sample assessments; (2) student learning placed for the purpose of developing and a multi-site sample. (34 CFR 77.1) objectives; (3) student performance on

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English language proficiency Estimated Available Funds: The Accessible Format in section VIII of this assessments; and (4) other measures of Further Continuing and Security notice. student achievement that are rigorous Assistance Appropriations Act, 2017, 2. a. Content and Form of Application and comparable across schools within would provide, on an annualized basis, Submission: Requirements concerning an LEA (Supplemental Priorities). Note: $735,998,203, of which we intend to use the content of an application, together The ESEA’s provisions on required an estimated $20,000,000 for this with the forms you must submit, are in academic assessment are, as a result of competition. The actual level of the application package for this the ESEA’s amendment by the Every funding, if any, depends on final competition. Student Succeeds Act, found at section congressional action. However, we are Notice of Intent to Apply: March 13, 1111(b)(2) rather than 1111(b)(3). inviting applications to allow enough 2017. Sustained partnership means a time to complete the grant process if We will be able to develop a more relationship that has demonstrably Congress appropriated funds for this efficient process for reviewing grant adequate resources and other support to program. Contingent upon the applications if we know the continue beyond the funding period and availability of funds and the quality of approximate number of applicants that that consist of community organizations applications, we may make additional intend to apply for funding under this as partners with an LEA and one or awards in FY 2018 or later years from competition. Therefore, the Secretary more of its schools. These organizations the list of unfunded applicants from this strongly encourages each potential may include faith- and community- competition. applicant to notify us of the applicant’s based organizations, IHEs (including Estimated Range of Awards: intent to submit an application by minority-serving institutions eligible to $350,000–550,000. emailing [email protected] with the receive aid under title III or title V of the Estimated Average Size of Awards: subject line ‘‘Intent to Apply’’ and Higher Education Act of 1965), $450,000. include in the content of the email the businesses and industries, labor Maximum Award: $550,000 per year. following information: (1) The applicant organizations, State and local Estimated Number of Awards: 44. organization’s name and address, and government entities, or Federal entities Note: The Department is not bound by any (2) any competitive preference priority other than the Department. estimates in this notice. or priorities and invitational priority or (Supplemental Priorities) Project Period: 60 months. priorities the applicant is addressing in Systemic initiative means a policy, the application. Applicants that do not program, or activity that includes parent III. Eligibility Information provide notice of their intent to apply and family engagement as a core 1. Eligible Applicants: Entities eligible may still submit an application. component and is designed to meet to apply for NPD grants are IHEs, or Page Limit: The application narrative critical educational goals, such as public or private entities with relevant (Part III of the application) is where you, school readiness, student achievement, experience and capacity, in consortia the applicant, address the selection and school turnaround. (Supplemental with LEAs or SEAs. criteria that reviewers use to evaluate Priorities) 2. Cost Sharing or Matching: This your application. We recommend that What Works Clearinghouse Evidence program does not require cost sharing or you limit the application narrative to no Standards means the standards set forth matching. more than 35 pages. Applicants are also in the What Works Clearinghouse strongly encouraged not to include IV. Application and Submission Procedures and Standards Handbook lengthy appendices that contain Information (Version 3.0, March 2014), which can be information that they were unable to found at the following link: http:// 1. Address to Request Application include within the page limits for the ies.ed.gov/ncee/wwc/ Package: You can obtain an application narrative. DocumentSum.aspx?sid=19. (34 CFR package via the Internet or from the Applicants must use the following 77.1) Education Publications Center (ED standards: • ″ ″ Program Authority: 20 U.S.C. 6861. Pubs). To obtain a copy via the Internet, A ‘‘page’’ is 8.5 x 11 , on one side only, with 1″ margins at the top, bottom, Applicable Regulations: (a) The use the following address: www.ed.gov/ and both sides. Education Department General fund/grant/apply/grantapps/index.html. • Double space (no more than three Administrative Regulations (EDGAR) in To obtain a copy from ED Pubs, write, lines per vertical inch) all text in the 34 CFR parts 75, 77, 79, 81, 82, 84, 86, fax, or call: ED Pubs, U.S. Department application narrative, including titles, 97, 98, and 99. (b) The Office of of Education, P.O. Box 22207, headings, footnotes, quotations, Management and Budget Guidelines to Alexandria, VA 22304. Telephone, toll free: 1–877–433–7827. FAX: (703) 605– references, and captions. Agencies on Government-wide • Debarment and Suspension 6794. If you use a telecommunications Use a font that is either 12 point or (Nonprocurement) in 2 CFR part 180, as device for the deaf (TDD) or a text larger or no smaller than 10 pitch telephone (TTY), call, toll free: 1–877– (characters per inch). adopted and amended as regulations of • the Department in 2 CFR part 3485. (c) 576–7734. Use one of the following fonts: The Uniform Administrative You can contact ED Pubs at its Web Times New Roman, Courier, Courier Requirements, Cost Principles, and site, also: www.EDPubs.gov or at its New, or Arial. Audit Requirements for Federal Awards email address: [email protected]. The page limit for the application in 2 CFR part 200, as adopted and If you request an application package does not apply to Part I, the cover sheet; amended in 2 CFR part 3474. (d) The from ED Pubs, be sure to identify this Part II, the budget section, including the Supplemental Priorities. program or competition as follows: narrative budget justification; Part IV, CFDA 84.365Z. the assurances and certifications; or the Note: The regulations in 34 CFR part 86 Individuals with disabilities can one-page abstract, the bibliography, or apply to IHEs only. obtain a copy of the application package the letters of support of the application. in an accessible format (e.g., braille, However, the page limit does apply to II. Award Information large print, audiotape, or compact disc) all of the application narrative section Type of Award: Discretionary grants. by contacting the person listed under [Part III] of the application.

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b. Submission of Proprietary the Department provides an We strongly recommend that you Information: Given the types of projects accommodation or auxiliary aid to an register early. that may be proposed in applications for individual with a disability in Note: Once your SAM registration is active, the NPD program, your application may connection with the application it may be 24 to 48 hours before you can include business information that you process, the individual’s application access the information in, and submit an consider proprietary. In 34 CFR 5.11 we remains subject to all other application through, Grants.gov. define ‘‘business information’’ and requirements and limitations in this If you are currently registered with describe the process we use in notice. SAM, you may not need to make any Deadline for Intergovernmental determining whether any of that changes. However, please make certain Review: June 21, 2017. information is proprietary and, thus, that the TIN associated with your DUNS 4. Intergovernmental Review: This protected from disclosure under number is correct. Also note that you competition is subject to Executive Exemption 4 of the Freedom of will need to update your registration Order 12372 and the regulations in 34 Information Act (5 U.S.C. 552, as annually. This may take three or more CFR part 79. Information about amended). business days. Consistent with the process followed Intergovernmental Review of Federal Information about SAM is available at in the prior NPD competitions, we may Programs under Executive Order 12372 www.SAM.gov. To further assist you post the project narrative section of is in the application package for this with obtaining and registering your funded NPD applications on the competition. DUNS number and TIN in SAM or Department’s Web site so you may wish 5. Funding Restrictions: We reference updating your existing SAM account, to request confidentiality of business regulations outlining funding we have prepared a SAM.gov Tip Sheet, information. Identifying proprietary restrictions in the Applicable which you can find at: www2.ed.gov/ information in the submitted Regulations section of this notice. fund/grant/apply/sam-faqs.html. application will help facilitate this 6. Data Universal Numbering System In addition, if you are submitting your public disclosure process. Number, Taxpayer Identification Consistent with Executive Order Number, and System for Award application via Grants.gov, you must (1) 12600, please designate in your Management: To do business with the be designated by your organization as an application any information that you Department of Education, you must— Authorized Organization Representative believe is exempt from disclosure under a. Have a Data Universal Numbering (AOR); and (2) register yourself with Exemption 4. In the appropriate System (DUNS) number and a Taxpayer Grants.gov as an AOR. Details on these Appendix section of your application, Identification Number (TIN); steps are outlined at the following under ‘‘Other Attachments Form,’’ b. Register both your DUNS number Grants.gov Web page: www.grants.gov/ please list the page number or numbers and TIN with the System for Award web/grants/register.html. 7. Other Submission Requirements: on which we can find this information. Management (SAM) (formerly the Applications for grants for the NPD For additional information please see 34 Central Contractor Registry), the program must be submitted CFR 5.11(c). Government’s primary registrant 3. Submission Dates and Times: database; electronically unless you qualify for an Notice of Intent to Apply: March 13, c. Provide your DUNS number and exception to this requirement in 2017. TIN on your application; and accordance with the instructions in this Informational Meetings: The NPD d. Maintain an active SAM section. program intends to hold Webinars registration with current information a. Electronic Submission of designed to provide technical assistance while your application is under review Applications. to interested applicants. Detailed by the Department and, if you are Applications for grants under the NPD information regarding these meetings awarded a grant, during the project program, CFDA number 84.365Z, must will be provided on the NPD Web site period. be submitted electronically using the at http://www2.ed.gov/programs/nfdp/ You can obtain a DUNS number from Grants.gov Apply site (Grants.gov). applicant.html. Dun and Bradstreet at the following Through this site, you will be able to Deadline for Transmittal of Web site: http://fedgov.dnb.com/ download a copy of the application Applications: April 24, 2017. webform. A DUNS number can be package, complete it offline, and then Applications for grants under this created within one to two business days. upload and submit your application. competition must be submitted If you are a corporate entity, agency, You may not email an electronic copy electronically using the Grants.gov institution, or organization, you can of a grant application to us. application site. For information obtain a TIN from the Internal Revenue We will reject your application if you (including dates and times) about how Service. If you are an individual, you submit it in paper format unless, as to submit your application can obtain a TIN from the Internal described elsewhere in this section, you electronically, or in paper format by Revenue Service or the Social Security qualify for one of the exceptions to the mail or hand delivery if you qualify for Administration. If you need a new TIN, electronic submission requirement and an exception to the electronic please allow two to five weeks for your submit, no later than two weeks before submission requirement, please refer to TIN to become active. the application deadline date, a written Other Submission Requirements in The SAM registration process can take statement to the Department that you section IV of this notice. approximately seven business days, but qualify for one of these exceptions. We do not consider an application may take upwards of several weeks, Further information regarding that does not comply with the deadline depending on the completeness and calculation of the date that is two weeks requirements. accuracy of the data you entered into before the application deadline date is Individuals with disabilities who the SAM database. Thus, if you think provided later in this section under need an accommodation or auxiliary aid you might want to apply for Federal Exception to Electronic Submission in connection with the application financial assistance under a program Requirement. process should contact the person listed administered by the Department, please You may access the electronic grant under FOR FURTHER INFORMATION allow sufficient time to obtain and application for the NPD program at CONTACT in section VII of this notice. If register your DUNS number and TIN. www.Grants.gov. You must search for

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the downloadable application package • You must submit all documents only, PDF; failure to submit a required for this competition by the CFDA electronically, including all information part of the application; or failure to meet number. Do not include the CFDA you typically provide on the following applicant eligibility requirements. It is number’s alpha suffix in your search forms: the Application for Federal your responsibility to ensure that your (e.g., search for 84.365, not 84.365Z). Assistance (SF 424), the Department of submitted application has met all of the Please note the following: Education Supplemental Information for Department’s requirements. • When you enter the Grants.gov site, SF 424, Budget Information—Non- • We may request that you provide us you will find information about Construction Programs (ED 524), and all original signatures on forms at a later submitting an application electronically necessary assurances and certifications. date. • through the site, as well as the hours of You must upload any narrative Application Deadline Date Extension operation. sections and all other attachments to • in Case of Technical Issues with the Applications received by your application as files in a read-only, Grants.gov System: If you are Grants.gov are date and time stamped. Portable Document Format (PDF). Do experiencing problems submitting your Your application must be fully not upload an interactive or fillable PDF application through Grants.gov, please uploaded and submitted and must be file (e.g., Word, Excel, WordPerfect, contact the Grants.gov Support Desk, date and time stamped by the etc.). If you upload a file type other than toll free, at 1–800–518–4726. You must Grants.gov system no later than 4:30:00 a read-only, PDF or submit a password- obtain a Grants.gov Support Desk Case p.m., Washington, DC time, on the protected file, we will not review that Number and must keep a record of it. application deadline date. Except as material. Please note that this could If you are prevented from otherwise noted in this section, we will result in your application not being electronically submitting your not accept your application if it is considered for funding because the received—that is, date and time application on the application deadline material in question—for example, the date because of technical problems with stamped by the Grants.gov system—after project narrative—is critical to a 4:30:00 p.m., Washington, DC time, on the Grants.gov system, we will grant you meaningful review of your proposal. For an extension until 4:30:00 p.m., the application deadline date. We do that reason it is important to allow Washington, DC time, the following not consider an application that does yourself adequate time to upload all business day to enable you to transmit not comply with the deadline material as PDF files. The Department your application electronically or by requirements. When we retrieve your will not convert material from other hand delivery. You also may mail your application from Grants.gov, we will formats to PDF. notify you if we are rejecting your • Your electronic application must application by following the mailing application because it was date and time comply with any page-limit instructions described elsewhere in this stamped by the Grants.gov system after requirements described in this notice. notice. 4:30:00 p.m., Washington, DC time, on • After you electronically submit If you submit an application after the application deadline date. your application, you will receive from 4:30:00 p.m., Washington, DC time, on • The amount of time it can take to Grants.gov an automatic notification of the application deadline date, please upload an application will vary receipt that contains a Grants.gov contact the person listed under FOR depending on a variety of factors, tracking number. This notification FURTHER INFORMATION CONTACT in including the size of the application and indicates receipt by Grants.gov only, not section VII of this notice and provide an the speed of your Internet connection. receipt by the Department. Grants.gov explanation of the technical problem Therefore, we strongly recommend that will also notify you automatically by you experienced with Grants.gov, along you do not wait until the application email if your application met all the with the Grants.gov Support Desk Case deadline date to begin the submission Grants.gov validation requirements or if Number. We will accept your process through Grants.gov. there were any errors (such as application if we can confirm that a • You should review and follow the submission of your application by technical problem occurred with the Education Submission Procedures for someone other than a registered Grants.gov system and that the problem submitting an application through Authorized Organization affected your ability to submit your Grants.gov that are included in the Representative, or inclusion of an application by 4:30:00 p.m., application package for this competition attachment with a file name that Washington, DC time, on the to ensure that you submit your contains special characters). You will be application deadline date. We will application in a timely manner to the given an opportunity to correct any contact you after we determine whether Grants.gov system. You can also find the errors and resubmit, but you must still your application will be accepted. Education Submission Procedures meet the deadline for submission of Note: The extensions to which we refer in pertaining to Grants.gov under News applications. this section apply only to the unavailability and Events on the Department’s G5 Once your application is successfully of, or technical problems with, the Grants.gov system home page at www.G5.gov. In validated by Grants.gov, the Department system. We will not grant you an extension addition, for specific guidance and will retrieve your application from if you failed to fully register to submit your procedures for submitting an Grants.gov and send you an email with application to Grants.gov before the application through Grants.gov, please a unique PR/Award number for your application deadline date and time or if the application. technical problem you experienced is refer to the Grants.gov Web site at: unrelated to the Grants.gov system. www.grants.gov/web/grants/applicants/ These emails do not mean that your apply-for-grants.html. application is without any disqualifying Exception to Electronic Submission • You will not receive additional errors. While your application may have Requirement: You qualify for an point value because you submit your been successfully validated by exception to the electronic submission application in electronic format, nor Grants.gov, it must also meet the requirement, and may submit your will we penalize you if you qualify for Department’s application requirements application in paper format, if you are an exception to the electronic as specified in this notice and in the unable to submit an application through submission requirement, as described application instructions. Disqualifying the Grants.gov system because–– elsewhere in this section, and submit errors could include, for instance, • You do not have access to the your application in paper format. failure to upload attachments in a read- Internet; or

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• You do not have the capacity to relying on this method, you should check replications of project activities or upload large documents to the with your local post office. strategies including information about Grants.gov system; We will not consider applications the effectiveness of the approach or and postmarked after the application strategies employed by the project. • No later than two weeks before the deadline date. (3) The extent to which the proposed application deadline date (14 calendar c. Submission of Paper Applications project is supported by strong theory (as days or, if the fourteenth calendar day by Hand Delivery. defined in this notice). before the application deadline date If you qualify for an exception to the (b) Quality of project personnel. (up to falls on a Federal holiday, the next electronic submission requirement, you 10 points). business day following the Federal (or a courier service) may deliver your The Secretary considers the quality of holiday), you mail or fax a written paper application to the Department by the personnel who will carry out the statement to the Department, explaining hand. You must deliver the original and proposed project. In determining the which of the two grounds for an two copies of your application by hand, quality of project personnel, the exception prevents you from using the on or before the application deadline Secretary considers the following Internet to submit your application. date, to the Department at the following factors: If you mail your written statement to address: U.S. Department of Education, (1) The extent to which the applicant the Department, it must be postmarked Application Control Center, Attention: encourages applications for employment no later than two weeks before the (CFDA Number 84.365Z), 550 12th from persons who are members of application deadline date. If you fax Street SW., Room 7039, Potomac Center groups that have traditionally been your written statement to the Plaza, Washington, DC 20202–4260. underrepresented based on race, color, Department, we must receive the faxed The Application Control Center national origin, gender, age, or disability statement no later than two weeks accepts hand deliveries daily between (2) The qualifications, including before the application deadline date. 8:00 a.m. and 4:30:00 p.m., Washington, relevant training and experience, of the Address and mail or fax your DC time, except Saturdays, Sundays, project director or principal statement to: Patrice Swann, U.S. and Federal holidays. investigator. Department of Education, 400 Maryland Note for Mail or Hand Delivery of (3) The qualifications, including Avenue SW., Room 5C144, Washington, Paper Applications: If you mail or hand relevant training and experience, of key DC 20202–6510. FAX: (202) 260–5496. deliver your application to the project personnel. Your paper application must be Department— (c) Quality of the management plan. submitted in accordance with the mail (1) You must indicate on the envelope (up to 25 points). or hand delivery instructions described and—if not provided by the The Secretary considers the quality of in this notice. Department—in Item 11 of the SF 424 the management plan for the proposed b. Submission of Paper Applications the CFDA number, including suffix project. In determining the quality of the by Mail. letter, if any, of the competition under management plan for the proposed If you qualify for an exception to the which you are submitting your project, the Secretary considers the electronic submission requirement, you application; and following factors: may mail (through the U.S. Postal (2) The Application Control Center (1) The adequacy of the management Service or a commercial carrier) your will mail to you a notification of receipt plan to achieve the objectives of the application to the Department. You of your grant application. If you do not proposed project on time and within must mail the original and two copies receive this notification within 15 budget, including clearly defined of your application, on or before the business days from the application responsibilities, timelines, and application deadline date, to the deadline date, you should call the U.S. milestones for accomplishing project Department at the following address: Department of Education Application tasks. U.S. Department of Education, Control Center at (202) 245–6288. (2) The extent to which the time Application Control Center, Attention: commitment of the project director and (CFDA Number 84.365Z), LBJ Basement V. Application Review Information principal investigator and other key Level 1, 400 Maryland Avenue SW., 1. Selection Criteria: The selection project personnel are appropriate and Washington, DC 20202–4260. criteria for this competition are from adequate to meet the objectives of the You must show proof of mailing section 34 CFR 75.210. The maximum proposed project. consisting of one of the following: score for all of these criteria is 100 (d) Quality of the project evaluation. (1) A legibly dated U.S. Postal Service points (not including competitive (up to 20 points). postmark. preference priority points). The The Secretary considers the quality of (2) A legible mail receipt with the maximum score for each criterion is the evaluation to be conducted of the date of mailing stamped by the U.S. indicated in parentheses. proposed project. In determining the Postal Service. (a) Quality of the project design. (up quality of the evaluation, the Secretary (3) A dated shipping label, invoice, or to 45 points). considers the following factors: receipt from a commercial carrier. The Secretary considers the quality of (1) The extent to which the methods (4) Any other proof of mailing the design of the proposed project. In of evaluation are thorough, feasible, and acceptable to the Secretary of the U.S. determining the quality of the design of appropriate to the goals, objectives, and Department of Education. the proposed project, the Secretary outcomes of the proposed project. If you mail your application through considers the following factors: (2) The extent to which the methods the U.S. Postal Service, we do not (1) The extent to which the goals, of evaluation will, if well implemented, accept either of the following as proof objectives, and outcomes to be achieved produce evidence about the project’s of mailing: by the proposed project are clearly effectiveness that would meet the What (1) A private metered postmark. specified and measurable. Works Clearinghouse Evidence (2) A mail receipt that is not dated by (2) The extent to which the design for Standards with reservations. the U.S. Postal Service. implementing and evaluating the (3) The extent to which the methods Note: The U.S. Postal Service does not proposed project will result in of evaluation will provide performance uniformly provide a dated postmark. Before information to guide possible feedback and permit periodic

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assessment of progress toward achieving 75.217(d)(3), the past performance of the VI. Award Administration Information intended outcomes. applicant in carrying out a previous 1. Award Notices: If your application (4) The extent to which the methods award, such as the applicant’s use of is successful, we notify your U.S. of evaluation will provide valid and funds, achievement of project Representative and U.S. Senators and reliable performance data on relevant objectives, and compliance with grant send you a Grant Award Notification outcomes. conditions. The Secretary may also (GAN). We may notify you informally, Note: The following are technical consider whether the applicant failed to also. assistance resources on evaluation: (1) WWC submit a timely performance report or If your application is not evaluated or Procedures and Standards Handbook: http:// submitted a report of unacceptable not selected for funding, we notify you. ies.ed.gov/ncee/wwc/references/idocviewer/ quality. 2. Administrative and National Policy doc.aspx?docid=19&tocid=1; and (2) IES/ In addition, in making a competitive Requirements: We identify NCEE Technical Methods papers: http:// grant award, the Secretary also requires ies.ed.gov/ncee/tech_methods. administrative and national policy various assurances including those requirements in the application package In addition, we invite applicants to applicable to Federal civil rights laws and reference these and other view two Webinar recordings that were that prohibit discrimination in programs requirements in the Applicable hosted by the Institute of Education or activities receiving Federal financial Regulations section of this notice. Sciences. The first Webinar addresses assistance from the Department of We reference the regulations outlining strategies for designing and executing Education (34 CFR 100.4, 104.5, 106.4, the terms and conditions of an award in well-designed quasi-experimental 108.8, and 110.23). the Applicable Regulations section of design studies. This Webinar is 3. Risk Assessment and Special this notice and include these and other available at: http://ies.ed.gov/ncee/wwc/ Conditions: Consistent with 2 CFR specific conditions in the GAN. The Multimedia.aspx?sid=23. The second 200.205, before awarding grants under GAN also incorporates your approved Webinar focuses on more rigorous this program the Department conducts a application as part of your binding evaluation designees, including review of the risks posed by applicants. commitments under the grant. strategies for designing and executing Under 2 CFR 3474.10, the Secretary may 3. Reporting: (a) If you apply for a randomized controlled trials. This impose special conditions and, in grant under this competition, you must Webinar is available at: http:// appropriate circumstances, high-risk ensure that you have in place the ies.ed.gov/ncee/wwc/ conditions on a grant if the applicant or necessary processes and systems to Multimedia.aspx?sid=18. grantee is not financially stable; has a comply with the reporting requirements 2. Review and Selection Process: The history of unsatisfactory performance; in 2 CFR part 170 should you receive Department will screen applications has a financial or other management funding under the competition. This that are submitted for NPD grants in system that does not meet the standards does not apply if you have an exception accordance with the requirements in in 2 CFR part 200, subpart D; has not under 2 CFR 170.110(b). this notice and determine which fulfilled the conditions of a prior grant; (b) At the end of your project period, applications meet the eligibility and or is otherwise not responsible. you must submit a final performance other requirements. Peer reviewers will 4. Integrity and Performance System: report, including financial information, review all eligible applications for NPD If you are selected under this as directed by the Secretary. If you grants that are submitted by the competition to receive an award that receive a multiyear award, you must established deadline. over the course of the project period submit an annual performance report Applicants should note, however, that may exceed the simplified acquisition that provides the most current we may screen for eligibility at multiple threshold (currently $150,000), under 2 performance and financial expenditure points during the competition process, CFR 200.205(a)(2) we must make a information as directed by the Secretary including before and after peer review; judgment about your integrity, business under 34 CFR 75.118. The Secretary applicants that are determined to be ethics, and record of performance under may also require more frequent ineligible will not receive a grant award Federal awards—that is, the risk posed performance reports under 34 CFR regardless of peer reviewer scores or by you as an applicant—before we make 75.720(c). For specific requirements on comments. If we determine that an NPD an award. In doing so, we must consider reporting, please go to http:// grant application does not meet an NPD any information about you that is in the www.ed.gov/fund/grant/apply/ requirement, the application will not be integrity and performance system appforms.html. considered for funding. (currently referred to as the Federal (c) The Secretary may provide a For NPD grant applications, the Awardee Performance and Integrity grantee with additional funding for data Department intends to conduct a two- Information System (FAPIIS)), collection, analysis, and reporting. In part review process to review and score accessible through SAM. You may this case the Secretary establishes a data all eligible applications. Content review and comment on any collection period. reviewers will review and score all information about yourself that a 4. Performance Measures: Under the eligible applications on the following Federal agency previously entered and Government Performance and Results three selection criteria: (a) Quality of the that is currently in FAPIIS. Act (GPRA), Federal departments and project design; (b) Quality of project Please note that, if the total value of agencies must clearly describe the goals personnel; and (c) Quality of the your currently active grants, cooperative and objectives of programs, identify management plan. These reviewers will agreements, and procurement contracts resources and actions needed to also review and score the second from the Federal Government exceeds accomplish goals and objectives, competitive preference priority. Peer $10,000,000, the reporting requirements develop a means of measuring progress reviewers with evaluation expertise will in 2 CFR part 200, Appendix XII, made, and regularly report on review and score selection criterion (d) require you to report certain integrity achievement. Quality of the project evaluation. information to FAPIIS semiannually. (a) Measures. The Department has We remind potential applicants that Please review the requirements in 2 CFR developed the following GPRA in reviewing applications in any part 200, Appendix XII, if this grant performance measures for evaluating the discretionary grant competition, the plus all the other Federal funds you overall effectiveness of the NPD Secretary may consider, under 34 CFR receive exceed $10,000,000. program:

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Measure 1: The number and collection, analysis, and reporting in Electronic Access to This Document: percentage of program participants who other projects or research. The official version of this document is complete the preservice program. Note: If the applicant does not have the document published in the Federal Completion is defined by the applicant experience with collection and reporting of Register. Free Internet access to the in the submitted application. performance data through other projects or official edition of the Federal Register Measure 2: The number and research, the applicant should provide other and the Code of Federal Regulations is percentage of program participants who evidence of capacity to successfully carry out available via the Federal Digital System complete the inservice program. data collection and reporting for its proposed at: www.gpo.gov/fdsys. At this site you Completion is defined by the applicant project. can view this document, as well as all in the submitted application. (d) Performance Reports. All grantees other documents of this Department Measure 3: The number and must submit an annual performance published in the Federal Register, in percentage of program completers, as report and final performance report with text or PDF. To use PDF you must have defined by the applicant under information that is responsive to these Adobe Acrobat Reader, which is measures 1 and 2, who are State performance measures. The Department available free at the site. certified, licensed, or endorsed in EL will consider this data in making annual You may also access documents of the instruction. continuation awards. Department published in the Federal Measure 4: The percentage of program (e) Department Evaluations. Register by using the article search completers who rate the program as Consistent with 34 CFR 75.591, grantees feature at: www.federalregister.gov. effective in preparing them to serve EL funded under this program shall comply Specifically, through the advanced students. with the requirements of any evaluation search feature at this site, you can limit Measure 5: The percentage of school of the program conducted by the your search to documents published by leaders, other educators, and employers Department or an evaluator selected by the Department. of program completers who rated the the Department. program as effective in preparing their Dated: February 15, 2017. 5. Continuation Awards: In making a teachers, or other educators, to serve Supreet Anand, continuation award under 34 CFR ELs or improve their abilities to serve Deputy Director Office of English Language 75.253, the Secretary considers, among ELs effectively. Acquisition. other things: Whether a grantee has Measure 6: For projects that received [FR Doc. 2017–03367 Filed 2–17–17; 8:45 am] made substantial progress in achieving competitive preference points for BILLING CODE 4000–01–P Competitive Priority 2, the percentage of the goals and objectives of the project; program completers who rated the whether the grantee has expended funds in a manner that is consistent with its program as effective, as defined by the DEPARTMENT OF ENERGY grantees, in increasing their knowledge approved application and budget; and, if the Secretary has established and skills related to parent, family, and National Coal Council community engagement. performance measurement (b) Baseline data. Applicants must requirements, the performance targets in AGENCY: Office of Fossil Energy, provide baseline (as defined in this the grantee’s approved application. Department of Energy. notice) data for each of the project In making a continuation award, the ACTION: Notice of open meetings. performance measures listed in (a) and Secretary also considers whether the explain how each proposed baseline grantee is operating in compliance with SUMMARY: This notice announces a data is related to program outcomes; or, the assurances in its approved meeting of the National Coal Council if the applicant has determined that application, including those applicable (NCC). The Federal Advisory Committee there are no established baseline data to Federal civil rights laws that prohibit Act requires that public notice of these for a particular performance measure, discrimination in programs or activities meetings be announced in the Federal explain why there is no established receiving Federal financial assistance Register. baseline and explain how and when, from the Department (34 CFR 100.4, DATES: Wednesday, March 15, 2017, during the project period, the applicant 104.5, 106.4, 108.8, and 110.23). 8:15 a.m. to 12:15 p.m. will establish a baseline for the VII. Agency Contact ADDRESSES: Sheraton Suites, Old Town performance measure. Alexandria; 801 N. Saint Asaph St.; (c) Performance measure targets. In FOR FURTHER INFORMATION CONTACT: Alexandria, VA 22314. Samuel Lopez, U.S. Department of addition, the applicant must propose in FOR FURTHER INFORMATION CONTACT: Education, 400 Maryland Avenue SW., its application annual targets for the Daniel Matuszak, U.S. Department of Room 5C152, Washington, DC 20202. measures listed in paragraph (a). Energy, 4G–036/Forrestal Building, Telephone: (202) 401–4300. FAX: (202) Applications must also include the 1000 Independence Avenue SW., 205–1229 or by email at NPD2017@ following information as directed under Washington, DC 20585–0001; ed.gov. 34 CFR 75.110(b): Telephone: 202–287–6915 (1) Why each proposed performance If you use a TDD or a TTY, call the target is ambitious (as defined in this Federal Relay Service, toll free, at 1– SUPPLEMENTARY INFORMATION: notice) yet achievable compared to the 800–877–8339. Purpose of the Council: The National Coal Council provides advice and baseline for the performance measure. VIII. Other Information (2) The data collection and reporting recommendations to the Secretary of methods the applicant would use and Accessible Format: Individuals with Energy on general policy matters why those methods are likely to yield disabilities can obtain this document relating to coal and the coal industry. reliable, valid, and meaningful and a copy of the application package in Purpose of Meeting: The 2017 Spring performance data; and an accessible format (e.g., braille, large Meeting of the National Coal Council. (3) The applicant’s capacity to collect print, audiotape, or compact disc) on Tentative Agenda: and report reliable, valid, and request to the program contact person 1. Call to order and opening remarks by meaningful performance data, as listed under FOR FURTHER INFORMATION Mike Durham, Chair, National Coal evidenced by high-quality data CONTACT in section VII of this notice. Council

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2. Remarks by U.S. Department of DEPARTMENT OF ENERGY 2.8-megawatt powerhouse was to be Energy Representative—TBD constructed at the Pit 3 Dam. 3. Presentation by Andy Roberts. Federal Energy Regulatory l. Locations of the Applications: A Research Director-Global Thermal Commission copy of the application is available for Markets, Wood Mackenzie on [Project No. 233–227] inspection and reproduction at the ‘‘Opportunities for Coal in the Commission’s Public Reference Room, Trump Administration’’ Pacific Gas and Electric Company; located at 888 First Street NE., Room 4. Presentation by Jeff Keffer, CEO/Steve Notice of Application Accepted for 2A, Washington, DC 20426, or by calling Nelson, COO, Longview Power LLC Filing, and Soliciting Comments, (202) 502–8371. The filing may also be on Longview Power’s State-of-the- Motions To Intervene and Protests viewed on the Commission’s Web site at Art Clean Coal Technology Plant http://www.ferc.gov/docs-filing/ 5. Presentation by Chip Bottone, Take notice that the following elibrary.asp. Enter the docket number President & CEO, FuelCell Energy hydroelectric application has been filed excluding the last three digits in the on the ExxonMobil-FuelCell Energy with the Commission and is available docket number field to access the Fuel Cell Carbon Capture Pilot for public inspection. document. You may also register online Plant at Plant Barry a. Type of Application: Amendment at http://www.ferc.gov/docs-filing/ 6. Presentation by David Denton, Senior of License. esubscription.asp to be notified via Director Business Development, RTI b. Project No.: 233–227. email of new filings and issuances International on ‘‘Advanced c. Date filed: January 6, 2017. related to this or other pending projects. d. Applicant: Pacific Gas and Electric Technologies for CO2 Capture & For assistance, call 1–866–208–3676 or Utilization: Power & Industrial Company. email [email protected], for Applications’’ e. Name of Project: Pit 3, 4 & 5 TTY, call (202) 502–8659. 7. Council Business: Hydroelectric Project. m. Individuals desiring to be included a. Finance report by Finance f. Location: The project is located on on the Commission’s mailing list should Committee Chair Greg Workman the Pit River in Shasta County, so indicate by writing to the Secretary b. Coal Policy Committee report by California. The project occupies federal of the Commission. Coal Policy Committee Chair Deck lands administered by the U.S. Forest n. Comments, Motions to Intervene, or Slone Service. Protests: Anyone may submit c. Communications Committee report g. Filed Pursuant to: Federal Power comments, a motion to intervene, or a by Communications Committee Act 16 U.S.C. 791a–825r. protest in accordance with the Chair Lisa Bradley h. Applicant Contact: Jim Gill, requirements of Rules of Practice and d. NCC Business Report by NCC CEO Director, Hydro Licensing, Pacific Gas Procedure, 18 CFR 385.210, .211, .214. Janet Gellici and Electric Company, P.O. Box 770000, In determining the appropriate action to 8. Other Business San Francisco, CA 94177–0001, take, the Commission will consider all 9. Adjourn Telephone: (415) 973–8114, Facsimile: protests or other comments filed, but Attendees are requested to register in (415) 973–2713, E-Mail: [email protected]. only those who file a motion to advance for the meeting at: http:// i. FERC Contact: Mo Fayyad, intervene in accordance with the www.nationalcoalcouncil.org/page- Telephone (202) 502–8759, and email Commission’s Rules may become a NCC-Events.html. [email protected]. party to the proceeding. Any comments, Public Participation: The meeting is j. Deadline for filing comments, motions to intervene, or protests must open to the public. If you would like to motions to intervene and protests is 30 be received on or before the specified file a written statement with the days from the issuance of this notice by comment date for the particular Council, you may do so either before or the Commission. The Commission application. after the meeting. If you would like to strongly encourages electronic filing. o. Filing and Service of Responsive make oral statements regarding any item Please file comments, motions to Documents: Any filing must (1) bear in on the agenda, you should contact intervene, and protests using the all capital letters the title Daniel Matuszak, 202–287–6915 or Commission’s eFiling system at http:// ‘‘COMMENTS’’, ‘‘MOTION TO [email protected] (email). www.ferc.gov/docs-filing/efiling.asp. INTERVENE’’, or ‘‘PROTEST’’ as You must make your request for an oral Commenters can submit brief comments applicable; (2) set forth in the heading statement at least 5 business days before up to 6,000 characters, without prior the name of the applicant and the the meeting. Reasonable provision will registration, using the eComment system project number of the application to be made to include oral statements on at http://www.ferc.gov/doc-sfiling/ which the filing responds; (3) furnish the scheduled agenda. The Chairperson ecomment.asp. You must include your the name, address, and telephone of the Council will lead the meeting in name and contact information at the end number of the person protesting or a manner that facilitates the orderly of your comments. For assistance, intervening; and (4) otherwise comply conduct of business. Oral statements are please contact FERC Online Support at with the requirements of 18 CFR limited to 10-minutes per organization [email protected], (866) 385.2001 through 385.2005. All and per person. 208–3676 (toll free), or (202) 502–8659 comments, motions to intervene, or Minutes: A link to the transcript of the (TTY). In lieu of electronic filing, please protests must set forth their evidentiary meeting will be posted on the NCC Web send a paper copy to: Secretary, Federal basis and otherwise comply with the site at: http:// Energy Regulatory Commission, 888 requirements of 18 CFR 4.34(b). All www.nationalcoalcouncil.org/. First Street NE., Washington, DC 20426. comments, motions to intervene, or The first page of any filing should protests should relate to project works Issued at Washington, DC, on February 14, include docket number P–233–227. which are the subject of this 2017. k. Description of Request: Due to application. Agencies may obtain copies LaTanya R. Butler, economic considerations, the applicant of the application directly from the Deputy Committee Management Officer. proposes to delete from the license for applicant. A copy of any protest or [FR Doc. 2017–03312 Filed 2–17–17; 8:45 am] Pit 3, 4 & 5 Hydroelectric Project the motion to intervene must be served BILLING CODE 6450–01–P unconstructed Britton Powerhouse. The upon each representative of the

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applicant specified in the particular with respect to environmental issues foot-wide, 4-foot-deep, 6,200-foot-long application. If an intervener files that wish to cooperate in the supply canal which collects water from comments or documents with the preparation of the environmental the Pole Creek diversion; (7) an 86-inch- Commission relating to the merits of an document should follow the wide, 80-inch-long, 43-inch-high issue that may affect the responsibilities instructions for filing such requests transition bay and a 140-foot-long, 14- of a particular resource agency, they described in item l below. Cooperating inch diameter steel penstock collects must also serve a copy of the document agencies should note the Commission’s water from the Pole Creek supply canal; on that resource agency. A copy of all policy that agencies that cooperate in (8) a 23-foot by 13-foot concrete forebay other filings in reference to this the preparation of the environmental structure containing trashracks, an application must be accompanied by document cannot also intervene. See, 94 overflow channel, and a headgate that is proof of service on all persons listed in FERC 61,076 (2001). located at the termination of the main the service list prepared by the k. Pursuant to section 4.32(b)(7) of 18 supply canal and the Pole Creek Commission in this proceeding, in CFR of the Commission’s regulations, if penstock; (9) a single 5,238-foot-long, accordance with 18 CFR 4.34(b) and any resource agency, Indian Tribe, or 36-inch diameter polyurethane and steel 385.2010. person believes that an additional penstock which delivers water to a scientific study should be conducted in concrete powerhouse with two Pelton Dated: February 14, 2017. order to form an adequate factual basis turbines driving two 600-kilowatt Kimberly D. Bose, for a complete analysis of the generators; (10) a 600-foot-long tailrace; Secretary. application on its merit, the resource (11) a 4.75-mile-long, 24.9-kilovolt [FR Doc. 2017–03326 Filed 2–17–17; 8:45 am] agency, Indian Tribe, or person must file single wood pole distribution line; and BILLING CODE 6717–01–P a request for a study with the (12) appurtenant facilities. The Commission not later than 60 days from estimated average annual generation is the date of filing of the application, and about 6,073 megawatt-hours. The DEPARTMENT OF ENERGY serve a copy of the request on the licensee proposes to modify the project applicant. boundary to account for an update to Federal Energy Regulatory l. Deadline for filing additional study Commission the project transmission line that requests and requests for cooperating reduced its total length from 8.5 miles [Project No. 190–105] agency status: April 3, 2017. to 4.75 miles. The licensee proposes no The Commission strongly encourages operational changes or new project Moon Lake Electric Association, Inc.; electronic filing. Please file additional facilities at this time. Notice of Application Tendered for study requests and requests for o. A copy of the application is Filing With the Commission and cooperating agency status using the available for review at the Commission Soliciting Additional Study Requests Commission’s eFiling system at http:// in the Public Reference Room or may be and Establishing Procedural Schedule www.ferc.gov/docs-filing/efiling.asp. For viewed on the Commission’s Web site at for Relicensing and a Deadline for assistance, please contact FERC Online http://www.ferc.gov using the Submission of Final Amendments Support at FERCOnlineSupport@ ‘‘eLibrary’’ link. Enter the docket ferc.gov, (866) 208–3676 (toll free), or number excluding the last three digits in Take notice that the following (202) 502–8659 (TTY). In lieu of hydroelectric application has been filed the docket number field to access the electronic filing, please send a paper document. For assistance, contact FERC with the Commission and is available copy to: Secretary, Federal Energy for public inspection. Online Support. A copy is also available Regulatory Commission, 888 First Street for inspection and reproduction at the a. Type of Application: Minor, new NE., Washington, DC 20426. The first license. address in item h above. page of any filing should include docket You may also register online at http:// b. Project No.: P–190–105. number P–190–105. www.ferc.gov/docs-filing/ c. Date Filed: January 31, 2017. m. The application is not ready for esubscription.asp to be notified via d. Applicant: Moon Lake Electric environmental analysis at this time. email of new filings and issuances Association, Inc. n. The Uintah Hydroelectric project related to this or other pending projects. e. Name of Project: Uintah operates as a run-of-river facility For assistance, contact FERC Online Hydroelectric Project. delivering water to the project facilities Support. f. Location: The project is located near from three sources: the Uintah River, q. Procedural schedule and final the Town of Neola, Duchesne County, Big Springs Creek, and Pole Creek. The amendments: The application will be Utah and diverts water from primarily existing project facilities include: (1) An processed according to the following the Uintah River as well as Big Springs 8-foot-wide, 4-foot-deep, 1,100-foot-long preliminary Hydro Licensing Schedule. Creek and Pole Creek. The project is canal that delivers water from Big Revisions to the schedule will be made located almost entirely on federal lands Springs Creek; (2) a concrete diversion as appropriate. managed by Ashley National Forest and structure on the Big Springs Creek canal Issue Notice of Acceptance—April 2017 Ute Indian Reservation. which conveys flow through a 916-foot- Request Additional Information (if g. Filed Pursuant to: Federal Power long, 28-inch diameter, steel pipeline necessary)—April 2017 Act 16 U.S.C. 791(a)–825(r). that connects to the point of diversion Issue Acceptance Letter—July 2017 h. Applicant Contact: M. Jared on the Uintah River; (3) an 80-foot-long, Issue Scoping Document 1 for Griffiths, Engineering Manager, Moon 4-foot-wide, 3-foot-high overflow-type comments—August 2017 Lake Electric Association, Inc., 800 West concrete diversion structure with a 10- Request Additional Information (if U.S. Hwy 40, Roosevelt, Utah 84066. foot-high, 6.5-foot-wide steel slide gate necessary)—October 2017 i. FERC Contact: Quinn Emmering, on the Uintah River; (4) a 16-foot-wide, Issue Scoping Document 2—November (202) 502–6382, quinn.emmering@ 8-foot-deep, 25,614-foot-long, main 2017 ferc.gov. supply canal which conveys water from Issue notice of ready for environmental j. Cooperating Agencies: Federal, Big Springs Creek and the Uintah River; analysis—November 2017 state, local, and tribal agencies with (5) a stop-log diversion structure which Commission issues EA, draft EA, or jurisdiction and/or special expertise diverts water from Pole Creek; (6) a 6- draft EIS—May 2018

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Comments on EA or draft EA or draft clicking on the links or querying the Filed Date: 2/2/17. EIS—June 2018 docket number. Accession Number: 201702025130. Commission issues final EA of final Any person desiring to intervene or Comments Due: 5 p.m. ET 2/23/17. EIS—August 2018 protest in any of the above proceedings 284.123(g) Protests Due: 5 p.m. ET 4/ Final amendments to the application must file in accordance with Rules 211 3/17. must be filed with the Commission no and 214 of the Commission’s Docket Number: PR17–25–000. later than 30 days from the issuance Regulations (18 CFR 385.211 and Applicants: Columbia Gas of Ohio, date of the notice of ready for 385.214) on or before 5:00 p.m. Eastern Inc. environmental analysis. time on the specified comment date. Description: Tariff filing per Protests may be considered, but Dated: February 14, 2017. 284.123(b),(e)/: COH SOC Effective 1– intervention is necessary to become a 31–2017; Filing Type: 980. Kimberly D. Bose, party to the proceeding. Filed Date: 2/3/17. Secretary. eFiling is encouraged. More detailed Accession Number: 201702035078. [FR Doc. 2017–03325 Filed 2–17–17; 8:45 am] information relating to filing Comments/Protests Due: 5 p.m. ET 2/ BILLING CODE 6717–01–P requirements, interventions, protests, 24/17. service, and qualifying facilities filings The filings are accessible in the can be found at: http://www.ferc.gov/ Commission’s eLibrary system by DEPARTMENT OF ENERGY docs-filing/efiling/filing-req.pdf. For clicking on the links or querying the other information, call (866) 208–3676 docket number. Federal Energy Regulatory (toll free). For TTY, call (202) 502–8659. Commission Any person desiring to intervene or Dated: February 14, 2017. protest in any of the above proceedings Combined Notice of Filings #2 Nathaniel J. Davis, Sr., must file in accordance with Rules 211 Deputy Secretary. and 214 of the Commission’s Take notice that the Commission Regulations (18 CFR 385.211 and received the following electric rate [FR Doc. 2017–03318 Filed 2–17–17; 8:45 am] BILLING CODE 6717–01–P 385.214) on or before 5:00 p.m. Eastern filings: time on the specified date(s). Protests Docket Numbers: ER17–753–001. may be considered, but intervention is Applicants: PJM Interconnection, DEPARTMENT OF ENERGY necessary to become a party to the L.L.C. proceeding. Description: Tariff Amendment: Errata Federal Energy Regulatory eFiling is encouraged. More detailed to Correct RTEP Approved by Board in Commission information relating to filing Dec 2016 submitted in ER17–753–000 to requirements, interventions, protests, be effective 4/6/2017. Combined Notice of Filings service, and qualifying facilities filings Filed Date: 2/14/17. Take notice that the Commission has can be found at: http://www.ferc.gov/ Accession Number: 20170214–5073. received the following Part 284 Natural docs-filing/efiling/filing-req.pdf. For Comments Due: 5 p.m. ET 3/16/17. Gas Pipeline Rate filings: other information, call (866) 208–3676 Docket Numbers: ER17–969–000. (toll free). For TTY, call (202) 502–8659. Filings Instituting Proceedings Applicants: Southwest Power Pool, Dated: February 7, 2017. Inc. Docket Number: PR17–22–000. Nathaniel J. Davis, Sr., Description: § 205(d) Rate Filing: 3165 Applicants: New Mexico Gas Otter Tail Power Company NITSA and Company, Inc. Deputy Secretary. NOA Notice of Cancellation to be Description: Tariff filing per [FR Doc. 2017–03349 Filed 2–17–17; 8:45 am] effective 2/1/2017. 284.123(b), (e)+(g): NGPA Section 311 BILLING CODE 6717–01–P Filed Date: 2/14/17. Periodic Rate Review Certification to be Accession Number: 20170214–5070. effective 2/1/2012; Filing Type: 1300. Comments Due: 5 p.m. ET 3/7/17. Filed Date: 2/1/17. DEPARTMENT OF ENERGY Docket Numbers: ER17–970–000. Accession Number: 201702015214. Comments Due: 5 p.m. ET 2/22/17. Federal Energy Regulatory Applicants: Northern States Power Commission Company, a Minnesota corporation. 284.123(g) Protests Due: 5 p.m. ET 4/ Description: § 205(d) Rate Filing: 3/17. [Project No. 14809–000] CAPX-Multi-Hawks Nest Const-647– Docket Number: PR17–23–000. 0.0.0 to be effective 1/25/2017. Applicants: Regency DeSoto Pipeline Merchant Hydro Developers, LLC; Filed Date: 2/14/17. LLC. Notice of Preliminary Permit Accession Number: 20170214–5124. Description: Tariff filing per Application Accepted for Filing and Comments Due: 5 p.m. ET 3/7/17. 284.123(e)+(g): Cancellation of GT&C Soliciting Comments, Motions To Eff. 4.1.2017 to be effective 4/1/2017; Take notice that the Commission Intervene, and Competing Applications Filing Type: 1290. received the following qualifying Filed Date: 2/1/17. On December 19, 2016, Merchant facility filings: Accession Number: 201702015265. Hydro Developers, LLC, filed an Docket Numbers: QF17–676–000. Comments Due: 5 p.m. ET 2/22/17. application for a preliminary permit, Applicants: City of Charlotte, North 284.123(g) Protests Due: 5 p.m. ET 4/ pursuant to section 4(f) of the Federal Carolina. 3/17. Power Act (FPA), proposing to study the Description: Form 556 of City of Docket Number: PR17–24–000. feasibility of the Shenandoah Pumped Charlotte. Applicants: Atmos Energy Storage Hydroelectric Project to be Filed Date: 2/9/17. Corporation. located near Shenandoah Borough in Accession Number: 20170209–5306. Description: Tariff filing per Schuylkill County, Pennsylvania. The Comments Due: None Applicable. 284.123(b),(e)+(g): Request for Change in sole purpose of a preliminary permit, if The filings are accessible in the Rates Based on State Rate Election to be issued, is to grant the permit holder Commission’s eLibrary system by effective 3/1/2017; Filing Type: 1300. priority to file a license application

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during the permit term. A preliminary (TTY). In lieu of electronic filing, please Filed Date: 2/1/17. permit does not authorize the permit send a paper copy to: Secretary, Federal Accession Number: 20170201–5128. holder to perform any land-disturbing Energy Regulatory Commission, 888 Comments Due: 5 p.m. ET 2/13/17. activities or otherwise enter upon lands First Street NE., Washington, DC 20426. Docket Numbers: RP17–385–000. or waters owned by others without the The first page of any filing should Applicants: Northern Natural Gas owners’ express permission. include docket number P–14809–000. Company. The proposed project would consist of More information about this project, Description: § 4(d) Rate Filing: the following: (1) As many as two new including a copy of the application, can 20170201 Annual PRA Fuel Rates to be upper reservoirs with a combined be viewed or printed on the ‘‘eLibrary’’ effective 4/1/2017. surface area of 470 acres and a link of Commission’s Web site at http:// Filed Date: 2/1/17. combined storage capacity of 7,050 acre- www.ferc.gov/docs-filing/elibrary.asp. Accession Number: 20170201–5148. feet at a surface elevation of Enter the docket number (P–14809) in Comments Due: 5 p.m. ET 2/13/17. approximately 1,750 feet above mean the docket number field to access the Docket Numbers: RP17–386–000. sea level (msl) created through document. For assistance, contact FERC Applicants: Enable Gas Transmission, construction of new roller-compacted Online Support. LLC. concrete or rock-filled dams and/or Dated: February 14, 2017. Description: § 4(d) Rate Filing: dikes; (2) a new lower reservoir, Negotiated Rate Filing—February 2017 including an existing abandoned mine Kimberly D. Bose, Spire 1005896 to be effective 2/1/2017. pit, with a surface area of 105 acres and Secretary. Filed Date: 2/1/17. a total storage capacity of 7,200 acre-feet [FR Doc. 2017–03324 Filed 2–17–17; 8:45 am] Accession Number: 20170201–5201. at a surface elevation of 1,210 feet msl; BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 2/13/17. (3) as many as three new 3,387-foot- long, 48-inch-diameter penstocks Docket Numbers: RP17–387–000. connecting the upper and lower DEPARTMENT OF ENERGY Applicants: Dauphin Island Gathering reservoirs; (4) a new 150-foot-long, 50- Partners. foot-wide powerhouse containing two Federal Energy Regulatory Description: § 4(d) Rate Filing: turbine-generator units with a total rated Commission Negotiated Rate Filing 2–1–2017 to be effective 2/1/2017. capacity of 405 megawatts; (5) a new Combined Notice of Filings transmission line connecting the Filed Date: 2/1/17. powerhouse to a nearby electric grid Take notice that the Commission has Accession Number: 20170201–5221. interconnection point with options to received the following Natural Gas Comments Due: 5 p.m. ET 2/13/17. evaluate multiple grid interconnection Pipeline Rate and Refund Report filings: Docket Numbers: RP17–388–000. locations; and (6) appurtenant facilities. Applicants: Northern Border Pipeline Filings Instituting Proceedings Possible initial fill water and make-up Company. water would come from local inflow to Docket Numbers: RP17–376–000. Description: § 4(d) Rate Filing: James the abandoned mine pit, including Applicants: Equitrans, L.P. Valley Ethanol Neg Rate Agmt Revision groundwater. The proposed project Description: Tariff Cancellation: to be effective 2/1/2017. would have an annual generation of Terminate Negotiated Rate Service Filed Date: 2/1/17. 1,181,385 megawatt-hours. Agreement—Range Resources Accession Number: 20170201–5235. Applicant Contact: Adam Rousselle, Appalachia LLC to be effective Comments Due: 5 p.m. ET 2/13/17. Merchant Hydro Developers, LLC, 5710 2/1/2017. Docket Numbers: RP17–389–000. Filed Date: 1/31/17. Oak Crest Drive, Doylestown, PA 18902; Applicants: Cimarron River Pipeline, phone: 267–254–6107. Accession Number: 20170131–5484. Comments Due: 5 p.m. ET 2/13/17. LLC. FERC Contact: Monir Chowdhury; Description: § 4(d) Rate Filing: Fuel phone: (202) 502–6736. Docket Numbers: RP17–350–001. Tracker 2017—Summer Season Rates to Deadline for filing comments, motions Applicants: Eastern Shore Natural Gas be effective 4/1/2017. to intervene, competing applications Company. Filed Date: 2/1/17. (without notices of intent), or notices of Description: Compliance filing Errata Accession Number: 20170201–5254. intent to file competing applications: 60 to Filing to Comply with Order in Comments Due: 5 p.m. ET 2/13/17. days from the issuance of this notice. Docket Nos. CP15–18–000, 001 to be Competing applications and notices of effective 3/1/2017. Docket Numbers: RP17–390–000. intent must meet the requirements of 18 Filed Date: 2/1/17. Applicants: Questar Overthrust CFR 4.36. Accession Number: 20170201–5137. Pipeline, LLC. The Commission strongly encourages Comments Due: 5 p.m. ET 2/13/17. Description: § 4(d) Rate Filing: electronic filing. Please file comments, Docket Numbers: RP17–383–000. Statement of Negotiated Rates Version motions to intervene, notices of intent, Applicants: Northern Natural Gas 7.0.0, Simplot Phosphates to be effective and competing applications using the Company. 3/1/2017. Commission’s eFiling system at http:// Description: § 4(d) Rate Filing: Filed Date: 2/1/17. www.ferc.gov/docs-filing/efiling.asp. 20170201 Miscellaneous Filing to be Accession Number: 20170201–5259. Commenters can submit brief comments effective 3/4/2017. Comments Due: 5 p.m. ET 2/13/17. up to 6,000 characters, without prior Filed Date: 2/1/17. Docket Numbers: RP17–391–000. registration, using the eComment system Accession Number: 20170201–5104. Applicants: Cimarron River Pipeline, at http://www.ferc.gov/docs-filing/ Comments Due: 5 p.m. ET 2/13/17. LLC. ecomment.asp. You must include your Docket Numbers: RP17–384–000. Description: § 4(d) Rate Filing: name and contact information at the end Applicants: Natural Gas Pipeline Negotiated Rates 2017–02–01 to be of your comments. For assistance, Company of America. effective 2/1/2017. please contact FERC Online Support at Description: § 4(d) Rate Filing: Filed Date: 2/1/17. [email protected], (866) Negotiated Rate Filing—Nicor to be Accession Number: 20170201–5264. 208–3676 (toll free), or (202) 502–8659 effective 2/1/2017. Comments Due: 5 p.m. ET 2/13/17.

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Docket Numbers: RP17–395–000. Description: § 4(d) Rate Filing: FL&U Docket Numbers: ER17–114–002. Applicants: Equitrans, L.P. Electric Power Periodic Rate Applicants: California Independent Description: § 4(d) Rate Filing: Adjustment 2017 to be effective System Operator Corporation. Negotiated Capacity Release Agreements 4/1/2017. Description: Compliance filing: 2017– 2/8/17 to be effective 2/8/2017. Filed Date: 2/13/17. 02–13 Compliance Order No. 827 Filed Date: 2/8/17. Accession Number: 20170213–5261. Response FERC Request Additional Accession Number: 20170208–5027. Comments Due: 5 p.m. ET 2/27/17. Information to be effective 9/21/2016. Comments Due: 5 p.m. ET 2/21/17. Docket Numbers: RP17–402–000. Filed Date: 2/13/17. Docket Numbers: RP17–396–000. Applicants: Northern Natural Gas Accession Number: 20170213–5264. Applicants: Equitrans, L.P. Company. Comments Due: 5 p.m. ET 3/6/17. Description: § 4(d) Rate Filing: Description: Northern Natural Gas Docket Numbers: ER17–387–001. Negotiated Rate Service Agreement— submits report of the penalty and daily Applicants: Midcontinent EQT Energy LPS to be effective delivery variance charge (DDVC) Independent System Operator, Inc. 4/1/2017. revenues that have been credited to Description: Tariff Amendment: Filed Date: 2/10/17. shippers under RP17–402. 2017–02–13_Deficiency response—Att Accession Number: 20170210–5003. Filed Date: 2/13/17. FF–6 filing to address cost allocation Accession Number: 20170213–5333. Comments Due: 5 p.m. ET 2/22/17. gap to be effective 1/18/2017. Comments Due: 5 p.m. ET 2/27/17. Docket Numbers: RP17–397–000. Filed Date: 2/13/17. Applicants: Dominion Transmission, The filings are accessible in the Accession Number: 20170213–5222. Inc. Commission’s eLibrary system by Comments Due: 5 p.m. ET 3/6/17. clicking on the links or querying the Description: § 4(d) Rate Filing: DTI— Docket Numbers: ER17–950–001. February 10, 2017 Nonconforming docket number. Any person desiring to intervene or Applicants: PJM Interconnection, Service Agreement to be effective L.L.C. 4/1/2017. protest in any of the above proceedings must file in accordance with Rules 211 Description: Tariff Amendment: Errata Filed Date: 2/10/17. to ConEd Wheeling Termination filing Accession Number: 20170210–5039. and 214 of the Commission’s Regulations (18 CFR 385.211 and in ER17–950–000 to be effective Comments Due: 5 p.m. ET 2/22/17. 5/1/2017. Docket Numbers: RP17–398–000. 385.214) on or before 5:00 p.m. Eastern time on the specified comment date. Filed Date: 2/13/17. Applicants: Iroquois Gas Accession Number: 20170213–5201. Transmission System, L.P. Protests may be considered, but intervention is necessary to become a Comments Due: 5 p.m. ET 3/6/17. Description: § 4(d) Rate Filing: Docket Numbers: ER17–968–000. 02/10/17 Negotiated Rates— party to the proceeding. eFiling is encouraged. More detailed Applicants: Midcontinent Consolidated Edison Energy Inc. (HUB) Independent System Operator, Inc. 2275–89 to be effective 2/9/2017. information relating to filing requirements, interventions, protests, Description: § 205(d) Rate Filing: Filed Date: 2/10/17. 2017–02–13_SA 2527 ITC-Consumers Accession Number: 20170210–5139. service, and qualifying facilities filings 3rd Amended GIA (J161) to be effective Comments Due: 5 p.m. ET 2/22/17. can be found at: http://www.ferc.gov/ docs-filing/efiling/filing-req.pdf. For 2/14/2017. Docket Numbers: RP17–313–001. other information, call (866) 208–3676 Filed Date: 2/13/17. Applicants: Texas Eastern (toll free). For TTY, call (202) 502–8659. Accession Number: 20170213–5204. Transmission, LP. Comments Due: 5 p.m. ET 3/6/17. Description: Compliance filing EQT Dated: February 14, 2017. 910900–RP17.–313 Compliance Filing Nathaniel J. Davis, Sr., Take notice that the Commission received the following qualifying to be effective 1/1/2017. Deputy Secretary. facility filings: Filed Date: 2/13/17. [FR Doc. 2017–03350 Filed 2–17–17; 8:45 am] Docket Numbers: QF17–673–000. Accession Number: 20170213–5191. BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 2/27/17. Applicants: Beaver Creek Wind II, Docket Numbers: RP17–399–000. LLC. Applicants: Iroquois Gas DEPARTMENT OF ENERGY Description: Application for Transmission System, L.P. Certification of Beaver Creek Wind II, Description: § 4(d) Rate Filing: Federal Energy Regulatory LLC. 02/13/17 Negotiated Rates—Mercuria Commission Filed Date: 2/9/17. Energy America, Inc. (HUB) 7540–89 to Accession Number: 20170209–5303. be effective 2/12/2017. Combined Notice of Filings #1 Comments Due: 5 p.m. ET 3/2/17. Filed Date: 2/13/17. Take notice that the Commission Docket Numbers: QF17–674–000. Accession Number: 20170213–5198. received the following electric corporate Applicants: Beaver Creek Wind III, Comments Due: 5 p.m. ET 2/27/17. filings: LLC. Docket Numbers: RP17–400–000. Docket Numbers: EC17–78–000. Description: Application for Applicants: Columbia Gas Applicants: MS Solar 2, LLC. Certification of Beaver Creek Wind III, Transmission, LLC. Description: Application for LLC. Description: § 4(d) Rate Filing: Authorization of Transaction under Filed Date: 2/9/17. Negotiated Rate Agmts—Core to be Section 203 of the FPA of MS Solar 2, Accession Number: 20170209–5304. effective 2/1/2017. LLC. Comments Due: 5 p.m. ET 3/2/17. Filed Date: 2/13/17. Filed Date: 2/13/17. The filings are accessible in the Accession Number: 20170213–5258. Accession Number: 20170213–5336. Commission’s eLibrary system by Comments Due: 5 p.m. ET 2/27/17. Comments Due: 5 p.m. ET 3/6/17. clicking on the links or querying the Docket Numbers: RP17–401–000. Take notice that the Commission docket number. Applicants: Rockies Express Pipeline received the following electric rate Any person desiring to intervene or LLC. filings: protest in any of the above proceedings

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must file in accordance with Rules 211 described in item l below. Cooperating number excluding the last three digits in and 214 of the Commission’s agencies should note the Commission’s the docket number field to access the Regulations (18 CFR 385.211 and policy that agencies that cooperate in document. For assistance, contact FERC 385.214) on or before 5:00 p.m. Eastern the preparation of the environmental Online Support. A copy is also available time on the specified comment date. document cannot also intervene. See, 94 for inspection and reproduction at the Protests may be considered, but FERC 61,076 (2001). address in item h above. intervention is necessary to become a k. Pursuant to section 4.32(b)(7) of 18 You may also register online at http:// party to the proceeding. CFR of the Commission’s regulations, if www.ferc.gov/docs-filing/ eFiling is encouraged. More detailed any resource agency, Indian Tribe, or esubscription.asp to be notified via information relating to filing person believes that an additional email of new filings and issuances requirements, interventions, protests, scientific study should be conducted in related to this or other pending projects. service, and qualifying facilities filings order to form an adequate factual basis For assistance, contact FERC Online can be found at: http://www.ferc.gov/ for a complete analysis of the Support. docs-filing/efiling/filing-req.pdf. For application on its merit, the resource p. Procedural schedule: The other information, call (866) 208–3676 agency, Indian Tribe, or person must file application will be processed according (toll free). For TTY, call (202) 502–8659. a request for a study with the to the following preliminary Hydro Commission not later than 60 days from Dated: February 14, 2017. Licensing Schedule. Revisions to the the date of filing of the application, and schedule will be made as appropriate. Nathaniel J. Davis, Sr., serve a copy of the request on the Deputy Secretary. Issue Deficiency and/or Additional applicant. Information Letter—March 2017 [FR Doc. 2017–03317 Filed 2–17–17; 8:45 am] l. Deadline for filing additional study Issue Notice of Acceptance—May 2017 BILLING CODE 6717–01–P requests and requests for cooperating Issue Scoping Document—June 2017 agency status: April 3, 2017. Issue Notice of Ready for Environmental The Commission strongly encourages Analysis—August 2017 DEPARTMENT OF ENERGY electronic filing. Please file additional Commission Issues EA—January 2018 study requests and requests for Federal Energy Regulatory cooperating agency status using the Dated: February 14, 2017. Commission Commission’s eFiling system at http:// Kimberly D. Bose, [Project No. 14751–002] www.ferc.gov/docs-filing/efiling.asp. For Secretary. assistance, please contact FERC Online [FR Doc. 2017–03322 Filed 2–17–17; 8:45 am] Alpine Pacific Utilities Hydro, LLC; Support at FERCOnlineSupport@ BILLING CODE 6717–01–P Notice of Application Tendered for ferc.gov, (866) 208–3676 (toll free), or Filing With the Commission and (202) 502–8659 (TTY). In lieu of Soliciting Additional Study Requests electronic filing, please send a paper DEPARTMENT OF ENERGY copy to: Secretary, Federal Energy Take notice that the following Regulatory Commission, 888 First Street Federal Energy Regulatory hydroelectric application has been filed NE., Washington, DC 20426. The first Commission with the Commission and is available page of any filing should include docket [Project No., 14807–000] for public inspection. number P–14751–002. a. Type of Application: Original m. The application is not ready for Merchant Hydro Developers LLC; Minor License. environmental analysis at this time. Notice of Preliminary Permit b. Project No.: 14751–002. n. The proposed project would utilize Application Accepted for Filing and c. Date filed: February 1, 2017. head from the existing Fresno Dam, Soliciting Comments, Motions To d. Applicant: Alpine Pacific Utilities intake with trashrack, and outlet Intervene, and Competing Applications Hydro, LLC. structure owned and operated by the e. Name of Project: Fresno Dam Site Bureau of Reclamation and consist of On December 19, 2016, Merchant Water Power Project. the following new facilities: (1) Two Hydro Developers, LLC, filed an f. Location: On the Milk River, in Hill 150-foot-long penstocks consisting of (i) application for a preliminary permit, County, Montana, near the town of two 72-inch-diameter steel penstocks pursuant to section 4(f) of the Federal Kremlin. The project would be located bifurcating into (ii) two 60-inch- Power Act (FPA), proposing to study the at the Bureau of Reclamation’s Fresno diameter steel penstocks; (2) an feasibility of the Rattlin Run Pumped Dam. underground powerhouse containing Storage Hydroelectric Project to be g. Filed Pursuant to: Federal Power four 375-kilowatt Natel Energy turbines located near Shenandoah Borough in Act 16 U.S.C. 791(a)–825(r). with a total rated capacity of 1.5 Schuylkill County, Pennsylvania. The h. Applicant Contact: Justin Ahmann, megawatts; (3) four discharge pipes sole purpose of a preliminary permit, if Alpine Pacific Utilities Hydro, LLC, 75 diverting flows into the existing dam issued, is to grant the permit holder Somers Road, Somers, Montana, 59932, spillway; (4) a 25-square-foot priority to file a license application (406) 755–1333. switchyard; (5) an approximately 3.35- during the permit term. A preliminary i. FERC Contact: John Matkowski at mile-long, 12.74-kilovolt partially permit does not authorize the permit (202) 502–8576; or email at underground transmission line; and (6) holder to perform any land-disturbing [email protected]. appurtenant facilities. The proposed activities or otherwise enter upon lands j. Cooperating agencies: Federal, state, project would have an average annual or waters owned by others without the local, and tribal agencies with generation of 5,590 megawatt-hours. owners’ express permission. jurisdiction and/or special expertise o. A copy of the application is The proposed project would consist of with respect to environmental issues available for review at the Commission the following: (1) As many as two new that wish to cooperate in the in the Public Reference Room or may be upper reservoirs with a combined preparation of the environmental viewed on the Commission’s Web site at surface area of 280 acres and a document should follow the http://www.ferc.gov using the combined storage capacity of 5,040 acre- instructions for filing such requests ‘‘eLibrary’’ link. Enter the docket feet at a surface elevation of

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approximately 1,760 feet above mean (P–14807) in the docket number field to of Executive Departments and Agencies sea level (msl) created through access the document. For assistance, to temporarily postpone for sixty days construction of new roller-compacted contact FERC Online Support. from the date of the memorandum the concrete or rock-filled dams and/or Dated: February 14, 2017. effective dates of all regulations (defined dikes; (2) excavating a new lower Kimberly D. Bose, in the January 20, 2017 memorandum to reservoir with a surface area of 131 acres include ‘‘an interpretation of a statutory Secretary. and a total storage capacity of 5,040 or regulatory issue’’) that had been acre-feet at a surface elevation of 1,099 [FR Doc. 2017–03323 Filed 2–17–17; 8:45 am] published in the Federal Register but feet msl; (3) a new 900-foot-long, 48- BILLING CODE 6717–01–P had not yet taken effect. The Federal inch-diameter penstock connecting the Register Notice entitled ‘‘Statutory upper reservoirs; (4) a new 3,387-foot- Requirements for Substantiation of long, 48-inch-diameter penstock ENVIRONMENTAL PROTECTION Confidential Business Information (CBI) connecting the upper and lower AGENCY Claims Under the Toxic Substances reservoirs; (5) a new 150-foot-long, 50- [EPA–HQ–OPPT–2017–0026; FRL–9959–39] Control Act (TSCA)’’ is subject to the foot-wide powerhouse containing two effective date delay. The new effective turbine-generator units with a total rated Statutory Requirements for date for this action is March 21, 2017. capacity of 300 megawatts; (6) a new Substantiation of Confidential If deemed appropriate, EPA may transmission line connecting the Business Information (CBI) Claims consider delaying the effective date of powerhouse to a nearby electric grid Under the Toxic Substances Control this action beyond March 21, 2017. interconnection point with options to Act (TSCA); Delay of Effective Date Authority: 15 U.S.C. 2601 et seq. evaluate multiple grid interconnection locations; and (7) appurtenant facilities. AGENCY: Environmental Protection Dated: February 13, 2017. Possible initial fill water and make-up Agency (EPA). Wendy Cleland-Hamnett, water would come from Catawissa ACTION: Delay of effective date. Acting Assistant Administrator, Office of Creek. The proposed project would have Chemical Safety and Pollution Prevention. an annual generation of 867,187 SUMMARY: In accordance with the [FR Doc. 2017–03352 Filed 2–17–17; 8:45 am] megawatt-hours. Presidential directive as expressed in BILLING CODE 6560–50–P Applicant Contact: Adam Rousselle, the memorandum of January 20, 2017, Merchant Hydro Developers, LLC, 5710 from the Assistant to the President and Oak Crest Drive, Doylestown, PA 18902; Chief of Staff, entitled ‘‘Regulatory ENVIRONMENTAL PROTECTION phone: (267) 254–6107. Freeze Pending Review’’, this action AGENCY FERC Contact: Tim Looney; phone: delays until March 21, 2017, the [FRL–9959–09–Region 10] (202) 502–6096. effective date of the Federal Register Deadline for filing comments, motions Notice entitled ‘‘Statutory Requirements Washington State Department of to intervene, competing applications for Substantiation of Confidential Ecology Prohibition of Discharges of (without notices of intent), or notices of Business Information (CBI) Claims Vessel Sewage; Final Affirmative intent to file competing applications: 60 Under the Toxic Substances Control Act Determination days from the issuance of this notice. (TSCA)’’, published in the Federal Competing applications and notices of Register on January 19, 2017 (82 FR AGENCY: Environmental Protection intent must meet the requirements of 18 6522, FRL–9958–34). Agency (EPA). CFR 4.36. DATES: This action is effective February ACTION: Notice of determination. The Commission strongly encourages 21, 2017. The effective date of the electronic filing. Please file comments, SUMMARY: The Regional Administrator Federal Register Notice entitled motions to intervene, notices of intent, of the Environmental Protection ‘‘Statutory Requirements for and competing applications using the Agency, Region 10, has determined that Substantiation of Confidential Business Commission’s eFiling system at http:// adequate facilities for the safe and Information (CBI) Claims Under the www.ferc.gov/docs-filing/efiling.asp. sanitary removal and treatment of Toxic Substances Control Act (TSCA)’’, Commenters can submit brief comments sewage from all vessels are reasonably published in the Federal Register on up to 6,000 characters, without prior available for all marine waters of January 19, 2017 (82 FR 6522, FRL– registration, using the eComment system Washington State inward from the line 9958–34), is delayed from March 20, at http://www.ferc.gov/docs-filing/ between New Dungeness Lighthouse 2017 to a new effective date of March ecomment.asp. You must include your and the Discovery Island Lighthouse to 21, 2017. name and contact information at the end the Canadian border, and fresh waters of of your comments. For assistance, FOR FURTHER INFORMATION CONTACT: Lake Washington, Lake Union, and please contact FERC Online Support at Scott M. Sherlock, Attorney Advisor, connecting waters between and to Puget [email protected], (866) Environmental Assistance Division, Sound. This notice constitutes EPA’s 208–3676 (toll free), or (202) 502–8659 Office of Pollution Prevention and final determination on the petition (TTY). In lieu of electronic filing, please Toxics, Environmental Protection submitted by the Washington State send a paper copy to: Secretary, Federal Agency, 1200 Pennsylvania Ave. NW., Department of Ecology on July 21, 2016, Energy Regulatory Commission, 888 Washington, DC 20460–0001; telephone pursuant to Section 312(f)(3) of the First Street NE., Washington, DC 20426. number: (202) 564–8257; email address: Clean Water Act, 33 U.S.C. 1322, for a The first page of any filing should [email protected]. determination that adequate facilities include docket number P–14807–000. SUPPLEMENTARY INFORMATION: EPA bases for the safe and sanitary removal and More information about this project, this action on the Presidential directive treatment of sewage from all vessels are including a copy of the application, can as expressed in the memorandum of reasonably available for the waters of be viewed or printed on the ‘‘eLibrary’’ January 20, 2017, from the Assistant to Puget Sound. This determination does link of the Commission’s Web site at the President and Chief of Staff, entitled not itself constitute the designation of a http://www.ferc.gov/docs-filing/ ‘‘Regulatory Freeze Pending Review’’. no-discharge zone, rather, the State of elibrary.asp. Enter the docket number That memorandum directed the heads Washington may now in its discretion

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finalize its proposed designation in SUPPLEMENTARY INFORMATION: The require greater environmental protection accordance with state law and take the Department of Ecology has petitioned than the applicable Federal standard. steps it deems appropriate to implement the United States Environmental Adequacy and Availability of Sewage and enforce the discharge prohibition. Protection Agency (EPA), Region 10, Pumpout Facilities pursuant to section 312(f)(3) of the EPA Response to Public Comments on Clean Water Act, 33 U.S.C. 1322, for a EPA’s determination is based on the the November 7, 2016 Preliminary determination that adequate facilities information provided in Ecology’s July Affirmative Determination for the safe and sanitary removal and 21, 2016 petition as well as On November 7, 2016, EPA published treatment of sewage from all vessels are supplemental information that Ecology notice of its preliminary affirmative reasonably available for the waters of submitted to EPA on October 14, 2016, regarding commercial vessel pumpout determination that adequate facilities Puget Sound. As described in the State’s availability in Puget Sound. In reaching for the safe and sanitary removal and petition, submitted to EPA on July 21, this final determination, EPA has treatment of sewage from all vessels are 2016, the Washington State Department conducted additional outreach to verify reasonably available for the waters of Ecology has determined that the and confirm the information provided subject to Washington’s proposed no- protection and enhancement of the in Ecology’s submittals and follow up discharge zone [FR Number 2016– quality of the waters of Puget Sound on comments received. The information 26877; 81 FR 78141, November 7, 2016] requires greater environmental obtained further supports EPA’s with a 30-day public comment period. protection, and petitioned the United determination that adequate pumpout At the request of stakeholders, EPA States Environmental Protection out facilities for the safe and sanitary extended the 30-day public comment Agency, Region 10, for a determination that adequate facilities for the safe and removal of sewage are reasonably period from December 7, 2016 to available for both commercial and December 23, 2016. sanitary removal and treatment of sewage from all vessels are reasonably recreational vessels. Additional detail is EPA received a total of 40,462 available for those waters, so that the provided below and in EPA’s response comments via letter, email, online using State may completely prohibit the to comments document. the Federal eRulemaking Portal, and in Guidelines issued pursuant to the discharge from all vessels of any person. All forms of input were Clean Vessel Act for recreational vessels sewage, whether treated or not, into considered equally. Of the comments recommend one pumpout station for such waters. received, 328 were individual letters every 300–600 boats [Clean Vessel Act: and 40,134 were form letters, mass According to the Ecology’s petition, Pumpout Station and Dump Station mailers and/or petitions, a few with the western boundary of the NDZ would Technical Guidelines, Federal Register, minor additions. Of the individual be the exit of the Strait of Juan de Fuca Vol. 59, No. 47, March 10, 1994]. In its letters, approximately two-thirds near the entrance of Admiralty Inlet. petition, the State described the supported and one-third opposed EPA’s This boundary is known and visible to recreational vessel population in Puget preliminary affirmative determination. vessel operators as it is the line between Sound as well as the stationary Two mass mailers totaling 72 signatures New Dungeness Lighthouse and pumpout facilities and mobile pumpout opposed EPA’s tentative affirmative Discovery Island Lighthouse. The services that are available for use. determination and 40,062 supported it. northern boundary would be the border The State used two methods to Comments were submitted by with Canada and heading south develop a reasonable estimate of the individuals, environmental including all marine waters down to the recreational vessel population in Puget organizations, vessel associations, south end of the south Sound and Hood Sound. The first method was based on boating and yacht clubs, industry Canal. The fresh waters of Lake boater registration records obtained representatives, port authorities, county, Washington, Union Bay, Montlake Cut, from the Washington State Department federal, local and tribal governmental Portage Bay, Lake Union, Fremont Cut, of Licensing (DOL). Using data from the entities, and other interested groups. the Lake Washington Ship Canal, and DOL, the maximum estimated number Salmon Bay (the connecting waters from of recreational vessels in each of the In addition to comments expressing Lake Washington to Puget Sound) Washington State counties bordering support or opposition to a Puget Sound would be included. For more Puget Sound that might require access no-discharge zone, many commenters information regarding the State’s to pumpout facilities or services under specifically addressed the adequacy and planned no-discharge zone, please go to: NDZ regulations (i.e., boats larger than availability of pumpout facilities, while http://www.ecy.wa.gov/programs/wq/ 21 feet) is 43,677. Vessels under 21 feet others focused on broader issues beyond nonpoint/CleanBoating/ were not included in the estimate the scope of EPA’s review and nodischargezone.html. because they typically do not have an determination. All of the relevant installed toilet. Because boater comments received have been Washington State Department of registration data may include a number considered. EPA has prepared a Ecology’s Certificate of Need of small, locally registered, commercial response to comments that supports this The Washington State Department of vessels such as fishing boats or tug determination. The response to Ecology developed its petition in order boats, the total may be an overestimate. comments document can be found at to establish a vessel sewage no- The second method was based on the this Web site: https://www.epa.gov/ discharge zone for all marine waters of number of moorages and slips available puget-sound/epas-final-determination- Washington State inward from the line to boaters, using Google Earth imagery no-discharge-zone-puget-sound. between New Dungeness Lighthouse captured during the summers of 2011 FOR FURTHER INFORMATION, CONTACT: and the Discovery Island Lighthouse to and 2012 to count vacant and occupied Catherine Gockel, U.S. EPA Region 10, the Canadian border, and fresh waters of marina slips and moored vessels. Using Office of Water and Watersheds, 1200 Lake Washington, Lake Union, and this method, the State estimates a Sixth Ave., Seattle, Washington 98101; connecting waters between and to Puget recreational vessel population of 23,555. telephone number (206) 553–0325; fax Sound, and has submitted a certificate The State believes that this also may be number (206) 553–1280; email address that the protection and enhancement of an overestimate, albeit less of an [email protected]. the waters described in the petition overestimate than the number

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calculated using the DOL boater provided in EPA’s response to commercial vessels. Although not registration data. comments document. included in this analysis, EPA notes that The State’s petition also provided Based on this information, EPA two more commercial pumpouts are information about 173 pumpout units at determines that adequate pumpout being installed, one in Seattle for all 102 locations, and 21 mobile pumpout facilities for the safe and sanitary commercial vessels and another at the boats available for recreational vessels removal and treatment of sewage for Port of Bellingham mostly for fishing in Puget Sound. EPA’s review of recreational vessels are reasonably vessels. Estimated dates for completion Ecology’s petition and the comments available for the waters of Puget Sound. are March and September 2017, received has confirmed that the total Puget Sound is also used by many respectively. number, location and availability of different sizes and types of commercial The State’s supplemental information these pumpout facilities and services vessels. The State used a study identified five companies that specialize track the overall distribution of the conducted by the Puget Sound Maritime in commercial marine work and that are recreational vessel population. The Air Forum (Starcrest, 2007) to develop capable of removing sewage from ongoing costs for recreational vessels to a reasonable estimate of commercial commercial vessel holding tanks. These pumpout is minimal, with most vessel use of Puget Sound. The study five companies have a combined total of pumpouts being free or $5 per pumpout. concluded that there were 2,937 entries approximately 52 trucks (capacity The majority of pumped sewage is sent of large oceangoing vessels into Puget ranging from 2,200–7,000 gallons each) to wastewater treatment plants; Sound in 2005, and an estimated 678 and two mobile barges (capacity of however, some is sent to onsite septic other commercial vessels that operate 3,000 gallons each). These companies tanks that meet federal requirements. mostly within Puget Sound (e.g., escort serve all of Puget Sound and can The most conservative estimate of the tugs) or have Puget Sound as their home provide pumpout services at a variety of ratio of pumpout facilities to port (e.g., the fleet of fishing vessels that docks and ports for all types of recreational vessels is 1:171 boats for travels to Alaska each year). According commercial vessels, including tugs, each pumpout facility, not including the to the State, current commercial vessel fishing vessels, USCG vessels, smaller mobile services. Based on DOL vessel statistics are estimated to be similar to cruise ships, tankers, and other vessels. registration data, there is a maximum of the data from 2005. Based on EPA contacted four of the commercial 43,677 recreation vessels in Puget information provided by a commenter, marine work companies identified in Sound that could require access to updated information in 2013 may raise Ecology’s supplemental information pumpout facilities. As noted above, this this number to 709. As discussed below, document and confirmed that the is the State’s most conservative (high) this difference of 31 vessels does not information provided was accurate. estimate. Using a 40 percent peak make a measurable difference in terms The State’s petition and supplemental occupancy rate recommended by the of EPA’s conclusions regarding the ratio information also identified 21–23 Clean Vessel Act Technical Guidelines of commercial vessels to available mobile pumpout vessels. These mobile cited above, EPA has calculated that pumpout facilities. pumpouts primarily service recreational 17,471 of the 43,677 boats recreational The large, oceangoing transient boats, but several have serviced vessels would require access to a commercial vessels that are only in commercial vessels such as charter pumpout facility during peak boating Puget Sound for a short period of time boats, fishing vessels, U.S. Coast Guard season. The State identified 102 (e.g., large cruise ships, freighters and vessels, and passenger vessels. The recreational pumpout locations, which tankers) have large enough holding mobile pumpout boats have a capacity results in a ratio of 171 recreational tanks to hold their waste during the between 40 and 450 gallons and cover vessels for each pumpout location, not time they are in Puget Sound, with some vast areas geographically as they are including the mobile services. Applying exceptions. Although included in the able to move to vessels, although some the same 40% occupancy rate to the initial overall vessel estimate, these stay within their own marina or harbor lower recreational vessel estimate of vessels do not have a need to pumpout area. In addition to the pumpouts 23,555 obtained from the moorage count and were not included when assessing described above, there are results in a ratio of 92 recreational the adequacy of pumpout facilities. approximately 140 licensed or certified vessels for each pumpout location, not Washington State Ferries (WSDOT pumper truck companies in Puget including the mobile services. ferries) and U.S. military vessels have Sound that primarily pump out septic Accordingly, even using the more holding tanks and use large-scale, tanks, but that can also pump out vessel conservative vessel count, the resulting dedicated pumpout facilities where they sewage. The number of trucks in each ratio well exceeds the recommended are moored. Smaller commercial company ranges from 1–13, and minimum ratio of 1:600. In addition, vessels, such as ferries, tugboats, approximately half of these companies EPA has confirmed that numerous excursion vessels, and fishing vessels contacted by the State are currently, or mobile pumpout trucks and vessels are with installed toilets can use the are willing to, pump out commercial available to provide service for stationary pumpouts, mobile pumpout vessel sewage. recreational vessels throughout Puget service vessels, some of the recreational The State indicates that the number of Sound. As set forth in Table 8 of pumpouts, or shore-based pumper commercial vessels that are likely to be Ecology’s supplement information, there trucks, described in more detail below. in regular need of pumpout facilities are 194 mobile pumpout companies; of The State identified eight stationary within a no-discharge zone would these, at least 52 vacuum trucks and two pumpouts dedicated to WSDOT ferries, include the non-ocean going vessels that mobile pumpout vessels are available three dedicated to U.S. Navy vessels, include tugboats, commercial fishing for pumping out larger recreational one dedicated to the Victoria Clipper vessels, small passenger vessels, NOAA vessels. Mobile pumpout services are vessels and one for the McNeil Island research and survey vessels, WSDOT available seven days a week, with Department of Corrections vessels. The Ferries, military and other government extended hours during the busy summer Port of Bellingham cruise terminal area vessels, excursion and other commercial months. These mobile services provide also has three stationary pumpouts, one vessels. Given that the WSDOT Ferries, additional pumpout options to address of which is used for Alaska Marine military vessels, and Victoria Clipper concerns raised regarding location or Highway vessels and two other vessels all have dedicated stationary access issues. Additional information is pumpouts that can serve other pumpouts, they have been removed

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from the count and EPA has not FEDERAL ELECTION COMMISSION standards in section 4 of the BHC Act included their 14 dedicated pumpout (12 U.S.C. 1843). Unless otherwise facilities in the analysis below. Using Sunshine Act Meetings noted, nonbanking activities will be the starting number of 678 from the conducted throughout the United States. AGENCY: Federal Election Commission. 2005 Starcrest survey, this leaves an Unless otherwise noted, comments DATE AND TIME: approximate 600 vessels that would be Thursday, February 23, regarding each of these applications in need of other pumpout facilities. 2017 at 10:00 a.m. must be received at the Reserve Bank Using the starting number of 709 from PLACE: 999 E Street NW., Washington, indicated or the offices of the Board of the 2013 Starcrest survey would leave DC (Ninth Floor) Governors not later than March 17, 631 vessels in need of pumpout STATUS: This meeting will be open to the 2017. facilities. public. A. Federal Reserve Bank of With the two stationary commercial ITEMS TO BE DISCUSSED: Minneapolis (Jacquelyn K. Brunmeier, pumpouts, at least 52 Sound-wide Draft Advisory Opinion 2016–23: Assistant Vice President) 90 Hennepin commercial pumper trucks, and the two Socialist Workers Party Avenue, Minneapolis, Minnesota Sound-wide mobile commercial Management and Administrative 55480–0291: pumpout barges described above, this Matters 1. Stearns Financial Services, Inc. amounts to at least 56 pumpouts Individuals who plan to attend and Employee Stock Ownership Plan, Saint available for commercial vessels which require special assistance, such as sign Cloud, Minnesota; to retain and acquire results in an approximate ratio of 11:1, language interpretation or other additional stock and increase its using either the 600 or 631 vessel reasonable accommodations, should ownership interest up to 23.594 percent estimates cited above. In addition to this contact Dayna C. Brown, Acting of Stearns Financial Services, Inc., Saint ratio, EPA has considered the fact that Secretary and Clerk, at (202) 694–1040, Cloud, Minnesota, and thereby these mobile pumpouts provide service at least 72 hours prior to the meeting indirectly increase its control of Stearns throughout Puget Sound, provide date. Bank National Association, Saint Cloud, Minnesota; Stearns Bank of Upsala, sufficient capacity for commercial PERSON TO CONTACT FOR INFORMATION: National Association, Upsala, vessels, and generally do not experience Judith Ingram, Press Officer, Telephone: Minnesota; and Stearns Bank of dock access issues. Moreover, these (202) 694–1220. pumpout services can be scheduled by Holdingford, National Association, appointment to accommodate vessel Signed: Holdingford, Minnesota. needs and itineraries, and are Dayna C. Brown, Board of Governors of the Federal Reserve sufficiently diversified such that they do Acting Secretary and Clerk of the System, February 14, 2017. not experience seasonal fluctuations. Commission. Yao-Chin Chao, Given the widespread availability and [FR Doc. 2017–03456 Filed 2–16–17; 4:15 pm] Assistant Secretary of the Board. flexibility of these services and the BILLING CODE 6715–01–P [FR Doc. 2017–03257 Filed 2–17–17; 8:45 am] overall ratio of 11:1, EPA determines BILLING CODE 6210–01–P that adequate pumpout facilities for the safe and sanitary removal and treatment FEDERAL RESERVE SYSTEM of sewage for commercial vessels are FEDERAL RESERVE SYSTEM reasonably available for the waters of Formations of, Acquisitions by, and Puget Sound. Mergers of Bank Holding Companies Notice of Proposals To Engage in or To Acquire Companies Engaged in EPA further notes that the estimated The companies listed in this notice Permissible Nonbanking Activities ratio may be conservative, given that a have applied to the Board for approval, number of the mobile pumpout boats pursuant to the Bank Holding Company The companies listed in this notice and pumper trucks described above may Act of 1956 (12 U.S.C. 1841 et seq.) have given notice under section 4 of the also provide commercial pumpout (BHC Act), Regulation Y (12 CFR part Bank Holding Company Act (12 U.S.C. services. 225), and all other applicable statutes 1843) (BHC Act) and Regulation Y, (12 Table of Facilities and regulations to become a bank CFR part 225) to engage de novo, or to A list of pumpout facilities, phone holding company and/or to acquire the acquire or control voting securities or numbers, locations, hours of operation, assets or the ownership of, control of, or assets of a company, including the water depth, and fees is provided at this the power to vote shares of a bank or companies listed below, that engages link to the Washington Department of bank holding company and all of the either directly or through a subsidiary or Ecology Web site: http:// banks and nonbanking companies other company, in a nonbanking activity www.ecy.wa.gov/programs/wq/ owned by the bank holding company, that is listed in § 225.28 of Regulation Y nonpoint/CleanBoating/ including the companies listed below. (12 CFR 225.28) or that the Board has VesselPumpoutTables.pdf. The applications listed below, as well determined by Order to be closely Based on the information above, the as other related filings required by the related to banking and permissible for EPA hereby makes a final affirmative Board, are available for immediate bank holding companies. Unless determination that adequate facilities inspection at the Federal Reserve Bank otherwise noted, these activities will be for the safe and sanitary removal and indicated. The applications will also be conducted throughout the United States. treatment of sewage from all vessels are available for inspection at the offices of Each notice is available for inspection reasonably available for the waters of the Board of Governors. Interested at the Federal Reserve Bank indicated. Puget Sound. persons may express their views in The notice also will be available for writing on the standards enumerated in inspection at the offices of the Board of Dated: February 13, 2017. the BHC Act (12 U.S.C. 1842(c)). If the Governors. Interested persons may Michelle L. Pirzadeh, proposal also involves the acquisition of express their views in writing on the Acting Regional Administrator, Region 10. a nonbanking company, the review also question whether the proposal complies [FR Doc. 2017–03353 Filed 2–17–17; 8:45 am] includes whether the acquisition of the with the standards of section 4 of the BILLING CODE 6560–50–P nonbanking company complies with the BHC Act.

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Unless otherwise noted, comments utility of the proposed information 1. Type of Information Collection regarding the applications must be collection for the proper performance of Request: Extension of a previously received at the Reserve Bank indicated the agency’s functions, the accuracy of approved collection; Title of or the offices of the Board of Governors the estimated burden, ways to enhance Information Collection: Medicaid not later than March 7, 2017. the quality, utility, and clarity of the Emergency Psychiatric Demonstration A. Federal Reserve Bank of information to be collected and the use (MEPD) Evaluation; Use: Since the Philadelphia (William Spaniel, Senior of automated collection techniques or inception of Medicaid, inpatient care Vice President) 100 North 6th Street, other forms of information technology to provided to adults ages 21 to 64 in Philadelphia, Pennsylvania 19105– minimize the information collection institutions for mental disease (IMDs) 1521. Comments can also be sent burden. has been excluded from federal electronically to DATES: Comments on the collection(s) of matching funds. The Emergency [email protected]: information must be received by the Medical Treatment and Active Labor 1. The Toronto-Dominion Bank, OMB desk officer by March 23, 2017. Act (EMTALA), however, requires IMDs Toronto, Ontario, Canada, and its ADDRESSES: When commenting on the that participate in Medicare to provide wholly owned subsidiaries, TD Group proposed information collections, treatment for psychiatric emergency US Holdings, LLC, Wilmington, please reference the document identifier medical conditions (EMCs), even for Delaware; TD Bank US Holding or OMB control number. To be assured Medicaid patients for whose services Company, Cherry Hill, New Jersey; and consideration, comments and cannot be reimbursed. Section 2707 of TD Bank N.A., Wilmington, Delaware; recommendations must be received by the Affordable Care Act (ACA) directs to acquire Scottrade Financial Services, the OMB desk officer via one of the the Secretary of Health and Human Inc., St. Louis, Missouri, a savings and following transmissions: OMB, Office of Services to conduct and evaluate a loan holding company, and to merge Information and Regulatory Affairs, demonstration project to determine the Scottrade Bank, St. Louis, Missouri, a Attention: CMS Desk Officer, Fax impact of providing payment under federal savings association, into TD Number: (202) 395–5806 or, Email: Medicaid for inpatient services Bank N.A. [email protected]. provided by private IMDs to individuals Board of Governors of the Federal Reserve To obtain copies of a supporting with emergency psychiatric conditions System, February 14, 2017. statement and any related forms for the between the ages of 21 and 64. We will Yao-Chin Chao, proposed collection(s) summarized in use the data to evaluate the Medicaid Assistant Secretary of the Board. this notice, you may make your request Emergency Psychiatric Demonstration (MEPD) in accordance with the ACA [FR Doc. 2017–03258 Filed 2–17–17; 8:45 am] using one of following: 1. Access CMS’ Web site address at mandates. This evaluation in turn will BILLING CODE 6210–01–P http://www.cms.hhs.gov/ be used by Congress to determine PaperworkReductionActof1995. whether to continue or expand the 2. Email your request, including your demonstration. If the decision is made DEPARTMENT OF HEALTH AND address, phone number, OMB number, to expand the demonstration, the data HUMAN SERVICES and CMS document identifier, to collected will help to inform both CMS [email protected]. and its stakeholders about possible Centers for Medicare & Medicaid 3. Call the Reports Clearance Office at effects of contextual factors and Services (410) 786–1326. important procedural issues to consider [Document Identifiers: CMS–10487, CMS– FOR FURTHER INFORMATION CONTACT: in the expansion, as well as the R–71, CMS–10171, CMS–10260, CMS–10275, Reports Clearance Office at (410) 786– likelihood of various outcomes. Form CMS–10396, and CMS–R–266] 1326. Number: CMS–10487 (OMB control number: 0938–NEW); Frequency: Agency Information Collection SUPPLEMENTARY INFORMATION: Under the Paperwork Reduction Act of 1995 (PRA) Annually; Affected Public: Individuals Activities: Submission for OMB and households; State, Local and Tribal Review; Comment Request (44 U.S.C. 3501–3520), federal agencies must obtain approval from the Office of governments; Business and other for- AGENCY: Centers for Medicare & Management and Budget (OMB) for each profits and Not-for-profits; Number of Medicaid Services, HHS. collection of information they conduct Respondents: 93; Total Annual Responses: 1,944; Total Annual Hours: ACTION: Notice. or sponsor. The term ‘‘collection of information’’ is defined in 44 U.S.C. 2,046. (For policy questions regarding SUMMARY: The Centers for Medicare & 3502(3) and 5 CFR 1320.3(c) and this collection contact Vetisha McClair Medicaid Services (CMS) is announcing includes agency requests or at 410–786–4923.) an opportunity for the public to requirements that members of the public 2. Type of Information Collection comment on CMS’ intention to collect submit reports, keep records, or provide Request: Extension of a previously information from the public. Under the information to a third party. Section approved collection; Title of Paperwork Reduction Act of 1995 3506(c)(2)(A) of the PRA (44 U.S.C. Information Collection: Quality (PRA), federal agencies are required to 3506(c)(2)(A)) requires federal agencies Improvement Organization (QIO) publish notice in the Federal Register to publish a 30-day notice in the Assumption of Responsibilities and concerning each proposed collection of Federal Register concerning each Supporting Regulations; Use: The Peer information, including each proposed proposed collection of information, Review Improvement Act of 1982 extension or reinstatement of an existing including each proposed extension or amended Title XI of the Social Security collection of information, and to allow reinstatement of an existing collection Act to create the Utilization and Quality a second opportunity for public of information, before submitting the Control Peer Review Organization (PRO) comment on the notice. Interested collection to OMB for approval. To program which replaces the Professional persons are invited to send comments comply with this requirement, CMS is Standards Review Organization (PSRO) regarding the burden estimate or any publishing this notice that summarizes program and streamlines peer review other aspect of this collection of the following proposed collection(s) of activities. The term PRO has been information, including the necessity and information for public comment: renamed Quality Improvement

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Organization (QIO). This information correct information is disclosed to basis, with publicly reported results collection describes the review current and potential enrollees. based on one year’s worth of data. functions to be performed by the QIO. For 2017, CMS has a total of nine As part of this information collection It outlines relationships among QIOs, standardized ANOC/EOC documents: request for the national implementation providers, practitioners, beneficiaries, Health Maintenance Organization, Cost, of Home Health Care CAHPS, CMS is intermediaries, and carriers. Form Dual Eligible Special Needs, Medicare also requesting approval to conduct a Number: CMS–R–71 (OMB Control Medical Savings Account, Private-Fee- randomized mode experiment with a Number: 0938–0445); Frequency: For-Service, Preferred Provider sample of home health agencies. The Yearly; Affected Public: Business or Organizations, Preferred Provider mode experiment compared the other for-profit and Not-for-profit Organization with Prescription Drugs, responses to the survey across the three institutions; Number of Respondents: Health Maintenance Organization with proposed modes to determine whether 6,939; Total Annual Responses: Prescription Drug, and Prescription adjustments are needed to ensure that 489,750; Total Annual Hours: 1,479,346. Drug. These standardized documents the data collection mode does not (For policy questions regarding this will be used by MA organizations and influence the survey results. In addition, collection contact Tennille Coombs at Part D sponsors for the 2018 contract data from the mode experiment will be 410–786–3472.) year. used to determine which, if any, patient 3. Type of Information Collection In revising the standardized ANOC/ characteristics may affect the patients’ Request: Extension of a currently EOCs for contract year 2018, we did not rating of the care they receive and, if so, approved collection; Title of add to or remove any section from the develop an adjustment model of those Information Collection: Collecting prior contract year ANOC/EOC models. data based on those factors. CMS Benefit Coordination Data; Use: This MA organizations and Part D sponsors worked with RTI, the federal contractor collection of information request are still required to use the standardized to recruit approximately 100 home coordinates Part D plan prescription language in the ANOC/EOC models and health agencies to participate in the drug coverage with other prescription to send this document to current mode experiment. The mode drug coverage. The collected members at least 15 days prior to the experiment included approximately information will assist CMS, Part D 23,000 home health care patients. Form start of the annual enrollment period or plans and other payers with Number: CMS–10275 (OMB control by September 30, 2017 for the 2018 coordination of prescription drug number: 0938–1066); Frequency: enrollment season, based on 42 CFR benefits at the point-of-sale and tracking Quarterly; Affected Public: Individuals 422.111(a) (3) and 423.128(a)(3). Form of the beneficiary’s True out-of-pocket and households, Business or other for- Number: CMS–10260 (OMB control (TrOOP) expenditures using the Part D profit and Not-for-profit institutions; number: 0938–1051); Frequency: Yearly; Transaction Facilitator (PDTF). Form Number of Respondents: 2,715,890; Affected Public: Private sector (Business Number: CMS–10171 (OMB control Total Annual Responses: 2,715,890; or other for-profits); Number of number: 0938–0978); Frequency: Yearly Total Annual Hours: 699,440. (For Respondents: 805; Total Annual and occasionally; Affected Public: policy questions regarding this Business or other for-profits; Number of Responses: 805; Total Annual Hours: collection contact Lori Teichman at Respondents: 62,438; Total Annual 9,660. (For policy questions regarding 410–786–6684.) Responses: 891,777,634; Total Annual this collection contact Gladys Valentin 6. Type of Information Collection Hours: 5,201,718. (For policy questions at 410–786–1620.) Request: Extension of a currently regarding this collection contact Shelly 5. Type of Information Collection approved collection; Title of Winston at 410–786–3694.) Request: Revision of a currently Information Collection: Medication 4. Type of Information Collection approved collection; Title of Therapy Management Program Request: Revision of a currently Information Collection: CAHPS Home Improvements; Use: Information approved collection; Title of Health Care Survey; Use: The national collected by Part D medication therapy Information Collection: Medicare implementation of the Home Health management programs (as required by Advantage and Prescription Drug Care Consumer Assessment of the standardized format for the Program: Final Marketing Provisions in Healthcare Providers and Systems comprehensive medication review ® 42 CFR 422.111(a)(3) and 423.128(a)(3); (CAHPS ) Survey is designed to collect summary) will be used by beneficiaries Use: We require that Medicare ongoing data from samples of home or their authorized representatives, Advantage (MA) organizations and Part health care patients who receive skilled caregivers, and their healthcare D sponsors use standardized documents services from Medicare-certified home providers to improve medication use to satisfy disclosure requirements health agencies. The data collected from and achieve better healthcare outcomes. mandated by section 1851(d)(3)(A) of the national implementation of the Form Number: CMS–10396 (OMB the Social Security Act (Act) and 42 Home Health Care CAHPS Survey will control number 0938–1154); Frequency: CFR 422.111(b) for MA organizations, be used for the following purposes: (1) Occasionally; Affected Public: Business and section 1860D–1(c) of the Act and To produce comparable data on the or other for-profits; Number of 42 CFR 423.128(a)(3) for Part D patients’ perspectives of the care they Respondents: 599; Total Annual sponsors. The regulatory provisions receive from home health agencies, (2) Responses: 1,211,661; Total Annual require that MA organizations and Part to create incentives for agencies to Hours: 807,451. (For policy questions D sponsors disclose plan information, improve the quality of care they provide regarding this collection contact including: Service area, benefits, access, through public reporting of survey Victoria Dang at 410–786–3991.) grievance and appeals procedures, and results, and (3) to enhance public 7. Type of Information Collection quality improvement and quality accountability in health care by Request: Extension of a currently assurance requirements by September increasing the transparency of the approved collection; Title of 30th of each year. The MA organizations quality of care provided in return for the Information Collection: Medicaid and Part D sponsors use the information public investment. Sampling and data Disproportionate Share Hospital (DSH) to comply with the disclosure collection will be conducted on a Annual Reporting Requirements; Use: requirements. We will use the approved monthly basis. Survey results will be States are required to submit an annual standardized documents to ensure that analyzed and reported on a quarterly report that identifies each

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disproportionate share hospital (DSH) DATES: Comments must be received by requires federal agencies to publish a that received a DSH payment under the April 24, 2017. 60-day notice in the Federal Register state’s Medicaid program in the ADDRESSES: When commenting, please concerning each proposed collection of preceding fiscal year and the amount of reference the document identifier or information, including each proposed DSH payments paid to that hospital in OMB control number. To be assured extension or reinstatement of an existing the same year along with other consideration, comments and collection of information, before information that the Secretary recommendations must be submitted in submitting the collection to OMB for determines necessary to ensure the any one of the following ways: approval. To comply with this appropriateness of DSH payments; Form 1. Electronically. You may send your requirement, CMS is publishing this Number: CMS–R–266 (OMB control comments electronically to http:// notice. number: 0938–0746); Frequency: Yearly; www.regulations.gov. Follow the Information Collection Affected Public: State, Local, or Tribal instructions for ‘‘Comment or Governments; Number of Respondents: Submission’’ or ‘‘More Search Options’’ 1. Type of Information Collection 51; Total Annual Responses: 51; Total to find the information collection Request: Revision of a currently Annual Hours: 2,142. (For policy document(s) that are accepting approved collection; Title of questions regarding this collection comments. Information Collection: Generic contact Robert Lane at 410–786–2015.) 2. By regular mail. You may mail Clearance for Medicaid and CHIP State Dated: February 15, 2017. written comments to the following Plan, Waiver, and Program Submissions; William N. Parham, III, address: CMS, Office of Strategic Use: State Medicaid and CHIP agencies are responsible for developing Director, Paperwork Reduction Staff, Office Operations and Regulatory Affairs, of Strategic Operations and Regulatory Division of Regulations Development, submissions to CMS, including state Affairs. Attention: Document Identifier/OMB plan amendments and requests for [FR Doc. 2017–03369 Filed 2–17–17; 8:45 am] Control Number lll, Room C4–26– waivers and program demonstrations. States use templates when they are BILLING CODE 4120–01–P 05, 7500 Security Boulevard, Baltimore, Maryland 21244–1850. available and submit the forms to To obtain copies of a supporting review for consistency with statutory DEPARTMENT OF HEALTH AND statement and any related forms for the and regulatory requirements (or in the HUMAN SERVICES proposed collection(s) summarized in case of waivers and demonstrations this notice, you may make your request whether the proposal is likely to Centers for Medicare & Medicaid using one of following: promote the objectives of the Medicaid Services 1. Access CMS’ Web site address at program). If the requirements are met, [Document Identifier: CMS–10398] http://www.cms.hhs.gov/ we approve the states’ submissions PaperworkReductionActof1995. giving them the authority to implement Agency Information Collection 2. Email your request, including your the flexibilities. For a state to receive Activities: Proposed Collection; address, phone number, OMB number, Medicaid Title XIX funding, there must Comment Request and CMS document identifier, to be an approved Title XIX state plan. [email protected]. The development of streamlined AGENCY: Centers for Medicare & 3. Call the Reports Clearance Office at submissions forms enhances the Medicaid Services, Department of (410) 786–1326. collaboration and partnership between Health and Human Services. FOR FURTHER INFORMATION CONTACT: states and CMS by documenting our ACTION: Notice. Reports Clearance Office at (410) 786– policy for states to use as they are developing program changes. SUMMARY: The Centers for Medicare & 1326. Streamlined forms improve efficiency of Medicaid Services (CMS) is announcing SUPPLEMENTARY INFORMATION: administration by creating a common an opportunity for the public to and user-friendly understanding of the comment on CMS’ intention to collect Contents information we need to quickly process information from the public. Under the This notice sets out a summary of the requests for state plan amendments, Paperwork Reduction Act of 1995 (the use and burden associated with the waivers, and demonstration, as well as PRA), federal agencies are required to following information collections. More publish notice in the Federal Register ongoing reporting. detailed information can be found in Form Number: CMS–10398 (OMB concerning each proposed collection of each collection’s supporting statement control number: 0938–1148); Frequency: information (including each proposed and associated materials (see Collection-specific, but generally the extension or reinstatement of an existing ADDRESSES). frequency is yearly, once, and collection of information) and to allow occasionally; Affected Public: State, 60 days for public comment on the CMS–10398 Reconciliation of State Local, or Tribal Governments; Number proposed action. Interested persons are Invoice and Prior Quarter Adjustment of Respondents: 56; Total Responses: invited to send comments regarding our Statement 1,540 (3-year total); Total Hours: burden estimates or any other aspect of Under the PRA (44 U.S.C. 3501– 214,584 (3-year total). (For policy this collection of information, including 3520), federal agencies must obtain questions regarding this collection the necessity and utility of the proposed approval from the Office of Management contact Annette Pearson at 410–786– information collection for the proper and Budget (OMB) for each collection of 6858.) performance of the agency’s functions, information they conduct or sponsor. the accuracy of the estimated burden, The term ‘‘collection of information’’ is Dated: February 15, 2017. ways to enhance the quality, utility, and defined in 44 U.S.C. 3502(3) and 5 CFR William N. Parham, III, clarity of the information to be 1320.3(c) and includes agency requests Director, Paperwork Reduction Staff, Office collected, and the use of automated or requirements that members of the of Strategic Operations and Regulatory collection techniques or other forms of public submit reports, keep records, or Affairs. information technology to minimize the provide information to a third party. [FR Doc. 2017–03370 Filed 2–17–17; 8:45 am] information collection burden. Section 3506(c)(2)(A) of the PRA BILLING CODE 4120–01–P

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DEPARTMENT OF HEALTH AND www.regulations.gov will be posted to claimed confidential information HUMAN SERVICES the docket unchanged. Because your redacted/blacked out, will be available comment will be made public, you are for public viewing and posted on Food and Drug Administration solely responsible for ensuring that your https://www.regulations.gov. Submit [Docket No. FDA–2017–D–0155] comment does not include any both copies to the Division of Dockets confidential information that you or a Management. If you do not wish your Q11 Development and Manufacture of third party may not wish to be posted, name and contact information to be Drug Substances—Questions and such as medical information, your or made publicly available, you can Answers (Regarding the Selection and anyone else’s Social Security number, or provide this information on the cover Justification of Starting Materials); confidential business information, such sheet and not in the body of your International Council for as a manufacturing process. Please note comments and you must identify this Harmonisation; Guidance for Industry; that if you include your name, contact information as ‘‘confidential.’’ Any Availability information, or other information that information marked as ‘‘confidential’’ identifies you in the body of your will not be disclosed except in AGENCY: Food and Drug Administration, comments, that information will be accordance with 21 CFR 10.20 and other HHS. posted on https://www.regulations.gov. applicable disclosure law. For more • ACTION: Notice. If you want to submit a comment information about FDA’s posting of with confidential information that you comments to public dockets, see 80 FR SUMMARY: The Food and Drug do not wish to be made available to the 56469, September 18, 2015, or access Administration (FDA or Agency) is public, submit the comment as a the information at: http://www.fda.gov/ announcing the availability of a draft written/paper submission and in the regulatoryinformation/dockets/ guidance entitled ‘‘Q11 Development manner detailed (see ‘‘Written/Paper default.htm. and Manufacture of Drug Substances— Submissions’’ and ‘‘Instructions’’). Docket: For access to the docket to Questions and Answers (regarding the Written/Paper Submissions read background documents or the selection and justification of starting electronic and written/paper comments materials).’’ The draft guidance was Submit written/paper submissions as received, go to https:// prepared under the auspices of the follows: www.regulations.gov and insert the • Mail/Hand delivery/Courier (for International Council for Harmonisation docket number, found in brackets in the written/paper submissions): Division of (ICH), formerly the International heading of this document, into the Dockets Management (HFA–305), Food Conference on Harmonisation. The draft ‘‘Search’’ box and follow the prompts and Drug Administration, 5630 Fishers guidance consists of questions and and/or go to the Division of Dockets Lane, Rm. 1061, Rockville, MD 20852. answers that were developed to clarify • Management, 5630 Fishers Lane, Rm. the principles for selecting starting For written/paper comments submitted to the Division of Dockets 1061, Rockville, MD 20852. materials described in the ICH guidance Submit written requests for single Management, FDA will post your ‘‘Q11 Development and Manufacture of copies of this draft guidance to the comment, as well as any attachments, Drug Substances’’. The draft guidance is Division of Drug Information, Center for except for information submitted, intended to provide additional Drug Evaluation and Research (CDER), marked and identified, as confidential, clarification and to promote Food and Drug Administration, 10001 if submitted as detailed in convergence on the considerations for New Hampshire Ave., Hillandale the selection and justification of starting ‘‘Instructions.’’ Instructions: All submissions received Building, 4th Floor, Silver Spring, MD materials. The question-and-answer 20993–0002, or the Office of (Q&A) draft guidance focuses on must include the Docket No. FDA– 2017–D–0155 for ‘‘Q11 Development Communication, Outreach and chemical entity drug substances, and Development, Center for Biologics provides recommendation on the and Manufacture of Drug Substances— Questions and Answers (regarding the Evaluation and Research (CBER), Food information that should be provided in and Drug Administration, 10903 New marketing authorization applications selection and justification of starting materials).’’ Received comments will be Hampshire Ave., Bldg. 71, Rm. 3128, and/or Master Files to justify the Silver Spring, MD 20993–0002. Send starting materials. placed in the docket and, except for those submitted as ‘‘Confidential one self-addressed adhesive label to DATES: Although you can comment on Submissions,’’ publicly viewable at assist that office in processing your any guidance at any time (see 21 CFR https://www.regulations.gov or at the requests. The guidance may also be 10.115(g)(5)), to ensure that the Agency Division of Dockets Management obtained by mail by calling CBER at 1– considers your comment on this draft between 9 a.m. and 4 p.m., Monday 800–835–4709 or 240–402–8010. See guidance before it begins work on the through Friday. the SUPPLEMENTARY INFORMATION section final version of the guidance, submit • Confidential Submissions—To for electronic access to the guidance either electronic or written comments submit a comment with confidential document. on the draft guidance by March 23, information that you do not wish to be FOR FURTHER INFORMATION CONTACT: 2017. made publicly available, submit your Regarding the guidance: Stephen Miller, ADDRESSES: You may submit comments comments only as a written/paper Center for Drug Evaluation and as follows: submission. You should submit two Research, Food and Drug copies total. One copy will include the Administration, 10903 New Hampshire Electronic Submissions information you claim to be confidential Ave., Bldg. 22, Rm. 1446, Silver Spring, Submit electronic comments in the with a heading or cover note that states MD 20993–0002, 301–796–1418. following way: ‘‘THIS DOCUMENT CONTAINS Regarding the ICH: Amanda Roache, • Federal eRulemaking Portal: CONFIDENTIAL INFORMATION.’’ The Center for Drug Evaluation and https://www.regulations.gov. Follow the Agency will review this copy, including Research, Food and Drug instructions for submitting comments. the claimed confidential information, in Administration, 10903 New Hampshire Comments submitted electronically, its consideration of comments. The Ave., Bldg. 51, Rm. 1176, Silver Spring, including attachments, to https:// second copy, which will have the MD 20993–0002, 301–796–4548.

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SUPPLEMENTARY INFORMATION: and Manufacture of Drug Substances’’ ADDRESSES: Tommy Douglas Conference published November 20, 2012 (77 FR Center, 10000 New Hampshire Ave., I. Background 69634), and available online at http:// Silver Spring, Maryland 20903. Answers In recent years, many important www.fda.gov/downloads/Drugs/ to commonly asked questions including initiatives have been undertaken by GuidanceComplianceRegulatory information regarding special regulatory authorities and industry Information/Guidances/ accommodations due to a disability, associations to promote international UCM261078.pdf. The draft guidance visitor parking, and transportation may harmonization of regulatory provides guidance on selecting and be accessed at: http://www.fda.gov/ requirements. FDA has participated in justifying starting materials, in AdvisoryCommittees/ many meetings designed to enhance particular for the synthesis of chemical AboutAdvisoryCommittees/ harmonization, and is committed to entity drug substances. Comments about ucm408555.htm. seeking scientifically based harmonized this draft will be considered by FDA FOR FURTHER INFORMATION CONTACT: technical procedures for pharmaceutical and the Quality Implementation Caryn Cohen, Office of Science, Center development. One of the goals of Working Group. for Tobacco Products, Food and Drug harmonization is to identify and then This draft guidance is being issued Administration, Document Control reduce differences in technical consistent with FDA’s good guidance Center, Bldg. 71, Rm. G335, 10903 New requirements for drug development practices regulation (21 CFR 10.115). Hampshire Ave., Silver Spring, MD among regulatory agencies. The draft guidance, when finalized, will ICH was organized to provide an 20993–0002, 1–877–287–1373, email: represent the current thinking of FDA [email protected]. A notice in the opportunity for harmonization on this topic. It does not establish any initiatives to be developed with input Federal Register about last minute rights for any person and is not binding modifications that impact a previously from both regulatory and industry on FDA or the public. You can use an representatives. FDA also seeks input announced advisory committee meeting alternative approach if it satisfies the from consumer representatives and cannot always be published quickly requirements of the applicable statutes others. ICH is concerned with enough to provide timely notice. and regulations. harmonization of technical Therefore, you should always check the requirements for the registration of II. Electronic Access Agency’s Web site at http:// www.fda.gov/AdvisoryCommittees/ pharmaceutical products for human use Persons with access to the Internet among regulators around the world. The default.htm and scroll down to the may obtain the document at https:// appropriate advisory committee meeting six founding members of the ICH are the www.regulations.gov, http:// European Commission; the European link, or call the advisory committee www.fda.gov/Drugs/Guidance information line to learn about possible Federation of Pharmaceutical Industries ComplianceRegulatoryInformation/ Associations; the Japanese Ministry of modifications before coming to the Guidances/default.htm, or http:// Health, Labour, and Welfare; the meeting. www.fda.gov/BiologicsBloodVaccines/ Japanese Pharmaceutical Manufacturers SUPPLEMENTARY INFORMATION: GuidanceComplianceRegulatory Association; CDER and CBER, FDA; and Agenda: Under section 910(b)(2) (21 Information/Guidances/default.htm. the Pharmaceutical Research and U.S.C. 387j(b)(2)) of the Federal Food, Manufacturers of America. The Dated: February 14, 2017. Drug, and Cosmetic Act (the FD&C Act), Standing Members of the ICH Leslie Kux, FDA may refer applications for Association include Health Canada and Associate Commissioner for Policy. premarket review of new tobacco Swissmedic. Any party eligible as a [FR Doc. 2017–03309 Filed 2–17–17; 8:45 am] products (PMTA) to the Tobacco Member in accordance with the ICH BILLING CODE 4164–01–P Products Scientific Advisory Committee Articles of Association can apply for (Committee). The FD&C Act also membership in writing to the ICH provides for mandatory referral of Secretariat. The ICH Secretariat, which DEPARTMENT OF HEALTH AND modified risk tobacco product coordinates the preparation of HUMAN SERVICES applications (MRTPA) to the Committee documentation, operates as an under section 911(f)(1) (21 U.S.C. 387k international nonprofit organization and Food and Drug Administration (f)(1)). On April 6, 2017, FDA will is funded by the Members of the ICH [Docket No. FDA–2017–N–0001] present information to the Committee Association. on the processes used in review of The ICH Assembly is the overarching Tobacco Products Scientific Advisory tobacco product applications, including body of the Association and includes Committee; Notice of Meeting premarket tobacco, substantial representatives from each of the ICH equivalence, and modified risk tobacco members and observers. AGENCY: Food and Drug Administration, product applications. Topics will In November 2016, the ICH Assembly HHS. include the statutory standards endorsed the draft guidance entitled ACTION: Notice. applicable to the different types of ‘‘Q11 Development and Manufacture of applications, the scientific basis for Drug Substances—Questions and SUMMARY: The Food and Drug review decisions, with a focus on PMTA Answers (regarding the selection and Administration (FDA) announces a and MRTPA, and the role of the justification of starting materials)’’ and forthcoming public advisory committee Committee in the review process. agreed that the guidance should be meeting of the Tobacco Products FDA intends to make background made available for public comment. The Scientific Advisory Committee. The material available to the public no later draft guidance is the product of the Q11 general function of the committee is to than 2 business days before the meeting. Quality Implementation Working Group provide advice and recommendations to If FDA is unable to post the background of the ICH. The guidance consists of the Agency on FDA’s regulatory issues. material on its Web site prior to the questions and answers that were The meeting will be open to the public. meeting, the background material will developed to clarify the principles for DATES: The meeting will be held on be made publicly available at the selecting starting materials described in April 6, 2017, from 8:30 a.m. to 4:30 location of the advisory committee the ICH guidance ‘‘Q11 Development p.m. meeting, and the background material

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will be posted on FDA’s Web site after DEPARTMENT OF HEALTH AND manner detailed (see ‘‘Written/Paper the meeting. Background material is HUMAN SERVICES Submissions’’ and ‘‘Instructions’’). available at http://www.fda.gov/ Written/Paper Submissions AdvisoryCommittees/Calendar/ Food and Drug Administration Submit written/paper submission as default.htm. Scroll down to the [Docket No. FDA–2017–N–0595] appropriate advisory committee meeting follows: • link. Pediatric Postmarketing Mail/Hand delivery/Courier (for Pharmacovigilance and Drug written/paper submissions): Division of Procedure: Interested persons may Dockets Management (HFA–305), Food present data, information, or views, Utilization Reviews; Establishment of a Public Docket; Request for Comments and Drug Administration, 5630 Fishers orally or in writing, on issues pending Lane, Rm. 1061, Rockville, MD 20852. before the committee. Written AGENCY: Food and Drug Administration, • For written/paper comments submissions may be made to the contact HHS. submitted to the Division of Dockets person on or before March 23, 2017. ACTION: Notice; request for comments. Management, FDA will post your Oral presentations from the public will comment, as well as any attachments, be scheduled between approximately 1 SUMMARY: The Food and Drug except for information submitted, p.m. and 2 p.m. Those individuals Administration (FDA or Agency) is marked and identified, as confidential, interested in making formal oral establishing a public docket to collect if submitted as detailed in presentations should notify the contact comments related to the pediatric ‘‘Instructions.’’ person and submit a brief statement of postmarketing pharmacovigilance and Instructions: All submissions received the general nature of the evidence or drug utilization reviews of products must include the Docket No. FDA– arguments they wish to present, the posted between September 17, 2016, 2017–N–0595 for ‘‘Pediatric names and addresses of proposed and February 24, 2017, on the FDA Web Postmarketing Pharmacovigilance and participants, and an indication of the site, but will not be presented at the Drug Utilization Reviews’’ that have approximate time requested to make March 6–7, 2017, Pediatric Advisory been posted on the FDA Web site at their presentation on or before March Committee (PAC) meeting. These http://www.fda.gov/ 15, 2017. Time allotted for each reviews are intended to be available for AdvisoryCommittees/ presentation may be limited. If the review and comment by members of the CommitteesMeetingMaterials/ number of registrants requesting to PAC, interested parties (such as PediatricAdvisoryCommittee/ speak is greater than can be reasonably academic researchers, regulated ucm510701.htm between September 17, accommodated during the scheduled industries, consortia, and patient 2016, and February 24, 2017, but will open public hearing session, FDA may groups), and the general public. not be presented at the March 6–7, 2017 conduct a lottery to determine the DATES: Submit either electronic or PAC meeting (82 FR 1345, January 5, speakers for the scheduled open public written comments by March 10, 2017. 2017). Received comments will be hearing session. The contact person will The docket will open on February 27, placed in the docket and, except for notify interested persons regarding their 2017, and remain open until March 10, those submitted as ‘‘Confidential request to speak by March 16, 2017. 2017. Submissions,’’ publicly viewable at Persons attending FDA’s advisory ADDRESSES: You may submit your https://www.regulations.gov or at the committee meetings are advised that the comments as follows: Division of Dockets Management between 9 a.m. and 4 p.m., Monday Agency is not responsible for providing Electronic Submissions access to electrical outlets. through Friday. Submit electronic comments in the • Confidential Submissions—To FDA welcomes the attendance of the following way: submit a comment with confidential public at its advisory committee • Federal eRulemaking Portal: information that you do not wish to be meetings and will make every effort to https://www.regulations.gov. Follow the made publicly available, submit your accommodate persons with disabilities. instructions for submitting comments. comments only as a written/paper If you require accommodations due to a Comments submitted electronically, submission. You should submit two disability, please contact Caryn Cohen including attachments, to https:// copies total. One copy will include the at least 7 days in advance of the www.regulations.gov will be posted to information you claim to be confidential meeting. the docket unchanged. Because your with a heading or cover note that states FDA is committed to the orderly comment will be made public, you are ‘‘THIS DOCUMENT CONTAINS conduct of its advisory committee solely responsible for ensuring that your CONFIDENTIAL INFORMATION.’’ The meetings. Please visit our Web site at comment does not include any Agency will review this copy, including http://www.fda.gov/ confidential information that you or a the claimed confidential information, in AdvisoryCommittees/ third party may not wish to be posted, its consideration of comments. The AboutAdvisoryCommittees/ such as medical information, you or second copy, which will have the ucm111462.htm for procedures on anyone else’s Social Security number, or claimed confidential information public conduct during advisory confidential business information, such redacted/blacked out, will be available committee meetings. as a manufacturing process. Please note for public viewing and posted on Notice of this meeting is given under that if you include your name, contact https://www.regulations.gov. Submit the Federal Advisory Committee Act (5 information, or other information that both copies to the Division of Dockets U.S.C. app. 2). identifies you in the body of your Management. If you do not wish your comments, that information will be name and contact information to be Dated: February 15, 2017. posted on https://www.regulations.gov. made publicly available, you can Janice M. Soreth, • If you want to submit a comment provide this information on the cover Associate Commissioner for Special Medical with confidential information that you sheet and not in the body of your Programs. do not wish to be made available to the comments and you must identify this [FR Doc. 2017–03364 Filed 2–17–17; 8:45 am] public, submit the comment as a information as ‘‘confidential.’’ Any BILLING CODE 4164–01–P written/paper submission and in the information marked as ‘‘confidential’’

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will not be disclosed except in • TRUVADA (emtricitabine/tenofovir Performance Report (NFLP–APR) accordance with 21 CFR 10.20 and other disoproxil fumarate) Financial Data Form. The form was applicable disclosure law. For more • XERESE (acyclovir/hydrocortisone) previously titled as the Nurse Faculty information about FDA’s posting of Dated: February 15, 2017. Loan Program, Annual Operating Report comments to public dockets, see 80 FR Janice M. Soreth, (NFLP–AOR). 56469, September 18, 2015, or access Section 846A of the Public Health Associate Commissioner for Special Medical Service Act provides the Secretary of the information at: http://www.fda.gov/ Programs. regulatoryinformation/dockets/ HHS with the authority to enter into an [FR Doc. 2017–03365 Filed 2–17–17; 8:45 am] default.htm. agreement with schools of nursing for Docket: For access to the docket to BILLING CODE 4164–01–P the establishment and operation of a read background documents or the student loan fund to increase the electronic and written/paper comments number of qualified nurse faculty. DEPARTMENT OF HEALTH AND Under the agreement, HRSA makes received, go to http:// HUMAN SERVICES www.regulations.gov and insert the awards to schools for the NFLP loan docket number, found in brackets in the Health Resources and Services fund, which must be maintained in a heading of this document, into the Administration distinct account. A school of nursing ‘‘Search’’ box and follow the prompts makes loans from the NFLP account to and/or go to the Division of Dockets Agency Information Collection students enrolled full-time or, at the Management, 5630 Fishers Lane, Rm. Activities: Proposed Collection: Public discretion of the Secretary, part-time in 1061, Rockville, MD 20852. Comment Request; Nurse Faculty a master’s or doctoral nursing education FOR FURTHER INFORMATION CONTACT: Loan Program, Annual Performance program that will prepare them to Kenneth Quinto, Office of the Report Financial Data Form become qualified nursing faculty. Commissioner, Food and Drug Following graduation from the NFLP AGENCY: Health Resources and Services Administration, 10903 New Hampshire lending school, loan recipients may Administration (HRSA), Department of Ave., Bldg. 32, Rm. 5145, Silver Spring, receive up to 85 percent NFLP loan Health and Human Services (HHS). MD 20993, 240–402–2221, email: cancellation over a consecutive 4-year [email protected]. ACTION: Notice. period in exchange for service as full- time faculty at a school of nursing. The SUPPLEMENTARY INFORMATION: FDA is SUMMARY: In compliance with the NFLP lending school collects any responsible for protecting the public requirement for opportunity for public portion of the loan that is not cancelled health by assuring the safety, efficacy, comment on proposed data collection and any loans that go into repayment and security of human and veterinary projects of the Paperwork Reduction Act due to default, and deposits these drugs, biological products, medical of 1995, HRSA announces plans to monies into the NFLP loan fund to make devices, our Nation’s food supply, submit an Information Collection additional NFLP loans. cosmetics, and products that emit Request (ICR), described below, to the Need and Proposed Use of the radiation. Office of Management and Budget Information: The online NFLP–APR FDA is establishing a public docket (OMB). Prior to submitting the ICR to Financial Data Form is an online form FDA–2017–N–0595 to receive input on OMB, HRSA seeks comments from the in the HRSA Electronic Handbooks pediatric postmarketing public regarding the burden estimate, (EHBs) Performance Report module as pharmacovigilance and drug utilization below, or any other aspect of the ICR. part of the NFLP, Bureau of Health reviews posted between September 17, DATES: Comments on this ICR should be Workforce performance report (OMB 2016, and February 24, 2017, on the received no later than April 24, 2017. No: 0915–0061, expiration date of 6/30/ FDA Web site at http://www.fda.gov/ ADDRESSES: Submit your comments to 2019). The revised NFLP–APR financial AdvisoryCommittees/ data form will collect less data from CommitteesMeetingMaterials/ [email protected] or mail the HRSA Information Collection Clearance applicants and will no longer include PediatricAdvisoryCommittee/ nursing student demographic data. The ucm510701.htm, but will not be Officer, 14N39, 5600 Fishers Lane, Rockville, MD 20857. nursing student demographic data is presented at the March 6–7, 2017, PAC currently collected under OMB approval meeting (82 FR 1345, January 5, 2017). FOR FURTHER INFORMATION CONTACT: To number No: 0915–0061. The revised FDA welcomes comments by members request more information on the NFLP–APR form will only collect of the PAC, as mandated by the Best proposed project or to obtain a copy of financial data to capture the NFLP loan Pharmaceuticals for Children Act (Pub. the data collection plans and draft fund account activity related to L. 107–109) and the Pediatric Research instruments, email [email protected] financial receivables, disbursements, Equity Act (Pub. L. 108–155), interested or call the HRSA Information Collection and borrower account data related to parties (such as academic researchers, Clearance Officer at (301) 443–1984. employment status, loan cancellation, regulated industries, consortia, and SUPPLEMENTARY INFORMATION: When loan repayment, and collections. patient groups), and the general public. submitting comments or requesting Participating schools will provide HRSA The docket will open on February 27, information, please include the with current and cumulative 2017, and remain open until March 10, information request collection title for information on: (1) NFLP loan funds 2017. These pediatric postmarketing reference, in compliance with Section received, (2) number and amount of pharmacovigilance and drug utilization 3506(c)(2)(A) of the Paperwork NFLP loans made, (3) number and reviews are for the following products: Reduction Act of 1995. amount of loans cancelled, (4) number • ALEVE PM (diphenhydramine Information Collection Request Title: and amount of loans in repayment, (5) hydrochloride/naproxen sodium) Nurse Faculty Loan Program, Annual loan default rate percent, (6) number of • ASTEPRO (azelastine hydrochloride) Performance Report Financial Data NFLP graduates employed as nurse • ECOZA (econazole nitrate) Form, OMB No. 0915–0314—Revision. faculty, and (7) other related loan fund • JETREA (ocriplasmin) Abstract: This collection request is for costs and activities. • QUARTETTE (levonorgestrel/ethinyl continued approval of the Nurse Faculty The school of nursing must keep estradiol and ethinyl estradiol) Loan Program’s revised Annual records of all NFLP loan fund

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transactions. The NFLP–APR financial will allow HRSA to better determine of collecting, validating and verifying data form is used to monitor grantee future awards to nursing schools. information, processing and performance by collecting information Likely Respondents: Participating maintaining information, and disclosing related to the NFLP loan fund NFLP schools are required to adhere to and providing information; to train operations and financial activities for a reporting requirements. personnel and to be able to respond to specified reporting period (July 1 Burden Statement: Burden in this a collection of information; to search through June 30 of the academic year). context means the time expended by data sources; to complete and review persons to generate, maintain, retain, Participating schools are required to the collection of information; and to disclose, or provide the information complete and submit the NFLP–APR requested. This includes the time transmit or otherwise disclose the financial data form annually. The needed to review instructions; to information. The total annual burden revised NFLP–APR financial data form develop, acquire, install, and utilize hours estimated for this ICR are technology and systems for the purpose summarized in the table below.

TOTAL ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of Total burden per Total burden Form name respondents responses per responses response hours respondent (in hours)

Nurse Faculty Loan Program—Annual Performance Re- port Financial Data Form ...... 260 1 260 6 1,560

Total Burden...... 260 ...... 260 ...... 1,560

HRSA specifically requests comments Request (ICR), described below, to the requesting information regarding the on (1) the necessity and utility of the Office of Management and Budget status of an institution’s default rate. proposed information collection for the (OMB). Prior to submitting the ICR to • Addition of Line Item D3 entitled proper performance of the agency’s OMB, HRSA seeks comments from the ‘‘Last NFLP Student Loan Award,’’ functions, (2) the accuracy of the public regarding the burden estimate, requesting information regarding the estimated burden, (3) ways to enhance below, or any other aspect of the ICR. disbursement of NFLP loan funds the quality, utility, and clarity of the DATES: Comments on this ICR should be within the last 2 academic years. • information to be collected, and (4) the received no later than April 24, 2017. Line Item E2 Column Header will be renamed ‘‘E.2 NFLP Enrollees use of automated collection techniques ADDRESSES: Submit your comments to Information by Degree—New Students or other forms of information [email protected] or mail the HRSA Expected to Request NFLP Support.’’ technology to minimize the information Information Collection Clearance collection burden. • Under Section B of instructions, Officer, 14N39, 5600 Fishers Lane, ‘‘other attachments’’ will be updated to Jason E. Bennett, Rockville, MD 20857. reflect the current list of NFLP Funding Director, Division of the Executive Secretariat. FOR FURTHER INFORMATION CONTACT: To Opportunity Announcement [FR Doc. 2017–03316 Filed 2–17–17; 8:45 am] request more information on the attachments. BILLING CODE 4165–15–P proposed project or to obtain a copy of Need and Proposed Use of the the data collection plans and draft Information: The NFLP—Program instruments, email [email protected] Specific Data Form is a required DEPARTMENT OF HEALTH AND or call the HRSA Information Collection electronic attachment within the NFLP HUMAN SERVICES Clearance Officer at (301) 443–1984. application materials. The data SUPPLEMENTARY INFORMATION: When provided in the form is essential for the Health Resources and Services submitting comments or requesting formula-based criteria used to determine Administration information, please include the the award amount to the applicant information request collection title for schools. Continued approval of the Agency Information Collection reference, in compliance with Section revised NFLP—Program Specific Data Activities: Proposed Collection: Public 3506(c)(2)(A) of the Paperwork Form will allow HRSA to more Comment Request; Information Reduction Act of 1995. efficiently capture data to generate the Collection Request Title: Nurse Faculty Information Collection Request Title: formula-based award. Loan Program—Revised Program Nurse Faculty Loan Program—Revised Addition of Line Item D2, NFLP Loan Specific Data Form, OMB No. 0915– Program Specific Data Form, OMB No. Fund Default Rate, will allow HRSA to 0378—Revision 0915–0378—Revision. easily assess and consider an existing AGENCY: Health Resources and Services Abstract: This clearance request is for performance standard for those Administration (HRSA), Department of continued approval of the Nurse Faculty applicants with existing NFLP loan Health and Human Services. Loan Program (NFLP) revised Program accounts. Used in combination with an ACTION: Notice. Specific Data Form. HRSA is existing NFLP institution’s self-reported streamlining the data collection forms NFLP loan balance, addition of Line SUMMARY: In compliance with the by making the following changes: Item D3, Last NFLP Student Loan requirement for opportunity for public • Line Item D will be renamed ‘‘D1. Award, will allow HRSA to assess the comment on proposed data collection NFLP Loan Fund Balance/Unused loan fund activity (i.e., incidence of projects of the Paperwork Reduction Act Accumulation.’’ loans to students) of an existing NFLP of 1995, HRSA announces plans to • Addition of Line Item D2 entitled institution applying for additional submit an Information Collection ‘‘NFLP Loan Fund Default Rate,’’ funding.

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This data collection enables an will prepare students to serve as information, processing and efficient award determination process, qualified nursing faculty. maintaining information, and disclosing and facilitates reporting on the use of Burden Statement: Burden in this and providing information; to train funds and analysis of program context means the time expended by personnel and to be able to respond to outcomes. persons to generate, maintain, retain, a collection of information; to search disclose, or provide the information data sources; to complete and review Likely Respondents: NFLP eligible requested. This includes the time the collection of information; and to applicants. This includes accredited needed to review instructions; to transmit or otherwise disclose the schools of nursing offering eligible develop, acquire, install, and utilize information. The total annual burden advanced masters and/or doctoral technology and systems for the purpose hours estimated for this ICR are degree nursing education programs that of collecting, validating and verifying summarized in the table below.

TOTAL ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of Total burden per Total burden Form name respondents responses per responses response hours respondent (in hours)

NFLP—Program Specific Data Form ...... 90 1 90 8 720

Total ...... 90 ...... 90 ...... 720

HRSA specifically requests comments public regarding the burden estimate, qualitative techniques to meet their on (1) the necessity and utility of the below, or any other aspect of the ICR. objective. In general, these activities are proposed information collection for the DATES: Comments on this ICR must be not designed to yield results that meet proper performance of the agency’s received no later than April 24, 2017. generally accepted standards of functions, (2) the accuracy of the ADDRESSES: Submit your comments to statistical rigor but are designed to estimated burden, (3) ways to enhance [email protected] or mail the HRSA obtain valuable formative information to the quality, utility, and clarity of the Information Collection Clearance develop more effective and efficient information to be collected, and (4) the Officer, Room 14N–39, 5600 Fishers data collection tools that will yield more use of automated collection techniques Lane, Rockville, MD 20857. accurate results and decrease non- or other forms of information FOR FURTHER INFORMATION CONTACT: To response. Need and Proposed Use of the technology to minimize the information request more information on the Information: HRSA conducts cognitive collection burden. proposed project or to obtain a copy of interviews, focus groups, usability tests, the data collection plans and draft Jason E. Bennett, field tests/pilot interviews, and instruments, email [email protected] Director, Division of the Executive Secretariat. experimental research in laboratory and or call the HRSA Information Collection [FR Doc. 2017–03339 Filed 2–17–17; 8:45 am] field settings, both for applied Clearance Officer at (301) 443–1984. BILLING CODE 4165–15–P questionnaire development and for SUPPLEMENTARY INFORMATION: When evaluation as well as more basic submitting comments or requesting research on response errors in surveys. DEPARTMENT OF HEALTH AND information, please include the HRSA staff use various techniques to HUMAN SERVICES information request collection title for evaluate interviewer administered, self- reference, in compliance with Section administered, telephone, Computer Health Resources and Services 3506(c)(2)(A) of the Paperwork Administration Assisted Personal Interviewing (CAPI), Reduction Act of 1995. Computer Assisted Self-Interviewing Information Collection Request Title: (CASI), Audio Computer-Assisted Self- Agency Information Collection Questionnaire and Data Collection Activities: Proposed Collection: Public Interviewing (ACASI), and web-based Testing, Evaluation, and Research for questionnaires. Comment Request; Questionnaire and the Health Resources and Services Data Collection Testing, Evaluation, Professionally recognized procedures Administration, OMB No. 0915–0379— are followed in each information and Research for the Health Resources Extension. and Services Administration collection activity to ensure high quality Abstract: The purpose of collections data. Examples of these procedures AGENCY: Health Resources and Services under this generic clearance is to obtain could include the following: Administration (HRSA), Department of formative information from respondents • Monitoring by supervisory staff of a Health and Human Services. to develop new questions, certain percent of telephone interviews; ACTION: Notice. questionnaires, and tools and to identify • Conducting cognitive interviewing problems in instruments currently in techniques, including think-aloud SUMMARY: In compliance with the use. This clearance request is limited to techniques and debriefings; requirement for opportunity for public formative research activities • Data-entry from mail or paper-and- comment on proposed data collection emphasizing data collection, toolkit pencil surveys will be computerized projects of the Paperwork Reduction Act development, and estimation through scannable forms or checked of 1995, HRSA announces plans to procedures and reports for internal through double-key entry; submit an Information Collection decision-making and development • Observers will monitor focus Request (ICR), described below, to the purposes and does not extend to the groups, and focus group proceedings Office of Management and Budget collection of data for public release or will be recorded; and (OMB). Prior to submitting the ICR to policy formation. It is anticipated that • Data submitted through on-line OMB, HRSA seeks comments from the these studies will rely heavily on surveys will be subjected to statistical

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validation techniques to ensure by the respondent. When in-depth Likely Respondents: Respondents will accuracy, such as disallowing out-of- interviewing is used, the interview be recruited by means of advertisements range values. guide will be provided to OMB for in public venues or through techniques Each request under this generic review. that replicate prospective data clearance will specify the procedures to • Focus groups—Focus groups will be collection activities that are the focus of be used. Participation will be voluntary, used to obtain insights into beliefs and the project. For instance, a survey on and non-participation will not affect understandings of the target audience physician communication, designed to eligibility for, or receipt of, future HRSA early in the development of a be administered following an office health services research activities or questionnaire or tool. When focus visit, might be pretested using the same grant awards, recruitment, or groups are used, the focus group procedure. Each submission to OMB participation. Specific testing and discussion guide will be provided to evaluation procedures will be described will specify the specific recruitment OMB for review. procedure to be used. when we notify OMB about each new • Expert/Gatekeeper review of tools— Burden Statement: Burden in this request. Consent procedures will be In some instances, tools designed for customized for each information patients may be reviewed in-depth by context means the time expended by collection activity, but will include medical providers or other gatekeepers persons to generate, maintain, retain, assurances of confidentiality and the to provide feedback on the acceptability disclose, or provide the information legislative authority for the activity. If and usability of a particular tool. This requested. This includes the time the encounter is to be recorded, the would usually be in addition to needed to review instructions; to respondent’s permission to record will pretesting of the tool by the actual develop, acquire, install, and utilize be obtained before beginning the patient or other user. technology and systems for the purpose interview. • of collecting, validating and verifying Screening: When screening is Record abstractions—On occasion, information, processing and required (e.g., quota sampling), the the development of a tool or other maintaining information, and disclosing screening will be as brief as possible information collection requires review and the screening questionnaire will be and interaction with records rather than and providing information; to train provided as part of the submission to individuals. personnel and to be able to respond to OMB. • ‘‘Dress rehearsal’’ of a specific a collection of information; to search Collection methods: The particular protocol—In some instances, the data sources; to complete and review information collection methods used proposed pretesting will constitute a the collection of information; and to will vary, but may include the following walkthrough of the intended data transmit or otherwise disclose the • Individual in-depth interviews—In- collection procedure. In these instances, information. The total annual burden depth interviews will commonly be the request will mirror what is expected hours estimated for this Information used to ensure that the meaning of a to occur for the larger scale data Collection Request are summarized in questionnaire or strategy is understood collection. the table below.

TOTAL ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of Total burden per Total burden Type of information collection respondents responses per responses response hours respondent (in hours)

Mail/email 1 ...... 1,666 1 1,666 0.25 416.5 Telephone ...... 1,666 1 1,666 0.25 416.5 Web-based ...... 1,666 1 1,666 0.25 416.5 Focus Groups ...... 1,666 1 1,666 1.0 1,666 In-person ...... 1,666 1 1,666 1.0 1,666 Automated 2 ...... 1,666 1 1,666 1.0 1,666 Cognitive Testing ...... 5,000 1 5,000 1.41 7,050

Total ...... 14,996 ...... 14,996 ...... 13,298 1 May include telephone non-response follow-up in which case the burden will not change. 2 May include testing of database software, CAPI software, or other automated technologies.

HRSA specifically requests comments technology to minimize the information DEPARTMENT OF HEALTH AND on (1) the necessity and utility of the collection burden. HUMAN SERVICES proposed information collection for the Jason E. Bennett, proper performance of the agency’s Health Resources and Services functions, (2) the accuracy of the Director, Division of the Executive Secretariat. Administration estimated burden, (3) ways to enhance [FR Doc. 2017–03342 Filed 2–17–17; 8:45 am] the quality, utility, and clarity of the BILLING CODE 4165–15–P Agency Information Collection Activities: Proposed Collection: Public information to be collected, and (4) the Comment Request; The National use of automated collection techniques Health Service Corps and NURSE or other forms of information Corps Interest Capture Form

AGENCY: Health Resources and Services Administration (HRSA), Department of Health and Human Services.

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ACTION: Notice. information request collection title for how one heard about the NHSC and reference, pursuant to Section NURSE Corps programs. SUMMARY: In compliance with the 3506(c)(2)(A) of the Paperwork Need and Proposed Use of the requirement for opportunity for public Reduction Act of 1995. Information: The need and purpose of comment on proposed data collection Information Collection Request Title: this information collection is to share projects of the Paperwork Reduction Act information regarding the NHSC and of 1995, HRSA announces plans to The National Health Service Corps and NURSE Corps Interest Capture Form, NURSE Corps programs with interested submit an Information Collection individuals. Request (ICR), described below, to the OMB No. 0915–0337—Extension. Likely Respondents: Individuals Office of Management and Budget Abstract: HRSA’s Bureau of Health interested in the NHSC or NURSE Corps (OMB). Prior to submitting the ICR to Workforce administers the National programs. OMB, HRSA seeks comments from the Health Service Corps (NHSC) and the Burden Statement: Burden in this public regarding the burden estimate NURSE Corps programs, which are context means the time expended by below, or any other aspect of the ICR. committed to improving the health of persons to generate, maintain, retain, DATES: Comments on this ICR should be the underserved by connecting disclose, or provide the information received no later than April 24, 2017. communities in need with health requested. This includes the time ADDRESSES: Submit your comments to professionals and supporting needed to review instructions; to [email protected] or by mail to the communities’ efforts to build better develop, acquire, install, and utilize HRSA Information Collection Clearance systems of care. The NHSC and NURSE technology and systems for the purpose Officer, Room 14N–29, 5600 Fishers Corps interest capture form, is an of collecting, validating, and verifying Lane, Rockville, MD 20857. optional form that a health profession information, processing and FOR FURTHER INFORMATION CONTACT: To student, licensed clinician, faculty maintaining information, and disclosing request more information on the member, or clinical site administrator and providing information; to train proposed project or to obtain a copy of may complete to request information personnel and to be able to respond to the data collection plans and draft regarding opportunities and program a collection of information; to search instruments, email [email protected] updates with the NHSC and/or the data sources; to complete and review or call the HRSA Information Collection NURSE Corps. Forms request the collection of information; and to Clearance Officer at (301) 443–1984. information such as name, email, city transmit or otherwise disclose the SUPPLEMENTARY INFORMATION: When and state, organization where employed information. The total annual burden submitting comments or requesting (or the school attending), the year one hours estimated for this ICR are information, please include the intends to graduate (if applicable), and summarized in the table below.

TOTAL ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of Total burden per Total burden Form name respondents responses per responses response hours respondent (in hours)

NHSC and NURSE Corps Interest Capture Form ...... 2,400 1 2,400 .025 60

Total ...... 2,400 ...... 2,400 ...... 60

HRSA specifically requests comments DEPARTMENT OF HEALTH AND Please note that times are subject to on (1) the necessity and utility of the HUMAN SERVICES change. If the times change, registrants proposed information collection for the will be notified directly via email. proper performance of the agency’s Meetings Announcement for the ADDRESSES: The March 13–14, 2017 functions, (2) the accuracy of the Physician-Focused Payment Model meeting will be held at the Hubert H. estimated burden, (3) ways to enhance Technical Advisory Committee Humphrey Building, 200 Independence the quality, utility, and clarity of the Required by the Medicare Access and Avenue SW., Washington, DC 20201. CHIP Reauthorization Act of 2015 information to be collected, and (4) the The April 10–11, 2017 meeting will be (MACRA) use of automated collection techniques held at the Liaison Hotel, 415 New Jersey Ave NW., Washington, DC 20001. or other forms of information ACTION: Notice of public meetings. technology to minimize the information FOR FURTHER INFORMATION CONTACT: Ann collection burden. SUMMARY: This notice announces the Page, Designated Federal Official, at the next two meeting dates for the Office of Health Policy, Assistant Jason E. Bennett, Physician-Focused Payment Model Secretary for Planning and Evaluation, Director, Division of the Executive Secretariat. Technical Advisory Committee U.S. Department of Health and Human [FR Doc. 2017–03335 Filed 2–17–17; 8:45 am] (hereafter referred to as ‘‘the Services, 200 Independence Ave SW., BILLING CODE 4165–15–P Committee’’) which will be held in Washington, DC 20201, (202) 690–6870. Washington, DC. All meetings will be SUPPLEMENTARY INFORMATION: open to the public. I. Purpose: The Physician-Focused DATES: The PTAC meetings will occur Payment Model Technical Advisory on the following dates: Committee (‘‘the Committee’’) is • Monday–Tuesday, March 13–14, required by the Medicare Access and 2017, from 10:00 a.m. to 5:00 p.m. ET CHIP Reauthorization Act of 2015, 42 • Monday–Tuesday, April, 10–11, 2017, U.S.C. 1395ee. This Committee is also from 10:00 a.m. to 5:00 p.m. ET governed by provisions of the Federal

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Advisory Committee Act, as amended (5 31, 2017 for the March meeting and by Name of Committee: National Institute of U.S.C App.), which sets forth standards March 31, 2017 for the April meeting. Diabetes and Digestive and Kidney Diseases for the formation and use of federal Please submit your requests by email to Special Emphasis Panel; RFA–DK–16–022: advisory committees. In accordance [email protected] or by calling Promoting Organ and Tissue Donation with its statutory mandate, the 202–401–8297. Among Diverse Populations (R01). Date: March 28, 2017. V. Copies of the PTAC Charter and Committee is to review physician- Time: 1:00 p.m. to 5:00 p.m. focused payment model proposals and Meeting Material: The Secretary’s Agenda: To review and evaluate grant prepare recommendations regarding Charter for the Physician-Focused applications. whether such models meet criteria that Payment Model Technical Advisory Place: National Institutes of Health, Two were established through rulemaking by Committee is available on the ASPE Democracy Plaza, 6707 Democracy the Secretary of Health and Human Web site at https://aspe.hhs.gov/charter- Boulevard, Bethesda, MD 20892 (Telephone Services (the Secretary). The Committee physician-focused-payment-model- Conference Call). is composed of 11 members appointed technical-advisory-committee. Contact Person: Ann A. Jerkins, Ph.D., by the Comptroller General. Additional material for this meeting Scientific Review Officer, Review Branch, II. Agenda: At the March 13–14, 2017 can be found on the PTAC Web site. For DEA, NIDDK, National Institutes of Health, and April 10–11, 2017 meetings, the updates and announcements, please use Room 7119, 6707 Democracy Boulevard, Bethesda, MD 20892–5452, 301–594–2242, Committee will hear presentations on the link to subscribe to the PTAC email [email protected]. models that are ready for Committee listserv. (Catalogue of Federal Domestic Assistance deliberation. The presentations will be Dated: February 9, 2017. Program Nos. 93.847, Diabetes, followed by public comment and Laina Bush, Endocrinology and Metabolic Research; Committee deliberation. If the Acting Assistant Secretary for Planning and 93.848, Digestive Diseases and Nutrition Committee completes deliberations, Evaluation. Research; 93.849, Kidney Diseases, Urology voting will occur on recommendations and Hematology Research, National Institutes [FR Doc. 2017–03311 Filed 2–17–17; 8:45 am] to the Secretary of Health and Human of Health, HHS) BILLING CODE 4150–05–P Services. There will be time allocated Dated: February 14, 2017. for public comment on agenda items. David Clary, Documents will be posted on the DEPARTMENT OF HEALTH AND Program Analyst, Office of Federal Advisory Committee Web site and distributed on HUMAN SERVICES Committee Policy. the Committee listserv prior to the [FR Doc. 2017–03275 Filed 2–17–17; 8:45 am] public meeting. The agenda is subject to National Institutes of Health change. If the agenda does change, we BILLING CODE 4140–01–P will inform registrants and update our National Institute of Diabetes and Web site to reflect any changes. Digestive and Kidney Diseases; Notice DEPARTMENT OF HEALTH AND III. Meeting Attendance: The March of Closed Meetings HUMAN SERVICES 13–14, 2017 and April 10–11, 2017 Pursuant to section 10(d) of the meetings are open to the public. The National Institutes of Health public may also attend via conference Federal Advisory Committee Act, as call. The conference call dial-in amended (5 U.S.C. App.), notice is National Institute of Neurological information will be sent to registrants hereby given of the following meetings. Disorders and Stroke; Notice of Closed prior to the meeting. The meetings will be closed to the Meeting public in accordance with the Meeting Registration provisions set forth in sections Pursuant to section 10(d) of the The public may attend the meetings 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Federal Advisory Committee Act, as in-person or participate by phone via as amended. The grant applications and amended (5 U.S.C. App.), notice is audio teleconference. Space is limited the discussions could disclose hereby given of a meeting of the Board and registration is preferred in order to confidential trade secrets or commercial of Scientific Counselors, National attend in-person or by phone. property such as patentable material, Institute of Neurological Disorders and Registration may be completed online at and personal information concerning Stroke. www.regonline.com/ individuals associated with the grant applications, the disclosure of which The meeting will be closed to the PTACMeetingsRegistration. public as indicated below in accordance The following information is would constitute a clearly unwarranted invasion of personal privacy. with the provisions set forth in sections submitted when registering: 552b(c)(6), Title 5 U.S.C., as amended Name: Name of Committee: National Institute of for the review, discussion, and Company/organization name: Diabetes and Digestive and Kidney Diseases evaluation of individual intramural Special Emphasis Panel; DSCC—Limited Postal address: programs and projects conducted by the Email address: Competition (UC4). Date: March 15, 2017. National Institute of Neurological Persons wishing to attend this Time: 1:00 p.m. to 2:00 p.m. Disorders and Stroke, including meeting must register by following the Agenda: To review and evaluate grant consideration of personnel instructions in the ‘‘Meeting applications. qualifications and performance, and the Registration’’ section of this notice. A Place: National Institutes of Health, Two competence of individual investigators, confirmation email will be sent to Democracy Plaza, 6707 Democracy the disclosure of which would registrants shortly after completing the Boulevard, Bethesda, MD 20892 (Telephone constitute a clearly unwarranted registration process. Conference Call). invasion of personal privacy. Contact Person: Barbara A. Woynarowska, IV. Special Accommodations: If sign Ph.D., Scientific Review Officer, Review Name of Committee: Board of Scientific language interpretation or other Branch, DEA, NIDDK, National Institutes of Counselors, National Institute of reasonable accommodation for a Health, Room 754, 6707 Democracy Neurological Disorders and Stroke. disability is needed, please contact Boulevard, Bethesda, MD 20892–5452, (301) Date: March 5–7, 2017. Angela Tejeda, no later than February 402–7172, [email protected]. Time: 6:00 p.m. to 12:30 p.m.

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Agenda: To review and evaluate personal Place: National Institutes of Health, 6701 Name of Committee: Center for Scientific qualifications and performance, and Rockledge Drive, Bethesda, MD 20892. Review Special Emphasis Panel; Fellowship: competence of individual investigators. Contact Person: Peter J. Kozel, Ph.D., Infectious Diseases and Microbiology. Place: Residence Inn Bethesda, 7335 Scientific Review Officer, Center for Date: March 16–17, 2017. Wisconsin Avenue, Bethesda, MD 20814. Scientific Review, National Institutes of Time: 9:00 a.m. to 4:00 p.m. Contact Person: Alan P. Koretsky, Ph.D., Health, 6701 Rockledge Drive, Room 3139, Agenda: To review and evaluate grant Scientific Director, Division of Intramural Bethesda, MD 20892, 301–435–1116, kozelp@ applications. Research, National Institute of Neurological mail.nih.gov. Place: National Institutes of Health, 6701 Disorders and Stroke, NIH, 35 Convent Drive, Rockledge Drive, Bethesda, MD 20892 Name of Committee: Center for Scientific Room 6A 908, Bethesda, MD 20892, (301) (Virtual Meeting). Review Special Emphasis Panel; Member 435–2232, [email protected]. Contact Person: Alexander D. Politis, Conflict: Psychopathology, Developmental Ph.D., Scientific Review Officer, Center for (Catalogue of Federal Domestic Assistance Disorders, Epigenetics, and Health. Program Nos. 93.853, Clinical Research Scientific Review, National Institutes of Date: March 14–15, 2017. Related to Neurological Disorders; 93.854, Health, 6701 Rockledge Drive, Room 3210, Time: 10:00 a.m. to 4:30 p.m. Biological Basis Research in the MSC 7808, Bethesda, MD 20892, (301) 435– Neurosciences, National Institutes of Health, Agenda: To review and evaluate grant 1150, [email protected]. HHS). applications. Place: National Institutes of Health, 6701 Name of Committee: Center for Scientific Dated: February 14, 2017. Rockledge Drive, Bethesda, MD 20892 Review Special Emphasis Panel; Small Sylvia L. Neal, (Virtual Meeting). Business: Computational, Modeling, and Biodata Management. Program Analyst, Office of Federal Advisory Contact Person: Wind Cowles, Ph.D., Scientific Review Officer, Center for Date: March 16, 2017. Committee Policy. Time: 10:00 a.m. to 6:00 p.m. Scientific Review, National Institutes of [FR Doc. 2017–03278 Filed 2–17–17; 8:45 am] Agenda: To review and evaluate grant Health, 6701 Rockledge Drive, Room 3172, BILLING CODE 4140–01–P applications. Bethesda, MD 20892, [email protected]. Place: National Institutes of Health, 6701 Name of Committee: Center for Scientific Rockledge Drive, Bethesda, MD 20892 DEPARTMENT OF HEALTH AND Review Special Emphasis Panel; Member (Virtual Meeting). HUMAN SERVICES Conflict: AIDS and Related Research. Contact Person: Allen Richon, Ph.D., Date: March 15, 2017. Scientific Review Officer, Center for National Institutes of Health Time: 11:00 a.m. to 3:00 p.m. Scientific Review, National Institutes of Agenda: To review and evaluate grant Health, 6701 Rockledge Drive, Room 6184, Center for Scientific Review; Notice of applications. MSC 7892, Bethesda, MD 20892, 301–379– Closed Meetings Place: National Institutes of Health, 6701 9351, [email protected]. Rockledge Drive, Bethesda, MD 20892 Name of Committee: Center for Scientific Pursuant to section 10(d) of the (Virtual Meeting). Review Special Emphasis Panel; PAR Panel: Federal Advisory Committee Act, as Contact Person: Dimitrios Nikolaos CounterACT-Countermeasurers against amended (5 U.S.C. App.), notice is Vatakis, Ph.D., Scientific Review Officer, Chemical Threats. hereby given of the following meetings. Center for Scientific Review, National Date: March 17, 2017. The meetings will be closed to the Institutes of Health, 6701 Rockledge Drive, Time: 8:30 a.m. to 6:00 p.m. Room 3190, Bethesda, MD 20892, 301–827– Agenda: To review and evaluate grant public in accordance with the 7480. provisions set forth in sections applications. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Name of Committee: Center for Scientific Place: Pier 5 Hotel, 711 Eastern Avenue, Review Special Emphasis Panel; PAR Panel: as amended. The grant applications and Baltimore, MD 21202. Advanced Genomic Technology Contact Person: Geoffrey G. Schofield, the discussions could disclose Development. Ph.D., Scientific Review Officer, Center for confidential trade secrets or commercial Date: March 15, 2017. Scientific Review, National Institutes of property such as patentable material, Time: 11:00 a.m. to 6:00 p.m. Health, 6701 Rockledge Drive, Room 4040–A, and personal information concerning Agenda: To review and evaluate grant MSC 7850, Bethesda, MD 20892, 301–435– individuals associated with the grant applications. 1235, [email protected]. applications, the disclosure of which Place: National Institutes of Health, 6701 Name of Committee: Center for Scientific would constitute a clearly unwarranted Rockledge Drive, Bethesda, MD 20892 Review Special Emphasis Panel; Member invasion of personal privacy. (Virtual Meeting). Conflict: Topics in Bacterial Pathogenesis Contact Person: Dominique Lorang-Leins, and Host Interactions. Name of Committee: Center for Scientific Ph.D., Scientific Review Officer, Center for Date: March 20, 2017. Review Special Emphasis Panel; Scientific Review, National Institutes of Time: 10:00 a.m. to 6:00 p.m. Fellowships: Genes, Genomes, and Genetics. Health, 6701 Rockledge Drive, Room 5108, Agenda: To review and evaluate grant Date: March 6–7, 2017. MSC 7766, Bethesda, MD 20892, applications. Time: 8:00 a.m. to 5:00 p.m. 301.326.9721, [email protected]. Agenda: To review and evaluate grant Place: National Institutes of Health, 6701 applications. Name of Committee: Center for Scientific Rockledge Drive, Bethesda, MD 20892. Place: Marriott Chevy Chase, 5520 Review Special Emphasis Panel; PAR–16– Contact Person: Soheyla Saadi, Ph.D., Wisconsin Ave., Chevy Chase, MD 20815. 329: Countermeasures Against Chemical Scientific Review Officer, Center for Contact Person: Tatiana V. Cohen, Ph.D., Threats (CounterACT) Research Centers of Scientific Review, National Institutes of Scientific Review Officer, Center for Excellence (U54). Health, 6701 Rockledge Drive, Room 3211, Scientific Review, National Institutes of Date: March 16, 2017. MSC 7808, Bethesda, MD 20892, 301–435– Health, 6701 Rockledge Drive, Room 5213, Time: 8:30 a.m. to 6:00 p.m. 0903, [email protected]. Bethesda, MD 20892, 301–455–2364, Agenda: To review and evaluate grant Name of Committee: Center for Scientific [email protected]. applications. Review Special Emphasis Panel; Name of Committee: Center for Scientific Place: Pier 5 Hotel, 711 Eastern Avenue, Fellowships: Oncology. Review Special Emphasis Panel; PAR–16– Baltimore, MD 21202. Date: March 21–22, 2017. 209: Investigator-Initiated Clinical Contact Person: Geoffrey G. Schofield, Time: 8:00 a.m. to 5:00 p.m. Sequencing Research. Ph.D., Scientific Review Officer, Center for Agenda: To review and evaluate grant Date: March 13, 2017. Scientific Review, National Institutes of applications. Time: 8:00 a.m. to 5:00 p.m. Health, 6701 Rockledge Drive, Room 4040–A, Place: Embassy Suites at the Chevy Chase Agenda: To review and evaluate grant MSC 7850, Bethesda, MD 20892, 301–435– Pavilion, 4300 Military Rd. NW., applications. 1235, [email protected]. Washington, DC 20015.

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Contact Person: Reigh-Yi Lin, Ph.D., 93.846–93.878, 93.892, 93.893, National LPA1R activation bypasses the clinical Scientific Review Officer, Center for Institutes of Health, HHS) challenges resulting from the toxicity of Scientific Review, 6701 Rockledge Drive, Dated: February 14, 2017. substrate inhibitors of P-gp. This Bethesda, MD 20892, 301–827–6009, invention describes the inhibition of [email protected]. Natasha M. Copeland, Program Analyst, Office of Federal Advisory drug efflux by P-gp transport; thus, co- Name of Committee: Center for Scientific administration of therapeutics with Review Special Emphasis Panel; PAR 16– Committee Policy. 366—Dual Purpose with Dual Benefit: [FR Doc. 2017–03281 Filed 2–17–17; 8:45 am] amitriptyline and other LPA1R Research in Biomedicine and Agriculture. BILLING CODE 4140–01–P activators provides a method for Date: March 21, 2017. increasing drug delivery to the CNS, and Time: 8:00 a.m. to 6:00 p.m. improving overall drug efficacy. Agenda: To review and evaluate grant DEPARTMENT OF HEALTH AND Moreover, drug delivery to other barrier applications. HUMAN SERVICES tissues will also be enhanced where a Place: Hyatt Regency Bethesda, One similar LPA1R–P-gp activity Bethesda Metro Center, 7400 Wisconsin National Institutes of Health relationship exists. Avenue, Bethesda, MD 20814. Potential Commercial Applications: Contact Person: Tera Bounds, DVM, Ph.D., Government-Owned Inventions; • Scientific Review Officer, Center for Drug Delivery to the CNS. Availability for Licensing • Co-administration of therapeutics. Scientific Review, National Institutes of • Health, 6701 Rockledge Drive, Room 3214, Blood-brain-barrier permeability. AGENCY: National Institutes of Health, Development Stage: MSC 7808, Bethesda, MD 20892, 301–435– HHS. • 2306, [email protected]. Early stage. ACTION: Notice. Inventors: Ronald Cannon and David Name of Committee: Center for Scientific Banks (NIEHS). Review Special Emphasis Panel; SUMMARY: The inventions listed below Fellowships: Risk, Prevention and Health Publications: are owned by an agency of the U.S. • Cannon et al., Neurosci Lett. 2017 Behavior Overflow. Government. Date: March 21, 2017. Feb 3;639:103–113 doi: 10.1016/ Time: 9:00 a.m. to 1:00 p.m. FOR FURTHER INFORMATION CONTACT: j.neulet.2016.12.049. Agenda: To review and evaluate grant Licensing information may be obtained • Mesev, et al., Mol Pharmacol. 2017 applications. by emailing the indicated licensing Jan 24. pii: mol.116.107169. doi: Place: National Institutes of Health, 6701 contact at the National Heart, Lung, and 10.1124/mol.116.107169. Rockledge Drive, Bethesda, MD 20892 Blood, Office of Technology Transfer • More, et al., J Cereb Blood Flow (Telephone Conference Call). Metab. 2016 May 18. pii: Contact Person: Stacey C. FitzSimmons, and Development Office of Technology Transfer, 31 Center Drive, Room 4A29, 0271678X16650216. Ph.D., Scientific Review Officer, Center for • Miller, et. al, Curr Pharm Des. Scientific Review, National Institutes of MSC2479, Bethesda, MD 20892–2479; telephone: 301–402–5579. A signed 2014;20(10):1463–71. Review. Health, 6701 Rockledge Drive, Room 3114, • MSC 7808, Bethesda, MD 20892, (301) 451– Confidential Disclosure Agreement may Cartwright, et al., J Cereb Blood 9956, [email protected]. be required to receive any unpublished Flow Metab. 2013 Mar;33(3):381–8. doi: Name of Committee: Center for Scientific information. 10.1038/jcbfm.2012.174. Intellectual Property: HHS Reference Review Special Emphasis Panel; Urology and SUPPLEMENTARY INFORMATION: The No. E–179–2065/0 and/1; U.S. Urogynecology Small Business Applications. following inventions are available for Provisional Patent Applications 62/ Date: March 21, 2017. licensing in accordance with 35 U.S.C. Time: 9:00 a.m. to 12:00 p.m. 332,888 filed May 6, 2016, and 62/ 209 and 37 CFR part 404 to achieve Agenda: To review and evaluate grant 453,718 filed February 2, 2017, expeditious commercialization of applications. respectively. Place: National Institutes of Health, 6701 results of federally-funded research and Licensing Contact: Michael Rockledge Drive, Bethesda, MD 20892 development. Technology description Shmilovich, Esq., CLP; 301–435–5019; (Telephone Conference Call). follows. [email protected]. Contact Person: Ganesan Ramesh, Ph.D., Center for Scientific Review, National Methods for Improving Drug Delivery Dated: February 10, 2017. Institutes of Health, 6701 Rockledge Dr., to the Central Nervous System Michael Shmilovich, Room 2182, MSC 7818, Bethesda, MD 20892, The invention relates to the uses of Senior Licensing and Patenting Manager, [email protected]. the tricyclic antidepressant National Heart, Lung, and Blood Institute, Name of Committee: Center for Scientific amitriptyline, its bioactive metabolites, Office of Technology Transfer and Review Special Emphasis Panel; Member and other LPA1R activators to improve Development. Conflict: Topics in drug discovery and the bioavailability and delivery of [FR Doc. 2017–03306 Filed 2–17–17; 8:45 am] clinical field studies. Date: March 21, 2017. therapeutics to the central nervous BILLING CODE 4140–01–P Time: 10:00 a.m. to 5:00 p.m. system. This invention demonstrates Agenda: To review and evaluate grant that amitriptyline and other agents applications. selectively decrease P-glycoprotein (P- DEPARTMENT OF HEALTH AND Place: National Institutes of Health, 6701 gp) transport activity by ligand HUMAN SERVICES Rockledge Drive, Bethesda, MD 20892 activation of lysophosphatidic acid 1 (Virtual Meeting). receptor (LPA1R) at the blood-brain National Institutes of Health Contact Person: Liangbiao Zheng, Ph.D., barrier. P-gp is an effective target for Eunice Kennedy Shriver National Scientific Review Officer, Center for increasing drug delivery to the brain Scientific Review, National Institutes of Institute of Child Health & Human Health, 6701 Rockledge Drive, Room 3202, (CNS) for two major reasons: (1) Its Development; Notice of Closed MSC 7808, Bethesda, MD 20892, 301–996– substrates include a large portion of on- Meetings 5819, [email protected]. the-market drugs, including (Catalogue of Federal Domestic Assistance chemotherapeutics, and (2) its Pursuant to section 10(d) of the Program Nos. 93.306, Comparative Medicine; directionality results in a net efflux of Federal Advisory Committee Act, as 93.333, Clinical Research, 93.306, 93.333, drugs from the brain. Additionally, amended (5 U.S.C. App.), notice is 93.337, 93.393–93.396, 93.837–93.844, specifically targeting P-gp through hereby given of the following meetings.

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The meetings will be closed to the DEPARTMENT OF HEALTH AND Contact Person: Christopher L. Hatch, public in accordance with the HUMAN SERVICES Ph.D., Chief, Program Coordination and provisions set forth in sections Referral Branch, Division of Extramural 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., National Institutes of Health Activities, National Cancer Institute, NIH, as amended. The grant applications and 9609 Medical Center Drive, Room 7W554, National Cancer Institute; Notice of Rockville, MD 20892–9750, 240–276–6454, the discussions could disclose Closed Meetings confidential trade secrets or commercial [email protected]. property such as patentable material, Pursuant to section 10(d) of the (Catalogue of Federal Domestic Assistance and personal information concerning Federal Advisory Committee Act, as Program Nos. 93.392, Cancer Construction; individuals associated with the grant amended (5 U.S.C. App.), notice is 93.393, Cancer Cause and Prevention Research; 93.394, Cancer Detection and applications, the disclosure of which hereby given of the following meetings. The meetings will be closed to the Diagnosis Research; 93.395, Cancer would constitute a clearly unwarranted Treatment Research; 93.396, Cancer Biology invasion of personal privacy. public in accordance with the provisions set forth in sections Research; 93.397, Cancer Centers Support; Name of Committee: National Institute of 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., 93.398, Cancer Research Manpower; 93.399, Child Health and Human Development as amended. The grant applications/ Cancer Control, National Institutes of Health, Special Emphasis Panel; NICHD T35 contract proposals and the discussions HHS) Teleconference Review. could disclose confidential trade secrets Dated: February 14, 2017. Date: March 10, 2017. or commercial property such as Melanie J. Pantoja, Time: 1:30 p.m. to 3:00 p.m. patentable material, and personal Agenda: To review and evaluate grant Program Analyst, Office of Federal Advisory information concerning individuals Committee Policy. applications. associated with the grant applications/ Place: National Institutes of Health, 6710B contract proposals, the disclosure of [FR Doc. 2017–03282 Filed 2–17–17; 8:45 am] Rockledge Drive, Bethesda, MD 20817 which would constitute a clearly BILLING CODE 4140–01–P (Telephone Conference Call). unwarranted invasion of personal Contact Person: Sherry L. Dupere, Ph.D., privacy. Chief, Scientific Review Branch, Scientific DEPARTMENT OF HEALTH AND Review Branch, Eunice Kennedy Shriver Name of Committee: National Cancer HUMAN SERVICES National Institute of Child Health and Institute Special Emphasis Panel; NCI Provocative Question 2. National Institutes of Health Human Development, NIH, National Date: March 15, 2017. Institutes of Health, 6710B Rockledge Drive, Time: 11:00 a.m. to 5:30 p.m. Bethesda, MD 20817, 301–451–3415, Agenda: To review and evaluate grant National Cancer Institute; Amended [email protected]. applications. Notice of Meeting Name of Committee: National Institute of Place: National Cancer Institute Shady Child Health and Human Development Grove, 9609 Medical Center Drive, Room Notice is hereby given of a change in 7W032, Rockville, MD 20850 (Telephone Special Emphasis Panel; Learning Disabilities the meeting of the President’s Cancer Conference Call). Panel, March 27, 2017, 9:00 a.m. to Center. Contact Person: Jun Fang, Ph.D., Scientific Date: April 20–21, 2017. Review Officer, Research Technology and March 28, 2017, 1:00 p.m., Kimpton Time: 8:30 a.m. to 5:00 p.m. Contract Review Branch, Division of Hotel Palomar, Philadelphia, PA 19103 Agenda: To review and evaluate grant Extramural Activities, National Cancer which was published in the Federal applications. Institute, NIH, 9609 Medical Center Drive, Register on February 1, 2017, 82 FR Place: Beacon Hotel and Corporate Room 7W246, Bethesda, MD 20892–9750, 8944. Quarters, 1615 Rhode Island Avenue NW., 240–276–5460, [email protected]. This meeting notice is amended to Washington, DC 20036. Name of Committee: National Cancer Contact Person: Marita R. Hopmann, Ph.D., Institute Special Emphasis Panel; NCI change the ending date and time from Scientific Review Officer, Division of Provocative Question 4. March 28, 2017 at 1:00 p.m. to March Date: March 16, 2017. Scientific Review, National Institute of Child 27, 2017 at 4:30 p.m. The agenda has Time: 12:30 p.m. to 5:30 p.m. also been amended as follows: Health and Human Development, National Agenda: To review and evaluate grant Institutes of Health, 6710B Rockledge Drive, applications. ‘‘Welcome and Introductions; Session 1: Bethesda, MD 20817, (301) 435–6911, Place: National Cancer Institute Shady The Pricing and Payment Landscapes— [email protected]. Grove, 9609 Medical Center Drive, Room Framing the Issues—1 and 2; Session 2: (Catalogue of Federal Domestic Assistance 7W556, Rockville, MD 20850 (Telephone Cancer Drug Value/Intervention Program Nos. 93.864, Population Research; Conference Call). Framework; Public Comment; Session 3: Contact Person: Bratin K. Saha, Ph.D., 93.865, Research for Mothers and Children; High-Cost/High Value Drugs; Session 4: Scientific Review Officer, Program 93.929, Center for Medical Rehabilitation Coordination and Referral Branch, Division High-Cost/Modest Value Drugs; Public Research; 93.209, Contraception and of Extramural Activities, National Cancer Comment; Wrap-Up and Next Steps.’’ Infertility Loan Repayment Program, National Institute, NIH, 9609 Medical Center Drive, The meeting is open to the public. Institutes of Health, HHS) Room 7W556, Bethesda, MD 20892–9750, Dated: February 14, 2017. 240–276–6411, [email protected]. Dated: February 14, 2017. Name of Committee: National Cancer Melanie J. Pantoja, Michelle Trout, Institute Special Emphasis Panel; Cell and Program Analyst, Office of Federal Advisory Program Analyst, Office of Federal Advisory Animal Models for Researching Disparities. Committee Policy. Committee Policy. Date: March 21, 2017. [FR Doc. 2017–03274 Filed 2–17–17; 8:45 am] [FR Doc. 2017–03277 Filed 2–17–17; 8:45 am] Time: 12:00 p.m. to 5:00 p.m. Agenda: To review and evaluate contract BILLING CODE 4140–01–P BILLING CODE 4140–01–P proposals. Place: National Cancer Institute Shady Grove, 9609 Medical Center Drive, Room 7W554, Rockville, MD 20850 (Telephone Conference Call).

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DEPARTMENT OF HEALTH AND as amended. The grant applications and that this information collection be HUMAN SERVICES the discussions could disclose extended with a revision to the confidential trade secrets or commercial information collected. This document is National Institutes of Health property such as patentable material, published to obtain comments from the and personal information concerning public and affected agencies. National Human Genome Research individuals associated with the grant DATES: Written comments should be Institute; Notice of Closed Meeting applications, the disclosure of which received on or before April 24, 2017 to Pursuant to section 10(d) of the would constitute a clearly unwarranted be assured of consideration. Federal Advisory Committee Act, as invasion of personal privacy. ADDRESSES: All submissions received amended (5 U.S.C. App.), notice is Name of Committee: National Institute of must include the OMB Control Number hereby given of the following meeting. Allergy and Infectious Diseases Special 1651–0139 in the subject line and the The meeting will be closed to the Emphasis Panel; Emerging Science and agency name. To avoid duplicate public in accordance with the Technologies in Transplantation Research submissions, please use only one of the provisions set forth in sections (U01). following methods to submit comments: 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Date: March 14–15, 2017. (1) Email. Submit comments to: (CBP_ Time: 8:00 a.m. to 5:00 p.m. as amended. The grant applications and [email protected]). The email should Agenda: To review and evaluate grant include the OMB Control number in the the discussions could disclose applications. confidential trade secrets or commercial Place: National Institutes of Health, 5601 subject line. property such as patentable material, Fishers Lane, Rockville, MD 20892 (2) Mail. Submit written comments to and personal information concerning (Telephone Conference Call). CBP PRA Officer, U.S. Customs and individuals associated with the grant Contact Person: Thomas F. Conway, Ph.D., Border Protection, Office of Trade, applications, the disclosure of which Scientific Review Officer, Scientific Review Regulations and Rulings, Economic would constitute a clearly unwarranted Program, Division of Extramural Activities, Impact Analysis Branch, 10th Floor, 90 invasion of personal privacy. Room 3G51, National Institutes of Health, K St NE., Washington, DC 20229–1177. NIAID, 5601 Fishers Lane, MSC 9823, FOR FURTHER INFORMATION CONTACT: Name of Committee: National Human Bethesda, MD 20892–9823, 240–507–9685, Genome Research Institute Special Emphasis [email protected]. Requests for additional PRA information should be directed to Paperwork Panel; H3A Bioinformatics. (Catalogue of Federal Domestic Assistance Date: March 17, 2017. Program Nos. 93.855, Allergy, Immunology, Reduction Act Officer, U.S. Customs Time: 1:00 p.m. to 5:00 p.m. and Transplantation Research; 93.856, and Border Protection, Regulations and Agenda: To review and evaluate grant Microbiology and Infectious Diseases Rulings, Office of Trade, 90 K Street applications. Research, National Institutes of Health, HHS) NE., 10th Floor, Washington, DC 20229– Place: National Human Genome Research _ Dated: February 14, 2017. 1177, or via email (CBP PRA@ Institute, 3rd Floor Conf. Room, 5635 Fishers cbp.dhs.gov). Please note that the Lane, Rockville, MD 20852 (Telephone Natasha M. Copeland, Conference Call). contact information provided here is Program Analyst, Office of Federal Advisory solely for questions regarding this Contact Person: Ken D. Nakamura, Ph.D., Committee Policy. Scientific Review Officer, Scientific Review notice. Individuals seeking information [FR Doc. 2017–03276 Filed 2–17–17; 8:45 am] Branch, National Human Genome Research about other CBP programs should Institute, National Institutes of Health, 5635 BILLING CODE 4140–01–P contact the CBP National Customer Fishers Lane, Suite 4076, MSC 9306, Service Center at 877–227–5511, (TTY) Rockville, MD 20852, 301–402–0838, 1–800–877–8339, or CBP Web site at [email protected]. DEPARTMENT OF HOMELAND https://www.cbp.gov/. For additional (Catalogue of Federal Domestic Assistance SECURITY help: https://help.cbp.gov/app/home/ Program Nos. 93.172, Human Genome search/1. Research, National Institutes of Health, HHS) U.S. Customs and Border Protection SUPPLEMENTARY INFORMATION: CBP Dated: February 14, 2017. [1651–0139] invites the general public and other Sylvia L. Neal, Federal agencies to comment on Program Analyst, Office of Federal Advisory Agency Information Collection proposed and/or continuing information Committee Policy. Activities: Electronic Visa Update collections pursuant to the Paperwork [FR Doc. 2017–03280 Filed 2–17–17; 8:45 am] System Reduction Act of 1995 (44 U.S.C. 3501 BILLING CODE 4140–01–P AGENCY: U.S. Customs and Border et seq.). The comments should address: Protection, Department of Homeland (a) Whether the collection of Security information is necessary for the proper DEPARTMENT OF HEALTH AND ACTION: 60-Day notice and request for performance of the functions of the HUMAN SERVICES comments; revision of an existing agency, including whether the collection of information. information shall have practical utility; National Institutes of Health (b) the accuracy of the agency’s SUMMARY: U.S. Customs and Border estimates of the burden of the collection National Institute of Allergy and Protection (CBP) of the Department of of information; (c) ways to enhance the Infectious Diseases; Notice of Closed Homeland Security will be submitting quality, utility, and clarity of the Meeting the following information collection information to be collected; (d) ways to Pursuant to section 10(d) of the request to the Office of Management and minimize the burden including the use Federal Advisory Committee Act, as Budget (OMB) for review and approval of automated collection techniques or amended (5 U.S.C. App.), notice is in accordance with the Paperwork the use of other forms of information hereby given of the following meeting. Reduction Act: Electronic Visa Update technology; and (e) the annual cost The meeting will be closed to the System (EVUS). This is a proposed burden to respondents or record keepers public in accordance with the extension and revision of an from the collection of information (total provisions set forth in sections information collection that was capital/startup costs and operations and 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., previously approved. CBP is proposing maintenance costs). The comments that

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are submitted will be summarized and between individuals with similar N 115th St., Suite 310, Seattle, which included in the CBP request for OMB characteristics, such as similar names, does not expire until March 31, 2017; approval. All comments will become a and provide an additional means to (2) No. FL1688235, for the location of matter of public record. In this contact an applicant if needed. 801 SW 16th St., Suite 121, Renton, document, CBP is soliciting comments Respondents who choose not to answer which does not expire until March 31, concerning the following Information this question can still submit an EVUS 2018; and (3) No. FL2601335, for the collection: enrollment without a negative location of 3624 Colby Ave., Suite B, Title: Electronic Visa Update System. interpretation or inference. The question Everett, which does not expire until OMB Number: 1651–0139. will be clearly marked as optional. March 31, 2017. Show Cause Order, at Form Number: N/A. Current Actions: This submission is 2. The Show Cause Order also alleged Abstract: The Electronic Visa Update being made to extend the expiration that Respondent holds registration No. System (EVUS) provides a mechanism date with a change to the information BL7067261, for the location of 8641 through which visa information updates collected as a result of adding an Wilshire Blvd., Suite 200, Beverly Hills, can be obtained from certain optional question about social media to California, and that this registration nonimmigrant aliens in advance of their EVUS. There are no changes to the does not expire until March 31, 2019. travel to the United States. This burden hours. Id. provides CBP access to updated Type of Review: Revision. As for the substantive basis of the information without requiring aliens to Affected Public: Individuals. proposed action, the Show Cause Order apply for a visa more frequently. The Estimated Number of Respondents: alleged that the State of Washington, EVUS requirements apply to 3,595,904. Department of Health, issued an ex nonimmigrant aliens who hold a Estimated Number of Responses per parte order, which suspended passport issued by an identified country Respondent: 1. Respondent’s authority to practice containing a U.S. nonimmigrant visa of Estimated Total Annual Responses: medicine and surgery in that State a designated category. EVUS enrollment 3,595,904. effective on July 14, 2016. Id. at 2. The is currently limited to nonimmigrant Estimated Time per Response: 25 Show Cause Order also alleged that the aliens who hold unrestricted, maximum minutes. Medical Board of California issued an validity B–1 (business visitor), B–2 Estimated Total Annual Burden order which suspended his authority to (visitor for pleasure), or combination B– Hours: 1,499,492. practice medicine in that State effective 1/B–2 visas, which are generally valid on August 5, 2016. Id. The Show Cause for 10 years, contained in a passport Dated: February 15, 2017. Seth Renkema, Order thus alleged that Respondent is issued by the People’s Republic of currently without authority to handle Branch Chief, Economic Impact Analysis China. controlled substances in Washington EVUS provides for greater efficiencies Branch, U.S. Customs and Border Protection. and California, the States in which he is in the screening of international [FR Doc. 2017–03343 Filed 2–17–17; 8:45 am] registered with the Agency, and travelers by allowing DHS to identify BILLING CODE P subjecting his DEA registrations to nonimmigrant aliens who may be revocation.1 Id. at 2 (citing 21 U.S.C. inadmissible before they depart for the 802(21), 823(f), and 824(a)(3)). United States, thereby increasing DEPARTMENT OF JUSTICE On September 20, 2016, Respondent, security and reducing traveler delays through his counsel, requested a hearing Drug Enforcement Administration upon arrival at U.S. ports of entry. on the allegations. Resp. Hrng. Req. The EVUS aids DHS in facilitating legitimate [Docket No. 16–34] matter was then placed on the docket of travel while also enhancing public the Office of Administrative Law Judges, safety and national security. Frank D. Li, M.D.; Decision and Order and assigned to ALJ Charles Wm. Proposed Changes On August 22, 2016, the Deputy Dorman. On September 21, 2016, the ALJ DHS proposes to add the following Assistant Administrator, Office of issued an order directing the optional question to EVUS: ‘‘Please Diversion Control, Drug Enforcement Government to submit evidence enter information associated with your Administration, issued an Order to supporting the allegation and an online presence—Provider/Platform— Show Cause to Frank D. Li, M.D. accompanying dispositive motion by Social media identifier.’’ A social media (hereinafter, Respondent), of Tukwila, October 5, 2016. Briefing Schedule For identifier is any name, or ‘‘handle,’’ Washington and Beverly Hills, Lack Of State Authority Allegations, at used by the individual on one or more California. The Show Cause Order 1. The ALJ also ordered that if the platforms. The optional social media proposed the revocation of four separate Government filed such a motion, question on the EVUS enrollment will Certificates of Registration held by Respondent was to file his reply by include a drop down menu of options Respondent (three of which are for October 12, 2016. Id. for selection. This data will be used for locations in Washington State and one On September 22, 2016, the vetting purposes, as needed, providing which is for a location in California), Government filed its Motion for highly trained CBP officers with timely pursuant to which he is authorized to Summary Disposition. See Gov. Mot. for visibility into publicly available dispense controlled substances in Summ. Disp. As support for its Motion, information on the platforms associated schedules II through V, as a practitioner, the Government provided a copy of with the social media identifier(s) on the ground that he does hold Respondent’s registration information voluntarily provided by the applicant, authority to dispense controlled along with other information and tools substances in these States. Id. at 1 1 The Show Cause Order also notified Respondent CBP officers regularly use in the (citing 21 U.S.C. 823(f) and 824(a)(3)). of his right to request a hearing on the allegations performance of their duties. The officer With respect to the Agency’s or to submit a written statement while waiving his will review said platforms in a manner jurisdiction, the Show Cause Order right to a hearing, and the procedure for electing either option. Show Cause Order, at 2–3 (citing 21 consistent with the privacy settings the alleged that Respondent holds three CFR 1301.43). It also notified Respondent of his applicant has chosen to adopt for those registrations in Washington State: (1) right to submit a corrective action plan. See 21 platforms. It will also help distinguish No. FL0680947, for the location of 1536 U.S.C. 824(c)(2)(C).

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for each registration in Washington Agency has made clear ‘‘that both the order alleged that Respondent violated State and California, an affidavit from a [CSA’s] ‘definition of the term Washington statutes and regulations Diversion Investigator (DI), and certified ‘‘practitioner’’ and the registration regarding professional conduct and pain copies of the Suspension Orders the DI provision applicable to practitioners management in his treatment of patients obtained from the Washington make clear that a practitioner must be at the Seattle Pain Center clinics he Department of Health, Medical Quality currently authorized to dispense operated. Govt. Mot., at Appendix E, 1– Assurance Commission (MQAC) and the controlled substances by the State in 2. The MQAC reviewed a statement of Medical Board of Californian (MBC). Id., which he practices in order to obtain charges and supporting evidence at Appendices A–G. Based on the and maintain a registration.’ ’’ R.D. 4 submitted by an investigator and suspensions of his medical licenses by (quoting Rezik A. Saqer, 81 FR 22122, physician, and concluded that its the MQAC and the MBC, the 22125 (2016)). The ALJ then explained factual findings ‘‘establish an immediate Government moved for summary that even though Respondent has not danger to the public health, safety or disposition and a recommendation by yet been provided with a hearing to welfare,’’ and that ‘‘summary the ALJ that Respondent’s DEA challenge the MQAC’s action, suspension of the Respondent’s medical certificates of registration as a revocation of his DEA registration was license is necessary and adequately practitioner be revoked. Govt. Mot., at 4. still warranted based on his lack of state addresses the danger to the public On October 12, 2016, Respondent authority. Id. (citing cases). Because health, safety or welfare.’’ Id. at 1–4. filed his Reply. Respondent’s Reply, at ‘‘the disposition of the Government’s According to the online records of the 1. While Respondent admitted that his Motion depends only on whether the Washington Department of Health, of licenses to practice medicine in Respondent possess states authority to which I take official notice,2 Washington and California had been handle controlled substances,’’ and ‘‘it Respondent’s Washington physician’s suspended, he stated that ‘‘he has is undisputed that [he] lacks state and surgeon’s license remains challenged the Boards’ suspension and authorization to handle controlled suspended as of the date of this has every confidence that the current substances in’’ both the States of Decision and Order. See https:// suspensions will be lifted and [that he] Washington and California, the ALJ fortress.wa.gov/doh/ will have his medical license restored.’’ granted the Government’s motion and providercredentialsearch/ Id. at 2. Respondent further stated that recommended that his registrations be SearchCriteria.aspx. he has ‘‘provided a detailed rebuttal to revoked. Id. at 4–5. On August 5, 2016 the Medical Board the Boards’ unfounded allegations’’ and Neither party filed exceptions to the of California issued a Notice of Out of provided a copy of this document ALJ’s Recommended Decision. State Suspension Order to Respondent, (which was his answer in the MQAC Thereafter, the record was forwarded to summarily suspending his California proceeding). Resp’s Reply, at 1–2; see my Office for Final Agency Action. medical license on the basis of the also Resp’s. Appendix A. Having considered the record and the suspension ordered by the MQAC. Govt. Respondent also argued that the Recommended Decision, I adopt the Mot. Appendix F, at 1. According to the authority contained in 21 U.S.C. ALJ’s Recommended Decision. I make online records of the MBC, 824(a)(3) is discretionary with respect to the following factual findings. Respondent’s California Physician’s and a practitioner’s registration and that Surgeon’s license remains suspended as ‘‘[t]here are numerous factors that the Findings of the date of this Decision and Order. [Agency] should consider prior to Respondent holds four separate See https://www.breeze.ca.gov/ summarily revoking [his] [r]egistration.’’ certificates of registration, pursuant to datamart/detailsCADCA.do. Resp’s Reply, at 3 (citing Bio-Diagnostic which he is authorized to dispense Discussion International, 78 FR 39327 (2013)). And controlled substances in schedules II–V he maintains that the Agency is required as a practitioner: Pursuant to 21 U.S.C. 824(a)(3), the to consider that he is appealing the state 1. Certificate of Registration Attorney General is authorized to suspensions and that the DEA FL0680947, at the registered address of suspend or revoke a registration issued proceeding should be resolved ‘‘through 1536 N 115th St., Suite 310, Seattle, under section 823 of the Controlled a suspension . . . and not a full Washington, which does not expire Substances Act (CSA), ‘‘upon a finding revocation . . . given the many serious until March 31, 2017. that the registrant . . . has had his State shortcomings that have been identified 2. Certificate of Registration license . . . suspended [or] revoked in the Boards’ actions.’’ Id. at 3–4. FL1688235, at the registered address of . . . by competent State authority and is On October 20, 2016, the ALJ granted 801 SW 16th St., Suite 121, Renton, no longer authorized by State law to the Government’s motion and Washington, which does not expire engage in the . . . dispensing of recommended that Respondent’s until March 31, 2018. controlled substances.’’ Moreover, DEA registrations be revoked. Order Granting 3. Certificate of Registration has long held that the possession of Summary Disposition And FL2601335, at the registered address of authority to dispense controlled Recommended Rulings, Findings Of 3624 Colby Ave., Suite B, Everett, substances under the laws of the State Fact, Conclusions Of Law, And Washington, which does not expire Decision, at 5. The ALJ noted various until March 31, 2017. 2 In accordance with the Administrative authorities holding that a practitioner 4. Certificate of Registration Procedure Act (APA), an agency ‘‘may take official notice of facts at any stage in a proceeding-even in must possess state authority in order to BL7067261, at the registered address of the final decision.’’ U.S. Dept. of Justice, Attorney maintain a DEA registration. Id. at 3 8641 Wilshire Blvd., Suite 200, Beverly General’s Manual on the Administrative Procedure (citations omitted). The ALJ then Hills, California, which does not expire Act 80 (1947) (Wm. W. Gaunt & Sons, Inc., Reprint rejected Respondent’s contention that until March 31, 2019. 1979). In accordance with the APA and DEA’s regulations, Respondent is ‘‘entitled on timely Bio-Diagnostic International requires Govt. Mot., at Appendices A–D. request to an opportunity to show to the contrary.’’ the Agency to consider various factors On July 14, 2016, the State of 5 U.S.C. 556(e); see also 21 CFR 1316.59(e). To prior to ordering the revocation of his Washington, Department of Health, allow Respondent the opportunity to refute the facts registration, noting that Bio-Diagnostic MQAC, issued an ex parte order which of which I take official notice, Respondent may file a motion for reconsideration within 15 calendar did not involve a practitioner, but rather summarily suspended Respondent’s days of the date of service of this Order which shall a list I chemical distributor, and that the physician’s and surgeon’s license; the commence on the date this Order is mailed.

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in which a practitioner engages in the Administrator’s ‘‘decision . . . § 823(h) (‘‘The Attorney General shall professional practice is a fundamental failed to recognize the discretion under register an applicant to distribute a list condition for obtaining and maintaining § 824(a) to revoke or suspend a I chemical unless the Attorney General a practitioner’s registration. See, e.g., registration and that it was determines that registration of the James L. Hooper, 76 FR 71371 (2011), impermissible for the [Administrator] to applicant is inconsistent with the public pet. for rev. denied, 481 Fed. Appx. 826 conclude that the CSA requires interest.’’).3 See also 78 FR at 39330. (4th Cir. 2012); Frederick Marsh revocation of a practitioner’s DEA Thus, as the ALJ recognized, Bio- Blanton, 43 FR 27616 (1978). registration when the practitioner’s Diagnostic provides no comfort to This rule derives from the text of two State license is suspended.’’ Id. at 828. Respondent. provisions of the CSA. First, Congress He further argued that the Agency’s Finally, Respondent contends that defined ‘‘the term ‘practitioner’ [to] decision had ‘‘ ‘read[] the suspension revocation is not warranted ‘‘given the mean[ ] a . . . physician . . . or other option [in § 824(a)] out of the statute.’ ’’ many serious shortcomings that have person licensed, registered or otherwise Id. (quoting Pet. Br. 11). been identified in the Boards’ actions.’’ permitted, by . . . the jurisdiction in The court of appeals rejected Hooper’s Resp. Reply, at 4. DEA, however, has no which he practices . . . to distribute, contentions. While acknowledging that authority to adjudicate the validity of dispense, [or] administer . . . a ‘‘[s]ection 824(a) does state that the the decisions of state boards, which are controlled substance in the course of [Agency] may ‘suspend or revoke’ a deemed to be presumptively lawful for professional practice.’’ 21 U.S.C. registration,’’ the court noted that ‘‘the the purpose of the Controlled 802(21). Second, in setting the statute provides for this sanction Substances Act. See Kamal Tiwari, et requirements for obtaining a [suspension] in five different al., 76 FR 71604, 71607 (2011) (quoting practitioner’s registration, Congress circumstances, only one of which is loss George S. Heath, 51 FR 26610 (1986) directed that ‘‘[t]he Attorney General of a State license.’’ Id. Continuing, the (‘‘DEA accepts as valid and lawful the shall register practitioners . . . if the court explained that ‘‘[b]ecause § 823(f) action of a state regulatory board unless applicant is authorized to dispense . . . and § 802(21) make clear that a that action is overturned by a state court controlled substances under the laws of practitioner’s registration is dependent or otherwise pursuant to state law.’’)). the State in which he practices.’’ 21 upon the practitioner having state Rather, Respondent is required to U.S.C. 823(f). Because Congress has authority to dispense controlled litigate his claims challenging the clearly mandated that a practitioner substances, the [Agency’s] decision to validity of the suspensions in the possess state authority in order to be construe § 824(a)(3) as mandating administrative and judicial fora deemed a practitioner under the Act, revocation upon suspension of a state provided by the States of Washington DEA has held repeatedly that revocation license is not an unreasonable and California. See Tiwari, 76 FR at of a practitioner’s registration is the interpretation of the CSA.’’ Id. The court 71607 (quoting Heath, 51 FR at 26610); appropriate sanction whenever he is no further explained that the Agency’s Zhiwei Lin, 77 FR 18862, 18864 (2012); longer authorized to dispense controlled decision did not ‘‘read[ ] the Sunil Bhasin, 72 FR 5082, 5083 (2007). substances under the laws of the State suspension option’’ out of the statute, Here, there is no dispute that by in which he practices medicine. See, because that option may still be virtue of the suspensions ordered by the e.g., Hooper, 76 FR at 71371–72; Sheran available for the other circumstances MQAC and MBC, Respondent is Arden Yeates, M.D., 71 FR 39130, 39131 enumerated in § 824(a). Id. See also currently without authority to dispense (2006); Dominick A. Ricci, 58 FR 51104, Maynard v. DEA, 117 Fed.Appx. 941 controlled substances in the States of 51105 (1993); Bobby Watts, 53 FR (5th Cir. 2004) (rejecting physician’s Washington and California. Because he 11919, 11920 (1988); Blanton, 43 FR at contention that DEA could not revoke no longer satisfies the statutory 27616. his registration based on summary requirement of holding authority to In his reply to the Government’s suspension of state medical license). dispense controlled substances under Motion for Summary Disposition, As for Respondent’s contention that the laws of the States in which he is Respondent argued that the authority Bio-Diagnostic requires that the Agency registered, he is not a practitioner contained in 21 U.S.C. 824(a)(3) is consider various factors before revoking within the meaning of the Act and it is discretionary with respect to a his registration, that case involved a list of no consequence that he has yet to be practitioner’s registration and that I chemical distributor and not a afforded a hearing by the MQAC (or ‘‘[t]here are numerous factors that the practitioner. See 78 FR at 39327, 39330. MBC) to challenge the suspensions. See [Agency] should consider prior to Unlike a practitioner, which the CSA Saqer, 81 FR at 22126; Bourne summarily revoking [his] [r]egistration.’’ defines, in relevant part, as ‘‘a physician Pharmacy, 72 FR 18273, 18274 (2007); Resp’s Reply, at 3 (citing Bio-Diagnostic, . . . or other person licensed, registered Wingfield Drugs, 52 FR 27070, 27071 78 FR 39327). He maintains that the or otherwise permitted, by . . . the (1987). Accordingly, he is not entitled to Agency is required to consider that he jurisdiction in which he practices . . . maintain his DEA registrations in is appealing the state suspensions and to distribute, dispense, [or] administer Washington and California and I will that the DEA proceeding should be . . . a controlled substance in the therefore order that his registrations be resolved ‘‘through a suspension . . . course of professional practice,’’ 21 revoked. and not a full revocation . . . given the U.S.C. 802(21), neither the definition of many serious shortcomings that have a distributor nor the registration ORDER been identified in the Boards’ actions.’’ provision applicable to a list I chemical Pursuant to the authority vested in me Id. at 3–4. distributor explicitly requires that an by 21 U.S.C. 824(a), as well as 28 CFR In Hooper v. Holder, 481 Fed. Appx. applicant/registrant holds a state license 826 (4th Cir. 2012), a practitioner authorizing the applicant/registrant to 3 This is not to say that the Agency cannot deny challenged the Agency’s order which engage in such activity. See id. § 802(11) an application or revoke a registration where an revoked his registration after his state (‘‘The term ‘distribute’ means to deliver applicant/registrant does not possess authority license was suspended for a one-year . . . a controlled substance or a listed under state law to engage in the distribution of a list I chemical. What it is to say is that the loss of period. Id. at 826. Dr. Hooper argued chemical. The term ‘distributor’ means such authority does not automatically require the that the revocation of his registration a person who so delivers a controlled denial or revocation of a registration. See Bio- was ‘‘arbitrary and capricious’’ because substance or a listed chemical.’’); id. Diagnostic, 78 FR at 39331.

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0.100(b), I order that DEA Certificates of exercise all necessary functions with Underwriters, Inc. will pay $140,000, Registration FL0680947, FL1688235, respect to the promulgation and DII Industries LLC will pay $720,000, FL2601335, and BL7067261, issued to implementation of 21 CFR part 1301, Exide Technologies will pay $15,000, Frank D. Li, M.D., be, and they hereby incident to the registration of and Gould Electronics Inc. will pay are, revoked. Pursuant to the authority manufacturers, distributors, dispensers $230,000. In return, the United States vested in me by 21 U.S.C. 823(f), as well importers, and exporters of, controlled agrees not to sue the defendants under as 28 CFR 0.100(b), I further order that substances (other than final orders in Sections 106 and 107 of CERCLA with any pending application of Frank D. Li, connection with suspension, denial, or respect to the NL Depew Superfund M.D., to renew or modify any of the revocation of registration) has been Site, subject to certain reservations. aforesaid registrations, be, and it hereby redelegated to the Assistant is, denied. This Order is effective Administrator of the DEA Diversion The publication of this notice opens immediately.4 Control Division (‘‘Assistant a period for public comment on the consent decrees. Comments should be Dated: February 13, 2017. Administrator’’) pursuant to section 7 of addressed to the Assistant Attorney Chuck Rosenberg, 28 CFR part 0, appendix to subpart R. In accordance with 21 CFR General, Environment and Natural Acting Administrator. 1301.34(a), this is notice that on October Resources Division, and should refer to [FR Doc. 2017–03272 Filed 2–17–17; 8:45 am] 27, 2016, Hospira, 1776 North United States v. NL Industries, Inc. et BILLING CODE 4410–09–P Centennial Drive, McPherson, Kansas al., D.J. Ref. No. 90–11–3–11341. All 67460–1247 applied to be registered as comments must be submitted no later an importer of remifentanil (9739), a DEPARTMENT OF JUSTICE than thirty (30) days after the basic class of controlled substance listed publication date of this notice. Drug Enforcement Administration in schedule II. Comments may be submitted either by The company plans to import email or by mail: [Docket No. DEA–392] remifentanil for use in dosage form manufacturing. Importer of Controlled Substances To submit Send them to: Application: Hospira Dated: February 8, 2017. comments: Louis J. Milione, ACTION: Notice of application. Assistant Administrator. By email ...... pubcomment-ees.enrd@ usdoj.gov. [FR Doc. 2017–03273 Filed 2–17–17; 8:45 am] DATES: By mail ...... Assistant Attorney General, Registered bulk manufacturers of BILLING CODE 4410–09–P the affected basic class, and applicants U.S. DOJ—ENRD, P.O. Box 7611, Washington, DC therefore, may file written comments on 20044–7611. or objections to the issuance of the DEPARTMENT OF JUSTICE proposed registration in accordance with 21 CFR 1301.34(a) on or before Notice of Lodging of Proposed During the public comment period, March 23, 2017. Such persons may also Consent Decrees Under the the consent decrees may be examined file a written request for a hearing on Comprehensive Environmental and downloaded at this Justice the application pursuant to 21 CFR Response, Compensation, and Liability Department Web site: https:// 1301.43 on or before March 23, 2017. Act www.justice.gov/enrd/consent-decrees. We will provide a paper copy of the ADDRESSES: Written comments should On February 10, 2017, the Department consent decrees upon written request be sent to: Drug Enforcement of Justice lodged two proposed consent Administration, Attention: DEA Federal decrees with the United States District and payment of reproduction costs. Register Representative/DRW, 8701 Court for the Western District of New Please mail your request and payment Morrissette Drive, Springfield, Virginia York in the lawsuit entitled United to: Consent Decree Library, U.S. DOJ— 22152. All requests for hearing must be States v. NL Industries, Inc., et al., Civil ENRD, P.O. Box 7611, Washington, DC sent to: Drug Enforcement Action No. 1:17–cv–124. 20044–7611. Administration, Attn: Administrator, The United States filed this lawsuit Please enclose a check or money order 8701 Morrissette Drive, Springfield, under the Comprehensive for $5.00 for the decree with NL, $6.50 Virginia 22152. All requests for hearing Environmental Response, Compensation for the decree with the remaining should also be sent to: (1) Drug and Liability Act (CERCLA). The United defendants, or $11.50 for both decrees Enforcement Administration, Attn: States’ complaint names NL Industries, Hearing Clerk/LJ, 8701 Morrissette (25 cents per page reproduction cost) Inc., ACF Industries, LLC, American payable to the United States Treasury. Drive, Springfield, Virginia 22152; and Premier Underwriters, Inc., DII (2) Drug Enforcement Administration, Industries LLC, Exide Technologies, and Robert E. Maher, Jr., Attn: DEA Federal Register Gould Electronics Inc. as defendants. Assistant Section Chief, Environmental Representative/DRW, 8701 Morrissette The complaint requests recovery of Enforcement Section, Environment and Drive, Springfield, Virginia 22152. costs that the United States incurred Natural Resources Division. SUPPLEMENTARY INFORMATION: The responding to releases of hazardous [FR Doc. 2017–03294 Filed 2–17–17; 8:45 am] Attorney General has delegated her substances at the NL Depew Superfund BILLING CODE 4410–CW–P authority under the Controlled Site in Depew, Erie County, New York. Substances Act to the Administrator of NL Industries, Inc. signed the first the Drug Enforcement Administration consent decree, and the remaining (DEA), 28 CFR 0.100(b). Authority to defendants signed the second consent decree. The defendants agree to pay the 4 For the same reasons that the MQAC summarily following amounts of the United States’ suspended Respondent’s medical license, I conclude that the public interest necessitates that response costs: NL Industries, Inc. will this Order be effective immediately. 21 CFR pay $3.677 million, ACF Industries, LLC 1316.67. will pay $80,000, American Premier

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DEPARTMENT OF LABOR Partnership Pilots (P–3) for OMB ICR Reference Number: 201609– Disconnected Youth Program National 1290–002. Office of the Secretary Evaluation information collection. More Affected Public: Individuals or specifically, this ICR seeks clearance for Households; State, Local, and Tribal Agency Information Collection four (4) data collection activities Governments; Private Sector— Activities; Submission for OMB conducted as part of the evaluation’s businesses or other for-profits and not- Review; Comment Request; implementation and systems analyses: for-profit institutions. Performance Partnership Pilots for (1) Site visit interviews; (2) focus group Total Estimated Number of Disconnected Youth Program National discussions with P3 youth participants; Respondents: 252. Evaluation (3) a survey of partner managers; and (4) Total Estimated Number of a survey of partner service providers. Responses: 252. ACTION: Notice. This proposed information collection Total Estimated Annual Time Burden: SUMMARY: The Department of Labor is subject to the PRA. A Federal agency 195 hours. (DOL) is submitting the information generally cannot conduct or sponsor a Total Estimated Annual Other Costs collection request (ICR) proposal titled, collection of information, and the public Burden: $0. ‘‘Performance Partnership Pilots for is generally not required to respond to Dated: February 14, 2017. Disconnected Youth Program National an information collection, unless it is Michel Smyth, Evaluation,’’ to the Office of approved by the OMB under the PRA Departmental Clearance Officer. and displays a currently valid OMB Management and Budget (OMB) for [FR Doc. 2017–03354 Filed 2–17–17; 8:45 am] Control Number. In addition, review and approval for use in BILLING CODE 4510–HX–P accordance with the Paperwork notwithstanding any other provisions of Reduction Act (PRA) of 1995. Public law, no person shall generally be subject comments on the ICR are invited. to penalty for failing to comply with a DEPARTMENT OF LABOR DATES: The OMB will consider all collection of information if the written comments that agency receives collection of information does not Office of the Secretary on or before March 23, 2017. display a valid Control Number. See 5 Agency Information Collection ADDRESSES: A copy of this ICR with CFR 1320.5(a) and 1320.6. For applicable supporting documentation; additional information, see the related Activities; Submission for OMB including a description of the likely notice published in the Federal Register Review; Comment Request; Default respondents, proposed frequency of on May 19, 2016 (81 FR 31664). Investment Alternatives Under response, and estimated total burden Interested parties are encouraged to Participant Directed Individual Account may be obtained free of charge from the send comments to the OMB, Office of Plans Information and Regulatory Affairs at RegInfo.gov Web site at http:// ACTION: Notice. www.reginfo.gov/public/do/ the address shown in the ADDRESSES PRAViewICR?ref_nbr=201609-1290-002 section within thirty (30) days of SUMMARY: The Department of Labor (this link will only become active on the publication of this notice in the Federal (DOL) is submitting the Employee day following publication of this notice) Register. In order to help ensure Benefits Security Administration or by contacting Michel Smyth by appropriate consideration, comments (EBSA) sponsored information telephone at 202–693–4129 (this is not should mention OMB ICR Reference collection request (ICR) titled, ‘‘Default a toll-free number) or by email at DOL_ Number 201609–1290–002. The OMB is Investment Alternatives under [email protected]. particularly interested in comments Participant Directed Individual Account Submit comments about this request that: • Plans,’’ to the Office of Management and by mail or courier to the Office of Evaluate whether the proposed Budget (OMB) for review and approval Information and Regulatory Affairs, collection of information is necessary for continued use, without change, in Attn: OMB Desk Officer for DOL–OS, for the proper performance of the accordance with the Paperwork Office of Management and Budget, functions of the agency, including Reduction Act of 1995 (PRA). Public Room 10235, 725 17th Street NW., whether the information will have comments on the ICR are invited. Washington, DC 20503; by Fax: 202– practical utility; • DATES: The OMB will consider all 395–5806 (this is not a toll-free Evaluate the accuracy of the _ agency’s estimate of the burden of the written comments that agency receives number); or by email: OIRA on or before March 23, 2017. [email protected]. Commenters proposed collection of information, ADDRESSES: A copy of this ICR with are encouraged, but not required, to including the validity of the applicable supporting documentation; send a courtesy copy of any comments methodology and assumptions used; • including a description of the likely by mail or courier to the U.S. Enhance the quality, utility, and respondents, proposed frequency of Department of Labor-OASAM, Office of clarity of the information to be collected; and response, and estimated total burden the Chief Information Officer, Attn: • Departmental Information Compliance Minimize the burden of the may be obtained free of charge from the Management Program, Room N1301, collection of information on those who RegInfo.gov Web site at http:// are to respond, including through the www.reginfo.gov/public/do/ 200 Constitution Avenue NW., _ Washington, DC 20210; or by email: use of appropriate automated, PRAViewICR?ref nbr=201701-1210-006 [email protected]. electronic, mechanical, or other (this link will only become active on the technological collection techniques or day following publication of this notice) FOR FURTHER INFORMATION CONTACT: or by contacting Michel Smyth by Michel Smyth by telephone at 202–693– other forms of information technology, telephone at 202–693–4129, TTY 202– 4129 (this is not a toll-free number) or e.g., permitting electronic submission of 693–8064, (these are not toll-free by email at [email protected]. responses. Agency: DOL–OS. numbers) or by email at DOL_PRA_ Authority: 44 U.S.C. 3507(a)(1)(D). Title of Collection: Performance [email protected]. SUPPLEMENTARY INFORMATION: This ICR Partnership Pilots for Disconnected Submit comments about this request seeks PRA authority for the Performance Youth Program National Evaluation. by mail or courier to the Office of

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Information and Regulatory Affairs, QDIA to any participant or beneficiary proposed collection of information, Attn: OMB Desk Officer for DOL–EBSA, with assets invested in the QDIA, as including the validity of the Office of Management and Budget, well to provide certain information on methodology and assumptions used; Room 10235, 725 17th Street NW., request. These information collections • Enhance the quality, utility, and Washington, DC 20503; by Fax: 202– inform participants and beneficiaries clarity of the information to be 395–5806 (this is not a toll-free who do not make investment elections collected; and _ number); or by email: OIRA of the consequences of the failure to • Minimize the burden of the [email protected]. Commenters elect investments, the ways in which collection of information on those who are encouraged, but not required, to account assets will be invested through are to respond, including through the send a courtesy copy of any comments the QDIA, and of the continuing use of appropriate automated, by mail or courier to the U.S. opportunity to make other investment electronic, mechanical, or other Department of Labor-OASAM, Office of elections, including options available technological collection techniques or the Chief Information Officer, Attn: under the plan. ERISA section other forms of information technology, Departmental Information Compliance 404(c)(5)(A) authorizes this information e.g., permitting electronic submission of Management Program, Room N1301, collection. See 29 U.S.C. 1104(c)(5)(A). responses. This information collection is subject 200 Constitution Avenue NW., Agency: DOL–EBSA. Washington, DC 20210; or by email: to the PRA. A Federal agency generally Title of Collection: Default Investment [email protected]. cannot conduct or sponsor a collection of information, and the public is Alternatives under Participant Directed FOR FURTHER INFORMATION CONTACT: Individual Account Plans. Michel Smyth by telephone at 202–693– generally not required to respond to an OMB Control Number: 1210–0132. 4129, TTY 202–693–8064, (these are not information collection, unless it is toll-free numbers) or by email at DOL_ approved by the OMB under the PRA Affected Public: Private Sector— [email protected]. and displays a currently valid OMB businesses or other for-profits and not- Control Number. In addition, for-profit institutions. SUPPLEMENTARY INFORMATION: This ICR notwithstanding any other provisions of Total Estimated Number of seeks to extend PRA authority for the law, no person shall generally be subject Respondents: 276,222. information collection requirements to penalty for failing to comply with a specified in regulations 29 CFR Total Estimated Number of collection of information that does not Responses: 36,249,796. 2520.104b–1 and 2550.404c–5. More display a valid Control Number. See 5 specifically, Employee Retirement Total Estimated Annual Time Burden: CFR 1320.5(a) and 1320.6. The DOL 191,640 hours. Income Security Act of 1974 (ERISA) obtains OMB approval for this section 404(c), 29 U.S.C. 1104(c), Total Estimated Annual Other Costs information collection under Control Burden: $9,959,269. provides that a participant or Number 1210–0132. beneficiary who can hold an individual OMB authorization for an ICR cannot Authority: 44 U.S.C. 3507(a)(1)(D). account under his or her pension plan be for more than three (3) years without Dated: February 13, 2017. and who can exercise control over renewal, and the current approval for account assets, as determined in DOL Michel Smyth, this collection is scheduled to expire on Departmental Clearance Officer. regulations, will not be treated as a plan February 28, 2016. The DOL seeks to [FR Doc. 2017–03359 Filed 2–17–17; 8:45 am] fiduciary. Moreover, no other plan extend PRA authorization for this fiduciary will be liable for any loss, or information collection for three (3) more BILLING CODE 4510–29–P due to any breach, resulting from the years, without any change to existing participant’s or beneficiary’s exercise of requirements. The DOL notes that DEPARTMENT OF LABOR control over the individual account existing information collection assets. The Pension Protection Act, requirements submitted to the OMB Office of the Secretary Public Law 109–280, amended the receive a month-to-month extension ERISA by adding section 404(c)(5)(A), while they undergo review. For Agency Information Collection 29 U.S.C. 1104(c)(5)(A), which provides additional substantive information Activities; Submission for OMB that a participant in an individual about this ICR, see the related notice Review; Comment Request; Pre- account plan who fails to make published in the Federal Register on Implementation Planning Checklist investment elections regarding his or October 28, 2016 (81 FR 75157). Report for State Unemployment her account assets will nevertheless be Interested parties are encouraged to Insurance Information Technology treated as having exercised control over send comments to the OMB, Office of Modernization Projects those assets, so long as the plan Information and Regulatory Affairs at provides appropriate notice and invests the address shown in the ADDRESSES ACTION: Notice. the assets in accordance with DOL section within thirty (30) days of regulations. The DOL, accordingly, publication of this notice in the Federal SUMMARY: The Department of Labor promulgated a regulation to offer Register. In order to help ensure (DOL) is submitting the Employment guidance on the types of investment appropriate consideration, comments and Training Administration (ETA) vehicles that a plan may choose as its should mention OMB Control Number sponsored information collection qualified default investment alternative 1210–0132. The OMB is particularly request (ICR) proposal titled, ‘‘Pre- (QDIA). The regulation also outlines two interested in comments that: Implementation Planning Checklist information collection requirements. • Evaluate whether the proposed Report for State Unemployment First, it implements the statutory collection of information is necessary Insurance Information Technology requirement that a plan provide an for the proper performance of the Modernization Projects,’’ to the Office of annual notice to each participant and functions of the agency, including Management and Budget (OMB) for beneficiary whose account assets could whether the information will have review and approval for use in be invested in a QDIA. Second, the practical utility; accordance with the Paperwork regulation requires a plan to pass any • Evaluate the accuracy of the Reduction Act (PRA) of 1995. Public pertinent materials it receives from a agency’s estimate of the burden of the comments on the ICR are invited.

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DATES: The OMB will consider all information collection. See 42 U.S.C. Total Estimated Number of written comments that agency receives 503(a)(6). Responses: 24. on or before March 23, 2017. This proposed information collection Total Estimated Annual Time Burden: ADDRESSES: A copy of this ICR with is subject to the PRA. A Federal agency 456 hours. applicable supporting documentation; generally cannot conduct or sponsor a Total Estimated Annual Other Costs including a description of the likely collection of information, and the public Burden: $0. respondents, proposed frequency of is generally not required to respond to Authority: 44 U.S.C. 3507(a)(1)(D). an information collection, unless it is response, and estimated total burden Dated: February 14, 2017. may be obtained free of charge from the approved by the OMB under the PRA and displays a currently valid OMB Michel Smyth, RegInfo.gov Web site at http:// Departmental Clearance Officer. www.reginfo.gov/public/do/ Control Number. In addition, [FR Doc. 2017–03357 Filed 2–17–17; 8:45 am] PRAViewICR?ref_nbr=201508-1205-004 notwithstanding any other provisions of (this link will only become active on the law, no person shall generally be subject BILLING CODE 4510–FW–P day following publication of this notice) to penalty for failing to comply with a collection of information if the or by contacting Michel Smyth by DEPARTMENT OF LABOR telephone at 202–693–4129 (this is not collection of information does not display a valid Control Number. See 5 a toll-free number) or by email at DOL_ Office of the Secretary [email protected]. CFR 1320.5(a) and 1320.6. For additional information, see the related Submit comments about this request Agency Information Collection notice published in the Federal Register by mail or courier to the Office of Activities; Submission for OMB on May 1, 2015 (80 FR 24978). Information and Regulatory Affairs, Review; Comment Request; Interested parties are encouraged to Attn: OMB Desk Officer for DOL–ETA, Occupational Requirements Survey send comments to the OMB, Office of Office of Management and Budget, Information and Regulatory Affairs at Room 10235, 725 17th Street NW., ACTION: Notice. the address shown in the ADDRESSES Washington, DC 20503; by Fax: 202– section within thirty (30) days of SUMMARY: The Department of Labor 395–5806 (this is not a toll-free publication of this notice in the Federal (DOL) is submitting the Bureau of Labor number); or by email: OIRA_ Register. In order to help ensure Statistics (BLS) sponsored information [email protected]. Commenters appropriate consideration, comments collection request (ICR) revision titled, are encouraged, but not required, to should mention OMB ICR Reference ‘‘Occupational Requirements Survey,’’ send a courtesy copy of any comments Number 201508–1205–004. The OMB is to the Office of Management and Budget by mail or courier to the U.S. particularly interested in comments (OMB) for review and approval for use Department of Labor-OASAM, Office of that: in accordance with the Paperwork the Chief Information Officer, Attn: • Evaluate whether the proposed Reduction Act (PRA) of 1995. Public Departmental Information Compliance comments on the ICR are invited. Management Program, Room N1301, collection of information is necessary DATES: The OMB will consider all 200 Constitution Avenue NW., for the proper performance of the written comments that agency receives Washington, DC 20210; or by email: functions of the agency, including on or before March 23, 2017. [email protected]. whether the information will have practical utility; ADDRESSES: A copy of this ICR with FOR FURTHER INFORMATION CONTACT: • Evaluate the accuracy of the applicable supporting documentation; Michel Smyth by telephone at 202–693– agency’s estimate of the burden of the including a description of the likely 4129 (this is not a toll-free number) or proposed collection of information, _ _ respondents, proposed frequency of by email at DOL PRA [email protected]. including the validity of the response, and estimated total burden SUPPLEMENTARY INFORMATION: This ICR methodology and assumptions used; may be obtained free of charge from the seeks PRA authority for the Pre- • Enhance the quality, utility, and RegInfo.gov Web site at http:// Implementation Planning Checklist clarity of the information to be www.reginfo.gov/public/do/ Report for State Unemployment collected; and PRAViewICR?ref_nbr=201611-1220-002 Insurance (UI) Information Technology • Minimize the burden of the (this link will only become active on the (IT) Modernization Projects information collection of information on those who day following publication of this notice) collection. A State will use the checklist are to respond, including through the or by contacting Michel Smyth by prior to using a new UI benefits or tax use of appropriate automated, telephone at 202–693–4129, TTY 202– system. The checklist can be used to electronic, mechanical, or other 693–8064, (these are not toll-free verify that all necessary system technological collection techniques or numbers) or sending an email to DOL_ functions are available and/or that other forms of information technology, [email protected]. alternative workarounds are developed e.g., permitting electronic submission of Submit comments about this request prior to the production launch of the UI responses. by mail or courier to the Office of IT system to help avoid major Agency: DOL–ETA. Information and Regulatory Affairs, disruption of services to UI customers Title of Collection: Pre- Attn: OMB Desk Officer for DOL–BLS and to prevent delays in making UI Implementation Planning Checklist Office of Management and Budget, benefit payments when due. This Report for State Unemployment Room 10235, 725 17th Street NW., comprehensive checklist denotes Insurance Information Technology Washington, DC 20503; by Fax: 202– critical functional areas that states Modernization Projects. 395–5806 (this is not a toll-free should verify prior to launching a new OMB ICR Reference Number: 201508– number); or by email: OIRA_ UI IT system including, but not limited 1205–004. [email protected]. Commenters to, technical IT functions and UI Affected Public: State, Local, and are encouraged, but not required, to business processes that interface with Tribal Governments. send a courtesy copy of any comments the new system. Social Security Act Total Estimated Number of by mail or courier to the U.S. section 303(a)(6) authorizes this Respondents: 18. Department of Labor-OASAM, Office of

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the Chief Information Officer, Attn: Interested parties are encouraged to SUMMARY: The Department of Labor Departmental Information Compliance send comments to the OMB, Office of (DOL) is submitting the Office of Management Program, Room N1301, Information and Regulatory Affairs at Federal Contract Compliance Programs 200 Constitution Avenue NW., the address shown in the ADDRESSES (OFCCP) sponsored information Washington, DC 20210; or by email: section within thirty (30) days of collection request (ICR) revision titled, [email protected]. publication of this notice in the Federal ‘‘Complaint Involving Employment FOR FURTHER INFORMATION CONTACT: Register. In order to help ensure Discrimination by a Federal Contractor Michel Smyth by telephone at 202–693– appropriate consideration, comments or Subcontractor,’’ to the Office of 4129, TTY 202–693–8064, (these are not should mention OMB Control Number Management and Budget (OMB) for toll-free numbers) or sending an email 1220–0189. The OMB is particularly review and approval for use in to [email protected]. interested in comments that: accordance with the Paperwork • Authority: 44 U.S.C. 3507(a)(1)(D). Evaluate whether the proposed Reduction Act (PRA) of 1995. Public collection of information is necessary comments on the ICR are invited. SUPPLEMENTARY INFORMATION: This ICR DATES: seeks approval under the PRA for a for the proper performance of the The OMB will consider all revision to the Occupational functions of the agency, including written comments that agency receives Requirements Survey (ORS), which is a whether the information will have on or before March 23, 2017. practical utility; ADDRESSES: A copy of this ICR with nationwide survey the BLS is • conducting at the request of the Social Evaluate the accuracy of the applicable supporting documentation; Security Administration. The ORS agency’s estimate of the burden of the including a description of the likely began in 2015 with a scheduled end proposed collection of information, respondents, proposed frequency of date in mid-2018. The currently including the validity of the response, and estimated total burden methodology and assumptions used; may be obtained free of charge from the approved portions of this data collection • will continue as scheduled. This Enhance the quality, utility, and RegInfo.gov Web site at http:// information collection is a revision clarity of the information to be www.reginfo.gov/public/do/ collected; and PRAViewICR?ref_nbr=201609-1250-001 request due to the inclusion of a one- • time job observation test that will cover Minimize the burden of the (this link will only become active on the selected ORS cognitive, physical, and collection of information on those who day following publication of this notice) environmental elements. The goal of the are to respond, including through the or by contacting Michel Smyth by job observation test is to compare data use of appropriate automated, telephone at 202–693–4129, TTY 202– obtained from observation of a selected electronic, mechanical, or other 693–8064, (these are not toll-free technological collection techniques or numbers) or sending an email to occupation at an establishment with _ _ data obtained previously for the same other forms of information technology, DOL PRA [email protected]. occupation by interviewing a e.g., permitting electronic submission of Submit comments about this request representative of that establishment. responses. by mail or courier to the Office of The BLS Authorizing Statute and the Agency: DOL–BLS. Information and Regulatory Affairs, Economy Act authorize this information Title of Collection: Occupational Attn: OMB Desk Officer for DOL– collection. See 29 U.S.C. 9, 9(a), and 31 Requirements Survey. OFCCP, Office of Management and Budget, Room 10235, 725 17th Street U.S.C. 1535. OMB Control Number: 1220–0189. This information collection is subject Affected Public: State, Local, and NW., Washington, DC 20503; by Fax: to the PRA. A Federal agency generally Tribal Governments; Private Sector— 202–395–5806 (this is not a toll-free businesses or other for-profits. number); or by email: cannot conduct or sponsor a collection _ of information, and the public is Total Estimated Number of OIRA [email protected]. generally not required to respond to an Respondents: 10,071. Commenters are encouraged, but not information collection, unless it is Total Estimated Number of required, to send a courtesy copy of any approved by the OMB under the PRA Responses: 11,807. comments by mail or courier to the U.S. and displays a currently valid OMB Total Estimated Annual Time Burden: Department of Labor-OASAM, Office of Control Number. In addition, 20,686. the Chief Information Officer, Attn: notwithstanding any other provisions of Total Estimated Annual Other Costs Departmental Information Compliance law, no person shall generally be subject Burden: $0. Management Program, Room N1301, to penalty for failing to comply with a Dated: February 14, 2017. 200 Constitution Avenue NW., Washington, DC 20210; or by email: collection of information that does not Michel Smyth, [email protected]. display a valid Control Number. See 5 Departmental Clearance Officer. CFR 1320.5(a) and 1320.6. The DOL [FR Doc. 2017–03358 Filed 2–17–17; 8:45 am] FOR FURTHER INFORMATION CONTACT: obtains OMB approval for this BILLING CODE 4510–24–P Michel Smyth by telephone at 202–693– information collection under Control 4129, TTY 202–693–8064, (these are not Number 1220–0189. The current toll-free numbers) or sending an email approval is scheduled to expire on DEPARTMENT OF LABOR to [email protected]. August 31, 2018; however, the DOL SUPPLEMENTARY INFORMATION: This ICR notes that existing information Office of the Secretary seeks approval under the PRA for collection requirements submitted to the revisions to the Complaint Involving OMB receive a month-to-month Agency Information Collection Employment Discrimination by a extension while they undergo review. Activities; Submission for OMB Federal Contractor or Subcontractor, New requirements would only take Review; Comment Request; Complaint Form CC–4, information collection that effect upon OMB approval. For Involving Employment Discrimination an individual prepares to allege illegal additional substantive information by a Federal Contractor or discrimination by a Federal contractor about this ICR, see the related notice Subcontractor or subcontractor under any OFCCP published in the Federal Register on administered program. This ICR has ACTION: Notice. February 18, 2015 (80 FR 8696). been classified as a revision, because it

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would update the complaint form and • Minimize the burden of the ACTION: Notice. accompanying instructions page to collection of information on those who reflect two amendments to E.O. 11246 are to respond, including through the SUMMARY: The Commission is noticing as Amended, Equal Employment use of appropriate automated, recent Postal Service filings for the Opportunity. E.O. 11246 section 206 electronic, mechanical, or other Commission’s consideration concerning (see 30 FR 12319, 12935, 3 CFR 1964– technological collection techniques or negotiated service agreements. This 1965 Comp., p 339, as amended by E.O. other forms of information technology, notice informs the public of the filing, 12086, 43 FR 46501, 3 CFR, 1978 e.g., permitting electronic submission of invites public comment, and takes other Comp., p. 230); Rehabilitation Act of responses. administrative steps. 1973 section 503 (see 29 U.S.C. 793); Agency: DOL–OFCCP. DATES: Comments are due: February 22, and Veteran’s Education and Title of Collection: Complaint 2017 (Comment due date applies to Employment Assistance Act section 601 Involving Employment Discrimination Docket No. CP2017–124); and February (see 38 U.S.C. 4212) authorize this by a Federal Contractor or 27, 2017 (Comment due date applies to information collection. Subcontractor. Docket No. R2017–6). This information collection is subject OMB Control Number: 1250–0002. ADDRESSES: Submit comments to the PRA. A Federal agency generally Affected Public: Individuals or electronically via the Commission’s cannot conduct or sponsor a collection Households. Filing Online system at http:// of information, and the public is Total Estimated Number of www.prc.gov. Those who cannot submit generally not required to respond to an Respondents: 753. comments electronically should contact information collection, unless it is Total Estimated Number of the person identified in the FOR FURTHER approved by the OMB under the PRA Responses: 753. INFORMATION CONTACT section by and displays a currently valid OMB Total Estimated Annual Time Burden: telephone for advice on filing Control Number. In addition, 753 hours. alternatives. notwithstanding any other provisions of Total Estimated Annual Other Costs FOR FURTHER INFORMATION CONTACT: law, no person shall generally be subject Burden: $62. to penalty for failing to comply with a David A. Trissell, General Counsel, at collection of information that does not Authority: 44 U.S.C. 3507(a)(1)(D). 202–789–6820. display a valid Control Number. See 5 Dated: February 14, 2017. SUPPLEMENTARY INFORMATION: CFR 1320.5(a) and 1320.6. The DOL Michel Smyth, Table of Contents obtains OMB approval for this Departmental Clearance Officer. I. Introduction information collection under Control [FR Doc. 2017–03360 Filed 2–17–17; 8:45 am] II. Docketed Proceeding(s) Number 1250–0002. The current BILLING CODE 4510–CM–P approval is scheduled to expire on I. Introduction August 31, 2017; however, the DOL notes that existing information The Commission gives notice that the NATIONAL CREDIT UNION Postal Service filed request(s) for the collection requirements submitted to the ADMINISTRATION OMB receive a month-to-month Commission to consider matters related extension while they undergo review. to negotiated service agreement(s). The Sunshine Act: Notice of Agency request(s) may propose the addition or New requirements would only take Meeting effect upon OMB approval. For removal of a negotiated service agreement from the market dominant or additional substantive information TIME AND DATE: 10:00 a.m., Thursday, about this ICR, see the related notice February 23, 2017. the competitive product list, or the published in the Federal Register on modification of an existing product PLACE: Board Room, 7th Floor, Room currently appearing on the market July 1, 2016 (81 FR 43254). 7047 1775 Duke Street (All visitors must Interested parties are encouraged to dominant or the competitive product use Diagonal Road Entrance) list. send comments to the OMB, Office of Alexandria, VA 22314–3428. Information and Regulatory Affairs at Section II identifies the docket STATUS: the address shown in the ADDRESSES Open. number(s) associated with each Postal section within thirty (30) days of MATTERS TO BE CONSIDERED: Service request, the title of each Postal publication of this notice in the Federal 1. Share Insurance Fund Quarterly Service request, the request’s acceptance Register. In order to help ensure Report. date, and the authority cited by the appropriate consideration, comments 2. Continuation of Federal Credit Union Postal Service for each request. For each should mention OMB Control Number Loan Interest Rate Ceiling. request, the Commission appoints an 1250–0002. The OMB is particularly FOR FURTHER INFORMATION CONTACT: officer of the Commission to represent interested in comments that: Gerard Poliquin, Secretary of the Board, the interests of the general public in the • Evaluate whether the proposed Telephone: 703–518–6304. proceeding, pursuant to 39 U.S.C. 505 collection of information is necessary (Public Representative). Section II also for the proper performance of the Gerard Poliquin, establishes comment deadline(s) functions of the agency, including Secretary of the Board. pertaining to each request. whether the information will have [FR Doc. 2017–03420 Filed 2–16–17; 4:15 pm] The public portions of the Postal practical utility; BILLING CODE 7535–01–P Service’s request(s) can be accessed via • Evaluate the accuracy of the the Commission’s Web site (http:// agency’s estimate of the burden of the www.prc.gov). Non-public portions of proposed collection of information, POSTAL REGULATORY COMMISSION the Postal Service’s request(s), if any, including the validity of the can be accessed through compliance [Docket Nos. CP2017–124; R2017–6] methodology and assumptions used; with the requirements of 39 CFR • Enhance the quality, utility, and New Postal Product 3007.40. clarity of the information to be The Commission invites comments on collected; and AGENCY: Postal Regulatory Commission. whether the Postal Service’s request(s)

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in the captioned docket(s) are consistent ADDRESSES: Submit comments deadline(s) for each request appear in with the policies of title 39. For electronically via the Commission’s section II. request(s) that the Postal Service states Filing Online system at http:// II. Docketed Proceeding(s) concern market dominant product(s), www.prc.gov. Those who cannot submit applicable statutory and regulatory comments electronically should contact 1. Docket No(s).: MC2017–91 and requirements include 39 U.S.C. 3622, 39 the person identified in the FOR FURTHER CP2017–125; Filing Title: Request of the U.S.C. 3642, 39 CFR part 3010, and 39 INFORMATION CONTACT section by United States Postal Service to Add CFR part 3020, subpart B. For request(s) telephone for advice on filing Priority Mail Contract 294 to that the Postal Service states concern alternatives. Competitive Product List and Notice of Filing (Under Seal) of Unredacted competitive product(s), applicable FOR FURTHER INFORMATION CONTACT: Governors’ Decision, Contract, and statutory and regulatory requirements David A. Trissell, General Counsel, at Supporting Data; Filing Acceptance include 39 U.S.C. 3632, 39 U.S.C. 3633, 202–789–6820. 39 U.S.C. 3642, 39 CFR part 3015, and Date: February 14, 2017; Filing SUPPLEMENTARY INFORMATION: 39 CFR part 3020, subpart B. Comment Authority: 39 U.S.C. 3642 and 39 CFR deadline(s) for each request appear in Table of Contents 3020.30 et seq.; Public Representative: section II. Erin Mahagan; Comments Due: February I. Introduction 23, 2017. II. Docketed Proceeding(s) II. Docketed Proceeding(s) 2. Docket No(s).: MC2017–92 and 1. Docket No(s).: CP2017–124; Filing I. Introduction CP2017–126; Filing Title: Request of the Title: Notice of United States Postal The Commission gives notice that the United States Postal Service to Add Service of Filing a Functionally Postal Service filed request(s) for the Priority Mail Express Contract 45 to Equivalent Global Expedited Package Commission to consider matters related Competitive Product List and Notice of Services 3 Negotiated Service to negotiated service agreement(s). The Filing (Under Seal) of Unredacted Agreement and Application for Non- request(s) may propose the addition or Governors’ Decision, Contract, and Public Treatment of Materials Filed removal of a negotiated service Supporting Data; Filing Acceptance Under Seal; Filing Acceptance Date: agreement from the market dominant or Date: February 14, 2017; Filing February 13, 2017; Filing Authority: 39 the competitive product list, or the Authority: 39 U.S.C. 3642 and 39 CFR CFR 3015.5; Public Representative: modification of an existing product 3020.30 et seq.; Public Representative: Gregory Stanton; Comments Due: currently appearing on the market Erin Mahagan; Comments Due: February February 22, 2017. dominant or the competitive product 23, 2017. 3. Docket No(s).: CP2017–127; Filing 2. Docket No(s).: R2017–6; Filing list. Title: Notice of United States Postal Section II identifies the docket Title: Notice of United States Postal Service of Type 2 Rate Adjustment, and number(s) associated with each Postal Service of Filing a Functionally Notice of Filing Functionally Equivalent Service request, the title of each Postal Equivalent Global Expedited Package Agreement, and Application for Non- Service request, the request’s acceptance Services 3 Negotiated Service Public Treatment; Filing Acceptance date, and the authority cited by the Agreement and Application for Non- Date: February 13, 2017; Filing Postal Service for each request. For each Public Treatment of Materials Filed Authority: 39 CFR 3010.40 et seq.; request, the Commission appoints an Under Seal; Filing Acceptance Date: Public Representative: Lyudmila Y. officer of the Commission to represent February 14, 2017; Filing Authority: 39 Bzhilyanskaya; Comments Due: the interests of the general public in the CFR 3015.5; Public Representative: Erin February 27, 2017. proceeding, pursuant to 39 U.S.C. 505 Mahagan; Comments Due: February 23, This notice will be published in the (Public Representative). Section II also 2017. This notice will be published in the Federal Register. establishes comment deadline(s) Federal Register. Stacy L. Ruble, pertaining to each request. Secretary. The public portions of the Postal Stacy L. Ruble, [FR Doc. 2017–03285 Filed 2–17–17; 8:45 am] Service’s request(s) can be accessed via Secretary. the Commission’s Web site (http:// BILLING CODE 7710–FW–P [FR Doc. 2017–03313 Filed 2–17–17; 8:45 am] www.prc.gov). Non-public portions of BILLING CODE 7710–FW–P the Postal Service’s request(s), if any, POSTAL REGULATORY COMMISSION can be accessed through compliance with the requirements of 39 CFR POSTAL SERVICE 3007.40. [Docket Nos. MC2017–91 and CP2017–125; The Commission invites comments on MC2017–92 and CP2017–126; CP2017–127] Product Change—Priority Mail whether the Postal Service’s request(s) Negotiated Service Agreement New Postal Products in the captioned docket(s) are consistent with the policies of title 39. For AGENCY: Postal ServiceTM. AGENCY: Postal Regulatory Commission. request(s) that the Postal Service states ACTION: Notice. ACTION: Notice. concern market dominant product(s), applicable statutory and regulatory SUMMARY: The Postal Service gives SUMMARY: The Commission is noticing requirements include 39 U.S.C. 3622, 39 notice of filing a request with the Postal recent Postal Service filings for the U.S.C. 3642, 39 CFR part 3010, and 39 Regulatory Commission to add a Commission’s consideration concerning CFR part 3020, subpart B. For request(s) domestic shipping services contract to negotiated service agreements. This that the Postal Service states concern the list of Negotiated Service notice informs the public of the filing, competitive product(s), applicable Agreements in the Mail Classification invites public comment, and takes other statutory and regulatory requirements Schedule’s Competitive Products List. administrative steps. include 39 U.S.C. 3632, 39 U.S.C. 3633, DATES: Effective date: February 21, 2017. DATES: Comments are due: February 23, 39 U.S.C. 3642, 39 CFR part 3015, and FOR FURTHER INFORMATION CONTACT: 2017. 39 CFR part 3020, subpart B. Comment Elizabeth A. Reed, 202–268–3179.

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SUPPLEMENTARY INFORMATION: The SECURITIES AND EXCHANGE A. Background ® United States Postal Service hereby COMMISSION The Exchange and other options gives notice that, pursuant to 39 U.S.C. [Release No. 34–80040; File No. SR–CBOE– exchanges previously adopted new, 3642 and 3632(b)(3), on February 14, 2016–088] harmonized rules related to the 2017, it filed with the Postal Regulatory adjustment and nullification of Commission a Request of the United Self-Regulatory Organizations; erroneous options transactions.5 The States Postal Service to Add Priority Chicago Board Options Exchange, Exchange believes that the changes the Mail Contract 294 to Competitive Incorporated; Order Granting Approval options exchanges implemented with Product List. Documents are available at of a Proposed Rule Change, as the new, harmonized rule have led to www.prc.gov, Docket Nos. MC2017–91, Modified by Amendment No. 1, Related increased transparency and finality with CP2017–125. to the Nullification and Adjustment of respect to the adjustment and Options Transactions nullification of erroneous options Stanley F. Mires, February 14, 2017. transactions. However, as part of the Attorney, Federal Compliance. initial initiative, the Exchange and other [FR Doc. 2017–03286 Filed 2–17–17; 8:45 am] I. Introduction options exchanges deferred a few BILLING CODE 7710–12–P On December 14, 2016, Chicago Board specific matters for further discussion, Options Exchange, Incorporated (the including how erroneous complex ‘‘Exchange’’ or ‘‘CBOE’’) filed with the orders and stock-option orders should POSTAL SERVICE Securities and Exchange Commission be handled. (‘‘Commission’’), pursuant to Section Since the adopting of the initial Product Change—Priority Mail Express 19(b)(1) of the Securities Exchange Act harmonized rule, the exchanges that Negotiated Service Agreement of 1934 (the ‘‘Act’’),1 and Rule 19b–4 offer complex orders and/or stock- thereunder,2 a proposed rule change to option orders discussed the adoption of AGENCY: Postal ServiceTM. amend Exchange Rule 6.25, relating to a rule—described below—that they collectively believe will improve the ACTION: Notice. the adjustment and nullification of erroneous complex order and stock- handling of erroneous options option order transactions. The proposed transactions that result from the SUMMARY: The Postal Service gives rule change was published for comment execution of complex orders and stock- notice of filing a request with the Postal in the Federal Register on January 3, option orders.6 Regulatory Commission to add a 3 2017. On February 13, 2017, the B. Proposed Rule domestic shipping services contract to Exchange submitted Amendment No. 1 the list of Negotiated Service to the proposed rule change.4 The The proposed rule applies much of Agreements in the Mail Classification Commission received no comments the initial harmonized rule to complex Schedule’s Competitive Products List. regarding the proposal. This order orders and stock-option orders. The proposed rule, however, deviates from DATES: Effective date: February 21, 2017. approves the proposed rule change, as modified by Amendment No. 1. the initial harmonized rule to account FOR FURTHER INFORMATION CONTACT: for unique qualities of complex orders Elizabeth A. Reed, 202–268–3179. II. Description of the Proposed Rule and stock-option orders. Specifically, Change the proposed rule reflects the fact that SUPPLEMENTARY INFORMATION: The ® The Exchange proposes to amend complex orders can execute against United States Postal Service hereby Rule 6.25, entitled ‘‘Nullification and other complex orders or can execute gives notice that, pursuant to 39 U.S.C. Adjustment of Options Transactions’’ by against individual simple orders in the 3642 and 3632(b)(3), on February 14, adding Interpretation and Policy .07 (a)– leg markets. When a complex order 2017, it filed with the Postal Regulatory (c) related to the adjustment and executes against the leg markets, there Commission a Request of the United nullification of erroneous complex order may be different counterparties on each States Postal Service to Add Priority and stock-option order transactions. leg of the complex order, and not every Mail Express Contract 45 to Competitive leg will necessarily be executed at an Product List. Documents are available at 1 15 U.S.C. 78s(b)(1). erroneous price. With regards to stock- www.prc.gov, Docket Nos. MC2017–92, 2 17 CFR 240.19b–4. option orders, the proposed rule reflects 3 CP2017–126. See Securities Exchange Act Release No. 79697 the fact that stock-option orders contain (December 27, 2016), 82 FR 167 (‘‘Notice’’). 4 a stock component that is executed on Stanley F. Mires, In Amendment No. 1, the Exchange proposed an implementation date of April 17, 2017, to allow all a stock trading venue, and the Exchange Attorney, Federal Compliance. the other options exchanges that permit complex may not be able to ensure that the stock [FR Doc. 2017–03287 Filed 2–17–17; 8:45 am] order or stock-option order transactions the time trading venue will adjust or nullify the necessary to harmonize their obvious error rules BILLING CODE 7710–12–P with the proposed rule change. Because stock execution in the event of an Amendment No. 1 does not materially alter the obvious or catastrophic error. In order to substance of the proposed rule change or raise account for the unique characteristics of unique or novel regulatory issues, Amendment No. complex orders and stock-option orders, 1 is not subject to notice and comment. To promote transparency of its proposed amendment, when CBOE filed Amendment No. 1 with the 5 See, e.g., Securities Exchange Act Release Nos. Commission, it also submitted Amendment No. 1 as 74898 (May 7, 2015), 80 FR 27354 (May 13, 2015) a comment letter to the file, which the Commission (SR–CBOE–2015–039); and 74556 (March 20, 2015), posted on its Web site and placed in the public 80 FR 16031 (March 26, 2015) (SR–BATS–2014– comment file for SR–CBOE–2016–088 (available at 067) (‘‘BATS Order’’). https://www.sec.gov/comments/sr-cboe-2016-088/ 6 See Notice, supra note 3, at 167. An exchange cboe2016088-1581994-131907.pdf). The Exchange that does not offer complex orders and/or stock- also posted a copy of its Amendment No. 1 on its option orders will not adopt these new provisions Web site (http://www.cboe.com/aboutcboe/legal/ until such time as the exchange offers complex submittedsecfilings.aspx), when it filed it with the orders and/or stock-option orders. See id. at 167 Commission. n.5.

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the Exchange divided proposed individual leg to the Theoretical Price 9 an Obvious or Catastrophic error will be Interpretation and Policy .07 into three of each leg (as determined by paragraph adjusted in accordance with paragraphs parts—paragraphs (a), (b), and (c). (b) of the initial harmonized rule). (c)(4)(A) or (d)(3) of the initial Under the proposed rule, if the harmonized rule, respectively, 1. Complex Orders Executed Against execution price of an individual leg is regardless of whether one of the parties Individual Legs higher or lower than the Theoretical is a Customer. However, because Proposed Interpretation and Policy Price for the series by an amount equal incoming complex orders may execute .07(a) governs the review of complex to at least the amount shown in the against resting simple orders in the leg orders that are executed against obvious error table in paragraph (c)(1) of market and adjusting the execution individual legs (as opposed to a the initial harmonized rule or the price of the leg may violate the limit complex order that executes against catastrophic error table in paragraph price of the resting order, proposed Rule another complex order).7 Proposed Rule (d)(1) of the initial harmonized rule, the 6.25.07(a) also provides protection for 6.25.07(a) provides: individual leg qualifies as an obvious or Customer orders, stating that where at catastrophic error, and the Exchange If a complex order executes against least one party to a complex order will take steps to adjust or nullify the transaction is a Customer, the individual legs and at least one of the legs 10 qualifies as an Obvious or Catastrophic Error transaction. transaction will be nullified if under this Rule 6.25, then the leg(s) that is Paragraph (c)(4)(A) of the initial adjustment would result in an execution an Obvious or Catastrophic Error will be harmonized rule mandates that if it is price higher (for buy transactions) or adjusted in accordance with paragraphs determined that an obvious error has lower (for sell transactions) than the (c)(4)(A) or (d)(3), respectively, regardless of occurred, the execution price of the Customer’s limit price on the complex whether one of the parties is a Customer. transaction will be adjusted pursuant to order or individual leg(s). If any leg of However, any Customer order subject to this the table set forth in (c)(4)(A).11 a complex order is nullified, the entire paragraph (a) will be nullified if the Although for simple orders paragraph transaction will be nullified. adjustment would result in an execution (c)(4)(A) is only applicable when no price higher (for buy transactions) or lower party to the transaction is a Customer,12 2. Complex Orders Executed Against (for sell transactions) than the Customer’s Complex Orders limit price on the complex order or for the purposes of complex orders, individual leg(s). If any leg of a complex paragraph (a) of proposed Interpretation Proposed Interpretation and Policy order is nullified, the entire transaction is and Policy .07 will supersede that .07(b) governs the review of complex nullified. limitation; therefore, if it is determined orders that are executed against other that a leg (or legs) of a complex order complex orders. Proposed Rule At least one of the legs of the complex is an obvious error, the leg (or legs) will 6.25.07(b) provides: order must qualify as an obvious or be adjusted pursuant to paragraph catastrophic error under the initial (c)(4)(A), regardless of whether a party If a complex order executes against another complex order and at least one of the legs harmonized rule in order for the to the transaction is a Customer. The complex order to receive obvious or qualifies as an Obvious Error under Size Adjustment Modifier defined in paragraph (c)(1) or a Catastrophic Error under catastrophic error relief. Thus, when the subparagraph (a)(4) will similarly apply paragraph (d)(1), then the leg(s) that is an Exchange is notified (within the (regardless of whether a Customer is on Obvious or Catastrophic Error will be timeframes set forth in paragraph (c)(2) the transaction) by virtue of the adjusted or busted in accordance with or (d)(2)) of a complex order that is a application of paragraph (c)(4)(A).13 paragraph (c)(4) or (d)(3), respectively, so possible obvious error or catastrophic Pursuant to proposed Rule 6.25.07(a), long as either: (i) The width of the National error, the Exchange will first review the if a complex order executes against Spread Market for the complex order strategy individual legs of the complex order to individual legs and at least one of the just prior to the erroneous transaction was determine if one or more legs qualify as leg(s) qualifies as an Obvious Error or a equal to or greater than the amount set forth an obvious or catastrophic error.8 If no Catastrophic Error, then the leg(s) that is in the wide quote table of paragraph (b)(3) or (ii) the net execution price of the complex leg qualifies as an obvious or order is higher (lower) than the offer (bid) of 9 catastrophic error, the transaction See Rule 6.25(b) (defining the manner in which the National Spread Market for the complex stands—no adjustment and no Theoretical Price is determined). 10 order strategy just prior to the erroneous nullification. Only the execution price on the leg (or legs) transaction by an amount equal to at least the that qualifies as an obvious or catastrophic error Reviewing the legs to determine pursuant to any portion of proposed Rule 6.25.07 amount shown in the table in paragraph whether one or more legs qualify as an will be adjusted. The execution price of a leg (or (c)(1). If any leg of a complex order is obvious or catastrophic error requires legs) that does not qualify as an obvious or nullified, the entire transaction is nullified. catastrophic error will not be adjusted. For purposes of Rule 6.25, the National the Exchange to follow the initial 11 In contrast, paragraph (d)(3) of the initial Spread Market for a complex order strategy harmonized rule. In accordance with harmonized rule mandates that if it is determined is determined by the National Best Bid/Offer paragraphs (c)(1) and (d)(1) of the initial that a catastrophic error has occurred, the execution of the individual legs of the strategy. harmonized rule, the Exchange price of the transaction will be adjusted pursuant compares the execution price of each to the table set forth in paragraph (d)(3). However, As described above in relation to if a Customer is a party to the transaction and the proposed Rule 6.25.07(a), the first step adjustment would result in an execution price is for the Exchange to review (upon 7 The leg market consists of quotes and/or orders higher (for buy transactions) or lower (for sell in single options series. A complex order may be transactions) than the Customer’s limit price, the receipt of a timely notification in received by the Exchange electronically, and the Customer order will be nullified. accordance with paragraph (c)(2) or legs of the complex order may have different 12 See Rule 6.25(a)(1) (defining Customer for (d)(2) of the initial harmonized rule) the counterparties. purposes of Rule 6.25 as not including a broker- individual legs to determine whether a 8 Because a complex order can execute against the dealer, Professional Customer, or Voluntary leg market, the Exchange may also be notified of a Professional Customer). leg or legs qualifies as an obvious or possible obvious or catastrophic error by a 13 See Rule 6.25(c)(4)(A) (stating that any non- catastrophic error. If no leg qualifies as counterparty that received an execution in an Customer Obvious Error exceeding 50 contracts will an obvious or catastrophic error, the individual options series. If upon review of a be subject to the Size Adjustment Modifier defined transaction stands—no adjustment and potential obvious error the Exchange determines an in sub-paragraph (a)(4)). The Size Adjustment individual options series was executed against the Modifier may also apply to the option leg of a stock- no nullification. leg of a complex order or stock-option order, option order that is adjusted pursuant to proposed Unlike proposed Rule 6.25.07(a), the proposed Rule 6.25.07 will govern. Rule 6.25.07(c). Exchange also proposes to compare the

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net execution price of the entire other requirements of proposed Rule stock trading venue nullifies the stock complex order package to the National 6.25.07(b) are met, all market leg of a stock-option order, the option Spread Market for the complex order participants will be adjusted in will be nullified upon request of one of strategy.14 Complex orders are exempt accordance with the table set forth in the parties to the transaction or by an from the order protection rules of the paragraph (d)(3). Again, however, Official acting on their own motion in options exchanges.15 Thus, depending pursuant to paragraph (d)(3) where at accordance with paragraph (c)(3). The on the manner in which the systems of least one party to a complex order Exchange states that there are situations an options exchange are calibrated, a transaction is a Customer, the in which buyer and seller agree to trade complex order can execute without transaction will be nullified if a stock-option order, but the stock leg regard to the prices offered in the adjustment would result in an execution cannot be executed. Thus, the Exchange complex order books or the leg markets price higher (for buy transactions) or proposes to provide that whenever the of other options exchanges. lower (for sell transactions) than the stock portion of a stock-option order Accordingly, the Exchange proposes to Customer’s limit price on the complex cannot be executed, the Exchange will consider the National Spread Market. order or individual leg(s). Also, if any nullify the option leg upon request of Specifically, proposed Rule 6.25.07(b) leg of a complex order is nullified, the one of the parties to the transaction or provides that if the Exchange entire transaction is nullified. on an Official’s own motion. determines that a leg or legs does In order to ensure that other options qualify as an obvious or catastrophic 3. Stock-Option Orders exchanges are able to adopt rules error, the leg or legs will be adjusted or Proposed Interpretation and Policy consistent with this proposal and to busted in accordance with paragraph .07(c) governs stock-option orders. coordinate the effectiveness of such (c)(4) or (d)(3) of the initial harmonized Proposed Rule 6.25.07(c) provides: harmonized rules, the Exchange rule, so long as either: (i) The width of If the option leg of a stock-option order proposes to delay the effectiveness of 17 the National Spread Market for the qualifies as an Obvious Error under this proposal to April 17, 2017. complex order strategy just prior to the paragraph (c)(1) or a Catastrophic Error under III. Discussion and Commission erroneous transaction was equal to or paragraph (d)(1), then the option leg that is Findings greater than the amount set forth in the an Obvious or Catastrophic Error will be wide quote table of paragraph (b)(3) of adjusted in accordance with paragraph The Commission finds that the the initial harmonized rule or (ii) the net (c)(4)(A) or (d)(3), respectively, regardless of proposed rule change is consistent with whether one of the parties is a Customer. execution price of the complex order is the requirements of the Act and the However, the option leg of any Customer rules and regulations thereunder higher (lower) than the offer (bid) of the order subject to this paragraph (c) will be applicable to a national securities National Spread Market for the complex nullified if the adjustment would result in an exchange.18 In particular, the order strategy just prior to the erroneous execution price higher (for buy transactions) Commission finds that the proposed transaction by an amount equal to at or lower (for sell transactions) than the rule change, as amended, is consistent least the amount shown in the table in Customer’s limit price on the stock-option with the requirements of Section 6(b) of paragraph (c)(1) of the initial order, and the Exchange will attempt to nullify the stock leg. Whenever a stock the Act 19 and with Section 6(b)(5) of the harmonized rule. 20 For purposes of complex orders that trading venue nullifies the stock leg of a Act, which requires, among other stock-option order or whenever the stock leg meet the requirements of proposed Rule things, that the Exchange’s rules be cannot be executed, the Exchange will nullify designed to prevent fraudulent and 6.25.07(b), the Exchange proposes to the option leg upon request of one of the apply the initial harmonized rule and manipulative acts and practices, to parties to the transaction or in accordance promote just and equitable principles of adjust or bust obvious errors in with paragraph (c)(3). accordance with paragraph (c)(4) (as trade, to remove impediments to and Similar to proposed Interpretation perfect the mechanism of a free and opposed to applying only paragraph and Policy .07(a), an option leg (or legs) (c)(4)(A) as is the case under proposed open market and a national market of a stock-option order must qualify as system, and, in general, to protect Rule 6.25.07(a)) and catastrophic errors an obvious or catastrophic error under in accordance with paragraph (d)(3). investors and the public interest. the initial harmonized rule in order for The Commission believes that the Therefore, for purposes of complex the stock-option order to qualify as an proposal to amend Rule 6.25 will help orders under proposed Rule 6.25.07(b), obvious or catastrophic error. Also, assure greater objectivity, transparency, if one of the legs is determined to be an similar to proposed Rule 6.25.07(a), if and clarity with respect to the obvious error under paragraph (c)(1), all an option leg (or legs) does qualify as an adjustment and nullification of Customer transactions will be nullified, obvious or catastrophic error, the option erroneous options transactions and, in unless a Trading Permit Holder (‘‘TPH’’) leg (or legs) will be adjusted in particular, those involving complex submits 200 or more Customer accordance with paragraph (c)(4)(A) or order or stock-option order transactions. transactions for review in accordance (d)(3), respectively, regardless of The Commission notes that the proposal with paragraph (c)(4)(C).16 For purposes whether one of the parties is a is designed to achieve more consistent of complex orders under proposed Rule Customer. Again, as with proposed Rule results for participants across U.S. 6.25.07(b), if one of the legs is 6.25.07(a), where at least one party to a options exchanges than under the initial determined to be a catastrophic error complex order transaction is a harmonized rules, while maintaining a under paragraph (d)(3) and all of the Customer, the Exchange will nullify the fair and orderly market, protecting option leg and attempt to nullify the investors, and protecting the public 14 National Spread Market is the derived net market for a complex order package. See, e.g., Rule stock leg if adjustment would result in 6.53C.04 (utilizing the term derived net market in an execution price higher (for buy 17 See Amendment No. 1. the context of complex order strategies). transactions) or lower (for sell 18 In approving this proposed rule change, as 15 See Rule 6.81(b)(7). All options exchanges have transactions) than the Customer’s limit amended, the Commission notes that it has the same order protection rule. price on the complex order or considered the proposed rule’s impact on 16 Rule 6.25(c)(4)(C) also requires the orders efficiency, competition, and capital formation. See resulting in 200 or more Customer transactions to individual leg(s). 15 U.S.C. 78c(f). have been submitted during the course of 2 minutes Finally, the Exchange proposes to 19 15 U.S.C. 78f(b). or less. provide guidance that whenever the 20 15 U.S.C. 78f(b)(5).

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interest. In particular, the proposal is SECURITIES AND EXCHANGE ADDRESSES: Secretary, U.S. Securities designed to increase the consistency COMMISSION and Exchange Commission, 100 F Street and transparency in the handling of NE., Washington, DC 20549–1090. erroneous options transactions among [Investment Company Act Release No. Applicants: Jason B. Moore, Brinker those options exchanges that allow 32478; File No. 812–14724] Capital Destinations Trust, 1055 complex order or stock-option order Westlakes Drive, Berwyn, PA 19312; transactions. Brinker Capital Destinations Trust, et and John J. O’Brien, Esq., Morgan, Lewis al.; Notice of Application & Bockius LLP, 1701 Market Street, In its order approving the initial Philadelphia, PA 19103. harmonized rule of BATS Exchange, February 14, 2017. FOR FURTHER INFORMATION CONTACT: Inc., the Commission noted that the AGENCY: Securities and Exchange Jennifer O. Palmer, Senior Counsel, at options exchanges intended to work Commission (‘‘Commission’’). (202) 551–5786, or Nadya Roytblat, together to further develop additional ACTION: Notice of an application for an Assistant Chief Counsel, at (202) 551– objectivity with respect to their order under section 12(d)(1)(J) of the 6821 (Division of Investment processes for the adjustment and Investment Company Act of 1940 (the Management, Chief Counsel’s Office). nullification of erroneous options ‘‘Act’’) for an exemption from sections SUPPLEMENTARY INFORMATION: The transactions.21 The Commission 12(d)(1)(A), (B), and (C) of the Act and following is a summary of the believes that the proposed rule change under sections 6(c) and 17(b) of the Act application. The complete application for an exemption from sections 17(a)(1) to specifically delineate the treatment of may be obtained via the Commission’s and (2) of the Act. The requested order erroneous complex order or stock- Web site by searching for the file would permit certain registered open- option order transactions constitutes an number, or for an applicant using the end investment companies to acquire additional step towards this goal. Based Company name box, at http:// shares of certain registered open-end on the foregoing, the Commission www.sec.gov/search/search.htm, or by investment companies, registered believes that the proposed rule change calling (202) 551–8090. is consistent with Section 6(b)(5) of the closed-end investment companies, Act 22 in that proposed Rule 6.25 will business development companies, as Summary of the Application foster cooperation and coordination defined in section 2(a)(48) of the Act, 1. Applicants request an order to and unit investment trusts (collectively, with persons engaged in regulating and permit (a) a Fund 1 (each a ‘‘Fund of ‘‘Underlying Funds’’) that are within facilitating transactions. Funds’’) to acquire shares of Underlying and outside the same group of Funds 2 in excess of the limits in The Commission notes that the investment companies as the acquiring proposed rule change will become sections 12(d)(1)(A) and (C) of the Act investment companies, in excess of the and (b) the Underlying Funds that are operative on April 17, 2017. This limits in section 12(d)(1) of the Act. registered open-end investment delayed implementation is to ensure companies or series thereof, their that other options exchanges that permit APPLICANTS: Brinker Capital principal underwriters and any broker Destinations Trust, a Delaware statutory transactions in complex orders or stock- or dealer registered under the Securities trust that is registered under the Act as option orders will have sufficient time Exchange Act of 1934 to sell shares of an open-end management investment to put in place similar rules consistent the Underlying Fund to the Fund of company with multiple series, and with this proposed rule change and to Funds in excess of the limits in section Brinker Capital, Inc., a Delaware coordinate the date of implementation 12(d)(1)(B) of the Act.3 Applicants also 23 Corporation registered as an investment of such harmonized rules. request an order of exemption under adviser under the Investment Advisers IV. Conclusion Act of 1940. 1 Applicants request that the order apply to each It is therefore ordered, pursuant to DATES: Filing Dates: The application was existing and future series of Brinker Capital Destinations Trust and to each existing and future Section 19(b)(2) of the Act,24 that the filed on December 8, 2016 and amended on February 1, 2017. registered open-end investment company or series proposed rule change, as modified by thereof that is advised by Brinker Capital, Inc. or Amendment No. 1 (SR–CBOE–2016– HEARING OR NOTIFICATION OF HEARING: An its successor or by any other investment adviser controlling, controlled by or under common control 088) be, and hereby is, approved. order granting the requested relief will be issued unless the Commission orders with Brinker Capital, Inc. or its successor and is For the Commission, by the Division of part of the same ‘‘group of investment companies’’ a hearing. Interested persons may as Brinker Capital Destinations Trust (each, a Trading and Markets, pursuant to delegated request a hearing by writing to the ‘‘Fund’’). For purposes of the requested order, authority.25 Commission’s Secretary and serving ‘‘successor’’ is limited to an entity that results from Eduardo A. Aleman, a reorganization into another jurisdiction or a applicants with a copy of the request, change in the type of business organization. For Assistant Secretary. personally or by mail. Hearing requests purposes of the request for relief, the term ‘‘group [FR Doc. 2017–03295 Filed 2–17–17; 8:45 am] should be received by the Commission of investment companies’’ means any two or more by 5:30 p.m. on March 14, 2017 and registered investment companies, including closed- BILLING CODE 8011–01–P end investment companies and business should be accompanied by proof of development companies, that hold themselves out service on the applicants, in the form of to investors as related companies for purposes of an affidavit, or, for lawyers, a certificate investment and investor services. of service. Pursuant to Rule 0–5 under 2 Certain of the Underlying Funds have obtained the Act, hearing requests should state exemptions from the Commission necessary to permit their shares to be listed and traded on a the nature of the writer’s interest, any national securities exchange at negotiated prices facts bearing upon the desirability of a and, accordingly, to operate as an exchange-traded 21 See BATS Order, supra note 5, at 16039. hearing on the matter, the reason for the fund (‘‘ETF’’). 3 22 15 U.S.C. 78f(b)(5). request, and the issues contested. Applicants do not request relief for Funds of Funds to invest in reliance on the order in business 23 See Amendment No. 1. Persons who wish to be notified of a development companies and registered closed-end 24 15 U.S.C. 78s(b)(2). hearing may request notification by investment companies that are not listed and traded 25 17 CFR 200.30–3(a)(12). writing to the Commission’s Secretary. on a national securities exchange.

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sections 6(c) and 17(b) of the Act from consistent with the protection of the places specified in Item IV below. the prohibition on certain affiliated investors and the purposes fairly The Exchange has prepared summaries, transactions in section 17(a) of the Act intended by the policy and provisions of set forth in sections A, B and C below, to the extent necessary to permit the the Act. of the most significant parts of such Underlying Funds to sell their shares to, For the Commission, by the Division of statements. and redeem their shares from, the Funds Investment Management, pursuant to A. Self-Regulatory Organization’s of Funds.4 Applicants state that such delegated authority. Statement of the Purpose of, and the transactions will be consistent with the Eduardo A. Aleman, Statutory Basis for, the Proposed Rule policies of each Fund of Funds and each Assistant Secretary. Change Underlying Fund and with the general [FR Doc. 2017–03297 Filed 2–17–17; 8:45 am] purposes of the Act and will be based 1. Purpose BILLING CODE 8011–01–P on the net asset values of the (1) Overview Underlying Funds. The Exchange proposes to amend the 2. Applicants agree that any order SECURITIES AND EXCHANGE CHX Rules to adopt the CHX Liquidity granting the requested relief will be COMMISSION subject to the terms and conditions Enhancing Access Delay (‘‘LEAD’’). In stated in the application. Such terms [Release No. 34–80041; File No. SR–CHX– sum, LEAD will require all new and conditions are designed to, among 2017–04] incoming orders, cancel and cancel/ other things, help prevent any potential replace messages to be subject to a 350- Self-Regulatory Organizations; (i) undue influence over an Underlying microsecond intentional access delay; Chicago Stock Exchange, Inc.; Notice Fund that is not in the same ‘‘group of provided, however, that (1) new of Filing of Proposed Rule Change To investment companies’’ as the Fund of incoming orders 3 submitted by LEAD Adopt the CHX Liquidity Enhancing Funds through control or voting power, Market Makers (‘‘LEAD MM’’), a new Access Delay or in connection with certain services, class of CHX Market Maker 4 with transactions, and underwritings, (ii) February 14, 2017. heightened quoting and trading excessive layering of fees, and (iii) Pursuant to Section 19(b)(1) of the obligations, that would be immediately overly complex fund structures, which Securities Exchange Act of 1934 ranked on the CHX book without are the concerns underlying the limits (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 executing against any resting orders on in sections 12(d)(1)(A), (B), and (C) of notice is hereby given that on February the CHX book and (2) certain cancel the Act. 10, 2017, the Chicago Stock Exchange, messages related to resting orders that 3. Section 12(d)(1)(J) of the Act Inc. (‘‘CHX’’ or ‘‘Exchange’’) filed with were submitted by LEAD MMs will not provides that the Commission may the Securities and Exchange be delayed. LEAD will be applied to all exempt any person, security, or Commission (the ‘‘Commission’’) the securities traded on the Exchange 5 transaction, or any class or classes of proposed rule change as described in throughout the trading day. LEAD is persons, securities, or transactions, from Items I, II and III below, which Items designed to enhance displayed liquidity any provision of section 12(d)(1) if the have been prepared by the self- and price discovery by minimizing the exemption is consistent with the public regulatory organization. The effectiveness of latency arbitrage interest and the protection of investors. Commission is publishing this notice to strategies that diminish displayed Section 17(b) of the Act authorizes the solicit comments on the proposed rule liquidity and impair price discovery, as Commission to grant an order change from interested persons. described in detail below. permitting a transaction otherwise (2) Latency Arbitrage prohibited by section 17(a) if it finds I. Self-Regulatory Organization’s that (a) the terms of the proposed Statement of the Terms of Substance of As used herein, ‘‘latency arbitrage’’ transaction are fair and reasonable and the Proposed Rule Change means the practice of exploiting do not involve overreaching on the part CHX proposes to amend the Rules of of any person concerned; (b) the 3 ‘‘New incoming orders’’ are orders received by the Exchange (‘‘CHX Rules’’) to adopt the Matching System for the first time. As discussed proposed transaction is consistent with the CHX Liquidity Enhancing Access below, LEAD will not apply to other situations the policies of each registered Delay. The text of this proposed rule where existing orders or portions thereof are treated investment company involved; and (c) change is available on the Exchange’s as incoming orders, such as (1) resting orders that the proposed transaction is consistent are price slid into a new price point pursuant to the Web site at http://www.chx.com/ CHX Only Price Sliding or Limit Up-Limit Down with the general purposes of the Act. regulatory-operations/rule-filings/, at Price Sliding Processes and (2) unexecuted Section 6(c) of the Act permits the the principal office of the Exchange, and remainders of routed orders released into the Commission to exempt any persons or at the Commission’s Public Reference Matching System. See CHX Article 1, Rule transactions from any provision of the 2(b)(1)(C); see also CHX Article 20, Rule 2A(b); see Room. also CHX Article 20, Rule 8(b)(7). Incidentally, the Act if such exemption is necessary or Exchange is proposing to amend CHX Article 20, appropriate in the public interest and II. Self-Regulatory Organization’s Rule 8(a)(7) to delete the word ‘‘new’’ from the last Statement of the Purpose of, and sentence, so that the rule provides, in pertinent 4 A Fund of Funds generally would purchase and Statutory Basis for, the Proposed Rule part, that if no balance exists at the time a part of sell shares of an Underlying Fund that operates as Change an unexecuted remainder of a routed order is an ETF through secondary market transactions returned to the Matching System, it shall be treated rather than through principal transactions with the In its filing with the Commission, the an incoming order. Underlying Fund. Applicants nevertheless request self-regulatory organization included 4 See CHX Article 1, Rule 1(tt) defining ‘‘Market relief from section 17(a) to permit a Fund of Funds statements concerning the purpose of, Maker’’; see also generally CHX Article 16 (Market to purchase or redeem shares from the ETF. A Fund Makers). of Funds will purchase and sell shares of an and basis for, the proposed rule change 5 Each trading day is divided into four trading Underlying Fund that is a closed-end fund through and discussed any comments it received sessions: Early session, regular trading session, late secondary market transactions at market prices on the proposed rule change. The text trading session and late crossing session. See CHX rather than through principal transactions with the of those statements may be examined at Article 20, Rule 1(b). The Exchange only accepts closed-end fund. Accordingly, applicants are not cross orders during the late crossing session and requesting section 17(a) relief with respect to thus does not accept or rank any single-sided orders transactions in shares of closed-end funds 1 15 U.S.C. 78s(b)(1). during the late crossing session. See CHX Article 1, (including business development companies). 2 17 CFR 240.19b–4. Rule 2(a)(2) defining ‘‘cross order.’’

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disparities in the price of a security or Or Cancel order (‘‘IOC’’) against a latency arbitrage to continue to related securities that are being traded contra-side order resting on the CHX diminish displayed liquidity is wholly in different markets by taking advantage book was frequently followed by a late inconsistent with the objectives of of the time it takes to access and cancel message for the executed resting Regulation NMS.16 respond to symmetric public order soon after the execution (‘‘Too (3) LEAD information.6 At CHX, latency arbitrage Late to Cancel’’ or ‘‘TLTC’’).9 Based on is effected by low-latency market these observations, Participant LEAD is designed to offset the participants that leverage microsecond corroboration of the observations and structural bias that unfairly favors speed advantages to take resting market data analysis,10 the Exchange latency arbitrageurs by giving liquidity liquidity at stale prices from the CHX found that SPY latency arbitrage activity providers who have committed to limit order book. caused CHX liquidity providers to heightened quoting and trading In 2016, the Exchange experienced a dramatically reduce displayed liquidity requirements (i.e., LEAD MMs) a small material decline in CHX volume and in SPY (and at times withdraw from the head start to the cancellation of stale liquidity in the SPDR S&P 500 trust market altogether), which materially quotes in the race to react to symmetric exchange-traded fund (‘‘SPY’’),7 which decreased liquidity in SPY market wide, public information.17 Based on its the Exchange has attributed to latency especially in light of CHX’s significant analysis of CHX market data,18 the arbitrage activity in SPY first observed contributions to overall volume and Exchange does not believe that LEAD at CHX in January 2016 (‘‘SPY latency liquidity in SPY prior to the declines.11 will have a material impact on the arbitrage activity’’).8 Specifically, during As demonstrated by the SPY latency ability of liquidity takers not engaged in the period of January through July 2016, arbitrage activity, latency arbitrage latency arbitrage, such as retail the Exchange observed unusual imposes a tax on liquidity provision 12 investors, to access displayed liquidity messaging patterns in SPY whereby an that dissuades market participants from at CHX.19 To the extent a sophisticated execution of a large inbound Immediate providing displayed liquidity, which is market participant seeks to take incompatible with a primary goal of displayed liquidity pursuant to better or 6 See Letter to Brent J. Fields, Secretary, SEC, Regulation NMS to enhance displayed different information (as opposed to the from Eric Budish, Professor of Economic and David liquidity to the benefit of investors and same information exploited by latency G. Booth Faculty Fellow, the University of Chicago the public interest.13 Latency arbitrageurs), LEAD is too short to have Booth School of Business (October 13, 2016) an incrementally negative impact on (‘‘Budish LTAD Letter’’) at 2. Given its emphasis on arbitrageurs exploit the fact that speed, latency arbitrage has resulted in a well- updating the continuous limit order such non-latency arbitrage strategies. documented and escalating technology race among book (utilized by every national The LEAD MM is a new class of CHX certain market participants seeking to obtain ever securities exchange) necessarily requires Market Maker that will be subject to the smaller speed advantages. See Eric Budish, Peter proposed Minimum Performance Cramton and John Shim, ‘‘The High-Frequency the processing of order-related messages Trading Arms Race: Frequent Batch Auctions as a serially by time of receipt. Thus, when Standards, as described in detail below, Market Design Response,’’ Quarterly Journal of reacting to the same symmetric which will not be applied to non-LEAD Economics, Vol. 130(4), November 2015 (‘‘Budish information, a liquidity provider with a MMs. The purpose of the Minimum Paper’’); see also, Elaine Wah and Michael quote displayed on an exchange must be Performance Standards is to ensure that Wellman, ‘‘Latency Arbitrage, Market Fragmentation, and Efficiency: A Two-Market faster than a latency arbitrageur to avoid LEAD MMs will be required to meet Model,’’ 4th ACM Conference on Electronic its stale quote from being executed.14 heightened quoting and trading Commerce, June 2013. This structural bias facilitates the ability requirements in return for undelayed 7 Most of the CHX liquidity in SPY and other S&P of the latency arbitrageur to extract access to the CHX book for the purposes 500-correlated securities is provided as part of an 15 of submitting liquidity providing orders arbitrage strategy between CHX and the futures profits from symmetric information. markets, whereby liquidity providers utilize, among The Exchange submits that this bias is and cancelling its resting orders. Also, other things, proprietary algorithms to price and contrary to a fundamental principal of LEAD MMs will be required to establish size resting orders on CHX to track index market trading, that the parties agree upon the at least one LEAD MM Trading Account, data from a derivatives market (e.g., E-Mini S&P terms of the trade, and permitting as described below, through which all traded on the Chicago Mercantile Exchange’s Globex trading platform). LEAD market making activities must 8 A detailed analysis (‘‘CHX ETF Analysis’’) of the 9 The Exchange did not begin maintaining TLTC originate. impact of latency arbitrage on displayed liquidity data until May 2016. See infra Appendix C. Specifically, LEAD will require the in SPY at CHX, for the period of August 2015 10 See supra note 8. following messages in all securities through July 2016 (‘‘Analysis Period’’), may be 11 See id. found under Appendix A. The market data utilized 12 See Eric Budish, Comment letter regarding 16 by the CHX ETF Analysis, as well as defined terms ‘‘Investors’ Exchange LLC Form 1 Application See Regulation NMS Adopting Release, supra and notes, may be found under Appendix B. (Release No. 34–75925; File No. 10–222)’’ (February note 13, at 37514. Additional analysis regarding the potential impact 5, 2016). 17 See Budish LTAD Letter, supra note 6, at 2. In of LEAD on liquidity takers may be found under 13 The Commission has stated that ‘‘increased discussing possible alternatives to a frequent batch Appendix C. As discussed in detail under displayed liquidity [is] a principal goal of the Order auction model for trading securities, the Budish Appendix A below, prior to the beginning of the Protection Rule.’’ Exchange Act Release No. 51808 Paper provides that ‘‘the asymmetric delay SPY latency arbitrage activity in January 2016, CHX (June 9, 2005), 70 FR 37496, 37514 (June 29, 2005) eliminates sniping and stops the arms race.’’ See volume and liquidity in SPY constituted a material (‘‘Regulation NMS Adopting Release’’). The Budish Paper, supra note 6, at 1612. portion of overall volume and liquidity in SPY Commission has also stated that ‘‘[t]o the extent that 18 Based on the Exchange’s analysis of cancel marketwide. For example, the CHX Market Share in competition among orders is lessened, the quality activity in SPY at CHX for the period starting in SPY as a percentage of Total Volume decreased of price discovery for all sizes of orders can be May 2016 through July 2016, the Exchange believes from 5.73% in January 2016 to 0.57% in July 2016, compromised. Impaired price discovery could that if LEAD had been implemented during that while the Control Securities did not experience cause market prices to deviate from fundamental time period, out of a total of 18,316 partially- similar declines. See infra Appendix A; see also values, reduce market depth and liquidity, and executed orders in SPY, 20 liquidity taking orders infra Appendix B Calculation Set 1a. Also, the create excessive short-term volatility that is harmful not attributed to latency arbitrage activity would Time-weighted Average CHX Size At The NBBO in to long-term investors and listed companies. More have not been executed, a de minimis number in SPY relative to the total NMS Size At The NBBO broadly, when market prices do not reflect the light of the enhanced liquidity and price in SPY decreased from 44.36% in January 2016 to fundamental values, resources will be misallocated discovery afforded by LEAD. See infra Appendix C. 3.39% of the total NMS Size At The NBBO in SPY within the economy and economic efficiency—as 19 The Exchange notes that while LEAD is in July 2016, while the Control Securities did not well as market efficiency—will be impaired.’’ Id. at designed to neutralize microsecond speed experience similar declines. See also infra 37499. advantages exploited by latency arbitrageurs, LEAD Appendix A; see also infra Appendix B 14 See Budish LTAD Letter, supra note 6, at 2. MMs would still be required to obtain speed Calculations Sets 3a and 4a. 15 See id. capabilities fast enough to take advantage of LEAD.

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received by the Exchange throughout a • A cancel/replace message related to would protect investors and the public trading day to be subject to a 350- a resting order that originates from a interest and does not unfairly microsecond intentional delay, the same Valid LEAD MM Trading Account will discriminate among Participants.32 length as the Investors Exchange LLC not be intentionally delayed; provided, Amended Article 16, Rule 4 (Obligation (‘‘IEX’’) POP/coil delay (‘‘IEX Delay’’) however, that if any part of the replace of Market Makers) recently approved by the Commission,20 portion would immediately execute before such delayed messages would be against an existing resting order on the Proposed Article 16, Rule 4(f) processed 21 by the Matching System: 22 CHX book, the replace portion will be provides rules regarding the proposed • All new incoming messages that did intentionally delayed. LEAD MM Program. Specifically, not originate from a Valid LEAD MM • The portion of a Routable Order proposed paragraph (f)(1) provides Trading Account, as described below, that is to be routed away will not be defined terms for the purposes of will be intentionally delayed; provided, intentionally delayed, regardless of who paragraph (f). Thereunder, proposed however, that the portion of any new submitted the Routable Order. paragraph (f)(1)(A) provides that incoming Routable Order 23 that is to be Also, LEAD will not delay any ‘‘LEAD’’ means the Liquidity Enhancing routed away will never be delayed, outbound messages or market data. Access Delay, as described under regardless of who submitted the The Exchange notes that adopting a proposed Article 20, Rule 8(h); Routable Order. symmetric delay and order types that proposed paragraph (f)(1)(B) provides • New incoming orders, as well as the would permit the Exchange to reprice that ‘‘LEAD MM’’ means a Market replace portion of cancel/replace resting orders based on undelayed Maker assigned to a particular security messages, that originate from a Valid market data, such as the IEX Delay and that has committed to maintaining LEAD MM Trading Account that would pegged order types, would not address Minimum Performance Standards, immediately execute against existing latency arbitrage at CHX with respect to described under proposed paragraph resting orders on the CHX book will be limit orders because the liquidity (f)(2), in the security; proposed intentionally delayed. provision strategies utilized by CHX paragraph (f)(1)(C) provides that ‘‘LEAD • Cancel and cancel/replace messages liquidity providers, which provide MM Security’’ means a security for orders that originate from a Valid valuable liquidity to the market assigned to a LEAD MM; and proposed 24 LEAD MM Trading Account that have overall, require cancellations or paragraph (f)(1)(D) provides that been delayed, but not yet processed by adjustments to resting limit orders ‘‘Qualified Executions’’ means all the Matching System, will be pursuant to proprietary algorithms held executed shares at CHX, during all intentionally delayed. by the CHX liquidity providers that trading sessions,33 resulting from single- As such, the following messages could not be adequately replicated by sided orders, excluding any executed 25 would not be intentionally delayed CHX. Also, as the Commission noted shares resulting from auctions. pursuant to LEAD: in the IEX Approval Order, a symmetric Proposed paragraph (f)(2) provides • New incoming orders that originate delay that delays all inbound messages that ‘‘Minimum Performance from a Valid LEAD MM Trading would be ineffective in protecting Standards’’ means the Quotation Account that would immediately be resting limit orders from latency Requirements and Obligations described 26 34 ranked on the CHX book without arbitrage. However, the Exchange under current paragraph (d), which executing against existing resting orders notes that both LEAD and the IEX Delay provides the current quoting and pricing provide processing advantages to certain obligations for Market Makers, with the on the CHX book will not be 35 intentionally delayed. types of liquidity providers over all following modifications. Proposed paragraph (f)(2)(A) provides • A cancel message for a resting order other order senders so as to minimize that the Designated Percentages that originates from a Valid LEAD MM the effectiveness of latency arbitrage and 27 described under current Article 16, Rule Trading Account will not be are thus similar in this respect. 4(d)(2)(B) shall be halved.36 Thus, new intentionally delayed. Moreover, the Exchange submits that LEAD is consistent with the objectives incoming orders submitted by LEAD of the Exchange Act and the rules and MMs will be required to be priced closer 20 See Securities Exchange Act Release No. 78101 (June 17, 2016), 81 FR 41141 (June 23, 2016) (‘‘IEX regulations thereunder. As described in to the NBBO or the last reported sale in Approval Order’’). The IEX Delay will delay all detail below,28 LEAD is, among other the security, as applicable, than those of inbound order-related messages from IEX Users, things, (1) a de minimis intentional current Market Makers. outbound message confirmations to IEX Users and access delay in that it is so short as to In addition, LEAD MMs will be outbound market data disseminated through IEX’s required to meet the following proprietary data feed. See id. at 41154. By not not frustrate the purposes of Rule 611 of delaying inbound market data, IEX would be able Regulation NMS 29 by impairing fair and to reprice its resting pegged orders to track changes efficient access to an exchange’s 32 15 U.S.C. 78f(b)(5). to the NBBO before latency arbitrageurs could quotations; 30 (2) consistent with Rule 33 See supra note 5. execute against such pegged orders at potentially 602(b) of Regulation NMS; 31 and (3) 34 The current Quotation Requirements and stale prices, which facilitates the ability of IEX to Obligations include, among other things, a comply with its rules regarding the repricing of furthers the objectives of the objectives continuous two-sided quote obligation and pricing pegged orders. See id. at 41155. of Section 6(b)(5) of the Act in that it obligations that require a continuous bid no further 21 For clarity, ‘‘processed’’ means executing away from the National Best Bid (‘‘NBB’’) and a instructions contained in a message, including, but 24 See supra note 8; see also infra Appendices A continuous offer no further away from the National not limited to, permitting an order to execute and B. Best Offer (‘‘NBO’’) than the Designated Percentage within the Matching System pursuant to the terms or Defined Limit, as applicable. See CHX Article 16, 25 See supra note 7. of the order or cancelling an existing order, whereas Rule 4(d). 26 See IEX Approval Order, supra note 20, at ‘‘evaluate’’ means the Matching System determining 35 Trading days on which the Exchange does not 41157. whether a message should be diverted into LEAD, open for trading, for whatever reason, will be 27 as described below. See infra Section 3(b). excluded from the Exchange’s calculations 22 The Matching System is an automated order 28 See id. regarding compliance with the proposed Minimum execution system, which is a part of the Exchange’s 29 17 CFR 242.611. Performance Standards. ‘‘Trading Facilities,’’ as defined under CHX Article 30 See Securities Exchange Act Release No. 78102 36 For example, the 8% Designated Percentage for 1, Rule 1(z). (June 17, 2016), 81 FR 40785 (June 23, 2016) (‘‘Final securities subject to the Article 20, Rule 2A(c)(1)(A) 23 See CHX Article 1, Rule 1(oo) defining Interpretation’’). pursuant to current CHX Article 16, Rule 4(d)(2)(A) ‘‘Routable Order.’’ 31 See 17 CFR 242.602(b). and (B) would be 4% for LEAD MMs.

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additional requirements. Proposed Proposed paragraph (f)(2)(D) provides and only LEAD market making activities paragraph (f)(2)(B) provides that LEAD that at least 80% of the LEAD MM’s in LEAD MM Securities shall originate. MMs shall maintain a Monthly Average Qualified Executions in each of its Subparagraph (B)(ii) provides that the NBBO Quoting Percentage, as defined LEAD MM Securities must result from LEAD MM must register each of its thereunder, in each of its LEAD MM its resting orders that originated from LEAD MM Securities to precisely one Securities, of at least 10% over the the corresponding LEAD MM Trading LEAD MM Trading Account (‘‘Valid Account over the course of a calendar course of a calendar month. For each LEAD MM Trading Account’’); such security, the Exchange will month.42 The Exchange submits that the provided, however, that a LEAD MM determine: (i) The ‘‘Daily NBB Quoting Trading Account may be registered with Percentage’’ by determining the proposed Minimum Performance Standards are commensurate with the one or more LEAD MM Securities. All percentage of time the LEAD MM has at messages related to a single LEAD MM 37 benefit afforded to LEAD MMs. Given least one Round Lot of displayed Security must originate from the Valid interest in an Exchange bid at the NBB that the only benefit afforded to LEAD 38 MMs is the ability to cancel and cancel/ LEAD MM Trading Account on a given during the Open Trading State of each day and in the event a LEAD MM trading day for a calendar month; (ii) the replace its resting orders without delay, the Exchange believes that it would be wishes to change the Valid LEAD MM ‘‘Daily NBO Quoting Percentage’’ by Trading Account for a given LEAD MM determining the percentage of time the inappropriate to adopt even higher Security, the LEAD MM shall so notify LEAD MM has at least one Round Lot quoting and trading requirements, such the Exchange in writing by no later than of displayed interest in an Exchange as those for Designated Marker Makers 9 a.m. on the trading day immediately offer at the NBO during the Open (‘‘DMMs’’) on the New York Stock preceding the effective date of the Trading State of each trading day for a Exchange (‘‘NYSE’’), who, in return for change; provided, however, that the calendar month; (iii) the ‘‘Average Daily such higher quoting and trading Exchange may, at its discretion, delay or NBBO Quoting Percentage’’ for each requirements, receive certain financial deny the change. In addition, no change trading day by summing the ‘‘Daily NBB and execution parity benefits not 43 of a Valid LEAD MM Trading Account Quoting Percentage’’ and the ‘‘Daily proposed herein. Proposed paragraph (f)(3) provides for a given LEAD MM Security may be NBO Quoting Percentage’’ then dividing rules regarding the process by which effected intraday. such sum by two; and (iv) the ‘‘Monthly Market Makers would be assigned Average NBBO Quoting Percentage’’ for Proposed paragraph (f)(3)(B) securities as a LEAD MM. Specifically, each security by summing the security’s facilitates the ability of the Exchange to proposed paragraph (f)(3)(A) provides ‘‘Average Daily NBBO Quoting monitor compliance with the proposed that only a Market Maker may apply to Minimum Performance Standards by Percentages’’ for each trading day in a be assigned one or more securities as a requiring a LEAD MM to submit all calendar month then dividing the LEAD MM. Market Makers must receive LEAD market making activities in a resulting sum by the total number of written approval from the Exchange to particular security through a Valid trading days in such calendar be assigned securities as a LEAD MM. 39 40 LEAD MM Trading Account. Moreover, month. LEAD MMs shall be selected by the in the event a LEAD MM would like to Proposed paragraph (f)(2)(C) provides Exchange based on factors including, change the Valid LEAD MM Trading that a LEAD MM’s Qualified Executions but not limited to, experience with in each of its LEAD MM Securities must making markets in securities, adequacy Account for a given LEAD MM Security, comprise on an equally-weighted daily of capital, willingness to promote the the proposed rule outlines the precise average at least 2% of all Qualified Exchange as a marketplace, issuer procedures to effect the change, which Executions in the same security over the preference, operational capacity, promotes clarity regarding the process. course of a calendar month.41 The support personnel and history of Proposed paragraph (f)(3)(C) provides Exchange believes that the 2% adherence to Exchange rules and that the Exchange may, at its discretion, requirement is sufficiently high to securities laws. Current Article 16, approve more than one LEAD MM to be require a material contribution to Rules 2(c)–(e) regarding withdrawal assigned to any LEAD MM Security and overall volume in the security, while from assigned securities shall also apply limit the number of LEAD MMs not rendering the requirement to LEAD MMs and LEAD MM assigned to any security. impractical in the event the security is Securities.44 Proposed paragraph (f)(3)(D) provides assigned numerous LEAD MMs. Proposed paragraph (f)(3)(B) outlines that the Exchange will review each requirements regarding LEAD MM LEAD MM’s quoting and trading activity 37 See CHX Article 1, Rule 2(f)(3) defining Trading Accounts and provides that on a monthly basis to determine ‘‘Round Lot.’’ before beginning LEAD market making whether the LEAD MM has met the 38 See CHX Article 1, Rule 1(qq) defining ‘‘Open activities in a security, a LEAD MM Minimum Performance Standards. Also, Trading State.’’ shall complete the following, subject to 39 a LEAD MM’s failure to meet the For example, a LEAD MM with a Monthly Exchange approval. Thereunder, Average NBBO Quoting Percentage of 11% would Minimum Performance Standards on meet the requirements of proposed paragraph proposed subparagraph (B)(i) provides any given month will result in the (f)(2)(B), even if on a particular day during the that the LEAD MM must establish at calendar month, the LEAD MM’s Average Daily Exchange (i) suspending or terminating least one separately designated LEAD a LEAD MM’s registration as a Market Quoting Percentage was 9%. MM Trading Account through which all 40 See supra note 35. Maker pursuant to current Article 16, 41 For example, a LEAD MM whose Qualified Rule 1(d) or (ii) suspending or 42 Unlike the standards provided under proposed Executions in an assigned security comprised on terminating assignment to a LEAD MM average 3% of all Qualified Executions in the paragraphs (f)(2)(A)–(C), this standard would be assigned security over the course of a calendar measured based on aggregate activity over the Security pursuant to proposed month would meet the requirements of proposed course of a calendar month. subparagraph (A) above. In addition, paragraph (f)(2)(C), even if on a particular day 43 See generally NYSE Rules 103B and 104. nothing in proposed subparagraph (D) during the calendar month, the LEAD MM’s 44 The Exchange will expand its current will limit any other power of the Qualified Executions in the same assigned security procedures for voluntary and involuntary comprised 1% of all Qualified Executions in the withdrawals regarding Marker Maker securities to Exchange to discipline a LEAD MM assigned security on that day. apply to LEAD MM Securities. pursuant to CHX Rules.

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Amended Article 20, Rule 8 (Operation currently, which, in addition to Message, as MTP is ignored for the of the CHX Matching System) establishing processing and execution purposes of the LEAD evaluation only.54 Proposed Article 20, Rule 8(h) priority, will serve as the starting point Proposed paragraph (h) continues by provides rules regarding the operation for the Fixed LEAD Period, as described providing that if a message is delayable, of LEAD. Specifically, proposed below. The Matching System would the message will be diverted into the paragraph (h) begins by stating that after then initially evaluate the message to LEAD queue and will remain delayed initial receipt 45 of a new incoming determine whether it is a Delayable until it is released for processing. A message, the Matching System will Message.48 For example, a new delayed message shall become evaluate 46 the message to determine incoming limit order marked Post releasable 350 microseconds after initial whether it is a Delayable Message, as Only 49 that originated from a Valid receipt by the Exchange (‘‘Fixed LEAD defined under proposed paragraph LEAD MM Trading Account that would Period’’),55 but shall only be processed (h)(1) below. For the purposes of such not be immediately ranked on the CHX after the Matching System has evaluated an evaluation only, the Matching book due to one or more matchable and processed, if applicable,56 all System shall not consider Match Trade contra-side orders resting on the CHX messages in the security received by the Prevention (‘‘MTP’’), as described under book would be a Delayable Message Exchange during the Fixed LEAD Period current Article 1, Rule 2(b)(3)(F).47 If not because the Post Only order would not, for the delayed message. A message may delayable, the Matching System will by its terms, immediately be ranked on be delayed for longer than the Fixed immediately process the message the CHX book without executing against LEAD Period depending on the then- without delay. any resting orders on the CHX book. In current messaging volume at CHX.57 Proposed paragraph (h)(1) provides such a case, the Post Only order would The Matching System will utilize a new that ‘‘Delayable Message’’ means all new be diverted into the LEAD queue before market snapshot to process a released incoming order, cancel and cancel/ being processed by the Matching order.58 A delayed message shall retain replace messages, except as follows: System, which would result in the Post its original sequence number and may (A) Any new incoming order or unrouted Only order being posted or cancelled only be delayed once. LEAD shall apply balance, as described under proposed depending on the state of the CHX book to all securities traded on the Exchange subparagraph (D) below, that originates from upon its release.50 If, however, the throughout the trading day.59 LEAD a Valid LEAD MM Trading Account, as Exchange were to receive a new Post shall not apply to messages received described under proposed Article 16, Rule Only order that originated from a Valid during an auction.60 4(f)(3)(B)(ii), that would, by its terms, LEAD MM Trading Account that would The Exchange also proposes to make immediately be ranked on CHX book without post to the CHX book due to no existing executing against any existing resting orders corresponding amendments to current on the CHX book shall not be a Delayable orders resting on the CHX book at that Article 20, Rule 8(d) and (f) to Message. time, the Post Only order would not be contemplate LEAD. Specifically, the (B) A cancel message related to a resting a Delayable Message and it would Exchange proposes to add the clause order that originates from a Valid LEAD MM immediately be ranked on the CHX book ‘‘subject to paragraph (h) below’’ at the Trading Account shall not be a Delayable without delay.51 Similarly, a new end of current paragraph (d)(1) so that Message. incoming order marked CHX Only 52 amended paragraph (d)(1) provides as (C) A cancel/replace message related to a that originated from a Valid LEAD MM follows: resting order that originates from a Valid Trading Account that would trade- LEAD MM Trading Account shall not be a Delayable Message; provided, however, that through a protected quotation of an 54 See supra note 47. if any part of the replace portion would external market would not be a 55 In the event that then-current messaging immediately execute against existing resting Delayable Message as it would be price volume results in a Delayable Message being orders on the CHX book, the replace portion slid to a permissible price.53 Also, a new evaluated after 350 microseconds from initial receipt, the Delayable Message shall be diverted shall be a Delayable Message. incoming order that originated from a into LEAD and be immediately releasable. This will (D) The portion of a new incoming Valid LEAD MM Trading Account that ensure that messages received during the Fixed Routable Order that is to be routed away, would immediately be ranked on the LEAD Period for a delayed message are evaluated pursuant to current Article 19, Rule 3(a), CHX book without executing against and processed, if applicable, before the Delayable Message is released. shall not be diverted into the LEAD; any resting orders because MTP would provided, however, that the entire unrouted 56 For example, an order that would not take balance of the Routable Order shall be cancel the resting contra-side orders liquidity from the CHX book would not be delayed diverted into the LEAD, subject to proposed against which the order would have and would be immediately processed, whereas an subparagraph (A). executed, would be a Delayable order that would take liquidity from the CHX book would be delayed and would not be immediately Mechanically, upon initial receipt of processed. a new incoming message, the Matching 48 The Exchange notes that the Matching System 57 In the event a releasable message is awaiting processes messages for a given security serially. System would assign the message a other messages received during its Fixed LEAD Thus, the length of time it takes for a message to Period to be evaluated and processed, if applicable, unique sequence number, as it does be evaluated and/or processed by the Matching the releasable message would be subject to an System after initial receipt is herein called ‘‘variable additional unintentional variable delay that is a 45 As used herein, ‘‘initial receipt’’ means the message queuing delay,’’ as the actual length of the function of the then-current messaging volume at time at which the Exchange receives a message and delay depends on the number of precedent CHX. See supra note 21; see also supra note 45; see assigns the message a unique sequence number, messages that have yet to be evaluated and/or also infra Examples 1–3. which the Exchange utilizes to determine, among processed by the Matching System and are residing 58 The purpose of a new market snapshot is to other things, message processing order and ranking in the ‘‘Inbound Queue.’’ The length of time it takes ensure that the released order is processed in a on the CHX book. See CHX Article 20, Rule 8(b). for a message to be evaluated and/or processed by manner consistent with federal securities rules and the Matching System is herein called ‘‘system 46 See supra note 21. regulations, such as Regulation NMS and processing delay.’’ 47 The purpose of ignoring MTP in LEAD Regulation SHO. 49 See CHX Article 1, Rule 2(b)(1)(D) defining evaluation is to provide a previously delayed order 59 See supra note 5. ‘‘Post Only.’’ that would not have triggered MTP an opportunity 60 For example, if the Exchange receives an order 50 to execute against the resting order before the newer See infra Example 2. after initiation of a Sub-second Non-displayed incoming order would cancel the resting order after 51 See id. Auction Process (‘‘SNAP’’) in the security, the order release from LEAD. The Exchange is also proposing 52 See CHX Article 1, Rule 2(b)(1)(C) defining will not be diverted into the LEAD queue and, unrelated modifications to MTP to contemplate ‘‘CHX Only.’’ rather, be handled pursuant to current CHX Article LEAD, as discussed below. 53 See CHX Article 20, Rule 5(a)(2). 18, Rule 1.

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Except for certain orders which shall be away market indicating that the routed Given that LEAD may result in newer executed as described in Rule 8(e), below, an portion of a Routable Order had orders (i.e., orders with lower sequence incoming order shall be matched against one partially-executed prior to the unrouted numbers) becoming resting orders prior or more resting orders in the Matching balance being released from the LEAD to older orders being released from System, in the order in which the resting 65 orders are ranked on the CHX book, pursuant queue, the Exchange would first add the LEAD, the Exchange proposes to to Rule 8(b) above, at the Working Price of cancelled remainder to the unrouted amend current Article 1, Rule each resting order, as defined under Article balance in the LEAD queue and then 2(b)(3)(F)(iii)(a) and (b), which describe 1, Rule 1(pp), for the full amount of shares continue to utilize Immediate Feedback MTP Actions ‘‘N’’ and ‘‘O’’ respectively, available at that price, or for the size of the to augment the relevant away quotes to provide that the newer of the contra- incoming order, if smaller; subject to when processing the unrouted balance side orders, as opposed to the incoming paragraph (h) below. upon release from the LEAD queue, order if it is the older order, would be The Exchange also proposes to amend unless the feedback had expired. cancelled if the incoming order is paragraph (f)(1) to provide that orders Immediate Feedback would expire as marked ‘‘N,’’ and the older of the contra- resting on the CHX book shall be soon as: (i) One second passes or (ii) the side orders, as opposed to the resting immediately and automatically Exchange receives new quote order if it is the newer order, would be cancelled upon receipt of a cancellation information from the away market. cancelled if the incoming order is message, subject to paragraph (h) below, Given that Immediate Feedback will marked ‘‘O.’’ Moreover, given that a as certain cancel messages will be only be applied on an order-by-order price slid order that triggers MTP is not diverted into the LEAD as described basis, Immediate Feedback would also always the newer order 66 and because above. expire upon full execution, cancellation the Exchange wishes to maintain the Examples 1–2 below illustrate the or ranking of the Routable Order on the current handling of MTP when it is operation of LEAD. CHX book. Also, in light of the triggered by a price slid order, the Amended Routing Protocol relatively short Fixed LEAD Period, it is Exchange proposes to add clauses to the end of current subparagraphs (a) and (b) In light of the possible bifurcation of unlikely that Router Feedback would that preserve that current handling. a Routable Order into an immediately expire prior to the unrouted balance Thus, amended subparagraphs (a) and routed portion and a delayed unrouted being released from the LEAD queue (b) provide as follows: portion 61 and the fact that the Exchange and processed by the Matching System. does not currently utilize any Router Examples 2–3 illustrate the operation (a) MTP Cancel New (‘‘N’’): An incoming Feedback to augment protected of the amended routing protocol in the limit or market order marked ‘‘N’’ will not quotations,62 LEAD could result in a context of LEAD. execute against opposite side resting interest originating from the same MTP Trading single order being routed twice to satisfy Amended Article 1, Rule 2(b)(3)(F) Group or MTP sublevel, if applicable. Only the same protected quotation. In order (Match Trade Prevention) the newer order will be cancelled pursuant to eliminate this inefficiency, the to MTP; provided that the incoming order Exchange proposes to amend its current Current Article 1, Rule 2(b)(3)(F) will be cancelled, even if it is not the newer order routing protocol to adopt a single describes the MTP modifier, which order, in the event MTP is triggered by the type of Router Feedback utilized by the prevents matches between orders that incoming order being price slid pursuant to Bats BYX Exchange,63 Immediate originate from the same MTP Trading the CHX Only Price Sliding Processes. Feedback, but only on an order-by-order Group or MTP sublevel thereunder.64 (b) MTP Cancel Old (‘‘O’’): An incoming basis. Use of Immediate Feedback limit or market order marked ‘‘O’’ will not Also, an order sender must designate execute against opposite side resting interest would permit the Exchange to augment one of the following MTP Actions for originating from the same MTP Trading away quotes on an order-by-order basis each order, with the MTP Action noted Group or MTP sublevel, if applicable. Only to avoid double routing of the same on the incoming order controlling the the older order will be cancelled pursuant to order to satisfy the same protected MTP interaction: MTP; provided that the resting order will be quotation(s). MTP Cancel Incoming (‘‘N’’): An incoming cancelled, even if it is not the older order, in Specifically, Immediate Feedback limit or market order marked ‘‘N’’ will not the event MTP is triggered by the incoming would permit the Exchange to decrease execute against opposite side resting interest order being price slid pursuant to the CHX the number of shares available at an originating from the same MTP Trading Only Price Sliding Processes. away market by an amount equal to the Group or MTP sublevel, if applicable. Only Example 4 below illustrates the size of the immediately routed portion the incoming order will be cancelled operation of the amended MTP in the of the Routable Order. In the extremely pursuant to MTP. context of LEAD. unlikely event that the Exchange MTP Cancel Resting (‘‘O’’): An incoming receives an execution report from an limit or market order marked ‘‘O’’ will not (4) Examples execute against opposite side resting interest The following Examples are originating from the same MTP Trading 61 See proposed CHX Article 20, Rule 8(h)(1)(D). illustrative of LEAD and related 62 Group or MTP sublevel, if applicable. Only The Exchange does not currently ignore or the resting order will be cancelled pursuant amendments to existing functionality, modify SIP quote data for away markets under any but do not exhaustively depict every circumstances where the SIP data feed shows an to MTP. uncrossed market. See Exchange Act Release No. MTP Cancel Both (‘‘B’’): An incoming limit possible scenario that may arise under 74357 (February 24, 2015), 80 FR 11252 (March 2, or market order marked ‘‘B’’ will not execute LEAD. Moreover, the Examples do not 2015) (SR–CHX–2015–01); see also Securities against opposite side resting interest necessarily depict the actual technical Exchange Act Release No. 72711 (July 29, 2014), 79 originating from the same MTP Trading processes of prioritizing messages and FR 45570 (August 5, 2014) (SR–CHX–2014–10). Group or MTP sublevel, if applicable. The executing orders. 63 ‘‘Router Feedback’’ refers to the use of routed entire size of both orders will be cancelled orders (‘‘Feedback Orders’’) to augment protected pursuant to MTP. quotations for the purposes of calculating the 65 Currently, a new incoming order that triggers National Best Bid and Offer. See Securities MTP is always newer than the resting contra-side Exchange Act Release No. 74075 (January 15, 2015), 64 See Securities Exchange Act Release No. 71216 order. However, LEAD may result in the newer of 80 FR 3693 (January 23, 2015) (SR–BYX–2015– (December 31, 2013), 79 FR 883 (January 7, 2014) the contra-side orders being the resting order and 03).The three types of Router Feedback are (SR–CHX–2013–23); see also Securities Exchange the older order being the incoming order. See infra Immediate Feedback, Execution Feedback and Act Release No. 70948 (November 26, 2013), 78 FR Example 4. Cancellation Feedback. See id. at 3695. 72731 (December 3, 2013) (SR–CHX–2013–20). 66 See Example 4 under SR–CHX–2013–20.

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Example 1: LEAD. Assume that LEAD is • While Order C was being evaluated by Fig 1(g): CHX book operational, all messages are for security XYZ the Matching System, Order B became and all orders are routable, unless marked releasable from the LEAD queue at Buy Sell otherwise. Assume also that the system 10:00:00.000350. However, given that the Order B: 1000 Empty. processing delay 67 is 50 microseconds 68 and Matching System processes messages the CHX book is as follows: @10.01. serially,71 the Matching System would not Order D: 1000 Fig 1(a): CHX book consider releasing Order B until after Order @10.01 (LMM). C had been placed into the LEAD queue at Buy Sell 10:00:00.000365, at which point it would be Fig 1(h): LEAD queue handled as follows: Empty ...... Order A: 1000 @10.01 Æ At 10:00:00.000365, the Matching Releasable time Message (LMM).69 System would compare the releasable time of Order B to the initial receipt time of the 10:00:00.000665 ...... Order C: Sell 1000 @10.02. Assume then that the Exchange receives 10:00:00.000675 ...... Cancel Order B. the following messages: message at the top of the Inbound Queue: Order D. Since Order D was received during • Order E would then be evaluated at Fig 1(b): Inbound queue the Fixed LEAD Period for Order B, Order D 10:00:00.000515, due to the variable message would be evaluated before releasing Order B queuing delay, and then diverted into the Initial receipt Message and processed without being diverted into LEAD as it originated from a non-Valid LEAD LEAD as it originated from a Valid LEAD MM 10:00:00.000000 ...... Order B: Buy 1000 @10.01. MM Trading Account and is thus a Delayable 10:00:00.000265 ...... Cancel Order A (LMM). Trading Account and would be immediately Message. Due to the system-processing delay, 10:00:00.000305 ...... Order C: Sell 1000 @10.02. ranked on the CHX book without executing Order E would be diverted at 10:00:00.000310 ...... Order D: Buy 1000 @10.01 against resting orders on the CHX book and 10:00:00.000565 and releasable at (LMM). is thus not a Delayable Message. Due to the 10:00:00.000325 ...... Cancel Order B. 10:00:00.000705. The result is that the LEAD system processing delay, Order D would be 10:00:00.000355 ...... Order E: Sell 1000 @10.01. queue would be as follows: ranked on the CHX book at 10:00:00.000415. Under this Example 1: The result is that the CHX book would be as Fig 1(i): LEAD queue • Order B would be evaluated and diverted follows: into LEAD as it originated from a non-Valid Releasable time Message LEAD MM Trading Account and is thus a Fig 1(e): CHX book Delayable Message. Due to the system 10:00:00.000665 ...... Order C: Sell 1000 @10.02. Buy Sell 10:00:00.000675 ...... Cancel Order B. processing delay, Order B would be diverted 10:00:00.000705 ...... Order E: Sell 1000 @10.01. into LEAD at 10:00:00.000050 and releasable Order D: 1000 Empty. at 10:00:00.000350. The result is that the @10.01 (LMM). • Order C would then be released from LEAD queue would be as follows: LEAD at 10:00:00.000665. Due to the system Æ At 10:00:00.000415, the Matching processing delay, Order C would be ranked Fig 1(c): LEAD queue System would then compare the releasable on the CHX book at 10:00:00.000715. The time of Order B to the initial receipt time of Releasable time Message result is that the CHX book and LEAD queue the next message at the top of the Inbound are as follows: 10:00:00.000350 ...... Order B: Buy 1000 @10.01. Queue: Cancel Order B. Since Cancel Order B was received when Order B was in the Fig 1(j): CHX book • Cancel Order A would be evaluated and LEAD queue, Cancel Order B would be processed at 10:00:00.000265 without being diverted into LEAD as it originated from a Buy Sell diverted into LEAD as it is a cancel message non-Valid LMM Trading Account and is thus for a resting order that originated from a Order B: 1000 Order C: 1000 @10.02. a Delayable Message. However, due to the @10.01. Valid LEAD MM Trading Account and is system processing delay, Cancel Order B thus not a Delayable Message. Due to the Order D: 1000 would be diverted into LEAD at system processing delay, Order A would be @10.01 (LMM). cancelled at 10:00:00.000315 and the CHX 10:00:00.000465 and releasable at 10:00:00.000675. The result is that the LEAD book would become empty. Fig 1(k): LEAD queue • Order C would then be evaluated at queue would be as follows: 10:00:00.000315, due to the variable message Releasable time Message queuing delay,70 and be diverted into LEAD Fig 1(f): LEAD queue 10:00:00.000675 ...... Cancel Order B. because it originated from a non-Valid LEAD Releasable time Message MM Trading Account and is thus a Delayable 10:00:00.000705 ...... Order E: Sell 1000 @10.01. Message. Due to the system processing delay, 10:00:00.000350 ...... Order B: Buy 1000 @10.01. • Order C would be diverted into LEAD at 10:00:00.000665 ...... Order C: Sell 1000 @10.02. Cancel Order B would then be released 10:00:00.000365 and releasable at 10:00:00.000675 ...... Cancel Order B. from LEAD at 10:00:00.000715, as the 10:00:00.000665. Matching System was processing Order C Æ At 10:00:00.000465, the Matching when Cancel Order B became releasable at Fig 1(d): LEAD queue System would then compare the releasable 10:00:00.000675. Due to the system processing delay Order B would be cancelled Releasable time Message time of Order B to the initial receipt time of the next message at the top of the Inbound at 10:00:00.000765. The result is that the 10:00:00.000350 ...... Order B: Buy 1000 @10.01. Queue: Order E. Given that Order E was CHX book and the LEAD queue would be as 10:00:00.000665 ...... Order C: Sell 1000 @10.02. received after the Fixed LEAD Period for follows: Order B had expired, the Matching System would release Order B before evaluating Fig 1(l): CHX book 67 See supra note 48. Order E. Due to the system processing delay, Buy Sell 68 The Exchange does not represent that actual Order B would be ranked on the CHX book system processing delay is at or near 50 at 10:00:00.000515. Also, given that Order B Order D: 1000 Order C: 1000 @10.02. microseconds or that unintentional delays do not @10.01 (LMM). exist elsewhere in the Matching System processes. was initially received before Order D, Order The figure is being utilized for demonstrative B would receive execution priority over purposes only. Order D, pursuant to Article 20, Rule 8(b)(1). Fig 1(m): LEAD queue 69 ‘‘LMM’’ refers to messages that originated from The result is that the CHX book and LEAD a Valid Lead MM Trading Account. Absence of queue would be as follows: Releasable time Message ‘‘LMM’’ means that the message did not originate from a Valid LEAD MM Trading Account. 10:00:00.000705 ...... Order E: Sell 1000 @10.01. 70 See supra note 48. 71 See id.

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• Order E would then be released from Fig 2(d): LEAD queue to the system processing delay, Order C LEAD at 10:00:00.000765, as the Matching would be cancelled at 10:00:00.01300. The System was processing Order C (then Cancel Releasable time Message result is that the CHX book and LEAD queue Order B) when Order E became releasable at 10:00:00.001250 ...... Cancel Order C. would be as follows: 10:00:00.000705. Order E would then be 10:00:00.001350 ...... Order F. Fig 2(h): CHX book processed and fully execute against Order D at 10.01/share at 10:00:00.000775, due to the • Order G would then be evaluated at Buy Sell system processing delay. The result is that 10:00:00.001050, due to variable message Order G: 100 @10.01 Empty. the Inbound Queue and the LEAD queue queuing delay, and would be immediately would be empty and the CHX book would be processed without being diverted into LEAD as it originated from a Valid LEAD MM as follows: Trading Account and would be immediately Fig 2(i): LEAD queue Empty ...... Order C: 1000 @10.02. ranked on the CHX book without executing against resting orders and is thus not a Releasable time Message Example 2: Post Only and Routing— Delayable Message. Due to the system Immediate Feedback. Assume the same as processing delay, Order G would be ranked 10:00:00.001350 ...... Order F. on the CHX book at 10:00:00.1100. The result 10:00:00.001370 ...... Order H—Unrouted Balance Example 1. Assume also that after Order E is that the CHX book is as follows: (LMM). was processed, the NBBO became 10.01 x 10:00:00.001380 ...... Order I—Unrouted Balance. 10.02 with only one market (‘‘Away Market Fig 2(e): CHX book A1’’) displaying 100 shares at the NBB • At 10:00:00.01350, Order F would be Buy Sell (‘‘Protected Bid A1’’) and no other protected released from the LEAD queue. Due to the bids and CHX is alone at the NBO displaying Order G: 100 @10.01 Order C: 1000 @10.02. system processing delay, Order F would be 1000 shares at 10.02. Assume then that the (LMM). ranked on the CHX book at 10:00:00.001400. Matching System receives the following new The result is that the CHX book and the messages in security XYZ: • Order H would then be evaluated at LEAD queue would be as follows: 10:00:00.001100, due to variable message Fig 2(j): CHX book Fig 2(a): Inbound queue queuing delay. Pursuant to the Exchange’s routing protocol, the Exchange would Buy Sell Initial receipt Message immediately route 100 shares of Order H priced at 10.01/share to satisfy Protected Bid Order F: 100 @10.02 Empty. 10:00:00.000900 ...... Cancel Order C. A and divert the unrouted 400 shares of Order G: 100 @10.01. 10:00:00.001000 ...... Order F: Post Only Buy 100 1, @10.02. Order H into the LEAD queue as it is priced 10:00:00.001010 ...... Order G: Post Only Buy 100 such that it would immediately execute @10.01 (LMM). against Order G and is thus a Delayable Fig 2(k): LEAD queue 10:00:00.001020 ...... Order H: Sell 500 @9.99 Message. Due to the system processing delay, (LMM). Order H would be diverted at Releasable time Message 10:00:00.001030 ...... Order I: Sell 500 @9.99. 10:00:00.001150, and releasable at 10:00:00.001600 ...... Order J: Buy 600 @9.99. 10:00:00.001370. The result is that the LEAD 10:00:00.001370 ...... Order H—Unrouted Balance 10:00:00.001610 ...... Order K: Sell 200 @9.99 queue would be as follows: (LMM). (LMM). 10:00:00.001380 ...... Order I—Unrouted Balance. 10:00:00.001750 ...... Cancel Order I. Fig 2(f): LEAD queue 10:00:00.001760 ...... Cancel Order H (LMM). • Releasable time Message Due to system processing delays, Order H and Order I would be released after their Under this Example 2: 10:00:00.001250 ...... Cancel Order C. respective releasable times as follows: • Cancel Order C would be evaluated at 10:00:00.001350 ...... Order F. Æ The unrouted balance of Order H would 10:00:00.000900 and diverted into the LEAD 10:00:00.001370 ...... Order H—Unrouted Balance be released from the LEAD queue at (LMM). as it originated from a non-Valid LEAD MM 10:00:00.001400. Order H would then execute against all 100 shares of Order F at Trading Account and is thus a Delayable • Order I would then be evaluated at Message. Due to the system processing delay, 10.02/share, as well as all 100 shares of Order 10:00:00.001150, due to variable message G at 10.01/share, and the remaining 200 Cancel Order C would be diverted at queuing delay. Given that the proposed 10:00:00.000950 and releasable at shares of Order H would be ranked on the Router Feedback is only applied on an order- CHX book at 9.99. Due to the system 10:00:00.001250. The result is that the CHX by-order basis, Order I would be handled processing delay, the unexecuted balance Book and LEAD queue would be as follows: similarly to Order H. Thus, the Exchange would be ranked to the CHX book at would immediately route 100 shares of Order 10:00:00.001450. Fig 2(b): CHX book I priced at 10.01/share to satisfy Protected Æ The unrouted balance of Order I would Bid A and divert the unrouted 400 shares Buy Sell 1, then be released from the LEAD queue at of Order I into the LEAD queue as it 10:00:00.001450. All 400 shares of Order I originated from a non-Valid LEAD MM Empty ...... Order C: 1000 @10.02. would then be ranked on the CHX book at Trading Account and is thus a Delayable 9.99. Due to the system processing delay, Message. Due to the system processing delay, Order I would be ranked on the CHX book Fig 2(c): LEAD queue Order I would be diverted at 10:00:00.001200 at 10:00:00.001500. The result is that the and releasable at 10:00:00.001380. The result Releasable time Message LEAD queue would be empty and the CHX is that the LEAD queue would be as follows: book would be as follows: 10:00:00.001250 ...... Cancel Order C. Fig 2(g): LEAD queue Fig 2(l): CHX book • Order F would then be evaluated at Releasable time Message 10:00:00.001000 and diverted into the LEAD Buy Sell 10:00:00.001250 ...... Cancel Order C. as it originated from a non-Valid LEAD MM Empty ...... Order H: 200 @9.99 (LMM). Trading Account and is thus a Delayable 10:00:00.001350 ...... Order F. 10:00:00.001370 ...... Order H—Unrouted Balance Order I: 400 @9.99. Message. Due to the system processing delay, (LMM). Order F would be diverted at 10:00:00.001380 ...... Order I—Unrouted Balance. • Order J would be evaluated at 10:00:00.001050 and releasable at 10:00:00.001600 and diverted into LEAD as 10:00:001350. The result is that the LEAD • At 10:00:00.001250, Cancel Order C it originated from a non-Valid LEAD MM queue would be as follows: would be released from the LEAD queue. Due Trading Account and is thus a Delayable

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Message. Due to the system processing delay, • At 10:00:00.002100, Cancel Order I • Analysis Period refers to August Order J would be diverted at 10:00:00.001650 would be released from the LEAD queue. 2015 through July 2016. and releasable at 10:00:00.001950. The result Since Order I had already been executed in • Before Period refers to August 2015 is that the LEAD queue would be as follows: full, Cancel Order I will have no effect. through December 2015. Example 3: Routing—Expired Feedback. • Fig 2(m): LEAD queue Assume the same as Example 2, except that Control Average refers to the immediately prior to the unrouted balance of arithmetic average of a given metric for Releasable time Message Order H being released, the Exchange Control Securities. • 10:00:00.001950 ...... Order J. received an updated quote from Away Control Securities refers to DIA, 74 Market A1 displaying 1,000 shares at the IWM, and QQQ. • Order K would be evaluated at $10.01. • Entry Event refers to a trading day 10:00:00.001650, due to the variable Under this Example 3, the Immediate in January 2016 on which latency messaging delay. Order K would be Feedback derived from the immediately arbitrage activity in SPY at CHX was immediately ranked on the CHX book as it routed portion of Order H would expire and, first observed. upon release of the unrouted delayed portion originated from a Valid LEAD MM Trading • Entry Month refers to January 2016, Account and would not immediately execute of Order H, the Matching System would route the entire unrouted portion to satisfy the the month in which latency arbitrage against any resting orders. Due to the system activity in SPY at CHX was first processing delay, Order K would be ranked updated Protected Bid displayed by Away Market A1. observed. on the CHX book at 10:00:00.001700. The • result is that the CHX book would be as Similarly, the Immediate Feedback derived Subject Securities refers to SPY and from the immediately routed portion of Order follows: the Control Securities. I would also expire and, upon release of the Entry of SPY Latency Arbitrage Activity Fig 2(n): CHX book unrouted delayed portion of Order I, the Matching System would route the entire During the After Period, the Exchange Buy Sell unrouted portion to satisfy the updated observed unusual messaging patterns in Protected Bid displayed by Away Market A1. Empty ...... Order H: 200 @9.99 (LMM). Example 4: MTP. Assume the same as SPY whereby executions of large Order I: 400 @9.99. inbound IOC 75 orders against resting Order K: 200 @9.99 (LMM). Example 2, except that Order J and Order K originated from the same MTP Trading Group orders in SPY were frequently followed by the receipt of late cancel messages for • Cancel Order I would be evaluated at and Order J has an MTP Action of ‘‘N.’’ Under this Example 4, pursuant to the 10:00:00.001750 and diverted into the LEAD the executed resting orders very soon current MTP rules, MTP would be triggered as it is originated from a non-Valid LEAD after the execution. This observation and the Order J would be cancelled, as the MM Trading Account and is thus a Delayable was corroborated by feedback from current ‘‘N’’ MTP Action requires the Message. Due to the system processing delay, liquidity providing Participants that incoming order to be cancelled. However, Cancel Order I would be diverted at indicated that, unlike prior to the Entry pursuant to the proposed amended MTP 10:00:00.001800 and releasable at rules, Order K would be cancelled, as the Event, they were no longer able to 10:00:00.002100. The result is that the LEAD amended ‘‘N’’ MTP action requires the newer reliably cancel or cancel/adjust resting queue would be as follows: order to be cancelled, absent a price sliding orders on the CHX book in SPY in event. response to market changes after the Fig 2(o): LEAD queue Entry Event. The Exchange believes that Releasable time Message (5) Operative Date each instance of the unusual messaging In the event the proposed rule change pattern is the end result of a race 10:00:00.001950 ...... Order J. 10:00:00.002100 ...... Cancel Order I. is approved by the SEC, the proposed triggered by an away market event (e.g., rule change shall be operative pursuant change in market data from a futures • Cancel Order H would be evaluated and to notice by the Exchange to its market) whereby the liquidity taker is processed at 10:00:00.001800, due to variable Participants. Prior to the operative date, able to take a resting order at a stale messaging delay, without being diverted into the Exchange will ensure that policies price before the liquidity provider could LEAD as it is a cancel message for a resting and procedures are in place to allow adjust the resting order to accurately order that originated from a Valid LEAD MM Exchange operations personnel to reflect the market. As such, the SPY Trading Account and is thus not a Delayable effectively monitor the operation of latency arbitrage activity has had the Message. Due to the system processing delay, LEAD and compliance by LEAD MMs following impact on volume and Order H would be cancelled at 10:00:00.001850. The result is that the CHX with the proposed Minimum liquidity in SPY at CHX and away Book would be as follows: Performance Standards. exchanges: Appendix A: CHX ETF Analysis Analysis 1: SPY Latency Arbitrage Fig 2(p): CHX book The purpose of the CHX ETF Analysis Activity Reduced CHX Market Share in Buy Sell is to demonstrate that latency arbitrage SPY Relative to Total Volume in SPY and Disproportionately To Control Empty ...... Order I: 400 @9.99. activity 72 in SPY at CHX (‘‘SPY latency Order K: 200 @9.99 (LMM). arbitrage activity’’) has (1) reduced Securities volume and displayed liquidity in SPY As shown under Figure 1, CHX • At 10:00:00.001950, Order J would be at CHX and (2) impaired liquidity Market Share in SPY as a percentage of released from the LEAD queue and would provision in SPY marketwide. For the Total Volume dropped by 90.1% from immediately execute against all 400 shares of Order I at 9.99/share and all 200 shares of purpose of this CHX ETF Analysis, the 5.73% in the Entry Month to 0.57% in Order K at 9.99/share. The result is that the following terms shall have the following CHX book is empty and the LEAD queue is meanings: 73 74 Each of the Control Securities were selected for as follows: • After Period refers to February 2016 the following similarities to SPY in that each is: (1) Highly correlated in price movements with a well- through July 2016. known equity market index; (2) ETFs; (3) traded in Fig 2(q): LEAD queue CHX’s Chicago data center; (4) actively traded in the Releasable time Message 72 See supra note 6; see also supra Section 3(a)(2). NMS; and (5) highly correlated with a futures 73 Other capitalized terms utilized in the CHX contract traded electronically on the Globex trading 10:00:00.002100 ...... Cancel Order I. ETF Analysis shall have the meanings set forth platform. under Appendix B. 75 See CHX Article 1, Rule 2(d)(4).

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July 2016, while CHX Market Share in the Subject Securities were highly disproportionately to Total Volume, the Control Average dropped by 45.20% correlated. Thus, Figure 1 and Figure 2 which the Exchange submits is from 5.54% in the Entry Month to show that despite the high correlation attributed to the SPY latency arbitrage 3.03% in July 2016.76 As shown under between SPY and each of the Control activity. Figure 2, changes in the average Total Securities during the Analysis Period, Volume during the Analysis Period for the CHX Market Share in SPY decreased

' ' ' '

-sPY - -control

Figure 1. This figure illustrates the decrease in CHX Market Share as a percentage of Total Volume in the Subject Securities (Index: January 2016=100).77

' ' ' '

-sPY - -control

Figure 2. This figure illustrates the correlation in the Total Volume between SPY and the Control Average (Index: January 2016 = 100) during the Analysis Period?8 79

76 See infra Appendix B Calculation Set 1a.

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Analysis 2: SPY Latency Arbitrage Moreover, the % of Time CHX Was At Average CHX Size At The NBBO for Activity Resulted in Less Aggressively The NBB And Was The Largest Bid At SPY decreased by 82.16% and the Time- Priced and Smaller Orders in SPY at That Price decreased from 20% in the weighted Average CHX Size At The CHX Entry Month to 2.3% in July 2016; 84 the NBBO for the Control Average increased % of Time CHX Was At The NBO And by 64.38%.87 As shown under Figure 4, While the Exchange did not observe Was The Largest Offer At That Price during the Before Period, the monthly any discernable change on the NBBO decreased from 20.7% in the Entry changes in the Time-weighted Average spread in SPY during the After Period, Month to 1.1% in July 2016; 85 and the CHX Size At The NBBO tended to the Exchange did observe a negative % of Time CHX Was At The NBB And follow similar changes to the Time- impact on the frequency at which CHX Was The Largest Bid At That Price and weighted Average NMS Size At The was at the NBBO in SPY and the that CHX Was At The NBO And Was NBBO. However, during the After frequency at which CHX displayed the The Largest Offer At That Price Period, the monthly changes in the largest quote at the NBBO in SPY during decreased from 1.9% to 0%.86 Time-weighted Average CHX Size At the After Period, while Control These calculation sets clearly show The NBBO in SPY did not follow Securities experienced either smaller that SPY latency arbitrage activity 80 changes to the Time-weighted Average declines or no declines at all. resulted in less aggressively priced CHX NMS Size At The NBBO in SPY. Specifically, the % of Time CHX Was displayed liquidity in SPY and smaller Moreover, during the After Period, CHX At The NBB decreased from 23.8% in CHX displayed size at the NBBO, during went from having a Two-Sided Market the Entry Month to 8.2% in July 2016; 81 the After Period. SPY latency arbitrage in SPY 100% of regular trading hours in the % of Time CHX Was At The NBO activity also negatively impacted the the Entry Month to 74% of regular decreased from 23.3% in the Entry percentage of the time that CHX was at trading hours in July 2016.88 Month to 5.8% in July 2016; 82 and the the NBBO and the percentage of the Thus, Figure 3 and Figure 4 show that % of Time CHX Was At The NBB and time CHX displayed the largest quote at SPY latency arbitrage activity negatively that CHX Was At The NBO decreased the NBBO. impacted liquidity in SPY marketwide. from 3.3% in the Entry Month to 0% in Analysis 3: Latency Arbitrage Activity at Moreover, the data shows that the July 2016.83 CHX Reduced CHX Size At The NBBO change in the risk/reward of providing in SPY Relative to the Control Securities liquidity in SPY at CHX which resulted 77 See infra Appendix B Calculation Sets 1a and and NMS Size At The NBBO 1b. from the introduction of the SPY latency 78 The correlation coefficients (r) over the twelve- As shown under Figure 3, during the arbitrage activity resulted in a month period were: r(SPY, DIA) = 0.9118, r(SPY, Before Period, the Time-weighted significant reduction of liquidity in SPY IWM) = 0.8996, r(SPY, QQQ) = 0.9392, r(SPY, Average CHX Size at The NBBO for SPY provided by CHX, even during a period Average) = 0.9493. when significant incremental liquidity 79 See infra Appendix B Calculation Sets 2a and tended to follow changes to the Control 2b. Average, whereas from the Entry Month was being added in the Control 80 See infra Appendix B Calculation Sets 6 and through July 2016, the Time-weighted Securities. 7. 81 See infra Appendix B Calculation Set 6a. 84 See infra Appendix B Calculation Set 7a. 87 See infra Appendix B Calculation Sets 3a and 82 See infra Appendix B Calculation Set 6b. 85 See infra Appendix B Calculation Set 7b. 3b. 83 See infra Appendix B Calculation Set 6c. 86 See infra Appendix B Calculation Set 7c. 88 See infra Appendix B Calculation Set 5.

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,, , , \ - ..,

-sPY - -control

Figure 3. This figure illustrates the Time-weighted Average CHX Size At The NBBO in the Subject Securities (Indexed: January 2016 = 100) during the Analysis Period. 89

,---, ,

-cHX- -NMS

Figure 4. This figure illustrates the Time-weighted Average CHX Size At The NBBO in SPY versus Time-weighted Average NMS Size At The NBBO in SPY (Indexed: January 2016 = 100) during the Analysis Period.90

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Analysis 4: SPY Latency Arbitrage 128.82% during the After Period.91 at CHX during the After Period explains Activity Reduced Displayed Liquidity in Moreover, during the After Period, the why the increase in Time-weighted SPY Marketwide Time-weighted Average CHX Size At Average NBBO Size in SPY lagged The NBBO for SPY decreased by behind the increase in Time-weighted Although the Time-weighted Average 90.61% 92 and, as a % of total NMS Size Average NBBO Size in the Control NMS Size At The NBBO in SPY At The NBBO in SPY, from 44.36% to Securities. Had CHX Size At The NBBO 93 increased by 22.83% during the After 3.39%. These calculations suggest that remained at least constant during the Period, the increase in SPY did not the SPY latency arbitrage activity After Period, NBBO Size in SPY would follow much greater increases in the materially impacted displayed liquidity have been at least 32.7% higher in July Time-weighted Average NBBO Size in in SPY marketwide. The dramatic 2016, as shown below: 94 the Control Group, which increased by decrease in displayed liquidity in SPY

NMS Size at NBBO Change attribution Jan-16 Jul-16 Change CHX Others

SPY ...... 9,513 11,686 2,172 ¥3,824 5,996 DIA ...... 2,569 4,711 2,142 1,227 915 IWM ...... 5,222 10,026 4,804 536 4,268 QQQ ...... 14,100 35,354 21,253 3,900 17,353 Control Average ...... 7,297 16,697 9,400 1,888 7,512

Conclusion and ends on July 31, 2016. Symbols SPY • A bid was At The NBB at any microsecond when its price was equal to the Based on its observations of unusual and three other Control Securities (i.e., DIA, IWM, and QQQ) were considered. National Best Bid. An offer was At The NBO messaging patterns in SPY, feedback at any microsecond when its price was equal from Participants and the analysis Only trades and quotes that occurred on to the National Best Offer. summarized above, the Exchange the national securities exchanges during • At any microsecond, the NMS Size At 95 believes that the unusual messaging the regular trading hours were The National Best Bid (‘‘NMS Size At The activity in SPY that was first observed considered. Certain types of non- NBB’’) refers to the quantity of shares in 96 in the Entry Month is attributed to SPY standard trades were excluded. prevailing bids on the national securities Quotes with negative prices or exchanges priced at the National Best Bid latency arbitrage activity. The market and the NMS Size At The National Best Offer data shows that in response to the SPY quantities were excluded. Unless otherwise indicated, lengths of time (‘‘NMS Size At The NBO’’) refers to the latency arbitrage activity, CHX liquidity quantity of shares in prevailing offers on the providers displayed smaller orders in when the market was locked or crossed national securities exchanges priced at the SPY at less aggressive prices during the were not considered. National Best Offer. NMS Size At The NBBO After Period relative to the Before In the calculations below: was calculated as the average of the National Period and Entry Month. Moreover, in • Total Volume refers to the number of Best Bid Size and the National Best Offer light of CHX’s significant contribution shares of the indicated symbol traded on the Size at each microsecond, NMS Size At The NBBO = (NMS Size At The NBB + NMS Size to overall volume and liquidity in SPY national securities exchanges on a given day, excluding certain types of non-standard At The NBO) ÷ 2. during the Before Period and the Entry trades. CHX Volume refers to the number of • CHX Was At The NBB refers to an Month, diminished displayed liquidity shares of the indicated symbol traded on indicator variable defined as true at any at CHX has materially impaired CHX on a given day, excluding certain types microsecond when the CHX Best Bid was at displayed liquidity in SPY market wide. of non-standard trades. the National Best Bid, and false otherwise. • CHX Market Share was calculated as CHX Was At The NBO refers to an indicator Appendix B: Calculation Sets CHX Volume divided by Total Volume on a variable defined as true at any microsecond The calculations sets below were given day, CHX Market Share = CHX Volume when the CHX Best Offer was at the National ÷ Total Volume. Best Offer, and false otherwise. prepared with microsecond-level trade • • and quote record. Trade records include CHX Had A Two-Sided Market refers to At any microsecond, the CHX Size At an indicator variable defined as true at any The NBB (‘‘CHX Size At The NBB’’) refers to the date, microsecond-level timestamp, microsecond when there was at least one bid the CHX Best Bid Size if CHX was at the NBB exchange, security symbol, price, and and at least one offer among all outstanding and zero if CHX was not at the NBB. At any quantity of all trades reported to the orders on CHX, and false otherwise. CHX microsecond, the CHX Size At The NBO consolidated tape. Quote records Had A One-Sided Market refers to an (‘‘CHX Size At The NBO’’) refers to the CHX include the date, microsecond-level indicator variable defined as true at any Best Offer Size if CHX was at the NBO and timestamp, exchange, security symbol, microsecond when there was at least one bid zero if CHX was not at the NBO. CHX Size bid price, bid quantity, ask price, and but no offers among all outstanding orders on At The NBBO was calculated as the average ask quantity of all quotes reported to the CHX or when there was at least one offer but of the CHX Size At The NBB and CHX Size no bids among all outstanding orders on At The NBO at each microsecond, CHX Size consolidated tape. Only protected CHX, and false otherwise. CHX Had No At The NBBO = (CHX Size At The NBB + quotations are reported to the Market refers to an indicator variable defined CHX Size At The NBO) ÷ 2. consolidated tape. as true at any microsecond when there were • CHX Was At The NBB And Was The The Analysis Period for the no outstanding orders on CHX, and false Largest Bid At That Price refers to an calculations begins on August 1, 2015 otherwise. indicator variable defined as true at any

89 See infra Appendix B Calculation Sets 3a and 92 See infra Appendix B Calculation Set 3a. 95 See 17 CFR 242.600(b)(64). 3b. 93 See infra Appendix B Calculations Sets 3a and 96 Non-standard trades include derivatively 90 See infra Appendix B Calculation Sets 3b and 4a. priced trades, qualified contingent trades, opening 4b. 94 See infra Appendix B Calculation Set 4a. trades, closing trades, and after hours trades. 91 See infra Appendix B Calculation Set 4a.

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microsecond when CHX was at the National quantity of shares in prevailing offers on any calculated as daily average of the specified Best Bid and the CHX Best Bid Size was one national securities exchange other than quantity, market share, or spread value greater than or equal to the largest quantity CHX, and false otherwise. weighted by time (in microseconds). % of of shares in prevailing bids on any one For the calculations in the table below: time values were calculated as the length of national securities exchange other than CHX, • Monthly average values are shown. time (in microseconds) for which the and false otherwise. CHX Was At The NBO Monthly average values were calculated as specified indicator variable was true divided And Was The Largest Offer At That Price the average of daily values for each day in by the length of time in that trading day, refers to an indicator variable defined as true a month. Daily values were calculated as excluding lengths of time during which the at any microsecond when CHX was at the time-weighted averages or as percentages of market was locked or crossed or otherwise National Best Offer and the CHX Best Offer time in the trading day, as indicated in the could not be calculated (e.g., at the start of Size was greater than or equal to the largest table. Time-weighted average values were the trading day).

Symbol Control [No.] Calculation Month SPY DIA IWM QQQ Average [1] [2] [3] [4] ([2]:[4])

[1a] CHX market share (% of total volume) ..... Aug 2015 ..... 4.32% 3.07% 5.51% 3.40% 3.99% Sep 2015..... 6.07% 2.61% 3.82% 3.46% 3.30% Oct 2015...... 4.08% 5.95% 2.58% 4.42% 4.32% Nov 2015..... 4.49% 8.58% 3.14% 5.13% 5.62% Dec 2015..... 4.85% 4.89% 2.53% 4.49% 3.97% Jan 2016...... 5.73% 9.13% 3.14% 4.35% 5.54% Feb 2016...... 4.78% 9.13% 3.32% 4.41% 5.62% Mar 2016...... 2.80% 7.54% 2.38% 3.57% 4.50% Apr 2016...... 2.28% 4.41% 2.01% 2.69% 3.04% May 2016..... 1.10% 3.53% 2.21% 1.93% 2.55% Jun 2016...... 0.90% 5.17% 1.74% 3.00% 3.30% Jul 2016...... 0.57% 6.11% 1.22% 1.77% 3.03% [1b] CHX market share (% of total volume) Aug 2015 ..... 75 34 176 78 72 index: January 2016 = 100. Sep 2015 ..... 106 29 122 80 60 Oct 2015 ...... 71 65 82 102 78 Nov 2015 ..... 78 94 100 118 101 Dec 2015 ..... 85 54 81 103 72 Jan 2016 ...... 100 100 100 100 100 Feb 2016 ...... 83 100 106 102 102 Mar 2016 ...... 49 83 76 82 81 Apr 2016 ...... 40 48 64 62 55 May 2016 ..... 19 39 70 44 46 Jun 2016 ...... 16 57 55 69 60 Jul 2016 ...... 10 67 39 41 55 [2a] Average total volume ...... Aug 2015 ..... 130,150,083 6,153,725 26,846,599 33,963,873 23,568,046 Sep 2015 ..... 94,627,144 6,552,649 21,381,524 28,452,481 19,947,099 Oct 2015 ...... 75,881,581 4,461,519 22,420,310 22,701,556 14,268,977 Nov 2015 ..... 63,307,314 3,673,677 16,624,141 17,531,483 10,308,999 Dec 2015 ..... 87,011,822 4,969,853 23,287,782 24,474,150 16,211,695 Jan 2016 ...... 127,469,871 8,301,912 35,204,822 39,029,308 21,425,674 Feb 2016 ...... 97,911,733 6,121,299 27,668,000 35,547,824 18,060,375 Mar 2016 ...... 63,333,000 2,521,807 20,709,893 17,600,599 9,724,974 Apr 2016 ...... 53,023,531 2,337,084 15,556,074 14,984,599 8,991,216 May 2016..... 51,578,634 2,016,095 17,899,288 14,856,962 9,822,504 Jun 2016 ...... 78,385,026 2,740,421 20,938,721 16,963,513 10,240,678 Jul 2016 ...... 49,783,615 2,130,330 14,122,275 11,973,239 5,657,111 [2b] Average total volume index: Jan 2016 = Aug 2015 ..... 102 74 76 87 110 100. Sep 2015 ..... 74 79 61 73 93 Oct 2015 ...... 60 54 64 58 67 Nov 2015 ..... 50 44 47 45 48 Dec 2015 ..... 68 60 66 63 76 Jan 2016 ...... 100 100 100 100 100 Feb 2016 ...... 77 74 79 91 84 Mar 2016 ...... 50 30 59 45 45 Apr 2016 ...... 42 28 44 38 42 May 2016 ..... 40 24 51 38 46 Jun 2016 ...... 61 33 59 43 48 Jul 2016 ...... 39 26 40 31 26 [3a] Time-weighted average CHX size at the Aug 2015 ..... 7,740.13 753.47 2,294.04 3,666.82 2,238.11 NBBO. Sep 2015 ..... 6,217.48 682.18 2,157.29 4,177.88 2,339.12 Oct 2015...... 7,816.38 1,308.53 2,052.68 6,130.87 3,164.03 Nov 2015..... 8,983.84 2,439.37 2,158.33 7,182.16 3,926.62 Dec 2015..... 5,776.73 1,152.21 1,517.59 4,347.08 2,338.96 Jan 2016...... 4,220.05 1,830.97 1,726.35 4,341.83 2,633.05 Feb 2016...... 2,642.32 1,829.95 2,004.50 4,523.73 2,786.06

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Symbol Control [No.] Calculation Month SPY DIA IWM QQQ Average [1] [2] [3] [4] ([2]:[4])

Mar 2016...... 1,611.90 2,347.82 2,077.08 5,987.78 3,470.89 Apr 2016...... 1,415.95 1,481.35 2,314.10 6,196.84 3,330.76 May 2016..... 485.23 1,469.69 2,374.66 7,423.33 3,755.89 Jun 2016...... 565.73 1,772.03 2,188.41 7,994.73 3,985.06 Jul 2016 ...... 396.37 3,057.61 2,262.70 8,241.77 4,520.69 [3b] Time-weighted average CHX size at the Aug 2015..... 183 41 133 84 85 NBBO index: Jan 2016 = 100. Sep 2015 ..... 147 37 125 96 89 Oct 2015 ...... 185 71 119 141 120 Nov 2015 ..... 213 133 125 165 149 Dec 2015 ..... 137 63 88 100 89 Jan 2016 ...... 100 100 100 100 100 Feb 2016 ...... 63 100 116 104 106 Mar 2016 ...... 38 128 120 138 132 Apr 2016 ...... 34 81 134 143 126 May 2016 ..... 11 80 138 171 143 Jun 2016 ...... 13 97 127 184 151 Jul 2016 ...... 9 167 131 190 172 [4a] Time-weighted average NMS size at the Aug 2015 ..... 19,257.66 2,609.35 6,511.42 18,471.79 9,197.52 NBBO. Sep 2015..... 11,919.38 1,679.93 6,540.46 14,223.92 7,481.44 Oct 2015...... 18,309.27 2,468.56 6,972.46 19,848.75 9,763.26 Nov 2015 ..... 19,257.58 3,930.75 6,963.92 23,442.48 11,445.72 Dec 2015 ..... 13,230.66 2,204.20 5,812.28 17,106.74 8,374.40 Jan 2016...... 9,513.33 2,569.26 5,221.94 14,100.46 7,297.22 Feb 2016 ...... 7,417.60 2,489.46 6,340.40 13,869.32 7,566.40 Mar 2016...... 8,638.39 3,703.26 8,521.28 20,316.43 10,846.99 Apr 2016 ...... 9,876.59 3,070.53 9,422.71 23,246.57 11,913.27 May 2016..... 9,398.26 3,144.93 10,295.88 28,354.88 13,931.90 Jun 2016...... 9,313.10 3,107.54 9,597.43 28,288.57 13,664.51 Jul 2016...... 11,685.53 4,711.37 10,026.35 35,353.64 16,697.12 [4b] Time-weighted average NMS size at the Aug 2015..... 202 102 125 131 126 NBBO index: Jan 2016 = 100. Sep 2015 ..... 125 65 125 101 103 Oct 2015 ...... 192 96 134 141 134 Nov 2015 ..... 202 153 133 166 157 Dec 2015 ..... 139 86 111 121 115 Jan 2016 ...... 100 100 100 100 100 Feb 2016 ...... 78 97 121 98 104 Mar 2016 ...... 91 144 163 144 149 Apr 2016 ...... 104 120 180 165 163 May 2016 ..... 99 122 197 201 191 Jun 2016 ...... 98 121 184 201 187 Jul 2016 ...... 123 183 192 251 229 [5a] % of time CHX had a two-sided market .... Aug 2015 ..... 99.8% 99.6% 99.7% 99.6% 99.7% Sep 2015..... 99.9% 99.9% 99.9% 99.9% 99.9% Oct 2015 ...... 100.0% 99.9% 99.9% 100.0% 99.9% Nov 2015..... 99.9% 99.9% 99.5% 99.8% 99.7% Dec 2015..... 98.6% 98.3% 98.6% 98.6% 98.5% Jan 2016 ...... 100.0% 99.9% 99.9% 100.0% 99.9% Feb 2016 ...... 99.9% 100.0% 100.0% 100.0% 100.0% Mar 2016 ...... 99.8% 100.0% 100.0% 100.0% 100.0% Apr 2016...... 99.3% 99.9% 100.0% 99.8% 99.9% May 2016 ..... 85.2% 99.9% 100.0% 100.0% 100.0% Jun 2016 ...... 73.2% 99.9% 100.0% 100.0% 100.0% Jul 2016 ...... 74.0% 99.9% 100.0% 100.0% 100.0% [5b] % of time CHX had a one-sided market ... Aug 2015 ..... 0.1% 0.1% 0.0% 0.2% 0.1% Sep 2015..... 0.0% 0.0% 0.0% 0.0% 0.0% Oct 2015...... 0.0% 0.0% 0.0% 0.0% 0.0% Nov 2015..... 0.0% 0.0% 0.0% 0.2% 0.1% Dec 2015..... 0.0% 0.3% 0.0% 0.0% 0.1% Jan 2016...... 0.0% 0.1% 0.0% 0.0% 0.0% Feb 2016...... 0.0% 0.0% 0.0% 0.0% 0.0% Mar 2016...... 0.2% 0.0% 0.0% 0.0% 0.0% Apr 2016...... 0.2% 0.0% 0.0% 0.0% 0.0% May 2016..... 3.0% 0.0% 0.0% 0.0% 0.0% Jun 2016...... 6.1% 0.0% 0.0% 0.0% 0.0% Jul 2016...... 1.8% 0.0% 0.0% 0.0% 0.0% [5c] % of time CHX had no market ...... Aug 2015 ..... 0.1% 0.3% 0.3% 0.1% 0.2% Sep 2015..... 0.0% 0.1% 0.1% 0.0% 0.1%

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Symbol Control [No.] Calculation Month SPY DIA IWM QQQ Average [1] [2] [3] [4] ([2]:[4])

Oct 2015...... 0.0% 0.1% 0.1% 0.0% 0.1% Nov 2015..... 0.1% 0.1% 0.4% 0.0% 0.2% Dec 2015..... 1.4% 1.4% 1.4% 1.4% 1.4% Jan 2016...... 0.0% 0.0% 0.0% 0.0% 0.0% Feb 2016...... 0.1% 0.0% 0.0% 0.0% 0.0% Mar 2016...... 0.0% 0.0% 0.0% 0.0% 0.0% Apr 2016...... 0.5% 0.1% 0.0% 0.2% 0.1% May 2016..... 11.8% 0.1% 0.0% 0.0% 0.0% Jun 2016 ...... 20.7% 0.1% 0.0% 0.0% 0.0% Jul 2016...... 24.2% 0.0% 0.0% 0.0% 0.0% [6a] % of time CHX was at the NBB ...... Aug 2015 ..... 16.5% 32.7% 46.9% 58.0% 45.9% Sep 2015..... 24.0% 36.4% 44.7% 67.6% 49.6% Oct 2015...... 30.8% 45.8% 44.3% 74.9% 55.0% Nov 2015..... 24.5% 50.3% 54.0% 79.6% 61.3% Dec 2015..... 29.2% 34.1% 38.3% 71.3% 47.9% Jan 2016...... 23.8% 46.0% 40.2% 70.4% 52.2% Feb 2016...... 15.5% 53.9% 33.7% 65.5% 51.0% Mar 2016...... 18.5% 58.4% 35.6% 66.8% 53.6% Apr 2016...... 18.7% 46.8% 35.9% 60.5% 47.7% May 2016..... 7.0% 44.8% 53.5% 68.5% 55.6% Jun 2016...... 5.4% 47.1% 44.2% 72.8% 54.7% Jul 2016...... 8.2% 45.9% 40.8% 74.1% 53.6% [6b] % of time CHX was at the NBO ...... Aug 2015 ..... 27.9% 39.8% 57.0% 65.6% 54.1% Sep 2015..... 29.7% 36.0% 41.8% 66.7% 48.2% Oct 2015...... 20.9% 41.4% 42.7% 74.0% 52.7% Nov 2015..... 28.7% 39.3% 52.9% 78.2% 56.8% Dec 2015..... 27.1% 35.5% 42.4% 70.0% 49.3% Jan 2016...... 23.3% 52.3% 48.8% 70.4% 57.2% Feb 2016...... 23.2% 55.5% 46.3% 69.1% 57.0% Mar 2016...... 19.0% 58.5% 44.4% 70.0% 57.7% Apr 2016...... 14.0% 44.0% 36.4% 65.8% 48.7% May 2016..... 12.4% 40.4% 49.3% 64.2% 51.3% Jun 2016...... 11.0% 47.3% 48.4% 74.6% 56.8% Jul 2016...... 5.8% 46.0% 34.0% 69.4% 49.8% [6c] % of time CHX was at the NBB and that Aug 2015..... 1.0% 8.2% 19.7% 32.5% 20.2% CHX was at the NBO. Sep 2015 ..... 2.0% 10.0% 9.2% 37.1% 18.8% Oct 2015...... 3.0% 14.4% 10.2% 49.8% 24.8% Nov 2015..... 6.0% 14.2% 17.9% 58.1% 30.1% Dec 2015..... 4.4% 9.3% 12.5% 44.8% 22.2% Jan 2016 ...... 3.3% 19.2% 7.8% 41.8% 22.9% Feb 2016 ...... 1.0% 24.5% 4.8% 35.4% 21.5% Mar 2016 ...... 0.5% 29.6% 4.6% 38.0% 24.1% Apr 2016 ...... 0.2% 15.7% 2.2% 29.9% 15.9% May 2016..... 0.0% 13.5% 17.5% 34.6% 21.9% Jun 2016...... 0.0% 17.0% 12.2% 48.5% 25.9% Jul 2016 ...... 0.0% 12.6% 4.0% 44.1% 20.3% [7a] % of time CHX was at the NBB and was Aug 2015..... 13.6% 26.2% 37.1% 26.6% 29.9% the largest bid at that price. Sep 2015..... 21.5% 34.0% 40.0% 47.6% 40.6% Oct 2015...... 24.9% 43.8% 36.2% 57.4% 45.8% Nov 2015..... 18.8% 47.9% 39.4% 55.9% 47.7% Dec 2015..... 25.1% 31.7% 27.7% 39.1% 32.8% Jan 2016...... 20.0% 43.6% 32.0% 48.1% 41.2% Feb 2016...... 11.2% 52.7% 28.5% 45.5% 42.2% Mar 2016...... 11.9% 55.7% 28.3% 44.8% 42.9% Apr 2016...... 13.0% 42.2% 31.6% 43.6% 39.1% May 2016..... 1.7% 39.8% 37.9% 50.2% 42.6% Jun 2016...... 2.0% 43.7% 32.2% 48.3% 41.4% Jul 2016...... 2.3% 43.2% 31.7% 48.0% 41.0% [7b] % of time CHX was at the NBO and was Aug 2015..... 24.3% 34.4% 51.2% 39.8% 41.8% the largest offer at that price. Sep 2015..... 27.0% 33.8% 37.8% 46.7% 39.4% Oct 2015...... 16.0% 38.1% 31.3% 44.0% 37.8% Nov 2015..... 22.6% 36.8% 35.1% 53.4% 41.8% Dec 2015..... 23.2% 32.7% 30.6% 36.8% 33.4% Jan 2016...... 20.7% 51.1% 41.3% 50.7% 47.7% Feb 2016...... 18.5% 54.7% 40.8% 49.4% 48.3% Mar 2016...... 12.9% 55.2% 35.3% 51.2% 47.2% Apr 2016...... 8.1% 38.6% 30.8% 45.9% 38.4%

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Symbol Control [No.] Calculation Month SPY DIA IWM QQQ Average [1] [2] [3] [4] ([2]:[4])

May 2016..... 3.8% 36.7% 29.8% 45.2% 37.2% Jun 2016...... 4.6% 44.6% 31.4% 51.8% 42.6% Jul 2016...... 1.1% 42.5% 27.0% 31.0% 33.5% [7c] % of time CHX was at the NBB and was Aug 2015 ..... 0.2% 5.3% 12.8% 7.1% 8.4% the largest bid at that price and that CHX was at the NBO and was the largest offer at that price. Sep 2015 ..... 1.1% 8.5% 7.3% 16.7% 10.9% Oct 2015 ...... 0.9% 12.3% 5.3% 17.7% 11.8% Nov 2015 ..... 2.3% 12.6% 7.0% 23.0% 14.2% Dec 2015 ..... 2.9% 8.1% 6.4% 13.7% 9.4% Jan 2016 ...... 1.9% 17.3% 4.3% 18.5% 13.4% Feb 2016 ...... 0.3% 23.3% 2.8% 13.9% 13.3% Mar 2016 ...... 0.1% 26.0% 2.6% 14.0% 14.2% Apr 2016...... 0.0% 10.9% 1.5% 14.0% 8.8% May 2016 ..... 0.0% 10.4% 8.0% 15.6% 11.3% Jun 2016 ...... 0.0% 14.3% 4.8% 18.6% 12.5% Jul 2016 ...... 0.0% 10.7% 2.8% 10.8% 8.1%

Appendix C: Impact of LEAD on 412 orders, virtually all of which the and, in general, protect investors and Liquidity Takers Exchange believes were submitted as the public interest by enhancing The purpose of this analysis is to part of SPY latency arbitrage activity, displayed liquidity and price discovery show that implementation of LEAD from being executed during the 350 by minimizing the effectiveness of would not materially impact the ability microsecond Fixed LEAD Period and (2) latency arbitrage strategies that of a random market participant not would have had a negative impact on negatively impact market quality. As 100 engaged in a latency arbitrage strategy, only 20 liquidity taking orders not shown under the CHX ETF Analysis, such as retail investors, to take attributed to SPY latency arbitrage latency arbitrage lessens competition displayed liquidity at CHX. This activity. These 20 orders comprised among orders by dissuading liquidity analysis assumes that LEAD would not 0.11% of the 18,316 orders executed providers from displaying large and materially change order sending during the period. That is, during the aggressively priced orders, which in 101 behavior of Participants. measurement period of 63 trading days, turn impairs market efficiency. The For the period of May 2016 through LEAD would have had an adverse effect Commission has recognized the crucial July 2016,97 the Exchange observed the on approximately one order every three role that displayed limit orders play in following with regards to SPY: trading days. Thus, LEAD can make a the price discovery process.102 Thus, the • There were a total of 18,316 orders at significant contribution to leveling the Exchange believes that optimizing least partially executed. playing field between LEAD MMs and liquidity provision on the Exchange will • During the same period, the Exchange latency arbitrageurs with minimal enhance price discovery and, thereby, received 1,278 cancel messages to cancel adverse effect on other liquidity taking enhance market efficiency. To this end, resting orders after the resting order had been orders. LEAD is designed to promote displayed fully executed (‘‘too-late-to-cancel’’ or liquidity on the Exchange by giving ‘‘TLTC’’). 2. Statutory Basis • Of the 1,278 TLTCs, 412 TLTCs (32.24%) LEAD MMs a small head start to the were received sooner than or exactly 350 The Exchange believes that the cancellation of stale quotes in the race microseconds after the execution proposed rule change is consistent with to react to symmetric public 98 (‘‘TLTC≤350’’), whereas 866 (67.76%) were Section 6(b) of the Act in general, and information. LEAD is designed to received later than 350 microseconds after furthers the objectives of Section 6(b)(5) achieve these goals without having a the execution (‘‘TLTC>350’’). 99 materially negative impact on the ability • in particular, in that it is designed to Of the 412 TLTC≤350, 392 (95.15%) promote just and equitable principles of of liquidity takers not engaged in executions were attributed to SPY latency latency arbitrage, such as retail arbitrage activity while the remaining 20 trade, to foster cooperation and (4.85%) executions were not. coordination with persons engaged in investors, to access displayed liquidity • Of the 866 TLTC>350, 780 (90.07%) facilitating transactions in securities, to at CHX, as such liquidity will most executions were attributed to SPY latency remove impediments and perfect the always remain on the CHX book after a arbitrage activity while the remaining 86 mechanisms of a free and open market, liquidity taking order has been released (9.93%) executions were not. and, in general, to protect investors and from LEAD.103 Thus, the Exchange Thus, if LEAD had been in effect for the the public interest; and is not designed believes that LEAD will encourage period of May 2016 through July 2016, to permit unfair discrimination between LEAD MMs to post large aggressively LEAD (1) would have prevented up to customers, issuers, brokers, or dealers. priced orders on the CHX book, which Specifically, the Exchange believes 100 97 For the months prior to May 2016 during the that the proposed rule change would See supra Appendix A Analysis Period, the Exchange did not maintain remove impediments and perfect the 101 See Regulation NMS Adopting Release, supra note 13, at 37499. TLTC data. A limitation of this data is that CHX mechanisms of a free and open market Market Share and displayed liquidity in SPY and, 102 See Regulation NMS Adopting Release, supra by extension, order sending activity had all note 13, at 37526. diminished considerably by May 2016. See supra 98 15 U.S.C. 78f(b). 103 See also supra note 18; see also supra Appendix B Calculation Set 1. 99 15 U.S.C. 78f(b)(5). Appendix C.

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will enhance liquidity and optimize non-bona fide liquidity provision latency arbitrage as applied to limit price discovery in furtherance of the strategies. orders. objectives of Section 6(b)(5) of the Regardless of whether a delay is The Exchange further submits that 104 Act and in a manner consistent with symmetric (e.g., IEX Delay) or LEAD would not confer any unfair Regulation NMS, as described below. asymmetric (e.g., LEAD), any intentional advantage to LEAD MMs or introduce In addition, the Exchange believes delay designed to address latency incremental risk of manipulative that the proposed LEAD MM arbitrage must necessarily discriminate activity. While LEAD is long enough to designation would protect investors and among members. That is, correcting neutralize microsecond speed the public interest by requiring LEAD asymmetry in the market requires advantages exploited by latency MMs to meet the proposed Minimum asymmetry in the remedy. For example, arbitrageurs, it is too short to provide Performance Standards in return for while the IEX Delay delays all incoming any actionable incremental advantage to being afforded the benefits of LEAD. messages, the IEX Delay is asymmetric LEAD MMs in reacting to information Moreover, the Exchange submits that in that it provides processing not already it their possession. LEAD is the proposal to leverage existing Market advantages to non-displayed pegged also too short to introduce any Maker rules regarding the procedures orders resting on the IEX book, which incremental risk of manipulative for deregistering Market Makers and are not provided to other orders. LEAD involuntary withdrawals from assigned practices, which is supported by the fact would similarly address latency that the Commission has recognized that securities will provide the Exchange arbitrage by providing a processing with sufficient authority to compel and a 350-microsecond delay would not advantage to LEAD MMs, which will materially increase the likelihood of enforce compliance by LEAD MMs with not be provided to non-LEAD MMs. the proposed Minimum Performance certain manipulative practices such as Standards. The Exchange also believes that the ‘‘spoofing’’ or ‘‘marking-the-close’’ due LEAD is narrowly-tailored to address The Exchange also believes that the to the practical difficulties of executing latency arbitrage as applied to limit proposed rules regarding assignment of such strategies within such a short time orders. In finding that the rules 111 112 LEAD MM Securities would protect frame. Notwithstanding, the pertaining to the IEX Delay did not investors and the public interest by Exchange has elected to adopt the permit unfair discrimination, and would implementing a comprehensive process proposed Minimum Performance not impose any unnecessary or whereby the Exchange will be able to Standards to provide additional inappropriate burden on competition, select LEAD MMs that have assurance to the Commission that CHX the Commission recognized that demonstrated the ability and capacity to displayed liquidity will remain valuable displayed limit orders or non-pegged enhance displayed liquidity on the and reliable by tying the processing non-displayed limit orders, the types of Exchange and to comply with federal advantage afforded to LEAD MMs to liquidity LEAD is designed to protect, rules and regulations, as well as CHX heightened market quality requirements, would not benefit from the symmetric Rules. When considering these which will not be applied to non-LEAD IEX Delay 107 because the purpose of procedures with the proposed Minimum MMs. Thus, for all of the reasons such limit orders is to post or execute Performance Standards and enforcement described above, any discrimination consistent with their fixed limit price, mechanism, the Exchange believes that between LEAD MMs and non-LEAD as opposed to being repriced by an the effectiveness of LEAD in enhancing MMs is justified and consistent with the exchange based on changes to the displayed liquidity and price discovery NBBO.108 Given that limit orders are requirements of the Section 6(b)(5) of will be optimized. 113 also vulnerable to latency arbitrage and the Act. Moreover, for similar reasons, the could only be effectively adjusted by the The Exchange notes that the Exchange submits that the proposed liquidity providers, if such orders are Commission has previously approved rules for LEAD are not designed to provided as part of a broader liquidity functionality that permissibly permit unfair discrimination. provision strategy that utilizes discriminates among members for the Specifically, the Exchange believes that proprietary algorithms to price and size purpose enhancing displayed liquidity. any discrimination between LEAD MMs such limit orders, it logically flows that Specifically, the Commission has and non-LEAD MMs is permissible the best way to protect such liquidity is previously approved the following under the Act because (1) LEAD is through an asymmetric delay, such as mechanisms: designed to enhance displayed liquidity LEAD, that empowers LEAD MMs to • and price discovery by rectifying a Maker/taker fee. Many national better execute their liquidity provision securities exchanges, including CHX, utilize current structural bias against displayed strategies, which result in valuable liquidity,105 without having a materially the ‘‘maker/taker’’ fee model, which displayed liquidity being provided to discriminates between liquidity providers negative impact on the ability of 109 the market. Thus, given the and takers for the purpose of incentivizing liquidity takers not engaged in latency ineffectiveness of symmetric delays in arbitrage, such as retail investors, to market participants to provide liquidity to or protecting limit orders from latency 114 106 take liquidity from the exchange. access displayed liquidity at CHX, arbitrage and the immaterial impact that • and (2) the proposed Minimum Bulk-quoting interface. Nasdaq offers a LEAD would have on the ability of bulk-quoting interface to allow its options Performance Standards, which will not random liquidity takers not engaged in apply to non-LEAD MMs, will help market makers to more efficiently submit and latency arbitrage to access liquidity at update quotes as ‘‘aiding market makers in ensure that those goals are achieved, as 110 CHX, the Exchange believes that their market making activities will help to well as to provide a safeguard against LEAD is narrowly-tailored to address LEAD MMs utilizing LEAD to engage in 111 manipulative activities or otherwise Final Interpretation, supra note 30, at n. 70. 107 See IEX Approval Order, supra note 20, at 112 The Exchange notes that it currently maintains 41157. surveillance protocols designed to detect such 104 15 U.S.C. 78f(b)(5). 108 See id. manipulative practices. 105 See supra Section 3(a)(2). 109 See supra notes 7 and 8. 113 15 U.S.C. 78f(b)(5). 106 See also supra note 18; see also supra 110 See also supra note 18; see also supra 114 See, e.g., Bats BYX Fee Schedule; see also Appendix C. Appendix C. Section E.1 of the CHX Fee Schedule.

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enhance market liquidity for investors.’’ 115 602(b)(2) (‘‘Firm Quote Rule’’),120 Rule extent a market participant has a better BATS Options offers a similar functionality, 611 121 and Rule 610(d).122 algorithm or better information, LEAD is but permits all BATS Options users to utilize The Exchange believes that the 116 too short to have a negative impact on its bulk-quoting interface. In each case, the proposed rule change is consistent with such non-latency arbitrage strategies, exchange gives liquidity providers a processing advantage to facilitate the the ‘‘immedia[cy]’’ requirement of Rule much less permit a LEAD MM to decide adjusting of stale quotes to the disadvantage 600(b)(3) as LEAD is a de minimis on a quotation-by-quotation basis of liquidity takers. Consequently, as bulk- intentional access delay and thereby whether to cancel or modify a quote. In quoting interfaces permit liquidity providers compatible with the Exchange having an addition, LEAD is narrowly-tailored to to adjust numerous quotes through a single ‘‘automated quotation’’ under Rule minimize the effectiveness of latency message, this would minimize the possibility 600(b)(3) and thus a ‘‘protected arbitrage strategies at CHX, as described of stale quotes being executed before the quotation’’ under Rule 611.123 above. liquidity provider has an opportunity to Specifically, Rule 600(b)(3) requires that The Exchange also believes that LEAD adjust the stale quote. That is, bulk-quoting 128 interfaces, among other things, minimize the a trading center displaying an is consistent with Rule 602(b)(2). effectiveness of latency arbitrage strategies. automated quotation permit, among Specifically, a plain reading of Rule • Market Makers generally. Many national other things, an incoming IOC order to 602(b) indicates that the delay of a securities exchange offer a market maker immediately and automatically execute liquidity taking order pursuant to LEAD program that provides certain financial or against the automated quotation up to would not result in the order being operational benefits (e.g., Nasdaq’s bulk- its full size; and immediately and ‘‘presented’’ to the LEAD MM.129 This is quoting interface and NYSE DMM parity 117) automatically cancel any unexecuted consistent with the Commission’s in return for meeting heightened market portion of the IOC order without routing guidance regarding the applicability of quality requirements. the order elsewhere.124 In the context of the Firm Quote Rule in the context of The Exchange also believes that the determining whether a trading center obsolete Intermarket Trading System proposed amendments to the MTP order maintains an ‘‘automated quotation’’ for (‘‘ITS’’) commitments.130 Specifically, modifier would remove impediments purposes of Rule 611, the Commission the Commission stated that ‘‘the Firm and perfect the mechanisms of a free does not interpret the term ‘‘immediate’’ Quote Rule requires that every exchange and open market and, in general, protect used in Rule 600(b)(3) by itself to specialist or OTC market maker execute investors and the public interest, in that prohibit a trading center from any order to buy or sell a security it they are designed to avoid certain implementing an intentional access receives at a price at least as favorable unintended consequences of LEAD on delay that is de minimis (i.e., a delay so as its published bid or offer in any the MTP functionality. Specifically, short as to not frustrate the purposes of amount up to its published size, subject since an order would be assigned a the Order Protection Rule by impairing to two exceptions.’’ 131 The Commission sequence number prior to being fair and efficient access to an exchange’s further stated ‘‘that the Firm Quote Rule evaluated pursuant to LEAD,118 LEAD quotations).125 Accordingly, the applies to ITS commitments; where a may result in a newer undelayed order Commission’s revised interpretation specialist or market maker fails to honor being ranked on the CHX book before an provides that the term ‘‘immediate’’ its quote by refusing to execute an ITS older delayed order, which would not precludes any coding of automated commitment received at its published otherwise occur today. Under this systems or other type of intentional bid or offer, and neither of the scenario and assuming that the contra- device that would delay the action taken exceptions contained in the Firm Quote side orders trigger MTP and the with respect to a quotation unless such Rule apply, the specialist or market incoming order is marked ‘‘N,’’ the delay is de minimis.126 maker is in violation of the Firm Quote current MTP rules would require the The Exchange believes that LEAD is Rule.’’ 132 As such, the Commission’s incoming older order to be cancelled, so short as to not frustrate the purposes guidance clearly suggests that a Rule whereas the amended MTP handling of the Rule 611 127 by impairing fair and 602(b) violation occurs when a liquidity would require the resting newer order to efficient access to the Exchange’s provider receives (i.e., is presented) a be cancelled subject to the exception for quotations. Specifically, all Participants marketable contra-side order and refuses CHX Only orders described under seeking to take liquidity from the CHX to honor its quote.133 When also amended Article 1, Rule 2(b)(3)(F)(iii)(a) book will have fair and efficient access and (b). Thus, the Exchange believes to CHX quotations. Also, the 350- 128 ‘‘Subject to the provisions of paragraph (b)(3) that the amended MTP functionality microsecond delay is so short that it of this section, each responsible broker or dealer better contemplates LEAD and preserves does not provide an incremental shall be obligated to execute any order to buy or sell a subject security, other than an odd-lot order, expected results. advantage to a LEAD MM other than presented to it by another broker or dealer, or any The Exchange also believes that the neutralizing a structural bias that other person belonging to a category of persons with proposed rule change is consistent with permits latency arbitrageurs to profit off whom such responsible broker or dealer Regulation NMS. Specifically, the of symmetric public information. To the customarily deals, at a price at least as favorable to Exchange believes that LEAD is such buyer or seller as the responsible broker’s or dealer’s published bid or published offer (exclusive 119 consistent with Rule 600(b)(3), Rule 120 See 17 CFR 242.602(b)(2). of any commission, commission equivalent or 121 See 17 CFR 242.611. differential customarily charged by such 115 See Securities Exchange Act Release No. 122 See 17 CFR 242.610(d). responsible broker or dealer in connection with 65024 (August 3, 2011), 76 FR 48925 (August 9, 123 See Final Interpretation, supra note 30, at execution of any such order) in any amount up to 2011) (SR–NASDAQ–2011–102). 40792. its published quotation size.’’ 17 CFR 242.602(b)(2) 116 See Securities Exchange Act Release No. 124 See 17 CFR 242.600(b)(3). (emphasis added). 65307 (September 9, 2011), 76 FR 57092 (September 125 See Final Interpretation, supra note 30, at 129 See 17 CFR 242.602(b). 15, 2011) (SR–BATS–2011–034) (expanding the 40792. Thus, the Exchange’s quotations would 130 See Exchange Act Release No. 40260, 63 FR availability of the bulk-quoting interface to all users continue to be ‘‘immediately’’ accessible and 40748, 40754 (July 30, 1998). of BATS Options); Securities Exchange Act Release protected pursuant to Rule 611. See 17 CFR 131 Id (emphasis added). No. 65133 (August 15, 2011), 76 FR 52032 (August 242.600(b)(3) defining ‘‘automated quotation’’; see 132 Id (emphasis added). 19, 2011) (SR–BATS–2011–029) (adopting the bulk- also 17 CFR 242.600(b)(58) defining ‘‘protected 133 See 17 CFR 242.602(b). A Section 21(a) report quoting interface). quotation.’’ from 1996 regarding, among other things, 117 See NYSE Rules 103B and 104. 126 See Final Interpretation, supra note 30, at misconduct by certain market makers with respect 118 See supra note 45. 40792. to its published quotes is illustrative of the type of 119 See 17 CFR 242.600(b)(3). 127 See 17 CFR 242.611. activity that the Firm Quote Rule is designed to

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considering that the Exchange will CHX book at a price that crosses such III. Date of Effectiveness of the never notify Participants or the public of away protected quotations. This could Proposed Rule Change and Timing for the Exchange’s receipt of a liquidity result if the resting order on the CHX Commission Action taking order subject to LEAD and CHX book that resulted in the unrouted Within 45 days of the date of Rules indicate that a liquidity provider’s remainder being delayed was cancelled publication of this notice in the Federal Rule 602(b) obligation vests only after before the unrouted remainder were Register or within such longer period (i) execution of its order within the released from LEAD. Under this 134 as the Commission may designate up to Matching System, the Exchange scenario, given that LEAD is de minimis 90 days of such date if it finds such submits that LEAD is consistent with 140 in the context of Rule 600(b)(3), it longer period to be appropriate and the Firm Quote Rule. logically flows that the de minimis publishes its reasons for so finding or The Exchange further believes that delay caused by LEAD between the LEAD is consistent with the (ii) as to which the self-regulatory routing of one or more ISOs to satisfy organization consents, the Commission requirements of Rule 611.135 As away protected quotations and the described above, a portion of a Routable will: display of the related order at a price A. By order approve or disapprove the Order may be immediately routed away that crosses such away protected to execute against away protected proposed rule change, or quotations is permissible and consistent B. Institute proceedings to determine quotations, with the unrouted with the requirements of Rule 610(d).141 remainder being delayed before being whether the proposed rule change permitted to execute against an order B. Self-Regulatory Organization’s should be disapproved. resting on the CHX book at a price Statement on Burden on Competition IV. Solicitation of Comments inferior to the away protected The Exchange does not believe that Interested persons are invited to quotations. 136 Given that LEAD is de the proposed rule change will impose submit written data, views, and minimis in the context of Rule any burden on competition that is not arguments concerning the foregoing, 600(b)(3),137 it logically flows that LEAD necessary or appropriate in furtherance including whether the proposed rule would also be considered de minimis of the purposes of the Act. To the change is consistent with the Act. for the purposes of the ‘‘simultaneously contrary, the Exchange believes that any Comments may be submitted by any of routed’’ Intermarket Sweep Order burden on competition is necessary and the following methods: (‘‘ISO’’) requirement under Rule appropriate in furtherance of the 611(b)(6).138 Thus, the Exchange purposes of Section 6(b)(5) of the Act Electronic Comments submits that a delay caused by LEAD because LEAD is functionality that seeks • Use the Commission’s Internet between the routing of one or more ISOs to enhance liquidity and optimize price comment form (http://www.sec.gov/ to satisfy better priced protected discovery by deemphasizing speed as a rules/sro.shtml); or quotation(s) and the delayed execution key to trading success in order to further • Send an email to rule-comments@ of a related order at price inferior to serve the interests of investors and sec.gov. Please include File Number SR– such protected quotation(s) is consistent thereby removes impediments and CHX–2017–04 on the subject line. with the requirements of Rule perfects the mechanisms of a free and 611(b)(6).139 open market. Paper Comments Similarly, a portion of a Routable The Exchange further notes that • Send paper comments in triplicate Order may be immediately routed away market participants will continue to be to Secretary, Securities and Exchange to execute against away protected able to obtain CHX book data via the Commission, 100 F Street NE., quotations with the unrouted remainder Securities Information Processors or Washington, DC 20549–1090. being delayed before be ranked on the through the Exchange’s proprietary book All submissions should refer to File 142 feed, the CHX Book Feed, without Number SR–CHX–2017–04. This file address. See Report Pursuant to Section 21(a) of the delay as the Exchange does not propose Securities Exchange Act of 1934 Regarding the number should be included on the NASD, the Nasdaq Market, and Nasdaq Market to delay any outbound messages or subject line if email is used. To help the Makers, Exchange Act Release No. 37542 (August market data. As such, the Exchange Commission process and review your 8, 1996). Page 32 of the report provides, in pertinent submits that any burden on comments more efficiently, please use part, as follows: Certain market makers at times did competition, while necessary and not honor their quotation for those with whom they only one method. The Commission will preferred not to trade and ‘‘backed away’’ from their appropriate in furtherance of the post all comments on the Commission’s quotes as reprisal for, among other reasons, purposes of that Act, has been Internet Web site (http://www.sec.gov/ perceived prior back way by other market makers. minimized. Certain market makers also variously refused to rules/sro.shtml). Copies of the trade with order entry firms, certain other market C. Self-Regulatory Organization’s submission, all subsequent makers, and participants they ‘‘dislike,’’ such as Statement on Comments on the amendments, all written statements options market makers. Market makers at times with respect to the proposed rule backed away from their trading obligations to avoid Proposed Rule Change Received From unwanted orders placed when they coordinated Members, Participants or Others change that are filed with the Commission, and all written their quotations with other market makers. No written comments were solicited 134 CHX Article 20, Rule 3(a) provides as follows: communications relating to the Each order submitted by each Participant is a firm or received with respect to the proposed proposed rule change between the order and each Participant must, upon execution of rule change. Commission and any person, other than the order within the Matching System, purchase or those that may be withheld from the sell, as the case may be, at the price, size and 140 See 17 CFR 242.600(b)(3). conditions identified by the participant at the time public in accordance with the 141 See ‘‘Division of Trading and Markets: it submitted the order. No Participant may submit Responses to Frequency Asked Questions provisions of 5 U.S.C. 552, will be an order marked for display as a ‘‘manual’’ Concerning Rule 611 and Rule 610 of Regulation available for Web site viewing and quotation. NMS.’’ U.S. Securities and Exchange Commission, 135 17 CFR 242.611. printing in the Commission’s Public 4 April 2008. Web. 20 June 2016 http:// Reference Room, 100 F Street NE., 136 See supra Example 3. www.sec.gov/divisions/marketreg/nmsfaq610- 137 See 17 CFR 242.600(b)(3). 11.htm (‘‘Question 5.02’’); see also CHX Article 20, Washington, DC 20549, on official 138 See 17 CFR 242.611(b)(6). Rule 6(c)(3); see also 17 CFR 242.610(d). business days between the hours of 139 See id. 142 See CHX Article 4, Rule 1. 10:00 a.m. and 3:00 p.m. Copies of the

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filing also will be available for filings/pearl, at MIAX’s principal office, ‘‘CMTAed’’ and then subsequently inspection and copying at the principal and at the Commission’s Public ‘‘gives-up’’ or ‘‘CMTAs’’ the transaction office of the Exchange. All comments Reference Room. to another non-member via a CMTA received will be posted without change; reversal) is a Member. Further, the II. Self-Regulatory Organization’s the Commission does not edit personal Exchange will not assess the ORF on Statement of the Purpose of, and identifying information from linkage trades, whether executed at the Statutory Basis for, the Proposed Rule submissions. You should submit only Exchange or an away exchange. A Change information that you wish to make customer order routed to another available publicly. All submissions In its filing with the Commission, the exchange results in two customer trades, should refer to File Number SR–CHX– Exchange included statements one from the originating exchange and 2017–04 and should be submitted on or concerning the purpose of and basis for one from the recipient exchange. before March 14, 2017. the proposed rule change and discussed Charging ORF on both trades could For the Commission, by the Division of any comments it received on the result in double-billing of ORF for a Trading and Markets, pursuant to delegated proposed rule change. The text of these single customer order, thus the authority.143 statements may be examined at the Exchange chooses not to charge ORF on Eduardo A. Aleman, places specified in Item IV below. The the trade from the originating exchange Assistant Secretary. Exchange has prepared summaries, set in a linkage scenario. This assessment [FR Doc. 2017–03296 Filed 2–17–17; 8:45 am] forth in sections A, B, and C below, of practice will be identical to the the most significant aspects of such BILLING CODE 8011–01–P assessment practice currently utilized statements. by the Exchange’s affiliate, Miami A. Self-Regulatory Organization’s International Securities Exchange, LLC SECURITIES AND EXCHANGE Statement of the Purpose of, and the (‘‘MIAX Options’’). COMMISSION Statutory Basis for, the Proposed Rule As a practical matter, when a transaction that is subject to the ORF is [Release No. 34–80035; File No. SR– Change PEARL–2017–09] not executed on the Exchange, the 1. Purpose Exchange lacks the information Self-Regulatory Organizations; MIAX The purpose of the proposed rule necessary to identify the executing PEARL, LLC; Notice of Filing and change is to establish an ORF in the member for that transaction. There are Immediate Effectiveness of a Proposed amount of $0.0010 per contract side. countless executing market participants, Rule Change To Amend the MIAX The per-contract ORF will be assessed and each day such participants can and PEARL Fee Schedule To Establish an by MIAX PEARL to each MIAX PEARL often do drop their connection to one Options Regulatory Fee (‘‘ORF’’) Member for all options transactions market center and establish themselves executed, cleared, or ultimately cleared as participants on another. For these February 14, 2017. by the Member which are cleared by reasons, it is not possible for the Pursuant to Section 19(b)(1) of the OCC in the ‘‘customer’’ range, regardless Exchange to identify, and thus assess Securities Exchange Act of 1934 (the fees such as an ORF on, executing 1 2 of the exchange on which the ‘‘Act’’), and Rule 19b–4 thereunder, transaction occurs. The ORF will be participants on away markets on a given notice is hereby given that on February collected indirectly from Members trading day. 3, 2017, MIAX PEARL, LLC (‘‘MIAX through their clearing firms by OCC on Clearing members, however, are PEARL’’ or ‘‘Exchange’’) filed with the behalf of MIAX PEARL. distinguished from executing Securities and Exchange Commission In the case where a non-Member participants because they remain (the ‘‘Commission’’) the proposed rule executes a transaction and a Member identified to the Exchange regardless of change as described in Items I, II, and clears the transaction, the ORF will be the identity of the initiating executing III below, which Items have been assessed to the Member who clears the participant, their location, and the prepared by the Exchange. The transaction. In the case where a Member market center on which they execute Commission is publishing this notice to executes a transaction and another transactions. Therefore, the Exchange solicit comments on the proposed rule Member clears the transaction, the ORF believes it is more efficient for the change from interested persons. will be assessed to the Member who operation of the Exchange and for the I. Self-Regulatory Organization’s clears the transaction. Further, the ORF marketplace as a whole to collect the Statement of the Terms of Substance of will be assessed on transactions that are ORF from clearing members. the Proposed Rule Change not executed by a Member, but are As discussed below, the Exchange The Exchange is filing a proposal rule ultimately cleared by a Member. The believes it is appropriate to charge the change to amend the MIAX PEARL Fee Exchange notes that, in the limited ORF only to transactions that clear as Schedule (the ‘‘Fee Schedule’’) by circumstance in which a Member customer at the OCC. The Exchange establishing an Options Regulatory Fee executes or clears a transaction and then believes that its broad regulatory (‘‘ORF’’). ‘‘gives-up’’ or ‘‘CMTAs’’ the trade to a responsibilities with respect to a While changes to the Fee Schedule non-member of MIAX PEARL (which Member’s activities supports applying pursuant to this proposal are effective non-member becomes the ultimate the ORF to transactions cleared but not upon filing, the Exchange has clearing firm for the transaction), MIAX executed by a Member. The Exchange’s designated these changes to be operative PEARL will collect the ORF from such regulatory responsibilities are the same February 6, 2017. non-member involving [sic] that regardless of whether a Member The text of the proposed rule change transaction. However, for the avoidance executes a transaction or clears a is available on the Exchange’s Web site of doubt, the Exchange will not assess transaction executed on its behalf. The at http://www.miaxoptions.com/rule- the ORF when the transaction is not Exchange regularly reviews all such executed on the Exchange and neither activities, including performing 143 17 CFR 200.30–3(a)(12). the executing clearing firm nor the surveillance for position limit 1 15 U.S.C. 78s(b)(1). ultimate clearing firm (e.g., such as violations, manipulation, front-running, 2 17 CFR 240.19b–4. when the Member is ‘‘given-up’’ or contrary exercise advice violations and

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insider trading. These activities span (‘‘COATS’’) 3 system in order to surveil irrespective of where their transactions across multiple exchanges. a Member’s activities across markets. take place, supports a regulatory fee The ORF is designed to recover a In addition to its own surveillance applicable to transactions on other material portion of the costs to the programs, the Exchange works with markets. Unlike FINRA’s Trading Exchange of the supervision and other SROs and exchanges on Activity Fee, the ORF would apply only regulation of Members’ customer intermarket surveillance related issues. to a Member’s customer options options business, including performing Through its participation in the transactions. routine surveillances and investigations, Intermarket Surveillance Group Additionally, the Exchange proposes as well as policy, rulemaking, (‘‘ISG’’),4 the Exchange shares to specify in the Fee Schedule that the interpretive and enforcement activities. information and coordinates inquiries Exchange may only increase or decrease The Exchange believes that revenue and investigations with other exchanges the ORF semi-annually, and any such generated from the ORF, when designed to address potential fee change will be effective on the first combined with all of the Exchange’s intermarket manipulation and trading business day of February or August. In other regulatory fees and fines, will abuses. The Exchange’s participation in addition to submitting a proposed rule cover a material portion, but not all, of ISG helps it to satisfy the requirement change to the Commission as required the Exchange’s regulatory costs. The that it has coordinated surveillance with by the Act to increase or decrease the Exchange notes that its regulatory markets on which security futures are ORF, the Exchange will notify responsibilities with respect to Member traded and markets on which any participants via a Regulatory Circular of compliance with options sales practice security underlying security futures are any anticipated change in the amount of rules have been allocated to the traded to detect manipulation and the fee at least 30 calendar days prior to Financial Industry Regulatory Authority insider trading.5 the effective date of the change. The (‘‘FINRA’’) under a 17d–2 Agreement. The Exchange believes that charging Exchange believes that by providing The ORF is not designed to cover the the ORF across markets will avoid guidance on the timing of any changes cost of options sales practice regulation. having Members direct their trades to to the ORF, the Exchange would make The Exchange will continue to other markets in order to avoid the fee it easier for participants to ensure their monitor the amount of revenue and to thereby avoid paying for their fair systems are configured to properly collected from the ORF to ensure that it, share for regulation. If the ORF did not account for the ORF. in combination with its other regulatory apply to activity across markets then a 2. Statutory Basis fees and fines, does not exceed the Member would send their orders to the MIAX PEARL believes that its Exchange’s total regulatory costs. The least cost, least regulated exchange. proposal to amend its Fee Schedule is Exchange expects to monitor MIAX Other exchanges do impose a similar fee consistent with Section 6(b) of the Act 8 PEARL regulatory costs and revenues at on their member’s activity, including in general, and furthers the objectives of a minimum on a semi-annual basis. If the activity of those members on MIAX Section 6(b)(4) of the Act 9 in particular, the Exchange determines regulatory PEARL.6 in that it is an equitable allocation of revenues exceed or are insufficient to The Exchange notes that there is reasonable dues, fees, and other charges cover a material portion of its regulatory established precedent for an SRO among its members and issuers and costs, the Exchange will adjust the ORF charging a fee across markets, namely, other persons using its facilities. The by submitting a fee change filing to the FINRAs Trading Activity Fee 7 and the Exchange also believes the proposal Commission. The Exchange will notify NYSE Amex, NYSE Arca, CBOE, PHLX, furthers the objectives of Section 6(b)(5) Members of adjustments to the ORF via ISE, ISE Gemini and BOX ORF. While of the Act 10 in that it is designed to regulatory circular at least 30 days prior the Exchange does not have all the same promote just and equitable principles of to the effective date of the change. regulatory responsibilities as FINRA, the trade, to remove impediments to and The Exchange believes it is reasonable Exchange believes that, like other perfect the mechanism of a free and and appropriate for the Exchange to exchanges that have adopted an ORF, its open market and a national market charge the ORF for options transactions broad regulatory responsibilities with system, and, in general to protect regardless of the exchange on which the respect to a Member’s activities, investors and the public interest and is transactions occur. The Exchange has a 3 not designed to permit unfair statutory obligation to enforce COATS effectively enhances intermarket discrimination between customers, compliance by Members and their options surveillance by enabling the options exchanges to reconstruct the market promptly to issuers, brokers and dealers. associated persons under the Act and effectively surveil certain rules. The Exchange believes the ORF is the rules of the Exchange and to surveil 4 ISG is an industry organization formed in 1983 equitable and not unfairly for other manipulative conduct by to coordinate intermarket surveillance among the discriminatory because it is objectively market participants (including non- SROs by co-operatively sharing regulatory information pursuant to a written agreement allocated to Members in that it is Members) trading on the Exchange. The between the parties. The goal of the ISG’s charged to all Members on all their Exchange cannot effectively surveil for information sharing is to coordinate regulatory transactions that clear as customer at the such conduct without looking at and efforts to address potential intermarket trading OCC. Moreover, the Exchange believes evaluating activity across all options abuses and manipulations. 5 the ORF ensures fairness by assessing markets. Many of the Exchange’s market See Section 6(h)(3)(I) of the Act. 6 Similar regulatory fees have been instituted by fees to those Members that are directly surveillance programs require the PHLX (See Securities Exchange Act Release No. based on the amount of customer Exchange to look at and evaluate 61133 (December 9, 2009), 74 FR 66715 (December options business they conduct. activity across all options markets, such 16, 2009) (SR–Phlx–2009–100)); ISE (See Securities Regulating customer trading activity is as surveillance for position limit Exchange Act Release No. 61154 (December 11, 2009), 74 FR 67278 (December 18, 2009) (SR–ISE– much more labor intensive and requires violations, manipulation, front-running 2009–105)); and ISE Gemini (See Securities greater expenditure of human and and contrary exercise advice violations/ Exchange Act Release No. 70200 (August 14, 2013) technical resources than regulating non- expiring exercise declarations. Also, the 78 FR 51242 (August 20, 2013) (SR–Topaz–2013– Exchange and the other options 01)). 7 See Securities Exchange Act Release No. 47946 8 15 U.S.C. 78f(b). exchanges are required to populate a (May 30, 2003), 68 FR 34021 (June 6, 2003) (SR– 9 15 U.S.C. 78f(b)(4). consolidated options audit trail NASD–2002–148). 10 15 U.S.C. 78f(b)(5).

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customer trading activity, which tends exceed regulatory costs. Unilateral • Send an email to rule-comments@ to be more automated and less labor- action by MIAX PEARL in establishing sec.gov. Please include File No. SR– intensive. As a result, the costs fees for services provided to its PEARL–2017–09 on the subject line. associated with administering the Members and others using its facilities customer component of the Exchange’s will not have an impact on competition. Paper Comments overall regulatory program are As a new entrant in the already highly • Send paper comments in triplicate materially higher than the costs competitive environment for equity to Secretary, Securities and Exchange associated with administering the non- options trading, MIAX PEARL does not Commission, 100 F Street NE., customer component (e.g., Member have the market power necessary to set Washington, DC 20549–1090. proprietary transactions) of its prices for services that are unreasonable regulatory program. or unfairly discriminatory in violation All submissions should refer to File No. The ORF is designed to recover a of the Act. MIAX PEARL’s proposed SR–PEARL–2017–09. This file number material portion of the costs of ORF, as described herein, are should be included on the subject line supervising and regulating Members’ comparable to fees charged by other if email is used. To help the customer options business including options exchanges for the same or Commission process and review your performing routine surveillances, similar services. The proposal to limit comments more efficiently, please use investigations, examinations, financial the changes to the ORF to twice a year only one method. The Commission will monitoring, and policy, rulemaking, on specific dates with advance notice is interpretive, and enforcement activities. post all comments on the Commission’s not intended to address a competitive Internet Web site (http://www.sec.gov/ The Exchange will monitor, on at least issue but rather to provide Members a semi-annual basis the amount of rules/sro.shtml). Copies of the with better notice of any change that the submission, all subsequent revenue collected from the ORF to Exchange may make to the ORF. ensure that it, in combination with its amendments, all written statements other regulatory fees and fines, does not C. Self-Regulatory Organization’s with respect to the proposed rule exceed the Exchange’s total regulatory Statement on Comments on the change that are filed with the costs. The Exchange has designed the Proposed Rule Change Received From Commission, and all written ORF to generate revenues that, when Members, Participants, or Others communications relating to the combined with all of the Exchange’s proposed rule change between the other regulatory fees, will be less than Written comments were neither Commission and any person, other than solicited nor received. or equal to the Exchange’s regulatory those that may be withheld from the costs, which is consistent with the III. Date of Effectiveness of the public in accordance with the Commission’s view that regulatory fees Proposed Rule Change and Timing for provisions of 5 U.S.C. 552, will be be used for regulatory purposes and not Commission Action available for Web site viewing and to support the Exchange’s business side. printing in the Commission’s Public In this regard, the Exchange believes The foregoing rule change has become Reference Room, 100 F Street NE., that the initial level of the fee is effective pursuant to Section Washington, DC 20549, on official reasonable. 11 19(b)(3)(A)(ii) of the Act, and Rule business days between the hours of The Exchange believes that the 19b–4(f)(2) 12 thereunder. At any time 10:00 a.m. and 3:00 p.m. Copies of the proposal to limit changes to the ORF to within 60 days of the filing of the filing also will be available for twice a year on specific dates with proposed rule change, the Commission advance notice is reasonable because it summarily may temporarily suspend inspection and copying at the principal will give participants certainty on the such rule change if it appears to the office of the Exchange. All comments timing of changes, if any, and better Commission that such action is received will be posted without change; enable them to properly account for necessary or appropriate in the public the Commission does not edit personal ORF charges among their customers. interest, for the protection of investors, identifying information from The Exchange believes that the or otherwise in furtherance of the submissions. You should submit only proposed change is equitable and not purposes of the Act. If the Commission information that you wish to make unfairly discriminatory because it will takes such action, the Commission shall available publicly. All submissions apply in the same manner to all institute proceedings to determine should refer to File No. SR–PEARL– Members that are subject to the ORF and whether the proposed rule should be 2017–09, and should be submitted on or provide them with additional advance approved or disapproved. before March 14, 2017. notice of changes to that fee. IV. Solicitation of Comments For the Commission, by the Division of B. Self-Regulatory Organization’s Trading and Markets, pursuant to delegated Statement on Burden on Competition Interested persons are invited to authority.13 The Exchange does not believe that submit written data, views, and Eduardo A. Aleman, the proposed rule change will impose arguments concerning the foregoing, Assistant Secretary. including whether the proposed rule any burden on competition not [FR Doc. 2017–03300 Filed 2–17–17; 8:45 am] change is consistent with the Act. necessary or appropriate in furtherance BILLING CODE 8011–01–P of the purposes of the Act. The ORF is Comments may be submitted by any of not intended to have any impact on the following methods: competition. Rather, it is designed to Electronic Comments enable the Exchange to recover a material portion of the Exchange’s cost • Use the Commission’s Internet related to its regulatory activities. The comment form (http://www.sec.gov/ Exchange is obligated to ensure that the rules/sro.shtml); or amount of regulatory revenue collected from the ORF, in combination with its 11 15 U.S.C. 78s(b)(3)(A)(ii). other regulatory fees and fines, does not 12 17 CFR 240.19b–4(f)(2). 13 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE statements may be examined at the Fee Codes EA or ER COMMISSION places specified in Item IV below. The Exchange has prepared summaries, set An Internalized Trade is a trade [Release No. 34–80034; File No. SR– where the two orders inadvertently BatsEDGX–2017–09] forth in Sections A, B, and C below, of the most significant parts of such match against each other and share the Self-Regulatory Organizations; Bats statements. same Market Participant Identifier EDGX Exchange, Inc.; Notice of Filing (‘‘MPID’’). Fee code EA is appended to A. Self-Regulatory Organization’s side of an Internalized Trade that adds and Immediate Effectiveness of a Statement of the Purpose of, and the Proposed Rule Change to Fees for Use liquidity, while fee code ER is appended Statutory Basis for, the Proposed Rule to the side of an Internalized Trade that of Use of the Exchange’s Equities Change Platform removes liquidity. Orders that yield fee 1. Purpose codes EA or ER are charged a fee of February 14, 2017. The Exchange proposes to amend its $0.00045 per share in securities priced Pursuant to Section 19(b)(1) of the fee schedule to: (i) Increase the standard at or above $1.00 and 0.15% of the Securities Exchange Act of 1934 (the rate to remove liquidity to $0.0030 per dollar value of the trade in securities ‘‘Act’’),1 and Rule 19b–4 thereunder,2 share; (ii) increase the rate for orders priced below $1.00. The Exchange now notice is hereby given that on February that yield fee codes EA or ER; (iii) add proposes to increase the fee for orders 1, 2017, Bats EDGX Exchange, Inc. (the a definition for the term ‘‘Step-Up Add that yield fee codes EA or ER in ‘‘Exchange’’ or ‘‘EDGX’’) filed with the TCV; and (iii) add a new Step-Up Tier securities priced at or above $1.00 to Securities and Exchange Commission 14 under footnote 1. $0.00050 per share. (‘‘Commission’’) the proposed rule change as described in Items I, II and III Standard Removal Rate Step-Up Add Volume Tier below, which Items have been prepared 6 7 8 9 Currently, fee codes 6, BB, N, PR, The Exchange proposes to add a by the Exchange. The Exchange has 10 11 W and ZR of the Exchange’s fee definition for the term ‘‘Step-Up Add designated the proposed rule change as schedule set for the standard rate of TCV and add a new Step-Up Tier under one establishing or changing a member $0.0029 charged per share to orders that footnote 1. due, fee, or other charge imposed by the remove liquidity from the Exchange in First, the Exchange proposes to define Exchange under Section 19(b)(3)(A)(ii) securities priced equal to or greater than of the Act 3 and Rule 19b–4(f)(2) the term ‘‘Step-Up Add TCV’’ as $1.00. The Exchange now proposes to 15 16 thereunder,4 which renders the increase the standard rate for orders in ‘‘ADAV as a percentage of TCV in proposed rule change effective upon securities priced equal to or greater than the relevant baseline month subtracted filing with the Commission. The $1.00 that remove liquidity from the from current ADAV as a percentage of Commission is publishing this notice to Exchange to $0.0030 per share.12 TCV.’’ solicit comments on the proposed rule Therefore, the Exchange proposes to Second, the Exchange proposes to add change from interested persons. increase the rate under fee codes 6, BB, a new tier under footnote 1 of the fee I. Self-Regulatory Organization’s N, PR, W and ZR from $0.0029 to schedule to be known as ‘‘Step-Up Tier Statement of the Terms of Substance of $0.0030 per share. The Exchange also 1’’ [sic]. By way of background, the the Proposed Rule Change proposes to update the Standard Rates Exchange determines the liquidity table accordingly to reflect new adding rebate that it will provide to The Exchange filed a proposal to standard rate.13 Members using the Exchange’s tiered amend the fee schedule applicable to pricing structure. Under such pricing Members 5 and non-members of the 6 As described in the Exchange’s fee schedule, structure, a Member will receive a Exchange pursuant to EDGX Rules orders that remove liquidity from the Exchange rebate of anywhere between $0.0025 15.1(a) and (c). during the pre and post market yield fee code 6 and and $0.0033 per share executed, The text of the proposed rule change are charged the standard removal rate of $0.0029 depending on the volume tier for which is available at the Exchange’s Web site per share. 7 As described in the Exchange’s fee schedule, such Member qualifies under footnote 1 at www.batstrading.com, at the orders that remove liquidity from the Exchange in of the fee schedule. Under the proposed principal office of the Exchange, and at Tape B securities yield fee code BB and are charged Step-Up Tier, a Member would receive the Commission’s Public Reference the standard removal rate of $0.0029 per share. 8 a rebate of $0.0032 per share for orders Room. As described in the Exchange’s fee schedule, orders that remove liquidity from the Exchange in that add liquidity where that Member II. Self-Regulatory Organization’s Tape C securities yield fee code N and are charged adds an ADV 17 equal to or greater than Statement of the Purpose of, and the standard removal rate of $0.0029 per share. 0.40% of the TCV and has a Step-Up Statutory Basis for, the Proposed Rule 9 As described in the Exchange’s fee schedule, orders that remove liquidity from the Exchange Add TCV from January 2017 equal to or Change utilizing the ROUQ routing strategy yield fee code greater than 0.10%. In its filing with the Commission, the PR and are charged the standard removal rate of $0.0029 per share. The ROUQ routing strategy is Implementation Date Exchange included statements described in Exchange Rule 11.11(b)(3)(D). concerning the purpose of and basis for 10 As described in the Exchange’s fee schedule, The Exchange proposes to implement the proposed rule change and discussed orders that remove liquidity from the Exchange in the above changes to its fee schedule on any comments it received on the Tape A securities yield fee code W and are charged February 1, 2017. proposed rule change. The text of these the standard removal rate of $0.0029 per share. 11 As described in the Exchange’s fee schedule, Retail Orders that remove liquidity from the Table because, as described above, fee code PR sets 1 15 U.S.C. 78s(b)(1). Exchange yield fee code ZR and are charged the forth a standard rate for removing liquidity from the 2 17 CFR 240.19b–4. standard removal rate of $0.0029 per share. Retail Exchange. 3 15 U.S.C. 78s(b)(3)(A)(ii). Orders are defined in Exchange Rule 11.21(a)(2). 14 The Exchange does not proposes [sic] to amend 4 17 CFR 240.19b–4(f)(2). 12 The Exchange does not proposes to amend the the rate for orders in securities priced below $1.00 5 The term ‘‘Member’’ is defined as ‘‘any standard removal rate for orders in securities priced that yield fee codes EA or ER. registered broker or dealer that has been admitted below $1.00. 15 As defined in the Exchange’s fee schedule. to membership in the Exchange.’’ See Exchange 13 The Exchange also proposes to add fee code PR 16 As defined in the Exchange’s fee schedule. Rule 1.5(n). to the Standard Fee Code row of the Standard Rates 17 As defined in the Exchange’s fee schedule.

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2. Statutory Basis for the increase to the standard removal pool, offering additional flexibility for rate, the proposed increase will allow all investors to enjoy cost savings, The Exchange believes that the the Exchange to utilize the additional supporting the quality of price proposed rule change is consistent with revenue to offset providing volume discovery, promoting market the requirements of the Act and the based enhanced rebates for removing transparency and improving investor rules and regulations thereunder that liquidity as proposed herein. protection. Such pricing programs are applicable to a national securities thereby reward a Member’s growth exchange, and, in particular, with the Step-Up Add Volume Tier 18 pattern on the Exchange and such requirements of Section 6 of the Act. The Exchange believes that its increased volume increases potential Specifically, the Exchange believes that proposed definition of Step-Up Add revenue to the Exchange, and will allow the proposed rule change is consistent TCV and the new Step-Up Tier provide 19 the Exchange to continue to provide and with Section 6(b)(4) of the Act, in that for the equitable allocation of reasonable potentially expand the incentive it provides for the equitable allocation dues, fees and other charges among its programs operated by the Exchange. of reasonable dues, fees and other Members and other persons using its Specifically, the Exchange believes the charges among members and other facilities. The Exchange notes that it level of the enhanced rebate provided persons using any facility or system operates in a highly-competitive market by the tier reasonably reflects the which the Exchange operates or in which market participants can criteria necessary to achieve the tier. For controls. The Exchange notes that it readily direct order flow to competing example, a Member would receive a operates in a highly competitive market venues if they deem fee levels at a rebate of $0.0032 per share where they in which market participants can particular venue to be excessive. The not only add an ADV equal to or greater readily direct order flow to competing proposed rule changes reflect a than 0.40% of the TCV, but also has a venues if they deem fee levels to be competitive pricing structure designed Step-Up Add TCV from January 2017 excessive. The Exchange also believes to incent market participants to direct equal to or greater than 0.10%. that each of the proposed amendments their order flow to the Exchange. are non-discriminatory because each In particular, the Exchange believes B. Self-Regulatory Organization’s will apply uniformly to all Members. the definition of Step-Up Add TCV is Statement on Burden on Competition equitable and reasonable as it is Standard Removal Rate The Exchange believes the proposed identical to the same defined term on amendments to its fee schedule would The Exchange believes that its BZX.23 Volume-based rebates such as not impose any burden on competition proposal to increase the standard fee that proposed herein have been widely that is not necessary or appropriate in charged for orders that remove liquidity adopted by exchanges, including the furtherance of the purposes of the Act. from the Exchange is reasonable and Exchange, and are equitable because To the contrary, the Exchange has equitable because it will allow the they are open to all Members on an designed the proposed amendments to Exchange to utilize the additional equal basis and provide additional its fee schedule in order to enhance its revenue to offset providing volume benefits or discounts that are reasonably ability to compete with other exchanges. based enhanced rebates for removing related to: (i) The value to an exchange’s Rather, the proposal as a whole is a liquidity as proposed herein. In market quality; (ii) associated higher competitive proposal that is seeking addition, the Exchange notes that the levels of market activity, such as higher further the growth of the Exchange. The proposed standard removal rate is levels of liquidity provision and/or Exchange has structured the proposed consistent with Rule 610(c)(1) of growth patterns; and (iii) introduction of fees and rebates to attract certain Regulation NMS 20 and is equal to the higher volumes of orders into the price additional volume in both Customer and standard remove rate charged by other and volume discovery processes. The certain Non-Customer orders, however, exchange to remove liquidity in Exchange believes that the proposed tier the Exchange believes that its pricing for securities priced at or above $1.00.21 is a reasonable, fair and equitable, and all capacities is competitive with that not unfairly discriminatory allocation of offered by other options exchanges. Fee Codes EA or ER fees and rebates because it will continue Additionally, Members may opt to The Exchange believes that its to provide Members with an incentive disfavor the Exchange’s pricing if they proposal to increase the fees charged for to reach certain thresholds on the believe that alternatives offer them Internalized Orders is reasonable and Exchange. better value. Accordingly, the Exchange equitable because the charge for In particular, the Exchange believes does not believe that the proposed Members inadvertently matching with the proposed Step-Up Tier is a change will impair the ability of themselves will continue to be no more reasonable means to encourage Members or competing venues to favorable than the Exchange’s maker/ Members to increase their liquidity on maintain their competitive standing in taker spread enabling the Exchange to the Exchange. The Exchange further the financial markets. In particular, the continue to discourage potential wash believes that the proposed Step-Up Tier Exchange believes that the proposed sales.22 In addition, like as stated above represents an equitable allocation of tiers contribute to, rather than burden reasonable dues, fees, and other charges competition, as such changes are 18 15 U.S.C. 78f. because the thresholds necessary to broadly intended to incentivize 19 15 U.S.C. 78f(b)(4). achieve the tier encourages Members to participants to increase their 20 17 CFR 242. 610(c)(1). add increased liquidity to the EDGX participation on the Exchange, which 21 See Nasdaq Stock Market LLC’s fee schedule Book 24 each month. The increased will increase the liquidity and market available at http://www.nasdaqtrader.com/ liquidity benefits all investors by quality on the Exchange, which will Trader.aspx?id=PriceListTrading2, NYSE Arca fee deepening the Exchange’s liquidity schedule available at https://www.nyse.com/ then further enhance the Exchange’s publicdocs/nyse/markets/nyse-arca/NYSE_Arca_ ability to compete with other exchanges. Marketplace_Fees.pdf, and the Bats BZX Exchange, favorable than the Exchange’s prevailing maker/ Likewise, the proposed changes to the Inc.’s (‘‘BZX’’) fee schedule available at http:// taker spread. standard removal rates and rates for www.bats.com/us/equities/membership/fee_ 23 See the BZX fee schedule available at http:// schedule/bzx/. www.bats.com/us/equities/membership/fee_ Internalized Trades should not have any 22 The Exchange will continue to ensure that the schedule/bzx/. burden on competition on competition fees applicable to Internalized Trades are no more 24 See Exchange Rule 1.5(d). [sic] as they are in line with that

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charged by other exchanger or is change that are filed with the APPLICANTS: Brinker Capital designed to continue to discourage Commission, and all written Destinations Trust (the ‘‘Trust’’), a potential wash sales. communications relating to the Delaware statutory trust registered proposed rule change between the under the Act as an open-end C. Self-Regulatory Organization’s Commission and any person, other than management investment company with Statement on Comments on the those that may be withheld from the multiple series, and Brinker Capital, Proposed Rule Change Received From public in accordance with the Inc., a Delaware corporation registered Members, Participants, or Others provisions of 5 U.S.C. 552, will be as an investment adviser under the The Exchange has not solicited, and available for Web site viewing and Investment Advisers Act of 1940 does not intend to solicit, comments on printing in the Commission’s Public (‘‘Brinker’’ or the ‘‘Adviser,’’ and, this proposed rule change. The Reference Room, 100 F Street NE., collectively with the Trust, the Exchange has not received any written Washington, DC 20549, on official ‘‘Applicants’’). comments from members or other business days between the hours of FILING DATES: The application was filed interested parties. 10:00 a.m. and 3:00 p.m. Copies of the December 1, 2016, and amended on filing also will be available for III. Date of Effectiveness of the February 1, 2017 and February 10, 2017. inspection and copying at the principal Proposed Rule Change and Timing for office of the Exchange. All comments HEARING OR NOTIFICATION OF HEARING: An Commission Action received will be posted without change; order granting the application will be The foregoing rule change has become the Commission does not edit personal issued unless the Commission orders a effective pursuant to Section 19(b)(3)(A) identifying information from hearing. Interested persons may request of the Act 25 and paragraph (f) of Rule submissions. You should submit only a hearing by writing to the 19b–4 thereunder.26 At any time within information that you wish to make Commission’s Secretary and serving 60 days of the filing of the proposed rule available publicly. All submissions applicants with a copy of the request, change, the Commission summarily may should refer to File Number SR– personally or by mail. Hearing requests temporarily suspend such rule change if BatsEDGX–2017–09, and should be should be received by the Commission it appears to the Commission that such submitted on or before March 14, 2017. by 5:30 p.m. on March 14, 2017, and action is necessary or appropriate in the should be accompanied by proof of For the Commission, by the Division of service on the applicants, in the form of public interest, for the protection of Trading and Markets, pursuant to delegated investors, or otherwise in furtherance of authority.27 an affidavit or, for lawyers, a certificate of service. Pursuant to rule 0–5 under the purposes of the Act. Eduardo A. Aleman, the Act, hearing requests should state Assistant Secretary. IV. Solicitation of Comments the nature of the writer’s interest, any Interested persons are invited to [FR Doc. 2017–03299 Filed 2–17–17; 8:45 am] facts bearing upon the desirability of a submit written data, views, and BILLING CODE 8011–01–P hearing on the matter, the reason for the arguments concerning the foregoing, request, and the issues contested. Persons who wish to be notified of a including whether the proposed rule SECURITIES AND EXCHANGE hearing may request notification by change is consistent with the Act. COMMISSION Comments may be submitted by any of writing to the Commission’s Secretary. the following methods: [Investment Company Act Release No. ADDRESSES: Secretary, U.S. Securities 32479; File No. 812–14718] Electronic Comments and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090. • Use the Commission’s Internet Brinker Capital Destinations Trust, et al.; Notice of Application Applicants: Jason B. Moore, Brinker comment form (http://www.sec.gov/ Capital Destinations Trust, 1055 rules/sro.shtml); or February 14, 2017. Westlakes Drive, Berwyn, PA 19312; • Send an email to rule-comments@ AGENCY: Securities and Exchange and John J. O’Brien, Esq., Morgan, Lewis sec.gov. Please include File Number SR– Commission (‘‘Commission’’). & Bockius LLP, 1701 Market Street, BatsEDGX–2017–09 on the subject line. ACTION: Notice of an application under Philadelphia, PA 19103. Paper Comments section 6(c) of the Investment Company FOR FURTHER INFORMATION CONTACT: Act of 1940 (‘‘Act’’) for an exemption • Send paper comments in triplicate Jennifer O. Palmer, Senior Counsel, at from section 15(a) of the Act and rule to Secretary, Securities and Exchange (202) 551–5786, or Nadya Roytblat, 18f–2 under the Act, as well as from Commission, 100 F Street NE., Assistant Chief Counsel, at (202) 551– certain disclosure requirements in rule Washington, DC 20549–1090. 6821 (Division of Investment 20a–1 under the Act, Item 19(a)(3) of Management, Chief Counsel’s Office). All submissions should refer to File Form N–1A, Items 22(c)(1)(ii), SUPPLEMENTARY INFORMATION: The Number SR–BatsEDGX–2017–09. This 22(c)(1)(iii), 22(c)(8) and 22(c)(9) of file number should be included on the following is a summary of the Schedule 14A under the Securities application. The complete application subject line if email is used. To help the Exchange Act of 1934, and Sections 6– Commission process and review your may be obtained via the Commission’s 07(2)(a), (b), and (c) of Regulation S–X Web site by searching for the file comments more efficiently, please use (‘‘Disclosure Requirements’’). The only one method. The Commission will number, or an applicant using the requested exemption would permit an Company name box, at http:// post all comments on the Commission’s investment adviser to hire and replace Internet Web site (http://www.sec.gov/ www.sec.gov/search/search.htm or by certain sub-advisers without calling (202) 551–8090. rules/sro.shtml ). Copies of the shareholder approval and grant relief submission, all subsequent from the Disclosure Requirements as Summary of the Application amendments, all written statements they relate to fees paid to the sub- with respect to the proposed rule 1. The Adviser will serve as the advisers. investment adviser to the Subadvised 25 15 U.S.C. 78s(b)(3)(A). Series pursuant to an investment 26 17 CFR 240.19b–4(f). 27 17 CFR 200.30–3(a)(12). advisory agreement with the Trust (the

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‘‘Advisory Agreement’’).1 The Adviser subject to the terms and conditions ‘‘Act’’),1 and Rule 19b–4 thereunder,2 will provide the Subadvised Series with stated in the Application. Such terms notice is hereby given that on January continuous and comprehensive and conditions provide for, among other 31, 2017, Bats BZX Exchange, Inc. (the investment management services subject safeguards, appropriate disclosure to ‘‘Exchange’’ or ‘‘BZX’’) filed with the to the supervision of, and policies Subadvised Series shareholders and Securities and Exchange Commission established by, each Subadvised Series’ notification about sub-advisory changes (‘‘Commission’’) the proposed rule board of trustees (‘‘Board’’). The and enhanced Board oversight to protect change as described in Items I and II Advisory Agreement permits the the interests of the Subadvised Series’ below, which Items have been prepared Adviser, subject to the approval of the shareholders. by the Exchange. The Commission is Board, to delegate to one or more sub- 4. Section 6(c) of the Act provides that publishing this notice to solicit advisers (each, a ‘‘Sub-Adviser’’ and the Commission may exempt any comments on the proposed rule change collectively, the ‘‘Sub-Advisers’’) the person, security, or transaction or any from interested persons. responsibility to provide the day-to-day class or classes of persons, securities, or I. Self-Regulatory Organization’s portfolio investment management of transactions from any provisions of the each Subadvised Series, subject to the Statement of the Terms of Substance of Act, or any rule thereunder, if such supervision and direction of the the Proposed Rule Change relief is necessary or appropriate in the Adviser. The primary responsibility for The Exchange filed a proposed rule public interest and consistent with the managing the Subadvised Series will change to list and trade shares of the protection of investors and purposes remain vested in the Adviser. The iShares iBonds Dec 2024 AMT-Free fairly intended by the policy and Adviser will hire, evaluate, allocate Muni Bond ETF, iShares iBonds Dec provisions of the Act. Applicants assets to and oversee the Sub-Advisers, 2025 AMT-Free Muni Bond ETF, and believe that the requested relief meets including determining whether a Sub- iShares iBonds Dec 2026 AMT-Free this standard because, as further Adviser should be terminated, at all Muni Bond ETF (each a ‘‘Fund’’ or, explained in the Application, the times subject to the authority of the collectively, the ‘‘Funds’’) of the iShares Advisory Agreements will remain Board. U.S. ETF Trust (the ‘‘Trust’’ or the subject to shareholder approval, while 2. Applicants request an exemption to ‘‘Issuer’’) under Bats Rule 14.11(i) the role of the Sub-Advisers is permit the Adviser, subject to Board (‘‘Managed Fund Shares’’). The shares of substantially similar to that of approval, to hire certain Sub-Advisers the Funds are referred to herein as the individual portfolio managers, so that pursuant to Sub-Advisory Agreements ‘‘Shares.’’ requiring shareholder approval of Sub- and materially amend existing Sub- The text of the proposed rule change Advisory Agreements would impose Advisory Agreements without obtaining is available at the Exchange’s Web site unnecessary delays and expenses on the the shareholder approval required under at www.bats.com, at the principal office Subadvised Series. Applicants believe section 15(a) of the Act and rule 18f–2 of the Exchange, and at the 2 that the requested relief from the under the Act. Applicants also seek an Commission’s Public Reference Room. exemption from the Disclosure Disclosure Requirements meets this Requirements to permit a Subadvised standard because it will improve the II. Self-Regulatory Organization’s Series to disclose (as both a dollar Adviser’s ability to negotiate fees paid Statement of the Purpose of, and amount and a percentage of the to the Sub-Advisers that are more Statutory Basis for, the Proposed Rule Subadvised Series’ net assets): (a) The advantageous for the Subadvised Series. Change aggregate fees paid to the Adviser and For the Commission, by the Division of In its filing with the Commission, the any Affiliated Sub-Adviser; and (b) the Investment Management, under delegated Exchange included statements aggregate fees paid to Sub-Advisers authority. concerning the purpose of and basis for other than Affiliated Sub-Advisers Eduardo A. Aleman, the proposed rule change and discussed (collectively, ‘‘Aggregate Fee Assistant Secretary. any comments it received on the Disclosure’’). For any Subadvised Series [FR Doc. 2017–03298 Filed 2–17–17; 8:45 am] proposed rule change. The text of these that employs an Affiliated Sub-Adviser, BILLING CODE 8011–01–P statements may be examined at the the Subadvised Series will provide places specified in Item IV below. The separate disclosure of any fees paid to Exchange has prepared summaries, set the Affiliated Sub-Adviser. SECURITIES AND EXCHANGE forth in Sections A, B, and C below, of 3. Applicants agree that any order COMMISSION the most significant parts of such granting the requested relief will be statements.

1 Applicants request relief with respect to any [Release No. 34–80036; File No. SR– A. Self-Regulatory Organization’s existing and any future series of the Trust and any BatsBZX–2017–10] Statement of the Purpose of, and other registered open-end management company or Statutory Basis for, the Proposed Rule series thereof that: (a) Is advised by Brinker or its Self-Regulatory Organizations; Bats successor or by a person controlling, controlled by, Change or under common control with Brinker or its BZX Exchange, Inc.; Notice of Filing of successor (each, also an ‘‘Adviser’’); (b) uses the a Proposed Rule Change To List and 1. Purpose manager of managers structure described in the Trade Shares of the iShares iBonds The Exchange proposes to list and application; and (c) complies with the terms and Dec 2024 AMT-Free Muni Bond ETF, conditions of the application (each, a ‘‘Subadvised trade the Shares under Bats Rule Series’’ and collectively, the ‘‘Subadvised Series’’). iShares iBonds Dec 2025 AMT-Free 14.11(i), which governs the listing and For purposes of the requested order, ‘‘successor’’ is Muni Bond ETF, and iShares iBonds trading of Managed Fund Shares on the limited to an entity that results from a Dec 2026 AMT-Free Muni Bond ETF of Exchange.3 The Funds will be actively reorganization into another jurisdiction or a change the iShares U.S. ETF Trust Under Bats in the type of business organization. 1 2 The requested relief will not extend to any sub- Rule 14.11(i), Managed Fund Shares 15 U.S.C. 78s(b)(1). adviser that is an affiliated person, as defined in 2 17 CFR 240.19b–4. section 2(a)(3) of the Act, of a Subadvised Series or February 14, 2017. 3 The Commission approved Bats Rule 14.11(i) in the Adviser, other than by reason of serving as a Pursuant to Section 19(b)(1) of the Securities Exchange Act Release No. 65225 (August sub-adviser to one or more of the Subadvised Series 30, 2011), 76 FR 55148 (September 6, 2011) (SR– (‘‘Affiliated Sub-Adviser’’). Securities Exchange Act of 1934 (the BATS–2011–018).

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managed funds. The Shares will be personnel who make decisions on the market fund and does not seek to offered by the Trust, which was investment company’s portfolio maintain a stable net asset value of established as a Delaware statutory trust composition must be subject to $1.00 per share. The Fund will be on June 21, 2011. The Trust is registered procedures designed to prevent the use classified as a ‘‘non-diversified’’ with the Commission as an open-end and dissemination of material investment company under the 1940 investment company and has filed a nonpublic information regarding the Act.8 registration statement on behalf of the applicable investment company The Fund intends to qualify each year Funds on Form N–1A (‘‘Registration portfolio. Rule 14.11(i)(7) is similar to as a regulated investment company (a Statement’’) with the Commission.4 Bats Rule 14.11(b)(5)(A)(i), however, ‘‘RIC’’) under Subchapter M of the Rule 14.11(i)(7) in connection with the Description of the Shares and the Funds Internal Revenue Code of 1986, as establishment of a ‘‘fire wall’’ between amended. The Fund will invest its BlackRock Fund Advisors is the the investment adviser and the broker- assets, and otherwise conduct its investment adviser (‘‘BFA’’ or dealer reflects the applicable open-end operations, in a manner that is intended ‘‘Adviser’’) to the Funds.5 State Street fund’s portfolio, not an underlying to satisfy the qualifying income, Bank and Trust Company is the benchmark index, as is the case with diversification and distribution administrator, custodian, and transfer index-based funds. The Adviser is not a requirements necessary to establish and agent (‘‘Administrator,’’ ‘‘Custodian,’’ registered broker-dealer, but is affiliated maintain RIC qualification under and ‘‘Transfer Agent,’’ respectively) for with multiple broker-dealers and has Subchapter M. the Trust. BlackRock Investments, LLC implemented ‘‘fire walls’’ with respect serves as the distributor (‘‘Distributor’’) to such broker-dealers regarding access Principal Holdings—Municipal for the Trust. to information concerning the Securities Bats Rule 14.11(i)(7) provides that, if composition and/or changes to a Fund’s To achieve its objective, the Fund will the investment adviser to the portfolio. In addition, Adviser personnel invest, under normal circumstances, in investment company issuing Managed who make decisions regarding a Fund’s U.S.-dollar denominated investment- Fund Shares is affiliated with a broker- portfolio are subject to procedures grade fixed-rate Municipal Securities, as dealer, such investment adviser shall designed to prevent the use and defined below. The Fund will invest in erect a ‘‘fire wall’’ between the dissemination of material nonpublic both callable and non-callable investment adviser and the broker- information regarding the Fund’s municipal bonds. Investment-grade dealer with respect to access to portfolio. In the event that (a) the securities are rated a minimum of BBB- information concerning the composition Adviser becomes registered as a broker- or higher by Standard & Poor’s Ratings and/or changes to such investment dealer or newly affiliated with another Services and/or Fitch, or Baa3 or higher 6 company portfolio. In addition, Rule broker-dealer, or (b) any new adviser or by Moody’s, or if unrated, determined 14.11(i)(7) further requires that sub-adviser is a registered broker-dealer by the Adviser to be of equivalent or becomes affiliated with a broker- quality.9 Under normal circumstances, 4 See Registration Statement on Form N–1A for dealer, it will implement a fire wall the Trust, dated November 2, 2015 (File Nos. 333– the Fund’s effective duration will vary 179904 and 811–22649). The descriptions of the with respect to its relevant personnel or within one year (plus or minus) of the Funds and the Shares contained herein are based, such broker-dealer affiliate, as effective duration of the securities in part, on information in the Registration applicable, regarding access to comprising the S&P AMT-Free Statement. The Commission has issued an order information concerning the composition granting certain exemptive relief to the Trust under Municipal Series Dec 2024 Index, the Investment Company Act of 1940 (15 U.S.C. and/or changes to the portfolio, and will which, as of December 15, 2015, was 80a–1) (‘‘1940 Act’’) (the ‘‘Exemptive Order’’). See be subject to procedures designed to 7.24 years.10 Investment Company Act Release No. 29571 prevent the use and dissemination of Municipal securities (‘‘Municipal (January 24, 2011) (File No. 812–13601). material non-public information Securities’’) are fixed and variable rate 5 BFA is an indirect wholly owned subsidiary of regarding such portfolio. BlackRock, Inc. securities issued in the U.S. by U.S. 6 An investment adviser to an open-end fund is iShares iBonds Dec 2024 AMT-Free states and territories, municipalities and required to be registered under the Investment Muni Bond ETF other political subdivisions, agencies, Advisers Act of 1940 (the ‘‘Advisers Act’’). As a authorities, and instrumentalities of result, the Adviser and its related personnel are According to the Registration states and multi-state agencies and subject to the provisions of Rule 204A–1 under the Statement, the Fund will seek to authorities and will include only the Advisers Act relating to codes of ethics. This Rule maximize tax-free current income and requires investment advisers to adopt a code of following instruments: General terminate on or around December 2024. ethics that reflects the fiduciary nature of the obligation bonds,11 limited obligation relationship to clients as well as compliance with To achieve its objective, the Fund will other applicable securities laws. Accordingly, 7 invest, under normal circumstances, at 8 The diversification standard is set forth in procedures designed to prevent the communication least 80% of its net assets in Municipal and misuse of non-public information by an Section 5(b)(1) of the 1940 Act. investment adviser must be consistent with Rule Securities, as defined below, such that 9 According to the Adviser, BFA may determine 204A–1 under the Advisers Act. In addition, Rule the interest on each security is exempt that unrated securities are of ‘‘equivalent quality’’ 206(4)–7 under the Advisers Act makes it unlawful from U.S. federal income taxes and the based on such credit quality factors that it deems for an investment adviser to provide investment federal alternative minimum tax (the appropriate, which may include among other advice to clients unless such investment adviser has things, performing an analysis similar, to the extent (i) adopted and implemented written policies and ‘‘AMT’’). The Fund is not a money possible, to that performed by a nationally procedures reasonably designed to prevent recognized statistical ratings organization when violation, by the investment adviser and its 7 The term ‘‘under normal circumstances’’ rating similar securities and issuers. In making such supervised persons, of the Advisers Act and the includes, but is not limited to, the absence of a determination, BFA may consider internal Commission rules adopted thereunder; (ii) adverse market, economic, political, or other analyses and risk ratings, third party research and implemented, at a minimum, an annual review conditions, including extreme volatility or trading analysis, and other sources of information, as regarding the adequacy of the policies and halts in the financial markets; operational issues deemed appropriate by the Adviser. procedures established pursuant to subparagraph (i) causing dissemination of inaccurate market 10 Effective duration is a measure of the Fund’s above and the effectiveness of their information; or force majeure type events such as price sensitivity to changes in yields or interest implementation; and (iii) designated an individual systems failure, natural or man-made disaster, act rates. (who is a supervised person) responsible for of God, armed conflict, act of terrorism, riot, or 11 General obligation bonds are obligations administering the policies and procedures adopted labor disruption, or any similar intervening involving the credit of an issuer possessing taxing under subparagraph (i) above. circumstance. Continued

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bonds (or revenue bonds),12 municipal affiliates) that invest in such Municipal Fund may hold a higher than normal notes,13 municipal commercial paper,14 Securities.22 proportion of its assets in cash in tender option bonds,15 variable rate In the last year of operation, as the response to adverse market, economic or demand obligations (‘‘VRDOs’’),16 bonds held by the Fund mature, the political conditions. municipal lease obligations,17 stripped proceeds will not be reinvested in bonds The Fund intends to qualify each year securities,18 structured securities,19 but instead will be held in cash and as a regulated investment company (a when issued securities,20 zero coupon cash equivalents, including, without ‘‘RIC’’) under Subchapter M of the securities,21 and exchange traded and limitation, shares of affiliated money Internal Revenue Code of 1986, as non-exchange traded investment market funds, AMT-free tax-exempt amended.24 The Fund will invest its companies (including investment municipal notes, VRDOs, tender option assets, and otherwise conduct its companies advised by BFA or its bonds and municipal commercial paper. operations, in a manner that is intended In or around December 2024, the Fund to satisfy the qualifying income, power and are payable from such issuer’s general will wind up and terminate, and its net diversification and distribution revenues and not from any particular source. assets will be distributed to then current requirements necessary to establish and 12 Limited obligation bonds are payable only from shareholders. maintain RIC qualification under the revenues derived from a particular facility or class of facilities or, in some cases, from the The Fund will hold a minimum of 40 Subchapter M. different Municipal Securities proceeds of a special excise or other specific Other Portfolio Holdings revenue source, and also include industrial diversified among issuers in at least 8 development bonds issued pursuant to former U.S. different states with no more than 30% The Fund may also, to a limited federal tax law. Industrial development bonds generally are also revenue bonds and thus are not of the Fund’s assets comprised of extent (under normal circumstances, payable from the issuer’s general revenues. The Municipal Bonds that provide exposure less than 20% of the Fund’s net assets), credit and quality of industrial development bonds to any single state. The Fund will hold engage in transactions in futures are usually related to the credit of the corporate a minimum of 75 different Municipal contracts, options, or swaps in order to user of the facilities. Payment of interest on and repayment of principal of such bonds is the Securities when at least four creation facilitate trading or to reduce responsibility of the corporate user (and/or any units are outstanding. The Fund will transaction costs.25 The Fund’s guarantor). hold a minimum of 100 different investments will be consistent with its 13 Municipal notes are shorter-term municipal Municipal Securities diversified among investment objective and will not be debt obligations that may provide interim financing in anticipation of tax collection, receipt of grants, issuers in at least 20 different states used to achieve leveraged returns (i.e. bond sales, or revenue receipts. when at least eight creation units are two times or three times the Fund’s 14 Municipal commercial paper is generally outstanding. No single Municipal benchmark, as described in the unsecured debt that is issued to meet short-term Security held by the Fund will exceed Registration Statement). financing needs. 4% of the weight of the Fund’s portfolio The Fund may also enter into 15 Tender option bonds are synthetic floating-rate or variable-rate securities issued when long-term and no single issuer of Municipal repurchase and reverse repurchase bonds are purchased in the primary or secondary Securities will account for more than agreements for Municipal Securities market and then deposited into a trust. Custodial 10% of the weight of the Fund’s (collectively, ‘‘Repurchase receipts are then issued to investors, such as the portfolio. The Fund will hold Municipal Agreements’’). Repurchase Agreements Fund, evidencing ownership interests in the trust. involve the sale of securities with an 16 VRDOs are tax-exempt obligations that contain Securities of at least 20 non-affiliated a floating or variable interest rate adjustment issuers. The Fund will hold Municipal agreement to repurchase the securities formula and a right of demand on the part of the Securities of at least 30 non-affiliated at an agreed-upon price, date and holder thereof to receive payment of the unpaid issuers when at least four creation units interest payment and have the principal balance plus accrued interest upon a short 23 notice period not to exceed seven days. are outstanding. To the extent that the characteristics of borrowing as part of 26 17 Municipal lease obligations include certificates Fund at one point has sufficient creation the Fund’s principal holdings. of participation issued by government authorities or units outstanding necessary to trigger a The Fund may also invest in short- entities to finance the acquisition or construction of diversity requirement laid out above (a term instruments (‘‘Short-Term equipment, land, and/or facilities. Instruments’’),27 which includes 18 Stripped securities are created when an issuer ‘‘Trigger Number’’), but subsequently separates the interest and principal components of has fewer creation units outstanding 24 an instrument and sells them as separate securities. than the applicable Trigger Number, the 26 U.S.C. 851. 25 In general, one security is entitled to receive the Fund may no longer comply with the Derivatives might be included in the Fund’s interest payments on the underlying assets and the investments to serve the investment objectives of other to receive the principal payments. applicable diversity requirement. the Fund. Such derivatives include only the 19 Structured securities are privately negotiated In the absence of normal following: Interest rate futures, interest rate options, debt obligations where the principal and/or interest circumstances, the Fund may interest rate swaps, and swaps on Municipal is determined by reference to the performance of an temporarily depart from its normal Securities indexes. The derivatives will be centrally cleared and they will be collateralized. Derivatives underlying investment, index, or reference investment process, provided that such obligation, and may be issued by governmental are not a principal investment strategy of the Fund. agencies. While structured securities are part of the departure is, in the opinion of the 26 The Fund’s exposure to reverse repurchase principal holdings of the Fund, the Issuer Adviser, consistent with the Fund’s agreements will be covered by liquid assets having represents that such securities, when combined investment objective and in the best a value equal to or greater than such commitments. with those instruments held as part of the other The use of reverse repurchase agreements is a form portfolio holdings described below, will not exceed interest of the Fund. For example, the of leverage because the proceeds derived from 20% of the Fund’s net assets. reverse repurchase agreements may be invested in 20 The Fund may purchase or sell securities that 22 The Fund currently anticipates investing in additional securities. As further stated below, the it is entitled to receive on a when issued or delayed only registered open-end investment companies, Fund’s investments will be consistent with its delivery basis as well as through a forward including mutual funds and the open-end investment objective and will not be used to commitment. investment company funds described in Bats Rule achieve leveraged returns. 21 Zero coupon securities are securities that are 14.11. The Fund may invest in the securities of 27 The Fund may invest in Short-Term sold at a discount to par value and do not pay other investment companies to the extent permitted Instruments, including money market instruments, interest during the life of the security. The discount by law. on an ongoing basis to provide liquidity or for other approximates the total amount of interest the 23 For purposes of this filing, each state and each reasons. Money market instruments are generally security will accrue and compound over the period separate political subdivision, agency, authority, or short-term investments that include only the until maturity at a rate of interest reflecting the instrumentality of such state, each multi-state following: (i) Shares of money market funds market rate of the security at the time of issuance. agency or authority, and each guarantor, if any, will (including those advised by BFA or otherwise Upon maturity, the holder of a zero coupon security be treated as separate issuers of Municipal affiliated with BFA); (ii) obligations issued or is entitled to receive the par value of the security. Securities. guaranteed by the U.S. government, its agencies or

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exchange traded and non-exchange Fund will monitor its portfolio liquidity Principal Holdings—Municipal traded investment companies (including on an ongoing basis to determine Securities investment companies advised by BFA whether, in light of current or its affiliates) that invest in money circumstances, an adequate level of To achieve its objective, the Fund will market instruments. liquidity is being maintained, and will invest, under normal circumstances, in U.S.-dollar denominated investment- Investment Restrictions consider taking appropriate steps in order to maintain adequate liquidity if, grade fixed-rate Municipal Securities, as The Fund may hold up to an aggregate through a change in values, net assets, defined below. The Fund will invest in amount of 15% of its net assets in or other circumstances, more than 15% both callable and non-callable illiquid assets (calculated at the time of of the Fund’s net assets are held in municipal bonds. Investment-grade investment), as deemed illiquid by the illiquid assets. Illiquid assets include securities are rated a minimum of BBB- Adviser 28 under the 1940 Act.29 The securities subject to contractual or other or higher by Standard & Poor’s Ratings restrictions on resale and other Services and/or Fitch, or Baa3 or higher instrumentalities (including government-sponsored enterprises); (iii) negotiable certificates of deposit instruments that lack readily available by Moody’s, or if unrated, determined (‘‘CDs’’), bankers’ acceptances, fixed-time deposits markets as determined in accordance by the Adviser to be of equivalent and other obligations of U.S. and non-U.S. banks with Commission staff guidance. quality.32 Under normal circumstances, (including non-U.S. branches) and similar institutions; (iv) commercial paper, including asset- The Fund may also invest up to 20% the Fund’s effective duration will vary backed commercial paper; (v) non-convertible of its net assets in Municipal Securities within one year (plus or minus) of the corporate debt securities (e.g., bonds and that pay interest that is subject to the effective duration of the securities debentures) with remaining maturities at the date comprising the S&P AMT-Free of purchase of not more than 397 days and that AMT. satisfy the rating requirements set forth in Rule 2a– Municipal Series Dec 2025 Index, 7 under the 1940 Act; and (vi) short-term U.S. iShares iBonds Dec 2025 AMT-Free which, as of December 15, 2015, was dollar-denominated obligations of non-U.S. banks Muni Bond ETF 8.26 years.33 (including U.S. branches) that, in the opinion of BFA, are of comparable quality to obligations of According to the Registration Municipal securities (‘‘Municipal U.S. banks which may be purchased by the Fund. Securities’’) are fixed and variable rate All money market securities acquired by the Fund Statement, the Fund will seek to will be rated investment grade. The Fund does not maximize tax-free current income and securities issued in the U.S. by U.S. intend to invest in any unrated money market terminate on or around December 2025. states and territories, municipalities and securities. However, it may do so, to a limited To achieve its objective, the Fund will other political subdivisions, agencies, extent, such as where a rated money market 30 authorities, and instrumentalities of security becomes unrated, if such money market invest, under normal circumstances, security is determined by the Adviser to be of at least 80% of its net assets in states and multi-state agencies and comparable quality. BFA may determine that Municipal Securities, as defined below, authorities and will include only the unrated securities are of comparable quality based such that the interest on each security following instruments: General on such credit quality factors that it deems 34 appropriate, which may include, among other is exempt from U.S. federal income obligation bonds, limited obligation things, performing an analysis similar, to the extent taxes and the federal alternative bonds (or revenue bonds),35 [sic], possible, to that performed by a nationally minimum tax (the ‘‘AMT’’). The Fund is municipal notes,36 municipal recognized statistical rating organization rating similar securities and issuers. not a money market fund and does not 32 28 In reaching liquidity decisions, the Adviser seek to maintain a stable net asset value According to the Adviser, BFA may determine may consider factors including: The frequency of of $1.00 per share. The Fund will be that unrated securities are of ‘‘equivalent quality’’ trades and quotes for the security; the number of based on such credit quality factors that it deems classified as a ‘‘non-diversified’’ appropriate, which may include among other dealers wishing to purchase or sell the security and investment company under the 1940 the number of other potential purchasers; dealer things, performing an analysis similar, to the extent 31 undertakings to make a market in the security; the Act. possible, to that performed by a nationally recognized statistical ratings organization when nature of the security and the nature of the The Fund intends to qualify each year marketplace trades (e.g., the time needed to dispose rating similar securities and issuers. In making such of the security, the method of soliciting offers, and as a regulated investment company (a a determination, BFA may consider internal the mechanics of transfer); any legal or contractual ‘‘RIC’’) under Subchapter M of the analyses and risk ratings, third party research and restrictions on the ability to transfer the security or Internal Revenue Code of 1986, as analysis, and other sources of information, as asset; significant developments involving the issuer deemed appropriate by the Adviser. amended. The Fund will invest its 33 or counterparty specifically (e.g., default, Effective duration is a measure of the Fund’s bankruptcy, etc.) or the securities markets generally; assets, and otherwise conduct its price sensitivity to changes in yields or interest and settlement practices, registration procedures, operations, in a manner that is intended rates. limitations on currency conversion or repatriation, to satisfy the qualifying income, 34 General obligation bonds are obligations and transfer limitations (for foreign securities or diversification and distribution involving the credit of an issuer possessing taxing other assets). power and are payable from such issuer’s general 29 The Commission has stated that long-standing requirements necessary to establish and revenues and not from any particular source. Commission guidelines have required open-end maintain RIC qualification under 35 Limited obligation bonds are payable only from funds to hold no more than 15% of their net assets Subchapter M. the revenues derived from a particular facility or in illiquid securities and other illiquid assets. See class of facilities or, in some cases, from the Investment Company Act Release No. 28193 (March proceeds of a special excise or other specific 11, 2008), 73 FR 14618 (March 18, 2008), footnote 55 FR 17933 (April 30, 1990) (adopting Rule 144A revenue source, and also include industrial 34. See also, Investment Company Act Release No. under the Securities Act of 1933). development bonds issued pursuant to former U.S. 5847 (October 21, 1969), 35 FR 19989 (December 30 The term ‘‘under normal circumstances’’ federal tax law. Industrial development bonds 31, 1970) (Statement Regarding ‘‘Restricted includes, but is not limited to, the absence of generally are also revenue bonds and thus are not Securities’’); Investment Company Act Release No. adverse market, economic, political, or other payable from the issuer’s general revenues. The 18612 (March 12, 1992), 57 FR 9828 (March 20, conditions, including extreme volatility or trading credit and quality of industrial development bonds 1992) (Revisions of Guidelines to Form N–1A). A halts in the financial markets; operational issues are usually related to the credit of the corporate fund’s portfolio security is illiquid if it cannot be causing dissemination of inaccurate market user of the facilities. Payment of interest on and disposed of in the ordinary course of business information; or force majeure type events such as repayment of principal of such bonds is the within seven days at approximately the value systems failure, natural or man-made disaster, act responsibility of the corporate user (and/or any ascribed to it by the fund. See Investment Company of God, armed conflict, act of terrorism, riot, or guarantor). Act Release No. 14983 (March 12, 1986), 51 FR labor disruption, or any similar intervening 36 Municipal notes are shorter-term municipal 9773 (March 21, 1986) (adopting amendments to circumstance. debt obligations that may provide interim financing Rule 2a–7 under the 1940 Act); Investment 31 The diversification standard is set forth in in anticipation of tax collection, receipt of grants, Company Act Release No. 17452 (April 23, 1990), Section 5(b)(1) of the 1940 Act. bond sales, or revenue receipts.

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commercial paper,37 tender option assets will be distributed to then current Other Portfolio Holdings 38 bonds, variable rate demand shareholders. The Fund may also, to a limited 39 obligations (‘‘VRDOs’’), municipal The Fund will hold a minimum of 40 extent (under normal circumstances, 40 41 lease obligations, stripped securities, different Municipal Securities less than 20% of the Fund’s net assets), 42 structured securities, when issued engage in transactions in futures 43 44 diversified among issuers in at least 8 securities, zero coupon securities, different states with no more than 30% contracts, options, or swaps in order to and exchange traded and non-exchange of the Fund’s assets comprised of facilitate trading or to reduce traded investment companies (including Municipal Bonds that provide exposure transaction costs.48 The Fund’s investment companies advised by BFA to any single state. The Fund will hold investments will be consistent with its or its affiliates) that invest in such a minimum of 75 different Municipal investment objective and will not be Municipal Securities.45 Securities when at least four creation used to achieve leveraged returns (i.e. In the last year of operation, as the two times or three times the Fund’s bonds held by the Fund mature, the units are outstanding. The Fund will hold a minimum of 100 different benchmark, as described in the proceeds will not be reinvested in bonds Registration Statement). but instead will be held in cash and Municipal Securities diversified among issuers in at least 20 different states The Fund may also enter into cash equivalents, including, without repurchase and reverse repurchase limitation, shares of affiliated money when at least eight creation units are outstanding. No single Municipal agreements for Municipal Securities market funds, AMT-free tax-exempt (collectively, ‘‘Repurchase municipal notes, VRDOs, tender option Security held by the Fund will exceed 4% of the weight of the Fund’s portfolio Agreements’’). Repurchase Agreements bonds and municipal commercial paper. involve the sale of securities with an In or around December 2025, the Fund and no single issuer of Municipal Securities will account for more than agreement to repurchase the securities will wind up and terminate, and its net at an agreed-upon price, date and 10% of the weight of the Fund’s interest payment and have the 37 portfolio. The Fund will hold Municipal Municipal commercial paper is generally characteristics of borrowing as part of unsecured debt that is issued to meet short-term Securities of at least 20 non-affiliated the Fund’s principal holdings.49 financing needs. issuers. The Fund will hold Municipal 38 Tender option bonds are synthetic floating-rate The Fund may also invest in short- or variable-rate securities issued when long-term Securities of at least 30 non-affiliated term instruments (‘‘Short-Term bonds are purchased in the primary or secondary issuers when at least four creation units Instruments’’),50 which includes market and then deposited into a trust. Custodial are outstanding.46 To the extent that the receipts are then issued to investors, such as the Fund at one point has sufficient creation 48 Derivatives might be included in the Fund’s Fund, evidencing ownership interests in the trust. units outstanding necessary to trigger a 39 VRDOs are tax-exempt obligations that contain investments to serve the investment objectives of a floating or variable interest rate adjustment diversity requirement laid out above (a the Fund. Such derivatives include only the formula and a right of demand on the part of the ‘‘Trigger Number’’), but subsequently following: Interest rate futures, interest rate options, interest rate swaps, and swaps on Municipal holder thereof to receive payment of the unpaid has fewer creation units outstanding principal balance plus accrued interest upon a short Securities indexes. The derivatives will be centrally notice period not to exceed seven days. than the applicable Trigger Number, the cleared and they will be collateralized. Derivatives 40 Fund may no longer comply with the are not a principal investment strategy of the Fund. Municipal lease obligations include certificates 49 of participation issued by government authorities or applicable diversity requirement. The Fund’s exposure to reverse repurchase entities to finance the acquisition or construction of agreements will be covered by liquid assets having equipment, land, and/or facilities. In the absence of normal a value equal to or greater than such commitments. The use of reverse repurchase agreements is a form 41 Stripped securities are created when an issuer circumstances, the Fund may of leverage because the proceeds derived from separates the interest and principal components of temporarily depart from its normal reverse repurchase agreements may be invested in an instrument and sells them as separate securities. investment process, provided that such additional securities. As further stated below, the In general, one security is entitled to receive the Fund’s investments will be consistent with its interest payments on the underlying assets and the departure is, in the opinion of the investment objective and will not be used to other to receive the principal payments. Adviser, consistent with the Fund’s achieve leveraged returns. 42 Structured securities are privately negotiated investment objective and in the best 50 The Fund may invest in Short-Term debt obligations where the principal and/or interest interest of the Fund. For example, the Instruments, including money market instruments, is determined by reference to the performance of an Fund may hold a higher than normal on an ongoing basis to provide liquidity or for other underlying investment, index, or reference reasons. Money market instruments are generally obligation, and may be issued by governmental proportion of its assets in cash in short-term investments that include only the agencies. While structured securities are part of the response to adverse market, economic or following: (i) Shares of money market funds principal holdings of the Fund, the Issuer political conditions. (including those advised by BFA or otherwise represents that such securities, when combined The Fund intends to qualify each year affiliated with BFA); (ii) obligations issued or with those instruments held as part of the other guaranteed by the U.S. government, its agencies or portfolio holdings described below, will not exceed as a regulated investment company (a instrumentalities (including government-sponsored 20% of the Fund’s net assets. ‘‘RIC’’) under Subchapter M of the enterprises); (iii) negotiable certificates of deposit 43 The Fund may purchase or sell securities that (‘‘CDs’’), bankers’ acceptances, fixed-time deposits it is entitled to receive on a when issued or delayed Internal Revenue Code of 1986, as 47 and other obligations of U.S. and non-U.S. banks delivery basis as well as through a forward amended. The Fund will invest its (including non-U.S. branches) and similar commitment. assets, and otherwise conduct its institutions; (iv) commercial paper, including asset- 44 Zero coupon securities are securities that are operations, in a manner that is intended backed commercial paper; (v) non-convertible sold at a discount to par value and do not pay to satisfy the qualifying income, corporate debt securities (e.g., bonds and interest during the life of the security. The discount debentures) with remaining maturities at the date approximates the total amount of interest the diversification and distribution of purchase of not more than 397 days and that security will accrue and compound over the period requirements necessary to establish and satisfy the rating requirements set forth in until maturity at a rate of interest reflecting the maintain RIC qualification under Rule 2a–7 under the 1940 Act; and (vi) short-term market rate of the security at the time of issuance. Subchapter M. U.S. dollar-denominated obligations of non-U.S. Upon maturity, the holder of a zero coupon security banks (including U.S. branches) that, in the opinion is entitled to receive the par value of the security. of BFA, are of comparable quality to obligations of 45 The Fund currently anticipates investing in 46 For purposes of this filing, each state and each U.S. banks which may be purchased by the Fund. only registered open-end investment companies, separate political subdivision, agency, authority, or All money market securities acquired by the Fund including mutual funds and the open-end instrumentality of such state, each multi-state will be rated investment grade. The Fund does not investment company funds described in Bats Rule agency or authority, and each guarantor, if any, will intend to invest in any unrated money market 14.11. The Fund may invest in the securities of be treated as separate issuers of Municipal securities. However, it may do so, to a limited other investment companies to the extent permitted Securities. extent, such as where a rated money market by law. 47 26 U.S.C. 851. security becomes unrated, if such money market

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exchange traded and non-exchange markets as determined in accordance the Fund’s effective duration will vary traded investment companies (including with Commission staff guidance. within one year (plus or minus) of the investment companies advised by BFA The Fund may also invest up to 20% effective duration of the securities or its affiliates) that invest in money of its net assets in Municipal Securities comprising the S&P AMT-Free market instruments. that pay interest that is subject to the Municipal Series Dec 2026 Index, AMT. which, as of December 15, 2015, was Investment Restrictions iShares iBonds Dec 2026 AMT-Free 9.22 years.56 The Fund may hold up to an aggregate Muni Bond ETF Municipal securities (‘‘Municipal amount of 15% of its net assets in According to the Registration Securities’’) are fixed and variable rate illiquid assets (calculated at the time of Statement, the Fund will seek to securities issued in the U.S. by U.S. investment), as deemed illiquid by the maximize tax-free current income and states and territories, municipalities and Adviser 51 under the 1940 Act.52 The terminate on or around December 2026. other political subdivisions, agencies, Fund will monitor its portfolio liquidity To achieve its objective, the Fund will authorities, and instrumentalities of on an ongoing basis to determine invest, under normal circumstances,53 states and multi-state agencies and whether, in light of current at least 80% of its net assets in authorities and will include only the circumstances, an adequate level of Municipal Securities, as defined below, following instruments: General liquidity is being maintained, and will such that the interest on each security obligation bonds,57 limited obligation consider taking appropriate steps in is exempt from U.S. federal income bonds (or revenue bonds),58 [sic], order to maintain adequate liquidity if, taxes and the federal alternative municipal notes,59 municipal minimum tax (the ‘‘AMT’’). The Fund is through a change in values, net assets, commercial paper,60 tender option not a money market fund and does not or other circumstances, more than 15% bonds,61 variable rate demand seek to maintain a stable net asset value of the Fund’s net assets are held in 62 of $1.00 per share. The Fund will be obligations (‘‘VRDOs’’), municipal illiquid assets. Illiquid assets include classified as a ‘‘non-diversified’’ securities subject to contractual or other investment company under the 1940 appropriate, which may include among other restrictions on resale and other Act.54 things, performing an analysis similar, to the extent instruments that lack readily available The Fund intends to qualify each year possible, to that performed by a nationally recognized statistical ratings organization when as a regulated investment company (a rating similar securities and issuers. In making such security is determined by the Adviser to be of ‘‘RIC’’) under Subchapter M of the a determination, BFA may consider internal comparable quality. BFA may determine that Internal Revenue Code of 1986, as analyses and risk ratings, third party research and unrated securities are of comparable quality based analysis, and other sources of information, as on such credit quality factors that it deems amended. The Fund will invest its appropriate, which may include, among other assets, and otherwise conduct its deemed appropriate by the Adviser. things, performing an analysis similar, to the extent operations, in a manner that is intended 56 Effective duration is a measure of the Fund’s possible, to that performed by a nationally to satisfy the qualifying income, price sensitivity to changes in yields or interest recognized statistical rating organization rating diversification and distribution rates. similar securities and issuers. 57 General obligation bonds are obligations 51 In reaching liquidity decisions, the Adviser requirements necessary to establish and involving the credit of an issuer possessing taxing may consider factors including: The frequency of maintain RIC qualification under power and are payable from such issuer’s general trades and quotes for the security; the number of Subchapter M. revenues and not from any particular source. dealers wishing to purchase or sell the security and 58 Limited obligation bonds are payable only from the number of other potential purchasers; dealer Principal Holdings—Municipal the revenues derived from a particular facility or undertakings to make a market in the security; the Securities class of facilities or, in some cases, from the nature of the security and the nature of the marketplace trades (e.g., the time needed to dispose To achieve its objective, the Fund will proceeds of a special excise or other specific of the security, the method of soliciting offers, and invest, under normal circumstances, in revenue source, and also include industrial the mechanics of transfer); any legal or contractual U.S.-dollar denominated investment- development bonds issued pursuant to former U.S. federal tax law. Industrial development bonds restrictions on the ability to transfer the security or grade fixed-rate Municipal Securities, as asset; significant developments involving the issuer generally are also revenue bonds and thus are not or counterparty specifically (e.g., default, defined below. The Fund will invest in payable from the issuer’s general revenues. The bankruptcy, etc.) or the securities markets generally; both callable and non-callable credit and quality of industrial development bonds and settlement practices, registration procedures, municipal bonds. Investment-grade are usually related to the credit of the corporate limitations on currency conversion or repatriation, securities are rated a minimum of BBB- user of the facilities. Payment of interest on and and transfer limitations (for foreign securities or or higher by Standard & Poor’s Ratings repayment of principal of such bonds is the other assets). responsibility of the corporate user (and/or any 52 The Commission has stated that long-standing Services and/or Fitch, or Baa3 or higher guarantor). Commission guidelines have required open-end by Moody’s, or if unrated, determined 59 Municipal notes are shorter-term municipal funds to hold no more than 15% of their net assets by the Adviser to be of equivalent debt obligations that may provide interim financing in illiquid securities and other illiquid assets. See quality.55 Under normal circumstances, in anticipation of tax collection, receipt of grants, Investment Company Act Release No. 28193 (March bond sales, or revenue receipts. 11, 2008), 73 FR 14618 (March 18, 2008), footnote 60 34. See also, Investment Company Act Release No. 53 The term ‘‘under normal circumstances’’ Municipal commercial paper is generally 5847 (October 21, 1969), 35 FR 19989 (December includes, but is not limited to, the absence of unsecured debt that is issued to meet short-term 31, 1970) (Statement Regarding ‘‘Restricted adverse market, economic, political, or other financing needs. Securities’’); Investment Company Act Release No. conditions, including extreme volatility or trading 61 Tender option bonds are synthetic floating-rate 18612 (March 12, 1992), 57 FR 9828 (March 20, halts in the financial markets; operational issues or variable-rate securities issued when long-term causing dissemination of inaccurate market 1992) (Revisions of Guidelines to Form N–1A). A bonds are purchased in the primary or secondary information; or force majeure type events such as fund’s portfolio security is illiquid if it cannot be market and then deposited into a trust. Custodial disposed of in the ordinary course of business systems failure, natural or man-made disaster, act of God, armed conflict, act of terrorism, riot, or receipts are then issued to investors, such as the within seven days at approximately the value Fund, evidencing ownership interests in the trust. ascribed to it by the fund. See Investment Company labor disruption, or any similar intervening 62 Act Release No. 14983 (March 12, 1986), 51 FR circumstance. VRDOs are tax-exempt obligations that contain 9773 (March 21, 1986) (adopting amendments to 54 The diversification standard is set forth in a floating or variable interest rate adjustment Rule 2a–7 under the 1940 Act); Investment Section 5(b)(1) of the 1940 Act. formula and a right of demand on the part of the Company Act Release No. 17452 (April 23, 1990), 55 According to the Adviser, BFA may determine holder thereof to receive payment of the unpaid 55 FR 17933 (April 30, 1990) (adopting Rule 144A that unrated securities are of ‘‘equivalent quality’’ principal balance plus accrued interest upon a short under the Securities Act of 1933). based on such credit quality factors that it deems notice period not to exceed seven days.

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lease obligations,63 stripped securities,64 when at least eight creation units are investment objective and will not be structured securities,65 when issued outstanding. No single Municipal used to achieve leveraged returns (i.e. securities,66 zero coupon securities,67 Security held by the Fund will exceed two times or three times the Fund’s and exchange traded and non-exchange 4% of the weight of the Fund’s portfolio benchmark, as described in the traded investment companies (including and no single issuer of Municipal Registration Statement). investment companies advised by BFA Securities will account for more than The Fund may also enter into or its affiliates) that invest in such 10% of the weight of the Fund’s repurchase and reverse repurchase Municipal Securities.68 portfolio. The Fund will hold Municipal agreements for Municipal Securities In the last year of operation, as the Securities of at least 20 non-affiliated (collectively, ‘‘Repurchase bonds held by the Fund mature, the issuers. The Fund will hold Municipal Agreements’’). Repurchase Agreements proceeds will not be reinvested in bonds Securities of at least 30 non-affiliated involve the sale of securities with an but instead will be held in cash and issuers when at least four creation units agreement to repurchase the securities cash equivalents, including, without are outstanding.69 To the extent that the at an agreed-upon price, date and limitation, shares of affiliated money Fund at one point has sufficient creation interest payment and have the market funds, AMT-free tax-exempt units outstanding necessary to trigger a characteristics of borrowing as part of municipal notes, VRDOs, tender option diversity requirement laid out above (a the Fund’s principal holdings.72 bonds and municipal commercial paper. ‘‘Trigger Number’’), but subsequently The Fund may also invest in short- In or around December 2026, the Fund has fewer creation units outstanding term instruments (‘‘Short-Term 73 will wind up and terminate, and its net than the applicable Trigger Number, the Instruments’’), which includes assets will be distributed to then current Fund may no longer comply with the exchange traded and non-exchange shareholders. applicable diversity requirement. traded investment companies (including The Fund will hold a minimum of 40 In the absence of normal investment companies advised by BFA different Municipal Securities circumstances, the Fund may or its affiliates) that invest in money diversified among issuers in at least 8 temporarily depart from its normal market instruments. different states with no more than 30% investment process, provided that such Investment Restrictions of the Fund’s assets comprised of departure is, in the opinion of the Municipal Bonds that provide exposure The Fund may hold up to an aggregate Adviser, consistent with the Fund’s amount of 15% of its net assets in to any single state. The Fund will hold investment objective and in the best a minimum of 75 different Municipal interest of the Fund. For example, the 72 Securities when at least four creation The Fund’s exposure to reverse repurchase Fund may hold a higher than normal agreements will be covered by liquid assets having units are outstanding. The Fund will proportion of its assets in cash in a value equal to or greater than such commitments. hold a minimum of 100 different response to adverse market, economic or The use of reverse repurchase agreements is a form Municipal Securities diversified among of leverage because the proceeds derived from political conditions. reverse repurchase agreements may be invested in issuers in at least 20 different states The Fund intends to qualify each year additional securities. As further stated below, the as a regulated investment company (a Fund’s investments will be consistent with its 63 Municipal lease obligations include certificates ‘‘RIC’’) under Subchapter M of the investment objective and will not be used to of participation issued by government authorities or achieve leveraged returns. entities to finance the acquisition or construction of Internal Revenue Code of 1986, as 73 The Fund may invest in Short-Term 70 equipment, land, and/or facilities. amended. The Fund will invest its Instruments, including money market instruments, 64 Stripped securities are created when an issuer assets, and otherwise conduct its on an ongoing basis to provide liquidity or for other separates the interest and principal components of operations, in a manner that is intended reasons. Money market instruments are generally an instrument and sells them as separate securities. short-term investments that include only the In general, one security is entitled to receive the to satisfy the qualifying income, following: (i) Shares of money market funds interest payments on the underlying assets and the diversification and distribution (including those advised by BFA or otherwise other to receive the principal payments. requirements necessary to establish and affiliated with BFA); (ii) obligations issued or 65 Structured securities are privately negotiated maintain RIC qualification under guaranteed by the U.S. government, its agencies or instrumentalities (including government-sponsored debt obligations where the principal and/or interest Subchapter M. is determined by reference to the performance of an enterprises); (iii) negotiable certificates of deposit underlying investment, index, or reference Other Portfolio Holdings (‘‘CDs’’), bankers’ acceptances, fixed-time deposits obligation, and may be issued by governmental and other obligations of U.S. and non-U.S. banks agencies. While structured securities are part of the The Fund may also, to a limited (including non-U.S. branches) and similar principal holdings of the Fund, the Issuer extent (under normal circumstances, institutions; (iv) commercial paper, including asset- represents that such securities, when combined backed commercial paper; (v) non-convertible with those instruments held as part of the other less than 20% of the Fund’s net assets), corporate debt securities (e.g., bonds and portfolio holdings described below, will not exceed engage in transactions in futures debentures) with remaining maturities at the date 20% of the Fund’s net assets. contracts, options, or swaps in order to of purchase of not more than 397 days and that satisfy the rating requirements set forth in Rule 2a– 66 The Fund may purchase or sell securities that facilitate trading or to reduce 7 under the 1940 Act; and (vi) short-term U.S. it is entitled to receive on a when issued or delayed transaction costs.71 The Fund’s dollar-denominated obligations of non-U.S. banks delivery basis as well as through a forward investments will be consistent with its (including U.S. branches) that, in the opinion of commitment. BFA, are of comparable quality to obligations of 67 Zero coupon securities are securities that are 69 U.S. banks which may be purchased by the Fund. sold at a discount to par value and do not pay For purposes of this filing, each state and each All money market securities acquired by the Fund interest during the life of the security. The discount separate political subdivision, agency, authority, or will be rated investment grade. The Fund does not approximates the total amount of interest the instrumentality of such state, each multi-state intend to invest in any unrated money market security will accrue and compound over the period agency or authority, and each guarantor, if any, will securities. However, it may do so, to a limited until maturity at a rate of interest reflecting the be treated as separate issuers of Municipal extent, such as where a rated money market market rate of the security at the time of issuance. Securities. security becomes unrated, if such money market Upon maturity, the holder of a zero coupon security 70 26 U.S.C. 851. security is determined by the Adviser to be of is entitled to receive the par value of the security. 71 Derivatives might be included in the Fund’s comparable quality. BFA may determine that 68 The Fund currently anticipates investing in investments to serve the investment objectives of unrated securities are of comparable quality based only registered open-end investment companies, the Fund. Such derivatives include only the on such credit quality factors that it deems including mutual funds and the open-end following: Interest rate futures, interest rate options, appropriate, which may include, among other investment company funds described in Bats Rule interest rate swaps, and swaps on Municipal things, performing an analysis similar, to the extent 14.11. The Fund may invest in the securities of Securities indexes. The derivatives will be centrally possible, to that performed by a nationally other investment companies to the extent permitted cleared and they will be collateralized. Derivatives recognized statistical rating organization rating by law. are not a principal investment strategy of the Fund. similar securities and issuers.

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illiquid assets (calculated at the time of net assets by the number of Shares faith approximation of the value of an investment), as deemed illiquid by the outstanding. asset or liability. The fair value of an Adviser 74 under the 1940 Act.75 The According to the Registration asset or liability held by a Fund is the Fund will monitor its portfolio liquidity Statement, unless otherwise described amount that the Fund might reasonably on an ongoing basis to determine below, the Funds will value Municipal expect to receive from the current sale whether, in light of current Securities using prices provided directly of that asset or the cost to extinguish circumstances, an adequate level of from one or more broker-dealers, market that liability in an arm’s-length liquidity is being maintained, and will makers, or independent third-party transaction. Valuing a Fund’s consider taking appropriate steps in pricing services which may use matrix investments using fair value pricing will order to maintain adequate liquidity if, pricing and valuation models, as well as result in prices that may differ from through a change in values, net assets, recent market transactions for the same current valuations and that may not be or other circumstances, more than 15% or similar assets, to derive values. the prices at which those investments of the Fund’s net assets are held in Exchange traded investment could have been sold during the period illiquid assets. Illiquid assets include companies will be valued at market in which the particular fair values were securities subject to contractual or other closing price or, if no closing price is used. restrictions on resale and other available, at the last traded price on the The Shares instruments that lack readily available primary exchange on which they are markets as determined in accordance traded. Price information for such Each Fund will issue and redeem with Commission staff guidance. securities will be taken from the Shares on a continuous basis at the NAV The Fund may also invest up to 20% exchange where the security is per Share only in large blocks of a of its net assets in Municipal Securities primarily traded. Investment companies specified number of Shares or multiples that pay interest that is subject to the not listed on an exchange are valued at thereof (‘‘Creation Units’’) in AMT. their net asset value. transactions with authorized participants who have entered into Net Asset Value Futures and options contracts will be valued at their last sale price or settle agreements with the Distributor. Each According to the Registration price as of the close of the applicable Fund currently anticipates that a Statement, the net asset value (‘‘NAV’’) exchange. Creation Unit will consist of 50,000 of the Funds will be calculated each Repurchase Agreements will generally Shares, though this number may change business day as of the close of regular be valued at par. In certain from time to time, including prior to trading on the New York Stock circumstances, Short-Term Instruments listing of the Funds. The exact number Exchange (‘‘NYSE’’), generally 4:00 p.m. may be valued on the basis of amortized of Shares that will constitute a Creation Eastern Time (the ‘‘NAV Calculation cost. Unit will be disclosed in the respective Time’’), on each day that the NYSE is According to the Registration Registration Statement of each Fund. open for trading, based on prices at the Statement, generally, trading in money Once created, Shares of each Fund trade NAV Calculation Time. NAV per Share market instruments, and certain on the secondary market in amounts is calculated by dividing each Fund’s Municipal Securities is substantially less than a Creation Unit. The consideration for purchase of completed each day at various times 74 In reaching liquidity decisions, the Adviser Creation Units of a Fund generally will prior to the close of business on the may consider factors including: The frequency of consist of the in-kind deposit of a trades and quotes for the security; the number of Exchange. Additionally, trading in designated portfolio of securities dealers wishing to purchase or sell the security and certain derivatives is substantially (including any portion of such securities the number of other potential purchasers; dealer completed each day at various times undertakings to make a market in the security; the for which cash may be substituted) (i.e., prior to the close of business on the nature of the security and the nature of the the ‘‘Deposit Securities’’), and the ‘‘Cash marketplace trades (e.g., the time needed to dispose Exchange. The values of such securities Component’’ computed as described of the security, the method of soliciting offers, and and derivatives used in computing the the mechanics of transfer); any legal or contractual below. Together, the Deposit Securities NAV of the Funds are determined at restrictions on the ability to transfer the security or and the Cash Component constitute the such times. asset; significant developments involving the issuer ‘‘Fund Deposit,’’ which represents the or counterparty specifically (e.g., default, According to the Registration minimum initial and subsequent bankruptcy, etc.) or the securities markets generally; Statement, when market quotations are and settlement practices, registration procedures, investment amount for a Creation Unit not readily available or are believed by limitations on currency conversion or repatriation, of a Fund. and transfer limitations (for foreign securities or BFA to be unreliable, the Funds’ The portfolio of securities required for other assets). investments are valued at fair value. purchase of a Creation Unit may not be 75 The Commission has stated that long-standing Fair value determinations are made by Commission guidelines have required open-end identical to the portfolio of securities a funds to hold no more than 15% of their net assets BFA in accordance with policies and Fund will deliver upon redemption of in illiquid securities and other illiquid assets. See procedures approved by the Trust’s Shares. The Deposit Securities and Investment Company Act Release No. 28193 (March board of trustees and in accordance with Fund Securities (as defined below), as 11, 2008), 73 FR 14618 (March 18, 2008), footnote the 1940 Act. BFA may conclude that a 34. See also, Investment Company Act Release No. the case may be, in connection with a 5847 (October 21, 1969), 35 FR 19989 (December market quotation is not readily available purchase or redemption of a Creation 31, 1970) (Statement Regarding ‘‘Restricted or is unreliable if a security or other Unit, generally will correspond pro rata Securities’’); Investment Company Act Release No. asset or liability is thinly traded, or to the securities held by the Fund. 18612 (March 12, 1992), 57 FR 9828 (March 20, where there is a significant event 76 1992) (Revisions of Guidelines to Form N–1A). A The Cash Component will be an fund’s portfolio security is illiquid if it cannot be subsequent to the most recent market amount equal to the difference between disposed of in the ordinary course of business quotation. the NAV of the Shares (per Creation within seven days at approximately the value According to the Registration ascribed to it by the fund. See Investment Company Unit) and the ‘‘Deposit Amount,’’ which Act Release No. 14983 (March 12, 1986), 51 FR Statement, fair value represents a good will be an amount equal to the market 9773 (March 21, 1986) (adopting amendments to value of the Deposit Securities, and 76 Rule 2a–7 under the 1940 Act); Investment A ‘‘significant event’’ is an event that, in the serve to compensate for any differences Company Act Release No. 17452 (April 23, 1990), judgment of BFA, is likely to cause a material 55 FR 17933 (April 30, 1990) (adopting Rule 144A change to the closing market price of the asset or between the NAV per Creation Unit and under the Securities Act of 1933). liability held by the Fund. the Deposit Amount. Each Fund

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generally offers Creation Units partially through the Federal Reserve System or the Shares can be found in the for cash. BFA will make available DTC must be delivered through a Registration Statement or on the Web through the National Securities Clearing Central Depository Account. The Fund site for the Funds (www.iShares.com), Corporation (‘‘NSCC’’) on each business Deposit transfer must be ordered by the as applicable. day, prior to the opening of business on authorized participant in a timely Availability of Information the Exchange, the list of names and the fashion so as to ensure the delivery of required number or par value of each the requisite number of Deposit The Funds’ Web site, which will be Deposit Security and the amount of the Securities to the account of the Fund by publicly available prior to the public Cash Component to be included in the no later than 3:00 p.m., Eastern Time, offering of Shares, will include a form current Fund Deposit (based on on the Settlement Date. of the prospectus for each Fund that information as of the end of the A standard creation transaction fee may be downloaded. The Web site will previous business day) for the Fund. will be imposed to offset the transfer include additional quantitative The identity and number or par value and other transaction costs associated information updated on a daily basis, of the Deposit Securities may change with the issuance of Creation Units. including, for each Fund: (1) The prior pursuant to changes in the composition Shares of a Fund may be redeemed business day’s NAV and the market of a Fund’s portfolio as rebalancing only in Creation Units at their NAV next closing price or mid-point of the bid/ask adjustments and corporate action events determined after receipt of a redemption spread at the time of calculation of such occur from time to time. The request in proper form by the NAV (the ‘‘Bid/Ask Price’’),78 and a composition of the Deposit Securities Distributor and only on a business day. calculation of the premium or discount may also change in response to BFA will make available through the of the market closing price or Bid/Ask adjustments to the weighting or NSCC, prior to the opening of business Price against the NAV; and (2) data in on the Exchange on each business day, composition of the holdings of a Fund. chart format displaying the frequency Each Fund reserves the right to permit the designated portfolio of securities distribution of discounts and premiums or require the substitution of a ‘‘cash in (including any portion of such securities of the daily Bid/Ask Price against the lieu’’ amount to be added to the Cash for which cash may be substituted) that NAV, within appropriate ranges, for Component to replace any Deposit will be applicable (subject to possible each of the four previous calendar Security that may not be available in amendment or correction) to quarters. Daily trading volume sufficient quantity for delivery or that redemption requests received in proper information will be available in the may not be eligible for transfer through form on that day (‘‘Fund Securities’’). financial section of newspapers, through the Depository Trust Company (‘‘DTC’’) Fund Securities received on redemption subscription services such as or the clearing process through the may not be identical to Deposit Bloomberg, Thomson Reuters, and NSCC.77 Securities that are applicable to Except as noted below, all creation creations of Creation Units. International Data Corporation, which orders must be placed for one or more Unless cash redemptions are available can be accessed by authorized Creation Units and must be received by or specified for a Fund, the redemption participants and other investors, as well the Distributor in proper form no later proceeds for a Creation Unit generally as through other electronic services, than 4:00 p.m., Eastern Time, in each will consist of a specified amount of including major public Web sites. On case on the date such order is placed in cash, Fund Securities, plus additional each business day, before order for creation of Creation Units to be cash in an amount equal to the commencement of trading in Shares 79 effected based on the NAV of Shares of difference between the NAV of the during Regular Trading Hours on the the Fund as next determined on such Shares being redeemed, as next Exchange, each Fund will disclose on date after receipt of the order in proper determined after the receipt of a request its Web site the identities and quantities form. Orders requesting substitution of in proper form, and the value of the of the portfolio of securities and other a ‘‘cash in lieu’’ amount generally must specified amount of cash and Fund assets (the ‘‘Disclosed Portfolio’’) held be received by the Distributor no later Securities, less a redemption transaction by the Fund that will form the basis for than 2:00 p.m., Eastern Time on the fee. Each Fund generally redeems the Fund’s calculation of NAV at the 80 Settlement Date. The ‘‘Settlement Date’’ Creation Units partially for cash. end of the business day. The Disclosed is generally the third business day after A standard redemption transaction fee Portfolio will include, as applicable, the the transmittal date. On days when the will be imposed to offset transfer and names, quantity, percentage weighting Exchange or the bond markets close other transaction costs that may be and market value of securities and other earlier than normal, a Fund may require incurred by the Fund. assets held by the Fund and the orders to create or to redeem Creation Redemption requests for Creation characteristics of such assets. The Web Units to be placed earlier in the day. Units of a Fund must be submitted to site and information will be publicly Fund Deposits must be delivered the Distributor by or through an available at no charge. through the Federal Reserve System (for authorized participant no later than 4:00 cash and government securities), p.m. Eastern Time on any business day, 78 The Bid/Ask Price of the Fund will be through DTC (for corporate and in order to receive that day’s NAV. The determined using the highest bid and the lowest municipal securities), or through a offer on the Exchange as of the time of calculation authorized participant must transmit the of the Fund’s NAV. The records relating to Bid/Ask central depository account, such as with request for redemption in the form Prices will be retained by the Fund or its service Euroclear or DTC, maintained by State required by the Fund to the Distributor providers. Street or a sub-custodian (a ‘‘Central in accordance with procedures set forth 79 As defined in Rule 1.5(w), the term ‘‘Regular Depository Account’’) by an authorized in the authorized participant agreement. Trading Hours’’ means the time between 9:30 a.m. participant. Any portion of a Fund and 4:00 p.m. Eastern Time. Additional information regarding the 80 Under accounting procedures to be followed by Deposit that may not be delivered Shares and each Fund, including each Fund, trades made on the prior business day investment strategies, risks, creation and (‘‘T’’) will be booked and reflected in NAV on the 77 The Adviser represents that, to the extent the redemption procedures, fees and current business day (‘‘T+1’’). Accordingly, each Trust permits or requires a ‘‘cash in lieu’’ amount, expenses, portfolio holdings disclosure Fund will be able to disclose at the beginning of the such transactions will be effected in the same business day the portfolio that will form the basis manner or in an equitable manner for all authorized policies, distributions, taxes and reports for the NAV calculation at the end of the business participants. to be distributed to beneficial owners of day.

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In addition, for each Fund, an and continued listing criteria applicable violations of Exchange rules and the estimated value, defined in Bats Rule to Managed Fund Shares. The Exchange applicable federal securities laws. 14.11(i)(3)(C) as the ‘‘Intraday Indicative represents that, for initial and/or Trading of the Shares through the Value,’’ that reflects an estimated continued listing, each Fund must be in Exchange will be subject to the intraday value of the Fund’s portfolio, compliance with Rule 10A–3 under the Exchange’s surveillance procedures for will be disseminated. Moreover, the Act.82 A minimum of 100,000 Shares of derivative products, including Managed Intraday Indicative Value will be based each Fund will be outstanding at the Fund Shares. The Exchange may obtain upon the current value for the commencement of trading on the information regarding trading in the components of the Disclosed Portfolio Exchange. The Exchange will obtain a Shares and the underlying shares in and will be updated and widely representation from the issuer of the exchange traded equity securities via disseminated by one or more major Shares that the NAV per Share will be the Intermarket Surveillance Group market data vendors at least every 15 calculated daily and that the NAV and (‘‘ISG’’), from other exchanges that are seconds during the Exchange’s Regular the Disclosed Portfolio will be made members or affiliates of the ISG, or with Trading Hours.81 available to all market participants at which the Exchange has entered into a The dissemination of the Intraday the same time. comprehensive surveillance sharing Indicative Value, together with the 83 Trading Halts agreement. In addition, the Exchange Disclosed Portfolio, will allow investors is able to access, as needed, trade to determine the value of the underlying With respect to trading halts, the information for certain fixed income portfolio of each Fund on a daily basis Exchange may consider all relevant instruments reported to FINRA’s Trade and provide a close estimate of that factors in exercising its discretion to Reporting and Compliance Engine value throughout the trading day. halt or suspend trading in the Shares of (‘‘TRACE’’). Intraday, executable price quotations each Fund. The Exchange will halt As it relates to exchange traded on assets held by each Fund are trading in the Shares under the investment companies, the Funds will available from major broker-dealer firms conditions specified in Bats Rule 11.18. only invest in investment companies and for exchange-traded assets, Trading may be halted because of that trade on markets that are a member including investment companies, such market conditions or for reasons that, in of the ISG or with which the Exchange intraday information is available the view of the Exchange, make trading has in place a comprehensive directly from the applicable listing in the Shares inadvisable. These may surveillance sharing agreement. exchange. All such intraday price include: (1) The extent to which trading The Exchange prohibits the information is available through is not occurring in the securities and/or distribution of material non-public subscription services, such as the financial instruments composing the information by its employees. Bloomberg, Thomson Reuters and Disclosed Portfolio of the Fund; or (2) International Data Corporation, which whether other unusual conditions or Information Circular can be accessed by authorized circumstances detrimental to the Prior to the commencement of participants and other investors. Pricing maintenance of a fair and orderly trading, the Exchange will inform its information for Repurchase Agreements market are present. Trading in the members in an Information Circular of and securities not listed on an exchange Shares also will be subject to Rule the special characteristics and risks or national securities market will be 14.11(i)(4)(B)(iv), which sets forth associated with trading the Shares. available from major broker-dealer firms circumstances under which trading in Specifically, the Information Circular and/or subscription services, such as the Shares of a Fund may be halted. will discuss the following: (1) The Bloomberg, Thomson Reuters and Trading Rules procedures for purchases and International Data Corporation. redemptions of Shares in Creation Units Information regarding market price The Exchange deems the Shares to be (and that Shares are not individually and volume of the Shares will be equity securities, thus rendering trading redeemable); (2) Bats Rule 3.7, which continually available on a real-time in the Shares subject to the Exchange’s imposes suitability obligations on basis throughout the day on brokers’ existing rules governing the trading of Exchange members with respect to computer screens and other electronic equity securities. Bats [sic] will allow recommending transactions in the services. The previous day’s closing trading in the Shares from 8:00 a.m. Shares to customers; (3) how price and trading volume information until 5:00 p.m. Eastern Time. The information regarding the Intraday for the Shares will be published daily in Exchange has appropriate rules to Indicative Value is disseminated; (4) the the financial section of newspapers. facilitate transactions in the Shares risks involved in trading the Shares Quotation and last sale information for during all trading sessions. As provided during the Pre-Opening 84 and After the Shares will be available on the in Bats Rule 11.11(a), the minimum Hours Trading Sessions 85 when an facilities of the CTA. Price information price variation for quoting and entry of updated Intraday Indicative Value will relating to all other securities held by orders in Managed Fund Shares traded not be calculated or publicly the Funds will be available from major on the Exchange is $0.01, with the disseminated; (5) the requirement that market data vendors. Quotations and exception of securities that are priced members deliver a prospectus to last sale information for the underlying less than $1.00, for which the minimum investors purchasing newly issued exchange traded investment companies price variation for order entry is Shares prior to or concurrently with the will be available through CTA. $0.0001. Initial and Continued Listing Surveillance 83 For a list of the current members of ISG, see www.isgportal.org. The Exchange notes that not all The Shares will be subject to Bats The Exchange believes that its components of the Disclosed Portfolio for the Fund Rule 14.11(i), which sets forth the initial surveillance procedures are adequate to may trade on markets that are members of ISG or properly monitor the trading of the with which the Exchange has in place a 81 Currently, it is the Exchange’s understanding Shares on the Exchange during all comprehensive surveillance sharing agreement. that several major market data vendors display and/ 84 The Pre-Opening Session is from 8:00 a.m. to or make widely available Intraday Indicative Values trading sessions and to deter and detect 9:30 a.m. Eastern Time. published via the Consolidated Tape Association 85 The After Hours Trading Session is from 4:00 (‘‘CTA’’) or other data feeds. 82 See 17 CFR 240.10A–3. p.m. to 5:00 p.m. Eastern Time.

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confirmation of a transaction; and (6) investment adviser shall erect a ‘‘fire the time of investment), as deemed trading information. wall’’ between the investment adviser illiquid by the Adviser 89 under the 1940 In addition, the Information Circular and the broker-dealer with respect to Act.90 Each Fund will monitor its will advise members, prior to the access to information concerning the portfolio liquidity on an ongoing basis commencement of trading, of the composition and/or changes to such to determine whether, in light of current prospectus delivery requirements investment company portfolio. The circumstances, an adequate level of applicable to the Funds. Members Adviser is not a registered broker-dealer, liquidity is being maintained, and will purchasing Shares from the Funds for but is affiliated with multiple broker- consider taking appropriate steps in resale to investors will deliver a dealers and has implemented ‘‘fire order to maintain adequate liquidity if, prospectus to such investors. The walls’’ with respect to such broker- through a change in values, net assets, Information Circular will also discuss dealers regarding access to information or other circumstances, more than 15% any exemptive, no-action, and concerning the composition and/or of the Fund’s net assets are held in interpretive relief granted by the changes to a Fund’s portfolio. In illiquid assets. Illiquid assets include Commission from any rules under the addition, Adviser personnel who make securities subject to contractual or other Act. decisions regarding a Fund’s portfolio restrictions on resale and other In addition, the Information Circular are subject to procedures designed to instruments that lack readily available will reference that each Fund is subject prevent the use and dissemination of markets as determined in accordance to various fees and expenses described material nonpublic information with Commission staff guidance. in the Registration Statement. The regarding the Fund’s portfolio. The Information Circular will also disclose Exchange may obtain information The proposed rule change is designed the trading hours of the Shares of the regarding trading in the Shares and the to promote just and equitable principles Funds and the applicable NAV underlying shares in exchange traded of trade and to protect investors and the Calculation Time for the Shares. The equity securities via the ISG, from other public interest in that the Exchange will Information Circular will disclose that exchanges that are members or affiliates obtain a representation from the issuer information about the Shares of the of the ISG, or with which the Exchange of the Shares that the NAV per Share Funds will be publicly available on the has entered into a comprehensive will be calculated daily and that the Funds’ Web site. In addition, the surveillance sharing agreement. In NAV and the Disclosed Portfolio will be Information Circular will reference that addition, the Exchange is able to access, made available to all market the Trust is subject to various fees and as needed, trade information for certain participants at the same time. In expenses described in each Fund’s fixed income instruments reported to addition, a large amount of information Registration Statement. TRACE. Each Fund’s investments will is publicly available regarding the Funds and the Shares, thereby 2. Statutory Basis be well-diversified in that each Fund will hold a minimum of 40 different promoting market transparency. The Exchange believes that the Municipal Securities diversified among Moreover, the Intraday Indicative Value proposal is consistent with Section 6(b) issuers in at least 8 different states with will be disseminated by one or more of the Act 86 in general and Section no more than 30% of the Fund’s assets major market data vendors at least every 6(b)(5) of the Act 87 in particular in that comprised of Municipal Bonds that 15 seconds during Regular Trading it is designed to prevent fraudulent and provide exposure to any single state; Hours. On each business day, before manipulative acts and practices, to each Fund will hold a minimum of 75 commencement of trading in Shares promote just and equitable principles of different Municipal Securities when at during Regular Trading Hours, each trade, to foster cooperation and least four creation units are outstanding Fund will disclose on its Web site the coordination with persons engaged in for that Fund; each Fund will hold a Disclosed Portfolio that will form the facilitating transactions in securities, to minimum of 100 different Municipal basis for the Fund’s calculation of NAV remove impediments to and perfect the Securities diversified among issuers in at the end of the business day. Pricing mechanism of a free and open market at least 20 different states when at least information will include additional and a national market system and, in eight creation units are outstanding for quantitative information updated on a general, to protect investors and the that Fund; no single Municipal Security daily basis, including, for the Fund: (1) public interest. held by a Fund will exceed 4% of the The prior business day’s NAV and the The Exchange believes that the weight of that Fund’s portfolio and no market closing price or mid-point of the proposed rule change is designed to single issuer of Municipal Securities prevent fraudulent and manipulative will account for more than 10% of the 89 See supra note 27. acts and practices in that the Shares will weight of a Fund’s portfolio; each Fund 90 The Commission has stated that long-standing be listed and traded on the Exchange will hold Municipal Securities of at Commission guidelines have required open-end pursuant to the initial and continued funds to hold no more than 15% of their net assets least 20 non-affiliated issuers; and each in illiquid securities and other illiquid assets. See listing criteria in Bats Rule 14.11(i). The Fund will hold Municipal Securities of Investment Company Act Release No. 28193 (March Exchange believes that its surveillance at least 30 non-affiliated issuers when at 11, 2008), 73 FR 14618 (March 18, 2008), footnote procedures are adequate to properly least four creation units are outstanding. 34. See also, Investment Company Act Release No. monitor the trading of the Shares on the According to the Registration 5847 (October 21, 1969), 35 FR 19989 (December 31, 1970) (Statement Regarding ‘‘Restricted Exchange during all trading sessions Statement, each Fund will invest, under Securities’’); Investment Company Act Release No. and to deter and detect violations of normal circumstances,88 at least 80% of 18612 (March 12, 1992), 57 FR 9828 (March 20, Exchange rules and the applicable its net assets in Municipal Securities 1992) (Revisions of Guidelines to Form N–1A). A federal securities laws. Bats Rule such that the interest on each security fund’s portfolio security is illiquid if it cannot be disposed of in the ordinary course of business 14.11(i)(7) provides that, if the is exempt from U.S. federal income within seven days at approximately the value investment adviser to the investment taxes and the federal AMT. ascribed to it by the fund. See Investment Company company issuing Managed Fund Shares Additionally, each Fund may hold up to Act Release No. 14983 (March 12, 1986), 51 FR is affiliated with a broker-dealer, such an aggregate amount of 15% of its net 9773 (March 21, 1986) (adopting amendments to Rule 2a–7 under the 1940 Act); Investment assets in illiquid assets (calculated at Company Act Release No. 17452 (April 23, 1990), 86 15 U.S.C. 78f. 55 FR 17933 (April 30, 1990) (adopting Rule 144A 87 15 U.S.C. 78f(b)(5). 88 See supra note 7. under the Securities Act of 1933).

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Bid/Ask Price,91 and a calculation of the procedures relating to trading in the Comments may be submitted by any of premium or discount of the market Shares and may obtain information via the following methods: closing price or Bid/Ask Price against ISG, from other exchanges that are the NAV; and (2) data in chart format members of ISG, or with which the Electronic Comments displaying the frequency distribution of Exchange has entered into a • Use the Commission’s Internet discounts and premiums of the daily comprehensive surveillance sharing comment form (http://www.sec.gov/ market closing price or Bid/Ask Price agreement. In addition, the Exchange is rules/sro.shtml); or against the NAV, within appropriate able to access, as needed, trade • ranges, for each of the four previous information for certain fixed income Send an email to rule-comments@ calendar quarters. Additionally, instruments reported to TRACE. As sec.gov. Please include File Number SR– information regarding market price and noted above, investors will also have BatsBZX–2017–10 in the subject line. trading of the Shares will be continually ready access to information regarding Paper Comments available on a real-time basis throughout each Fund’s holdings, the Intraday the day on brokers’ computer screens Indicative Value, the Disclosed • Send paper comments in triplicate and other electronic services, and Portfolio, and quotation and last sale to Secretary, Securities and Exchange quotation and last sale information for information for the Shares. Commission, 100 F Street NE., the Shares will be available on the For the above reasons, the Exchange Washington, DC 20549–1090. facilities of the CTA. The Web site for believes that the proposed rule change each Fund will include a form of the is consistent with the requirements of All submissions should refer to File prospectus for the Fund and additional Section 6(b)(5) of the Act. Number SR–BatsBZX–2017–10. This file data relating to NAV and other number should be included in the applicable quantitative information. B. Self-Regulatory Organization’s subject line if email is used. To help the Trading in Shares of a Fund will be Statement on Burden on Competition Commission process and review your halted under the conditions specified in The Exchange does not believe that comments more efficiently, please use Bats Rule 11.18. Trading may also be the proposed rule change will impose only one method. The Commission will halted because of market conditions or any burden on competition that is not post all comments on the Commission’s for reasons that, in the view of the necessary or appropriate in furtherance Internet Web site (http://www.sec.gov/ Exchange, make trading in the Shares of the purpose of the Act. The Exchange rules/sro.shtml). Copies of the inadvisable. Finally, trading in the notes that the proposed rule change will submission, all subsequent Shares will be subject to Bats Rule facilitate the listing and trading of an amendments, all written statements 14.11(i)(4)(B)(iv), which sets forth additional actively-managed exchange- circumstances under which Shares may with respect to the proposed rule traded product that will enhance change that are filed with the be halted. In addition, as noted above, competition among market participants, investors will have ready access to Commission, and all written to the benefit of investors and the communications relating to the information regarding the Fund’s marketplace. holdings, the Intraday Indicative Value, proposed rule change between the the Disclosed Portfolio, and quotation C. Self-Regulatory Organization’s Commission and any person, other than and last sale information for the Shares. Statement on Comments on the those that may be withheld from the Intraday, executable price quotations Proposed Rule Change Received From public in accordance with the on assets held by the Funds are Members, Participants or Others provisions of 5 U.S.C. 552, will be available from major broker-dealer firms available for Web site viewing and The Exchange has neither solicited and for exchange-traded assets, printing in the Commission’s Public including investment companies, such nor received written comments on the proposed rule change. Reference Room, 100 F Street NE., intraday information is available Washington, DC 20549, on official directly from the applicable listing III. Date of Effectiveness of the business days between the hours of exchange. All such intraday price Proposed Rule Change and Timing for 10:00 a.m. and 3:00 p.m. Copies of the information is available through Commission Action filing will also be available for subscription services, such as inspection and copying at the principal Bloomberg, Thomson Reuters and Within 45 days of the date of publication of this notice in the Federal office of the Exchange. All comments International Data Corporation, which received will be posted without change; can be accessed by authorized Register or within such longer period the Commission does not edit personal participants and other investors. up to 90 days (i) as the Commission may The proposed rule change is designed designate if it finds such longer period identifying information from to perfect the mechanism of a free and to be appropriate and publishes its submissions. You should submit only open market and, in general, to protect reasons for so finding or (ii) as to which information that you wish to make investors and the public interest in that the self-regulatory organization available publicly. All submissions it will facilitate the listing and trading consents, the Commission will: should refer to File Number SR– of an additional type of actively- A. By order approve or disapprove the BatsBZX–2017–10 and should be managed exchange traded product that proposed rule change, or submitted on or before March 14, 2017. will enhance competition among market B. institute proceedings to determine For the Commission, by the Division of participants, to the benefit of investors whether the proposed rule change Trading and Markets, pursuant to delegated and the marketplace. As noted above, should be disapproved. authority.92 the Exchange has in place surveillance IV. Solicitation of Comments Eduardo A. Aleman, Assistant Secretary. 91 The Bid/Ask Price of a Fund will be Interested persons are invited to determined using the highest bid and the lowest submit written data, views and [FR Doc. 2017–03301 Filed 2–17–17; 8:45 am] offer on the Exchange as of the time of calculation BILLING CODE 8011–01–P of the Fund’s NAV. The records relating to Bid/Ask arguments concerning the foregoing, Prices will be retained by the Fund or its service including whether the proposed rule providers. change is consistent with the Act. 92 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE Expiration (i.e., a Monday expiration, weeks from the actual listing date. Other COMMISSION Wednesday expiration, or Friday expirations in the same class are not expiration, as applicable) in a given counted as part of the maximum [Release No. 34–80037; File No. SR–CBOE– class is the same as the maximum 2017–014] numbers of EOM expirations for a number of expirations permitted in Rule broad-based index class. Self-Regulatory Organizations; 24.9 (a)(2) for standard options on the (3) Duration of Nonstandard Chicago Board Options Exchange, same broad-based index. [Other than Expirations Pilot Program. The Incorporated; Notice of Filing of a expirations that are third Friday-of-the- Nonstandard Expirations Pilot Program Proposed Rule Change Related to Rule month or that coincide with an EOM shall be through May 3, 2017. 24.9(e) expiration,] Weekly Expirations [shall] (4) Weekly Expirations and EOM need not be for consecutive Monday, Trading Hours on the Last Trading Day. February 14, 2017. Wednesday, or Friday expirations as On the last trading day, transactions in Pursuant to Section 19(b)(1) of the applicable; however, the expiration date expiring Weekly Expirations and EOMs Securities Exchange Act of 1934 (the of a non-consecutive expiration may not may be effected on the Exchange ‘‘Act’’),1 and Rule 19b–4 thereunder,2 be beyond what would be considered between the hours of 8:30 a.m. (Chicago notice is hereby given that on February the last expiration date if the maximum time) and 3:00 p.m. (Chicago time). 13, 2017, Chicago Board Options number of expirations were listed * * * * * Exchange, Incorporated (the ‘‘Exchange’’ consecutively. Weekly Expirations that The text of the proposed rule change or ‘‘CBOE’’) filed with the Securities are first listed in a given class may is also available on the Exchange’s Web and Exchange Commission (the expire up to four weeks from the actual site (http://www.cboe.com/AboutCBOE/ ‘‘Commission’’) the proposed rule listing date. If the last trading day of a CBOELegalRegulatoryHome.aspx), at change as described in Items I, II, and month is a Monday, Wednesday, or the Exchange’s Office of the Secretary, III below, which Items have been Friday and the Exchange lists EOMs and and at the Commission’s Public prepared by the Exchange. The Weekly Expirations as applicable in a Reference Room. Commission is publishing this notice to given class, the Exchange will list an solicit comments on the proposed rule EOM instead of a Weekly Expiration in II. Self-Regulatory Organization’s change from interested persons. the given class. Other expirations in the Statement of the Purpose of, and same class are not counted as part of the Statutory Basis for, the Proposed Rule I. Self-Regulatory Organization’s maximum number of Weekly Change Statement of the Terms of Substance of Expirations for a broad-based index the Proposed Rule Change In its filing with the Commission, the class. If the Exchange is not open for Exchange included statements The Exchange seeks to amend Rule business on a respective Monday, the concerning the purpose of and basis for 24.9(e). The text of the proposed rule normally Monday expiring Weekly the proposed rule change and discussed change is provided below (additions are Expirations will expire on the following any comments it received on the italicized; deletions are [bracketed]). business day. If the Exchange is not proposed rule change. The text of these * * * * * open for business on a respective statements may be examined at the Wednesday or Friday, the normally places specified in Item IV below. The Chicago Board Options Exchange, Wednesday or Friday expiring Weekly Exchange has prepared summaries, set Incorporated Rules Expirations will expire on the previous forth in sections A, B, and C below, of * * * * * business day. (2) End of Month (‘‘EOM’’) the most significant aspects of such Rule 24.9. Terms of Index Option Expirations. The Exchange may open for statements. Contracts trading EOMs on any broad-based index A. Self-Regulatory Organization’s (a)–(d) No change. eligible for standard options trading to Statement of the Purpose of, and the (e) Nonstandard Expirations Pilot expire on last trading day of the month. Statutory Basis for, the Proposed Rule Program EOMs shall be subject to all provisions Change (1) Weekly Expirations. The Exchange of this Rule and treated the same as may open for trading Weekly options on the same underlying index 1. Purpose Expirations on any broad-based index that expire on the third Friday of the On September 14, 2010, the eligible for standard options trading to expiration month; provided, however, Commission approved a CBOE proposal expire on any Monday, Wednesday, or that EOMs shall be P.M.-settled and new to establish a pilot program under Friday (other than the third Friday-of- series in EOMs may be added up to and which the Exchange is permitted to list the-month or days that coincide with an including on the expiration date for an P.M.-settled options on broad-based EOM expiration). Weekly Expirations expiring EOM. indexes to expire on (a) any Friday of shall be subject to all provisions of this The maximum number of expirations the month, other than the third Friday- Rule and treated the same as options on that may be listed for EOMs in a given of-the-month (‘‘EOWs’’), and (b) the last the same underlying index that expire class is the same as the maximum trading day of the month (‘‘EOM’’).3 On on the third Friday of the expiration number of expirations permitted in Rule January 14, 2016, the Commission month; provided, however, that Weekly 24.9 (a)(2) for standard options on the approved a CBOE proposal to expand Expirations shall be P.M.-settled and same broad-based index. EOM the pilot program to list P.M.-settled new series in Weekly Expirations may expirations [shall] need not be for options on broad-based indexes that be added up to and including on the consecutive end of month expirations; expire on any Wednesday of the month expiration date for an expiring Weekly however, the expiration date of a non- (‘‘WEDs’’) and to rename the End of Expiration. consecutive expiration may not be Week/End of Month Expirations Pilot The maximum number of expirations beyond what would be considered the Program to the Nonstandard Expirations that may be listed for each Weekly last expiration date if the maximum number of expirations were listed 3 See Securities Exchange Act Release No. 62911 1 15 U.S.C. 78s(b)(1). consecutively. EOMs that are first listed (September 14, 2010), 75 FR 57539 (September 21, 2 17 CFR 240.19b–4. in a given class may expire up to four 2010) (order approving SR–CBOE–2009–075).

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Pilot Program.4 On August 10, 2016, the The Exchange has received repeated based index options eligible for Commission approved a CBOE proposal customer interest to list Weekly standard options trading. In fact, the to expand the pilot program to list P.M.- Expirations and EOMs that expire in the Exchange currently only lists settled options on broad-based indexes mid-term (as opposed to long-term Nonstandard Expirations in three that expire on any Monday of the month expirations contemplated by Long-Term classes: S&P 500 Index options under (‘‘MONs’’).5 Index Option Series (‘‘LEAPS’’) 11 and symbol SPXW, CBOE Mini S&P 500 Currently, other than expirations that short-term expirations that are Index options under symbol XSP, and are third Friday-of-the-month or that encompassed by the Exchange’s current Russell 2000 Index options under coincide with an EOM expiration, listing schedule to include four MONs, symbol RUTW. Furthermore, the Weekly Expirations (i.e., MONs, WEDs, six WEDs, and seven EOWs in SPXW) Exchange only lists MONs and WEDs in and EOWs) must be for consecutive in order to utilize SPXW options to SPXW; EOWs in SPXW, RUTW, and Monday, Wednesday, or Friday provide a financial hedge for impactful XSP; and EOMs in SPXW and RUTW. expirations as applicable.6 Similarly, economic events, such as domestic and Thus, nearly every options class will EOM expirations must be for international elections. In order to meet remain unaffected by this proposal. consecutive end of months.7 The customer demand and continue to Even within the Nonstandard purpose of this filing is to eliminate the effectively manage the listing process, Expirations program, the Exchange consecutive expiration restriction for the Exchange is seeking the ability to believes the vast majority of expirations the listing of Weekly Expirations and list Weekly Expirations and EOMs non- will continue to be listed consecutively EOMs. consecutively. because the majority of trading interest The maximum number of expirations Currently, the Exchange is able to add is in the nearer term weeks. More that may be listed for each Weekly additional expirations (up to 12 importantly, however, as an expiration Expiration (i.e., a Monday expiration, expirations as noted above) in one or that was originally listed non- Wednesday expiration, or Friday more of the Weekly Expirations; consecutively gets closer to expiration, expiration, as applicable) and EOM in a however, customer demand for SPXW the particular expiration falls in line given class is the same as the maximum listings exceeds the Exchange’s current with the exchange’s regular listing number of expirations permitted in Rule listing practices of maintaining four schedule. For example, if the Exchange 24.9(a)(2) for standard options on the MONs, six WEDs, and seven EOWs in regularly has seven EOWs listed same broad-based index.8 Thus, for SPXW and often beyond 12 expirations. consecutively, with each passing week More importantly, the customer demand Weekly Expirations and EOM one of the listings expires and another is for expirations near a certain future expirations in the SPX options class expiration is added. In this way, as the economically impactful event (e.g., a (which trade under the symbol SPXW), weeks pass, any expiration that is added national election)—not every expiration the MONs, WEDs, EOWs, and EOMs non-consecutively (in this case the between the current date and that each may have 12 expirations (i.e. a total eighth expiration) will eventually particular event. Thus, instead of listing of 48 expirations in all four programs).9 become the seventh expiration and thus all 12 EOWs, for example, to reach a However, the Exchange does not become a consecutive expiration. certain event, the Exchange believes the currently exercise its discretion to list Additionally, the Exchange notes that marketplace would be better served by all 12 expirations in each Weekly the proposal will not affect the total allowing the Exchange to list EOWs (or Expiration and EOM program—opting expirations for MONs, WEDs, EOWs, or the other Weekly Expirations or EOMs) instead to introduce additional non-consecutively because listing EOMs. The maximum number of expirations as customer demand expirations non-consecutively allows expirations that may be listed for each dictates. Typically, the Exchange lists the Exchange to list fewer expirations Weekly Expiration (i.e., a Monday four MONs, six WEDs, and seven EOWs expiration, Wednesday expiration, or 10 (particularly those with less customer in SPXW options. demand), limiting potential burdens on Friday expiration, as applicable) and liquidity providers to quote in the EOMs in a given class will continue to 4 See Securities Exchange Act Release No. 76909 relevant option classes. Listing be the same as the maximum number of (January 14, 2016), 81 FR 3512 (January 21, 2016) expirations non-consecutively also expirations permitted in Rule 24.9(a)(2) (order approving SR–CBOE–2015–106). for standard options on the same broad- 5 allows the Exchange to use its See Securities Exchange Act Release No. 78531 based index.12 As previously noted, in (August 10, 2016), 81 FR 54643 (August 16, 2016) considerable experience to list (order approving SR–CBOE–2016–046). expirations that will offer all market SPXW, the maximum number of 6 See Rule 24.9(e)(1). participants the ability to use SPXW expirations is 12. 7 See Rule 24.9(e)(2). options, for example, to hedge a future The Exchange also notes that the 8 See Rules 24.9(e)(1) and (2). economic event. Simply put, as with the proposal will not affect the maximum 9 See Rule 24.9(a)(2) (specifying that the Exchange duration (i.e., the maximum time from may list up to 12 standard monthly expirations at expansion of the Pilot to MONs and any one time for any class that the Exchange (as the WEDs, non-consecutive expirations will listing to expiration) of Weekly Reporting Authority) uses to calculate a volatility expand hedging tools available to Expirations or EOMs. For example, index). The Exchange uses the SPX class to market participants and allow market under the current rule, if the exchange calculate a volatility index; thus, pursuant to Rules were to list all 12 WEDs in SPXW, the 24.9(e)(1) and (2), the MONs, WEDs, EOWs, and participants to tailor their investment or EOMs each may have 12 expirations. hedging needs more effectively. 12th WED expiration would expire 11 10 See CBOE Regulatory Circulars RG16–053 Although this proposal gives the weeks from the nearest term expiration (extending SPXW WEDs to four expirations and Exchange the ability to list expirations (assuming, for example, there are no reducing SPXW EOWs to seven expirations) and non-consecutively, the proposal is EOMs that coincide with the WEDs in RG16–157 (expanding SPXW WEDs to six 13 expirations and SPXW MONs to four expirations). narrowly tailored as it only applies to SPXW). To further illustrate the Although RG16–157 indicates that there are five the Nonstandard Expirations Pilot SPXW Monday Expirations, the October 31, 2016 Program (i.e., Weekly Expirations and 12 See e.g., Rules 24.9(e). expiration with a listing date of May 2, 2016 is 13 As stated in Rule 24.9(e)(1) if the last trading technically an EOM expiration listed pursuant to EOMs), which may only include broad- day of a month is a Monday, Wednesday, or Friday the EOM program and should not have been and the Exchange lists EOMs and Weekly identified as being listed pursuant to the Weekly 11 See Rule 24.9(e). LEAPS expire from 12 to 180 Expirations as applicable in a given class, the Expirations program. See Rule 24.9(e)(1) and (2). months from the date of issuance. Continued

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current rule, assume that on Monday an exchange be designed to prevent proposal will impose any burden on February 6, 2017, the nearest term WED fraudulent and manipulative acts and intermarket competition because the expiration in SPXW expires on February practices, to promote just and equitable proposed rule change relates solely to 8, 2017. Also assume the Exchange lists principles of trade, to foster cooperation the listing of series pursuant to a CBOE all 12 WEDs in SPXW. In this example, and coordination with persons engaged pilot program, and market participants the 12th expiration would expire on in regulating, clearing, settling, on other exchanges are welcome to April 26, 2017. In order to ensure that processing information with respect to, become Trading Permit Holders and this proposal does not affect the and facilitating transactions in trade at CBOE if they determine that this maximum duration of the expirations, securities, to remove impediments to proposed rule change has made CBOE the Exchange proposes to specify in and perfect the mechanism of a free and more attractive or favorable. Finally, Rule 24.9(e)(1) and (2) that the open market and a national market although the majority of the Exchange’s expiration date of a non-consecutive system, and, in general, to protect broad-based index options are expiration may not be beyond what investors and the public interest. exclusively-listed at CBOE, all options would be considered the last expiration Additionally, the Exchange believes the exchanges are free to compete by listing date if the maximum number of proposed rule change is consistent with and trading their own broad-based expirations were listed consecutively. the Section 6(b)(5) 16 requirement that index options with Weekly Expirations Under the proposed rule (as with the the rules of an exchange not be designed and EOM expirations. current rule), the April 26th expiration to permit unfair discrimination between C. Self-Regulatory Organization’s in the above example is the farthest customers, issuers, brokers, or dealers. Statement on Comments on the expiration that could be listed. The only In particular, the Exchange believes Proposed Rule Change Received From difference between the current rule and the Nonstandard Expirations Pilot has Members, Participants, or Others this proposal is that under the current been successful to date and that rule the exchange would have to list all allowing non-consecutive expirations The Exchange neither solicited nor 12 expirations in order to list the April will simply expand the ability of received comments on the proposed 26th expiration in the above example, investors to hedge risks against market rule change. movements stemming from future and under the proposed rule the III. Date of Effectiveness of the Exchange would be able to list the April economic events, which in general, helps to protect investors and the public Proposed Rule Change and Timing for 26th expiration without the requirement Commission Action to, for example, list the April 19th interest. Similarly, the Exchange expiration. believes non-consecutive expirations Within 45 days of the date of The annual Pilot report provided to will create greater trading and hedging publication of this notice in the Federal the Securities and Exchange opportunities and flexibility, and Register or within such longer period Commission (‘‘Commission’’) will provide customers with the ability to up to 90 days (i) as the Commission may include any Weekly Expirations and more closely tailor their investment designate if it finds such longer period EOMs, regardless of whether the objectives. The Exchange also believe to be appropriate and publishes its expirations are listed consecutively or that the proposal will allow the reasons for so finding or (ii) as to which non-consecutively. Exchange to list expirations in a way the Exchange consents, the Commission In sum, the proposal will allow that limits potential burdens on will: market participants to better plan for liquidity providers quoting in the A. By order approve or disapprove future economic events; will allow affected classes, which helps remove such proposed rule change, or market participants to tailor their impediments to and perfect the B. institute proceedings to determine investment or hedging needs more mechanism of a free and open market whether the proposed rule change effectively; will allow the Exchange to and a national market system. should be disapproved. list expirations in a way that limits B. Self-Regulatory Organization’s IV. Solicitation of Comments potential burdens on liquidity providers Statement on Burden on Competition quoting in the affected classes; does not Interested persons are invited to CBOE does not believe that the increase the allowable number of total submit written data, views, and proposed rule change will impose any arguments concerning the foregoing, expirations for Nonstandard burden on competition that is not Expirations; and is narrowly tailored to including whether the proposed rule necessary or appropriate in furtherance change is consistent with the Act. apply only to the Nonstandard of the purposes of the Act. Specifically, Expiration Pilot Program (in which only Comments may be submitted by any of the Exchange does not believe the the following methods: three classes currently participate). proposal will impose any burden on 2. Statutory Basis intramarket competition as all market Electronic Comments • The Exchange believes the proposed participants will be treated in the same Use the Commission’s Internet rule change is consistent with the manner. Any perceived burden on comment form (http://www.sec.gov/ Market-Makers is unfounded as the rules/sro.shtml); or Securities Exchange Act of 1934 (the • ‘‘Act’’) and the rules and regulations proposal does not increase the total Send an email to rule-comments@ thereunder applicable to the Exchange number of expirations that can be listed sec.gov. Please include File Number SR– and, in particular, the requirements of under the Nonstandard Expirations Pilot CBOE–2017–014 on the subject line. Section 6(b) of the Act.14 Specifically, Program. In fact, the proposal may Paper Comments the Exchange believes the proposed rule alleviate potential burdens on Market- Makers quoting in the affected classes as • Send paper comments in triplicate change is consistent with the Section to Secretary, Securities and Exchange 6(b)(5) 15 requirements that the rules of listing non-consecutively allows the Exchange to avoid listing expirations Commission, 100 F Street NE., Washington, DC 20549–1090. Exchange will list an EOM instead of a Weekly that are in less demand. Additionally, Expiration in the given class. the Exchange does not believe the All submissions should refer to File 14 15 U.S.C. 78f(b). Number SR–CBOE–2017–014. This file 15 15 U.S.C. 78f(b)(5). 16 Id. number should be included on the

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subject line if email is used. To help the SOCIAL SECURITY ADMINISTRATION them to OMB within 60 days from the Commission process and review your date of this notice. To be sure we comments more efficiently, please use [Docket No: SSA–2017–0006] consider your comments, we must only one method. The Commission will Agency Information Collection receive them no later than April 24, post all comments on the Commission’s Activities: Proposed Request and 2017. Individuals can obtain copies of Internet Web site (http://www.sec.gov/ Comment Request the collection instruments by writing to rules/sro.shtml). Copies of the the above email address. submission, all subsequent The Social Security Administration 1. Government Pension amendments, all written statements (SSA) publishes a list of information Questionnaire—20 CFR 404.408a— with respect to the proposed rule collection packages requiring clearance 0960–0160. The basic Social Security change that are filed with the by the Office of Management and benefits application (OMB No. 0960– Commission, and all written Budget (OMB) in compliance with 0618) contains a lead question asking if communications relating to the Public Law 104–13, the Paperwork the applicants are qualified (or will qualify) to receive a government proposed rule change between the Reduction Act of 1995, effective October 1, 1995. This notice includes revisions pension. If the respondent is qualified, Commission and any person, other than and one extension of OMB-approved or will qualify, to receive a government those that may be withheld from the information collections. pension, the applicant completes Form public in accordance with the SSA is soliciting comments on the SSA–3885 either on paper or through a provisions of 5 U.S.C. 552, will be accuracy of the agency’s burden personal interview with an SSA claims available for Web site viewing and estimate; the need for the information; representative. If the applicants are not printing in the Commission’s Public its practical utility; ways to enhance its entitled to receive a government Reference Room, 100 F Street NE., quality, utility, and clarity; and ways to pension at the time they apply for Social Washington, DC 20549, on official minimize burden on respondents, Security benefits, SSA requires them to business days between the hours of including the use of automated provide the government pension 10:00 a.m. and 3:00 p.m. Copies of the collection techniques or other forms of information as beneficiaries when they filing also will be available for information technology. Mail, email, or become eligible to receive their inspection and copying at the principal fax your comments and pensions. Regardless of the timing, at office of the Exchange. All comments recommendations on the information some point the applicants or received will be posted without change; collection(s) to the OMB Desk Officer beneficiaries must complete and sign the Commission does not edit personal and SSA Reports Clearance Officer at Form SSA–3885 to report information identifying information from the following addresses or fax numbers. about their government pensions before submissions. You should submit only (OMB), Office of Management and the pensions begin. SSA uses the information that you wish to make Budget, Attn: Desk Officer for SSA, Fax: information to: (1) Determine whether available publicly. All submissions 202–395–6974, Email address: OIRA_ the Government Pension Offset should refer to File Number SR–CBOE– [email protected]. provision applies; (2) identify 2017–014, and should be submitted on (SSA), Social Security exceptions as stated in 20 CFR 404.408a; or before March 14, 2017. Administration, OLCA, Attn: Reports and (3) determine the benefit reduction Clearance Director, 3100 West High amount and effective date. If the For the Commission, by the Division of Rise, 6401 Security Blvd., Baltimore, applicants and beneficiaries do not Trading and Markets, pursuant to delegated MD 21235, Fax: 410–966–2830, Email respond using this questionnaire, SSA authority.17 address: [email protected]. offsets their entire benefit amount. The Eduardo A. Aleman, Or you may submit your comments respondents are applicants or recipients Assistant Secretary. online through www.regulations.gov, of spousal benefits who are eligible for [FR Doc. 2017–03302 Filed 2–17–17; 8:45 am] referencing Docket ID Number [SSA– or already receiving a Government BILLING CODE 8011–01–P 2017–0006]. pension. I. The information collections below Type of Request: Revision of an OMB- are pending at SSA. SSA will submit approved information collection.

Average Estimated Number of Frequency of burden per total annual Modality of completion respondents response response burden (minutes) (hours)

SSA–3885 ...... 76,000 1 13 16,467

2. Modified Benefit Formula earnings. However, the resulting amount information on Form SSA–150 so we Questionnaire—0960–0395. SSA cannot show a difference in the benefit can calculate their benefits using the collects information on Form SSA–150 computed using the modified and data they supply. SSA calculates the to determine which formula to use in regular formulas greater than one-half benefits of applicants who do not computing the Social Security benefit the amount of the pension received in respond to this questionnaire using the for someone who receives a pension the first month an individual is entitled full WEP reduction. SSA employees from employment not covered by Social to both the pension and the Social collect this information once from the Security. The Windfall Elimination Security benefit. The SSA–150 collects applicant at the time they file their Provision (WEP) requires use of a the information needed to make all the claim. The respondents are applicants benefit formula replacing a smaller necessary benefit computations. SSA for old age and disability benefits. percentage of a worker’s pre-retirement requires respondents to furnish the

17 17 CFR 200.30–3(a)(12).

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Type of Request: Revision of an OMB- approved information collection.

Average Estimated Number of Frequency of burden per total annual Modality of completion respondents response response burden (minutes) (hours)

SSA–150 ...... 90,000 1 8 12,000

3. Modified Benefit Formula Security. This method is the Windfall and when to apply it to a person’s Questionnaire-Employer—20 CFR 401 & Elimination Provision (WEP). SSA benefits. SSA sends Form SSA–58 to an 402—0960–0477. Sections 215(a)(7) and makes a determination regarding employer for pension related 215(d)(3) of the Social Security Act whether the WEP is applicable and information, if the claimant is unable to (Act) require SSA to use a modified when to apply it to a person’s benefit. provide it. The respondents are benefit formula to compute Social SSA uses Form SSA–58 to verify the employers of people who are eligible Security retirement or disability benefits claimant’s allegations on Form SSA–150 after 1985 for both Social Security for persons first eligible (after 1985) for (OMB #0906–0395, Modified Benefits benefits and a pension based on work both a Social Security benefit and a Formula Questionnaire). SSA also uses not covered by SSA. pension or annuity, based on Form SSA–58 to determine if the Type of Request: Revision of an OMB- employment not covered by Social modified benefit formula is applicable approved information collection.

Average Estimated Number of Frequency of burden per total annual Modality of completion respondents response response burden (minutes) (hours)

SSA–58 ...... 30,000 1 20 10,000

4. Questionnaire for Children children use Form SSA–3881–BK to for SSI. The respondents are applicants Claiming Supplemental Security Income provide SSA with the addresses of non- who appeal SSI childhood disability (SSI) Benefits—0960–0499. Section medical sources such as schools, decisions or recipients undergoing a 1631(d)(2) of the Act allows SSA to counselors, agencies, organizations, or continuing disability review. determine the eligibility of an therapists who would have information Type of Request: Revision of an OMB- applicant’s claim for SSI payments. about a child’s functioning. SSA uses approved information collection. Parents or legal guardians seeking to this information to help determine a obtain or retain SSI eligibility for their child’s claim or continuing eligibility

Average Estimated Number of Frequency of burden per total annual Modality of completion respondents response response burden (minutes) (hours)

SSA–3881–BK (Paper Version) ...... 84,500 1 30 42,250 SSA–3881–BK (Electronic Disability Collect System) ...... 45,500 1 30 22,750

Totals ...... 130,000 ...... 65,000

5. Work History Report—20 CFR Applicants use Form SSA–3369, Work medical evidence, to determine 404.1515, 404.1560, 404.1565, 416.960 History Report, to provide detailed eligibility for disability payments. and 416.3965—0960–0578. Under information about jobs held prior to Respondents are disability applicants certain circumstances, SSA asks becoming unable to work. State and third parties assisting applicants. individuals applying for disability about Disability Determination Services Type of Request: Revision of an OMB- work they have performed in the past. evaluate the information, together with approved information collection.

Average Estimated Number of Frequency of burden per total annual Modality of completion respondents response response burden (minutes) (hours)

SSA–3369 (Paper Version) ...... 1,553,900 1 60 1,553,900 SSA–3369 (Electronic Disability Collect System) ...... 38,049 1 60 38,049

Totals ...... 1,591,949 ...... 1,591,949

6. Authorization to Obtain Earnings Administration—0960–0602. On organizations and agencies need to Data From the Social Security occasion, public and private obtain detailed earnings information

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about specific Social Security number holder, when applicable. SSA uses the and (4) produce the Itemized Statement (SSN) holding wage earners for business information provided on Form SSA–581 of Earnings (SSA–1826). The purposes (e.g. pension funds, State to: (1) Identify the wage earner; (2) respondents are private businesses, state agencies, etc.). Respondents use Form establish the period of earnings or local agencies, and other federal SSA–581 to identify the SSN holder information requested; (3) verify the agencies. whose information they are requesting, wage earner authorized SSA to release Type of Request: Revision of an OMB- and provide authorization from the SSN this information to the requesting party; approved information collection.

Average Estimated Number of Frequency of burden per total annual Modality of completion respondents response response burden (minutes) (hours)

SSA–581 ...... 24,000 1 2 800

7. Appeal of Determination for Help individuals who are eligible for the Medicare Part D subsidy. The with Medicare Prescription Drug Plan program and who meet eligibility respondents are Medicare beneficiaries, Costs—0960–0695. Public Law 108–173, criteria for help with premium, or proper applicants acting on behalf of the Medicare Prescription Drug, deductible, and co-payment costs. SSA a Medicare beneficiary, who do not Improvement, and Modernization Act of uses Form SSA–1021, Appeal of agree with the outcome of an SSA 2003 (MMA), established the Medicare Determination for Help with Medicare subsidy eligibility determination, and Part D program for voluntary Prescription Drug Plan Costs, to obtain are filing an appeal. prescription drug coverage for certain information from individuals who low-income individuals. The MMA appeal SSA’s decisions regarding Type of Request: Revision of an OMB- stipulates the provision of subsidies for eligibility or continuing eligibility for a approved information collection.

Average Estimated Number of Frequency of burden per total annual Modality of completion respondents response response burden (minutes) (hours)

SSA–1021 (Paper Version) ...... 3,283 1 10 547 SSA–1021 (Internet Version; Medicare Application Processing System) ...... 11,037 1 10 1,840

Totals ...... 14,320 ...... 2,387

8. Social Security Administration payment of fees. These prerequisites SSA–1691 to determine whether an Eligible Non-Attorney Representative— include: (1) A bachelor’s degree from an applicant fulfilled the statutory 20 CFR 404.1717, 404.1745–404.1799, accredited institution of higher prerequisites and regulatory 416.1517, and 416.1545–416.1599— education, or four years of relevant requirements as listed above. To verify 0960–0699. Section 3 of the Social professional experience and a high this information, we also request the Security Disability Applicants Access to school diploma or General Education five required items listed above from Professional Representation Act (PRA) Development certificate; (2) passing a each new applicant, and we request of 2010, Public Law 111–142, written examination administered by items #3 and #5 from all non-attorney permanently extends the direct payment SSA testing the knowledge of relevant representatives (new and existing) on a provision of Section 303 of the Social provisions of the Act under Titles II and yearly basis. Every year, SSA evaluates Security Protection Act (SSPA) of 2004, XVI; (3) securing and maintaining the applications; conducts verification Public Law 108–203. The PRA permits continuous professional liability investigations; and issues SSA to extend direct payment of insurance, or equivalent, to protect recommendations regarding applicants’ approved fees from claimants’ past-due claimants from malpractice; (4) passing eligibility to sit for the examination and benefits to certain non-attorney a criminal background check; (5) eligibility to receive direct payment. representatives. Prior to the enactment demonstrating ongoing completion of The respondents are non-attorneys who of the SSPA and PRA, only attorneys continuing education courses. The PRA want to receive direct payment of their could receive direct payment of SSA- requires SSA to collect the information fees for representational services before approved fees. Under the PRA, non- needed to determine if applicants have SSA. attorneys must meet certain satisfied these prerequisites. SSA uses Type of Request: Revision of an OMB- prerequisites to be eligible for direct the information we collect on Form approved information collection.

Average Estimated Number of Frequency of burden per total annual Modality of completion respondents response response burden (minutes) (hours)

New Respondents—Paper Application (complete and submit)—404.1717(b) & (c); 416.1517(b) & (c) ...... 200 1 45 547 New Respondents Examination—404.1717(a)(5); 416.1517(a)(5) ...... 200 1 120 400 New Respondents—Submission of proof of Bachelor’s Degree or Equiva- lent Qualifications—404.1717(a)(3); 416.1517(a)(3) ...... 200 1 10 33

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Average Estimated Number of Frequency of burden per total annual Modality of completion respondents response response burden (minutes) (hours)

New and Existing Respondents—CE Submission via email/mail/or FAX of training courses taken as prescribed by SSA—404.1717(a)(7); 416.1517(a)(7) ...... 710 1 20 237 New and Existing Respondents—Proof of Continuous Professional or Busi- ness Liability Insurance Coverage (Scan and Email)—404.1717(a)(6); 416.1517(a)(6) ...... 672 1 10 112 New and Existing Respondents—Proof of Continuous Professional or Busi- ness Liability Insurance Coverage (Copy and Mail)—404.1717(a)(6); 416.1517(a)(6) ...... 38 1 15 10 New and Existing Respondents—Written Protests—404.1717(d); 416.1517(d) ...... 45 1 45 34

Totals ...... 2,065 ...... 976

9. Sheltered Workshop Wage nature. Sheltered workshops perform a in a timely manner and prevent Reporting—0960–0771. Sheltered service for their clients by reporting overpayments. Sheltered workshops are workshops are non-profit organizations monthly wages directly to SSA. SSA motivated to report wages voluntarily as or institutions that implement a uses the information these workshops a service to their clients. Respondents recognized program of rehabilitation for provide to verify and post monthly are sheltered workshops that report handicapped workers, or provide such wages to the SSI recipient’s record. Most monthly wages for services performed workers with remunerative employment workshops report monthly wage totals in the workshop. or other occupational rehabilitating to their local SSA office so we can Type of Request: Extension of an activity of an educational or therapeutic adjust the client’s SSI payment amount OMB-approved information collection.

Average Estimated Number of Frequency of (Number of burden per total annual Modality of completion respondents response responses) response burden (minutes) (hours)

Sheltered Workshop Wage Reporting ...... 800 12 (9,600) 15 2,400

10. Medicare Income-Related Monthly The Internal Revenue Service (IRS) initial determination of their IRMAA. Adjustment Amount—Life-Changing transmits income tax return data to SSA The respondents are Medicare Part B Event Form—0960–0784. Federally for SSA to determine the IRMAA. SSA and prescription drug coverage mandated reductions in the Federal uses the Form SSA–44 to determine if recipients and enrollees with modified Medicare Part B and prescription drug a recipient qualifies for a reduction in adjusted gross income over a high- coverage subsidies result in selected the IRMAA. If affected Medicare income threshold who experience one Medicare recipients paying higher recipients believe SSA should use more of eight significant life-changing events. premiums with income above a specific recent tax data because of a life- threshold. The amount of the premium changing event that significantly Type of Request: Revision of an OMB- subsidy reduction is an income-related reduces their income, they can report approved information collection. monthly adjustment amount (IRMAA). these changes to SSA and ask for a new

Average Estimated Number of Frequency of burden per total annual Modality of completion respondents response response burden (minutes) (hours)

SSA–44 (Personal Interview in SSA field office) ...... 140,378 1 30 70,189 SSA–44 (Paper Version) ...... 60,162 1 45 45,122

Totals ...... 200,540 ...... 115,311

II. SSA submitted the information writing to OR.Reports.Clearance@ Specifically, SSA will send Forms SSA– collection below to OMB for clearance. ssa.gov. 1002–F3 or SSA–1003–F3 to the Your comments regarding the Statement of Agricultural Employer agricultural employers to collect information collection would be most (Year Prior to 1988; and 1988 and evidence of wages paid. The useful if OMB and SSA receive them 30 later)—20 CFR 404.702, 404.802, respondents are agricultural employers days from the date of this publication. 404.1056—0960–0036. If agricultural whose workers request wage verification To be sure we consider your comments, workers believe their employers (1) did or correction for their earnings records. we must receive them no later than not report their wages, or (2) reported March 23, 2017. Individuals can obtain incorrect wage amounts, SSA will assist Type of Request: Revision of an OMB- copies of the OMB clearance package by them in resolving this issue. approved information collection.

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Average Estimated Number of Frequency of burden per total annual Modality of completion respondents response response burden (minutes) (hours)

SSA–1002 ...... 7,500 1 30 3,750 SSA–1003 ...... 25,000 1 30 12,500

Totals ...... 32,500 ...... 16,250

Dated: February 15, 2017. Naomi R. Sipple, Reports Clearance Officer, Social Security Administration. [FR Doc. 2017–03308 Filed 2–17–17; 8:45 am] BILLING CODE 4191–02–P

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Reader Aids Federal Register Vol. 82, No. 33 Tuesday, February 21, 2017

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING FEBRUARY

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. 65...... 10966 Presidential Documents 3 CFR 205...... 10967 Executive orders and proclamations 741–6000 Proclamations: 318...... 10444 The United States Government Manual 741–6000 9572...... 9487 319...... 10312, 10444 9573...... 9673 Other Services 330...... 10444 Executive Orders: 340...... 10312 741–6020 Electronic and on-line services (voice) 12866 (See EO 352...... 10444 Privacy Act Compilation 741–6050 13771) ...... 9339 923...... 10555 Public Laws Update Service (numbers, dates, etc.) 741–6043 13490 (Superseded by 1051...... 10634 EO 13770)...... 9333 1260...... 10967 13762 (Revoked by ELECTRONIC RESEARCH 3201...... 11159 EO 13775)...... 10697 World Wide Web 13769...... 8977 9 CFR 13770...... 9333 121...... 10855 Full text of the daily Federal Register, CFR and other publications 13771...... 9339 201...... 9489 is located at: www.fdsys.gov. 13772...... 9965 Proposed Rules: Federal Register information and research tools, including Public 13773...... 10691 201...... 9533 Inspection List, indexes, and Code of Federal Regulations are 13774...... 10695 located at: www.ofr.gov. 13775...... 10697 10 CFR 13776...... 10699 429...... 8985 E-mail Administrative Orders: 430...... 8985 FEDREGTOC (Daily Federal Register Table of Contents Electronic Memorandums: 431...... 8985 Mailing List) is an open e-mail service that provides subscribers Memorandum of 435...... 9343 January 24, 2017 with a digital form of the Federal Register Table of Contents. The Proposed Rules: (republication) ...... 11129 digital form of the Federal Register Table of Contents includes 50...... 11159 Memorandum of HTML and PDF links to the full text of each document. 73...... 9534 January 27, 2017 ...... 8983 To join or leave, go to https://public.govdelivery.com/accounts/ National Security 11 CFR USGPOOFR/subscriber/new, enter your email address, then Presidential follow the instructions to join, leave, or manage your Memorandum–2 of 111...... 8986 subscription. January 28, 2017 ...... 9119 12 CFR PENS (Public Law Electronic Notification Service) is an e-mail National Security 225...... 9308 service that notifies subscribers of recently enacted laws. Presidential Memorandum–3 of 252...... 9308 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html January 28, 2017 ...... 9125 Proposed Rules: and select Join or leave the list (or change settings); then follow Memorandum of 701...... 9691 the instructions. February 3, 2017 ...... 9675 702...... 9691 FEDREGTOC and PENS are mailing lists only. We cannot 703...... 9691 respond to specific inquiries. 5 CFR 709...... 9691 Reference questions. Send questions and comments about the 339...... 10959 741...... 9691 Federal Register system to: [email protected] 890...... 11131 745...... 9691 The Federal Register staff cannot interpret specific documents or 7 CFR 13 CFR regulations. 51...... 10959 107...... 9967 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 52...... 10959 120...... 9967 longer appears in the Federal Register. This information can be 205...... 9967 142...... 9967 found online at http://bookstore.gpo.gov/. 271...... 11131 146...... 9967 272...... 11131 14 CFR FEDERAL REGISTER PAGES AND DATE, FEBRUARY 273...... 11131 274...... 11131 1...... 9677 8893–8984...... 1 10959–11130...... 17 275...... 11131 23...... 9677 8985–9126...... 2 11131–11298...... 21 276...... 11131 25...... 9677 9127–9342...... 3 277...... 11131 27...... 9677 9343–9488...... 6 278...... 11131 29...... 9677 279...... 11131 9489–9676...... 7 39 ...... 9489, 9492, 9495, 9498, 280...... 11131 10255, 10258, 10262, 10264, 9677–9966...... 8 281...... 11131 10267, 10541, 10701, 10855, 9967–10254...... 9 282...... 11131 10859, 10860, 11132, 11134, 10255–10440...... 10 283...... 11131 11137, 11140, 11144, 11146 10441–10540...... 13 285...... 11131 61...... 9677 10541–10700...... 14 331...... 10855 71...... 10544 10701–10854...... 15 Proposed Rules: 91...... 9677 10855–10958...... 16 46...... 10966 95...... 9678

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97...... 10269, 10271 29 CFR 37 CFR 1610...... 10273 121...... 9677 1208...... 8895 2...... 10273 1611...... 10442 125...... 9677 1614...... 10863 7...... 10273 1627...... 10273 135...... 9677 1910...... 8901 201...... 9004, 9354 1630...... 10273 Proposed Rules: 1915...... 8901 202...... 9354 Proposed Rules: 39 ...9535, 9537, 10721, 10968, 1926...... 8901 203...... 9354, 9505 147...... 10980 10971, 10973, 10976, 10978, 4022...... 10707 204...... 9004, 9354 155...... 10980 11162 205...... 9354 156...... 10980 71...... 10313 30 CFR 210...... 9354 1609...... 10446 211...... 9354 15 CFR 250...... 9136 550...... 10709 212...... 9354 46 CFR 774...... 8893 553...... 10709 253...... 9354 902...... 9501, 9969 254...... 9354 502...... 8903 723...... 9349 506...... 10719 724...... 9349 255...... 9354 16 CFR 256...... 9354 845...... 9349 258...... 9354 1112...... 8989 846...... 9349 47 CFR 260...... 9354 1250...... 8989 64...... 9366 Proposed Rules: 261...... 9354 Proposed Rules: 75...... 9369 73 ...... 9009, 10866, 11106, 1240...... 8907 262...... 9354 263...... 9354 11156 1500...... 9012 31 CFR 270...... 9354 Proposed Rules: 1507...... 9012 50...... 10434 Ch. I ...... 9282 38 CFR 1...... 8907 17 CFR 501...... 10434 535...... 10434 14...... 11151 25...... 8907 230...... 10703 536...... 10434 17...... 11152 54...... 8907, 10988 232...... 9680 538...... 10434 36...... 11153 64...... 10999 240...... 10703 539...... 10434 74...... 11154 73 ...... 8907, 10559, 10733 260...... 10703 541...... 10434 74...... 8907 542...... 10434 40 CFR 18 CFR 543...... 10434 52 ...... 9138, 9142, 9155, 9158, 49 CFR 35...... 9343 544...... 10434 9164, 9512, 9515 270...... 10443 39...... 8993 546...... 10434 60...... 10711 380...... 8903 40...... 8994 547...... 10434 97...... 10711 383...... 8903 157...... 9127 548...... 10434 131...... 9166 384...... 8903 381...... 9128 549...... 10434 180 ...... 9519, 9523, 10547, 571...... 9368 Proposed Rules: 560...... 10434 10712 585...... 9368 35...... 9539 561...... 10434 1700...... 9682 701...... 9682 39...... 9034 566...... 10434 Proposed Rules: 1250...... 9529 40...... 9702 576...... 10434 50...... 10726 588...... 10434 51...... 10726 Proposed Rules: 21 CFR 592...... 10434 52...... 9035, 10727 236...... 10449 201...... 9501 594...... 10434 180...... 9555 238...... 10449 801...... 9501 595...... 10434 751...... 10732 1100...... 9501 597...... 10434 42 CFR 50 CFR 1105...... 8894 598...... 10434 17...... 10285 Proposed Rules: 1010...... 10434 2...... 10863 70...... 10718 217...... 10286 101...... 10868 223...... 9975 33 CFR 71...... 10718 73...... 10864 229...... 9690 22 CFR 117 ...... 9502, 9970, 10960, 510...... 10961 300...... 9501, 9969 1502...... 9129 10961, 11148 512...... 10961 600...... 9690 165...... 9593, 9972 622 ...... 9189, 10309, 10553, 23 CFR Proposed Rules: Proposed Rules: 88...... 11164 11156 490...... 10441 100...... 10555 635...... 9530 110...... 10313 43 CFR 660...... 9634 25 CFR 117...... 10444 10...... 10864 679 .....8904, 8905, 8906, 9501, Proposed Rules: 165...... 9978, 10558 3160...... 9974 9530, 9531, 9975, 10554, 140...... 9706 209...... 9555 10964, 11158 44 CFR Proposed Rules: 28 CFR 36 CFR 64...... 10962 20...... 10222 0...... 10546 13...... 10442 92...... 10316 31...... 8894 294...... 9973 45 CFR 224...... 9707 85...... 9131 1250...... 8901 102...... 9174 622...... 10324, 11166

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in ‘‘slip law’’ (individual of the Interior known as the listserv.gsa.gov/archives/ pamphlet) form from the Stream Protection Rule. (Feb. publaws-l.html LIST OF PUBLIC LAWS Superintendent of Documents, 16, 2017; 131 Stat. 10) U.S. Government Publishing Last List February 16, 2017 This is a continuing list of Office, Washington, DC 20402 Note: This service is strictly public bills from the current (phone, 202–512–1808). The for E-mail notification of new session of Congress which text will also be made laws. The text of laws is not have become Federal laws. available on the Internet from Public Laws Electronic available through this service. This list is also available GPO’s Federal Digital System Notification Service PENS cannot respond to online at http:// (FDsys) at http://www.gpo.gov/ (PENS) specific inquiries sent to this www.archives.gov/federal- fdsys. Some laws may not yet address. register/laws. be available. PENS is a free electronic mail The text of laws is not H.J. Res. 38/P.L. 115–5 notification service of newly published in the Federal Disapproving the rule enacted public laws. To Register but may be ordered submitted by the Department subscribe, go to http://

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